Mike handles investigations and litigation by securities regulators and has testified at trial as an expert witness regarding securities matters. He has significant experience with the following agencies:
- U.S. Securities and Exchange Commission (SEC)
- Public Company Accounting Oversight Board (PCAOB)
- Colorado Division of Securities
- Colorado Board of Accountancy
- Other state securities regulators in the Western United States
Financial Services Litigation
Mike also represents clients in disputes concerning advertising, consumer lending, mortgage foreclosures, debt collection/debt management, and franchisee issues. During these disputes, he deals with the Federal Trade Commission (FTC), the Commodity Futures Trading Commission (CFTC), the Colorado Department of Regulatory Agencies (DORA) and the Colorado Attorney General’s Office.
Representing Investment Advisers and Public Companies
Mike has particular expertise in defending publicly held companies and their officers and directors, broker-dealers and investment advisers, and accounting firms and CPAs during government investigations. He responds to pre-litigation subpoenas, prepares clients for testimony and responds to “Wells notices” of intended charges.
After working for the U.S. Court of Appeals for the D.C. Circuit, where he advised panels of judges including current U.S. Supreme Court Justices Clarence Thomas and Ruth Bader Ginsburg, Mike served for 13 years as an enforcement attorney with the SEC.