Brian Neil Hoffman is an experienced member of the firm’s Securities Litigation, Enforcement, and White-Collar Defense Group. Mr. Hoffman represents entities and individuals in government and self-regulatory organization investigations and proceedings. He also conducts corporate internal investigations and defends shareholder class action and derivative lawsuits. His matters have included, among other things, potential Foreign Corrupt Practices Act (FCPA) concerns; public-company accounting, controls and disclosure issues; matters concerning investment advisers and private equity firms; alleged insider trading; and matters relating to the financial crisis.
He rejoined the firm in 2012 after serving as a senior attorney in the U.S. Securities and Exchange Commission’s Division of Enforcement. During his tenure with the SEC, Mr. Hoffman investigated and litigated numerous potential violations of the federal securities laws, including insider trading, financial accounting and reporting violations, as well as multiple matters involving advisory firms. He also tried an administrative and cease-and-desist proceeding against a former partner of an investment advisor to private equity funds who allegedly created and exploited undisclosed conflicts of interest to gain lucrative personal advantages (In the Matter of Matthew Crisp).
Mr. Hoffman also has substantial commercial litigation experience, and has first- or second-chaired numerous trials. He additionally prosecuted 19 cases for the Denver city attorney’s office, including eight jury trials. Mr. Hoffman was recognized by Super Lawyers as a 2010 Colorado Rising Star.
Mr. Hoffman received his B.A. in political science from Washington University in St. Louis. During his undergraduate studies, he also attended the London School of Economics and Political Science, focusing on international relations, political science and economics. He received his J.D., cum laude, from New York University School of Law.
Mr. Hoffman serves on the board of advisors of the SEC Historical Society. He has also volunteered with Invest in Kids, served on the steering committee for the Young Advocates Network of the Colorado Lawyers Committee, and served on the board of directors of The Young Fund of The Children’s Hospital Foundation.'
Representative Matters
Enforcement/White-Collar Matters:
Represents international high-tech equipment manufacturer in its internal investigation concerning potential FCPA issues in Korea, China and other countries, as well as other potential financial reporting issues.
Conducted international investigation of revenue-recognition and FCPA issues in China on behalf of Fortune 500 company.
Assisted natural resource technology company with FCPA compliance matters.
Represents mortgage origination and securitization company in SEC and DOJ investigations involving residential mortgage-backed securities.
Represents Standard & Poor’s Financial Services, LLC, and The McGraw-Hill Companies, Inc., in an enforcement action filed by the Colorado attorney general.
Represents bank employee in SEC investigation involving residential mortgage backed securities.
Represents former Bear Stearns employees in investigation by the New York Attorney General relating to residential mortgage backed securities.
Defended former chair of Fisher Imaging Corp.’s audit committee in SEC enforcement action filed in Colorado federal court.
Conducted internal investigation of stock-option backdating issues on behalf of special committee of independent directors of multinational book retailer.
Defended former outside directors of large public company in SEC investigation of related party transactions and perquisite issues.
Defended registered investment advisor, affiliated hedge funds and registered broker-dealer in SEC investigation of suitability and other issues.
Defended national bank in SEC and DOJ investigation of mutual thrift-conversion issues.
Represented Fortune 500 company in appeal of IRS audit determination.
Defended Fortune 500 company in New York State attorney general investigation of vehicle safety issues.
Securities Litigation Matters:
Defended Level 3 Communications, Inc., and certain of its officers and directors, in shareholder class action, derivative, and ERISA litigation in Colorado federal and state courts.
Defended Crocs, Inc., and certain of its officers and directors, in shareholder class action and derivative litigation in Colorado federal and state courts.
Defended ATC Healthcare, Inc., and certain of its officers and directors, in securities fraud and negligent misrepresentation litigation in Colorado federal and state courts.
Defended software company from claims asserted by shareholders of Peregrine Systems, Inc., in California state court.