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 | Mr. Michael R. MacPhailPartner Michael R. MacPhail joined HRO’s Denver office in July 2009 as Partner. His practice focuses on defending clients in investigations and litigation before the U.S. Securities and Exchange Commission (SEC), the FINRA, the PCAOB, the Colorado Division of Securities and other state securities regulators. Mr. MacPhail represents broker-dealers, accounting firms, investment advisers, registered representatives, CPAs, attorneys, investor relations personnel, and investors in private disputes and regulatory proceedings. Holme Roberts & Owen LLP
1700 Lincoln, Suite 4100
Denver, Colorado
80203
(Denver Co.)
Telephone: 303-861-7000
Telecopier: 303-866-0200
http://www.hro.com
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| Practice Areas | Securities Litigation(50%); Securities Law(50%) | | | Education | University of California, Hastings College of the Law, J.D., 1988, Oberlin College, B.A., 1985 | | | Admitted | 1988, Pennsylvania; 1989, District of Columbia; 1995, Colorado | |
| Memberships | American Bar Association; National Association of Independent Broker-Dealers; National Society of Compliance Professionals; Securities Industry Association (Member, Legal and Compliance Division); Financial Planning Association. | | | Special Agencies | SEC Deputy Assistant Director of the SEC's Denver Regional Office SEC Division of Enforcement in Washington, D.C Office of Chief Staff Counsel, U.S. Court of Appeals for the D.C. Circuit. | | | Born | Denver, Colorado | | | Biography | Mr. MacPhail is a frequent public speaker and legal commentator on SEC-related topics. Representative speaking engagements include Speaker: "SEC Enforcement Update: a Wounded Animal is a Dangerous Animal," Securities Docket webcast, Apr. 2009; Utah State Bar Securities Workshop: "SEC Enforcement Priorities: Late to the Party Again?" Aug. 2008; University of Denver Graduate Tax Program, "Financial Fraud and Auditor Liability," Aug. 2007; "Best Execution for Investment Advisers," Compliance Max and National Regulatory Services, Aug. 2006 and Aug. 2007; "Short-Selling Regulation and Enforcement," Compliance Max, June 2007 Panelist, "Operation Spam: Is E-Mail Promotion Dead?" Dealflow Media, June 2007; American Bar Association Annual Conference - "The Real Story on Corporate Penalties," Aug. 2006; Minnesota State Bar Association, Corporate Counsel Association - "Government Investigations and Cooperation," May 2006; Association of Corporate Counsel - "Conducting Corporate Internal Investigations: Difficult Issues and Best Practices," Apr. 2006. Panelist: "Why Regulators Hate Reverse Mergers: Avoiding Legal Perils and Pitfalls," Investors and Issuer's Summit on Alternative Capital Raising Strategies, March 2008; "Enforcement Update: The Prosecutor's Perspective," PIPEs Conference, Oct. 2007; "Hedge Fund Regulatory Update," Dealflow Media, Aug. 2007. Moderator and Panelist, T2M Summit Conference - "Director Responsibilities," and "What Happens When the SEC Calls," Dec. 2005; National Association of Corporate Directors (Chicago Chapter) - "New Directions from the SEC," Nov. 2005; Reverse Merger Conference - "Criminal and Regulatory Dangers of Alternative Financing," July 2006. | | | ISLN | 905264460 | |
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