Represented several audit committees of public committees in conducting internal investigations regarding options backdating and accounting issues.
Daniel F. Shea
Dan Shea represents public companies, financial services companies, and their boards of directors and officers in investigations by the U.S. Securities and Exchange Commission (SEC), Financial Industry Regulatory Authority (FINRA), and state securities regulators.
He also represents clients in shareholder derivative and securities class actions. Alternatively, he conducts internal investigations for and advises such companies, directors, and officers in respect to their compliance with U.S. securities laws and state laws affecting corporate governance.
During his years as deputy general counsel for UBS Financial Services, Inc. and regional director for the SEC's office in Denver, Dan learned the ins and outs of regulatory and litigation law. Dan also has tried a dozen cases as a trial attorney for the SEC and the U.S. Departments of Justice and Energy.
Represented investment advisors in SEC investigations concerning market timing and proxy voting.
Represented dozens of public companies in SEC investigations concerning accounting and disclosure issues.
Represented several public companies and their officers and directors in shareholder derivative and securities class actions.
Represented several broker-dealers and their officers in FINRA investigations and arbitrations.
Counseled dozens of public companies concerning compliance with U.S. securities laws and state laws affecting corporate governance.
Counseled several investment advisers and broker-dealers concerning compliance with federal and state securities laws and FINRA regulations.
Represented companies and their officers in FCPA investigations by the SEC and U.S. Department of Justice.
Securities Litigation; Securities Regulation
The Best Lawyers of America
Litigation: White Collar Crime and Government Investigations
Colorado Super Lawyers
Securities: Regulation: Enforcement
Attorneys Who Matter
Corporate Counsel Black Book
"Best of the Bar," Litigation
Denver Business Journal