I have been a lecturer at the University of Denver Institute for Public Policy Studies since September 2009 where I teach graduate and undergraduate classes.
I publish two blogs that deal with securities regulation and related legal issues. See, Thompson Reuters News & Insight at www.newsandinsight.thomsonreuters.com/Legal/Securities/Insight/ and www.SECTeaParty.blogspot.com. I also am a FINRA certified arbitrator and occasionally advise the Colorado Attorney General and Securities Division on various legal issues. From time to time I am an expert witness and advisor to attorneys in connection with complex securities law issues.
I retired from the Securities Exchange Commission after a 31 year career as an enforcement attorney in 2006. I was a trial lawyer for 19 years – with 15 years as manager of all SEC litigation in the Denver office of the SEC. As manager of litigation I was a member of senior management of the SEC's Denver office.
As manager of SEC litigation in Denver I supervised an active caseload of 80-100 cases and managed a staff of six trial lawyers and 3 paralegals.
I have personally tried dozens of SEC enforcement actions in federal courts and before SEC administrative law judges. During my SEC career I was involved in the investigation, settlement, and trial of hundreds of enforcement matters. I was lead counsel in the SEC v. Nacchio and the SEC case against Invesco Funds that resulted in more than $325 million being returned to investors.
- JD, Antioch School of Law, 1975
- Other, Liberal Arts, University of Michigan, 1972
Licensure / Accreditations
- Finra Panel Chairman Certification
- Finra Arbitrator