Michael R. MacPhail
Faegre Drinker Biddle & Reath LLP
Michael (Mike) MacPhail, Esq. joined HRO's Denver office in July 2009 as Partner. His practice focuses on defending clients in investigations and litigation before securities industry regulators including the U.S. Securities and Exchange Commission (SEC), the FINRA, the Public Company Accounting Oversight Board (PCAOB), the Colorado Division of Securities, and the Colorado Board of Accountancy. Mr. MacPhail represents regulated entities and individuals who provide financial or professional services, including broker-dealers and financial advisors, accounting firms and CPAs, publicly traded companies and their officers and directors, investment advisers, attorneys, investor relations firms, and investors in private disputes and regulatory proceedings. Mr. MacPhail also represents corporations and individuals in securities-related litigation in state and federal court. Mr. MacPhail has served as a testifying securities industry expert. Mr. MacPhail has defended numerous audit firms and CPAs in disputes with the PCAOB and Colorado Board of Accountancy. He also has represented several national broker-dealer firms in SEC or Division of Securities investigations and litigation involving, among other things, alleged failure to supervise, and the sale of auction rate securities. Many of these disputes were settled on terms favorable to Mr. MacPhail's clients. Mr. MacPhail has also defended public companies in delisting proceedings before the NYSE-AMEX. Mr. MacPhail practiced for four years with Holland & Hart, LLP between 2005 and July 2009. Previously, he served with the SEC for thirteen years in various positions of increasing responsibility. He was a Deputy Assistant Director of the SEC's Denver Regional Office (DRO) from January 2000 through August 2005. He previously served in the DRO as an attorney and Branch Chief between 1993 and 1997, and in the Division of Enforcement in Washington, D.C. as an attorney and Senior Counsel between 1991 and 1993. While at the SEC, he supervised enforcement investigations of, or litigated, a broad range of matters involving public company reporting and disclosure, investment companies and investment advisers, broker-dealer regulation and supervision, securities offering registration and exemption, Internet fraud, stock manipulation, and insider trading. Before joining the SEC in 1991, Mr. MacPhail was a staff attorney with both the Federal Trade Commission's Bureau of Consumer Protection, and the Office of Chief Staff Counsel, U.S. Court of Appeals for the D.C
06/12
