Our Firm

Who We Are

The SEC defense team at Oberheiden P.C. is a group of extremely experienced securities defense lawyers. Many of our personnel came to our team after prior careers within some of the most powerful law enforcement agencies in the world, including the SEC, the DOJ, and the Federal Bureau of Investigation (FBI), investigating and prosecuting securities fraud cases and other instances of investment misconduct. All told, the lawyers and legal counsel that make up Oberheiden P.C. have more than 70 years of prior experience as DOJ prosecutors, in addition to their experience on the defensive side.

These defense attorneys and investigators are stationed around the country. As a national law firm, Oberheiden P.C. maintains a presence in most major cities in the U.S., though it is headquartered in Houston and Dallas, Texas. Through these main and satellite offices, we have guided numerous clients through some extremely tricky securities-related dilemmas, up to and including some extremely serious criminal charges.

Who We Represent

Oberheiden P.C. represents a huge variety of people and corporations in securities-related matters.

Some of the types of individuals that we have represented in the past have been:

• Business owners
• Corporate stakeholders and shareholders
• Public figures
• Licensed professionals, like broker-dealers
• Company executives
• Corporate officers, including CEOs
• Entrepreneurs
• Board members
• Partners

We have also represented corporate entities in the following industries handle federal securities-related disputes and cases:

• Finance
• Banking
• Healthcare
• Pharmaceuticals
• Small- to medium-businesses
• Multinational corporations
• Governmental agencies and contractors
• Startups
• Tech companies
• Political organizations
• Non-profits

Some of these cases have involved massive amounts of money – well into the tens of millions of dollars. Others have implicated unsettled areas of securities laws that have required federal appellate courts to sort out.

All of them, though, have involved securities cases from across the vast spectrum of the field.

Cases We Handle

Oberheiden P.C. is a federal securities defense firm that handles a wide variety of securities issues at all junctures of the case. We can provide the legal guidance that you need, regardless of whether you are:

• Worried about complying with ever-evolving federal securities laws
• Conducting an internal audit to ensure compliance
• Being called to testify before a grand jury
• Aware that a whistleblower is gathering evidence of a suspected securities violation
• Facing a federal audit or investigation
• Charged with an administrative, civil, or criminal securities violation
• Working to mitigate the damage of an adverse finding by the SEC or a federal court

Just a few of the issues that we have handled in the past have dealt with:

• Insider trading
• CFTC investigations
• Cybersecurity
• Falsified financial statements defense
• FINRA defense
• FINRA investigations
• Mutual fund fraud
• Microcap fraud
• Omissions and misrepresentations
• Stock fraud
• Short selling abuse
• Ponzi scheme defense
• SEC whistleblower cases
• Responding to Wells Notices

These and other suspected securities violations can be investigated as:

• Administrative violations
• Civil cases
• Criminal offenses

They can be investigated by a variety of federal and quasi-federal agencies, including the:

• DOJ
• SEC
• FBI
• Internal Revenue Service (IRS)
• Financial Industry Regulatory Authority (FINRA)

Even if your case is only being pursued by one of these agencies or entities as an administrative case, that does not mean that the penalties that can be imposed will be light. You still need a strong defense team to represent your interests.

Our Results

The defense lawyers at Oberheiden P.C. have secured favorable outcomes for many of our securities clients. In fact, Oberheiden P.C. has:

• Received favorable results in over 40 states
• Represented clients in over 2,000 federal civil and criminal cases
• Represented clients in more than 2,000 federal grand jury proceedings
• Obtained successful defenses in 100 percent of the False Claims Act investigations that we have handled
• Defended clients in over 500 criminal trials

While your case will be unique, our prior experience has shown that we have handled most of what there is to handle in the securities litigation field.