- Securities and Shareholder Litigation and SEC Enforcement
|University ||Villanova University, B.S., 1980|
|Law School||University of Pennsylvania, J.D., 1988|
|Admitted||1988, Pennsylvania; 1991, New York|
Law Clerk to Judge Daniel H. Huyett, U.S. District Court, Eastern District of Pennsylvania, 1988-1989. Staff Attorney, 1989-1990, Branch Chief, 1990-1992, Senior Assistant and Assistant Regional Director, 1993-1996 and Senior Associate Regional Director, 1996-1999, Enforcement Division Northeast Regional Office, U.S. Securities and Exchange Commission.
Documents by this lawyer on Martindale.com
New York State Department of Financial Services Proposes Comprehensive Bitcoin Regulations
Robert W. Gaffey,Harold K. Gordon,Henry Klehm,Howard F. Sidman,Jayant W. Tambe, September 2, 2014
The New York State Department of Financial Services ("DFS") recently became the first state regulator to propose a regulatory framework for the bitcoin virtual currency industry. DFS posted its "Regulation of the Conduct of Virtual Currency Business" on its website, as well as...
The SEC's First Deferred Prosecution Agreement Involving an Individual: Questions Remain
Lynsey Morris Barron,Harold K. Gordon,Henry Klehm,Joan E. McKown, February 5, 2014
With much fanfare three years ago, the Securities and Exchange Commission ("SEC") announced a Cooperation Initiative as part of an overall effort to strengthen its enforcement program. Modeled on the 2001 "Seaboard Report," the Cooperation Initiative sought to encourage...
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