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
Shareholder and Cryptocurrency Disputes and Litigation
Mike defends corporations, officers and directors against claims by shareholders, including claims brought as putative class actions or as derivative claims, including those brought under Section 10(b) of the Securities Exchange Act of 1934 and state “blue sky” laws. Mike has particular expertise in prosecuting or defending statutory or common law claims involving alleged fraud, fraudulent concealment and breach of fiduciary duty. Mike has represented a number of cryptocurrency companies in private disputes, involving, among other things, short-selling and disclosure issues.
Financial Services Litigation Involving Consumer Lending, Advertising and Franchise Regulation
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 experience 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 Justice Clarence Thomas and former Justice Ruth Bader Ginsburg, Mike served for 13 years as an enforcement attorney with the SEC.
When he isn’t practicing law, Mike enjoys biking, downhill skiing, and running and helping reunite adoptees with their birth families.