|
Harold's practice primarily relates to the representation of securities broker-dealers and investment advisers in connection with day-to-day regulatory matters, administrative proceedings before the Securities and Exchange Commission, National Association of Securities Dealers and other regulatory agencies, arbitrations, litigation and the representation of securities broker-dealers in public and private offerings.
Significant practical experience:
Represented the Commission in connection with civil and administrative enforcement actions involving securities broker-dealers, investment advisers, investment companies and persons affiliated with such entities
Participated as a Special Assistant United States Attorney in the prosecution of several criminal enforcement matters
Served on the committee which rewrote the Colorado Securities Act in 1990 and has published and presented at seminars on that subject
Served as an adjunct professor teaching securities law at the University of Denver College of Law between 1992 and 1996
Practice Areas: Securities Law and Securities Broker-Dealer Law
Education: Northern Illinois University (B.S., 1968); University of Denver (J.D., 1973)
Bar Admissions: Colorado
Professional Associations: Colorado (Member, Section of Business Law) and American Bar Association. | 