I am a lecturer at the University of Denver Institute For Public Policy Studies where I teach graduate and undergraduate classes. I publish a blog on SEC administrative opinions that is listed in the American Bar Association Journal that comments on SEC administrative proceedings at www.SECteaparty.blogspot.com. I am also a Finra public arbitrator.

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. As manager of litigation I was a member of senior management of the SEC Denver office. I supervised an active caseload of 80-100 cases and managed a staff of six trial lawyers and 2-3 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 cases against Invesco Funds that resulted in more than $325 million being returned to investors.

SERVICES

I am available as an expert witness, consultant or mediator in connection with complex securities law matters.

EXPERTISE

Investment suitability