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Profile Visibility  | | #313 in weekly profile views out of 2,191 lawyers in Tallahassee, Florida | | #162,002 in weekly profile views out of 958,293 total lawyers Overall |
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| Practice Areas | Corporate | | | Education | University of Tennessee at Knoxville, J.D., 1979, State University of New York at Buffalo, B.A., 1975 | | | Admitted | 1980, Florida; U.S. District Court, Middle and Northern Districts of Florida; U.S. Court of Appeals, Eleventh Circuit; U.S. Supreme Court | |
| Memberships | The Florida Bar (Member, Sections on: Administrative Law; Business Law); American Bar Association (Member and Chairman, Subcommittee on Enforcement, Committee on State Regulation of Securities, Business Law Section; Member, Federal Securities Regulation Committee). | | | Born | Oak Ridge, Tennessee, 1950 | | | Biography | Phi Delta Phi. Associate Editor, Tennessee Law Review, 1978. Author: "The Securities Industry Standards Act: Taking the Offensive Against Securities Fraud," (with S. Cohn), Florida Bar Journal, March 1987; "The Florida Communications Fraud Act," Florida Prosecutor, November, 1987; "Securities Law for the General Practitioner," Florida Bar CLE, 1989; "Florida Takes the Lead in Regulation of 'Wrap-Fee' Accounts," Florida Securities Dealers Association Quarterly Newsletter, September 1994. Florida Public Service Commission, 1981. Deputy General Counsel, Florida Department of Banking and Finance, 1988-1990. Assistant General Counsel, 1983-1988. Chairman, Florida Comptroller's Advisory Board on Unclaimed Property, 1997-2000. | | | Reported Cases | Lewis v. Continental Bank Corporation, 494 U.S. 472 (1990); Delaware v. New York, 507 U.S. 490 (1993); Rousseff v. E.F. Hutton, 537 So.2d 978 (Fla. 1989). | | | ISLN | 901890304 | |
Documents by this lawyer on Martindale.com
State Securities Regulators Press to Expand JurisdictionR. Michael Underwood, October 8, 2009 Texas Securities Commissioner Denise Voigt Crawford, incoming president of the North American Securities Administrators Association ("NASAA"), announced an ambitious agenda at NASAA's annual conference in Denver on September 15, 2009.
Regulatory Enforcement Crackdown ExpectedR. Michael Underwood, April 17, 2009 Publication in March of Regulatory Notice 09-17 by the Financial Industry Regulatory Authority ("FINRA") "to provide transparency into [FINRA's] enforcement process" occurs in the context of an expected regulatory crackdown.
R.E.A.L. System Snarls Florida Securities LicensesR. Michael Underwood, March 12, 2009 The web site of the Florida Office of Financial Regulation ("OFR") explains that OFR has been implementing the Regulatory Enforcement and Licensing ("REAL") system "to streamline and improve the efficiency of its licensing and regulatory processes." |
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