Mike has substantial experience representing broker-dealers, investment advisors, investment banks, and other financial institutions in a variety of securities matters from federal class actions to sales-practice and regulatory matters before FINRA. Mike also assists clients execute fast-moving internal investigations, and in some cases, the resulting enforcement actions brought by the DOJ, SEC, VA, and other state and local agencies.
Prior to joining Dorsey, Mike practiced at one of Chicago’s largest law firms. And prior to attending law school, Mike was a certified public accountant (inactive) at an international accounting firm in Minneapolis and Chicago.
Education & Admissions
Northwestern University School of Law (2011), cum laude
Indiana University (B.S., Accounting and Finance, 2003), with Distinction
- U.S. Court of Appeals for the Eighth Circuit
- U.S. Court of Appeals for the Seventh Circuit
- U.S. District Court for the Northern District of Illinois
- U.S. District Court for the District of Minnesota
- U.S. Court of Appeals for the Seventh Circuit, Honorable Michael Kanne, 2011-2012
- Secured summary judgment and complete defense victory on behalf of broker dealer against putative class of nationwide investors, Luis, et al. v. RBC Capital Markets, LLC, 401 F. Supp. 3d 817 (D. Minn. 2019) (appeal pending).
- Represented trustee and secured dozens of favorable settlements in fraudulent-transfer clawback actions to recover fraudulent Ponzi scheme profits for distribution to victims of the Tom Petters Ponzi scheme.
- Counsel to large health insurer in asserting fraud and conspiracy claims against large provider network in Southern California, Almont Ambulatory Surgery Ctr., et al. v. UnitedHealth Group, Incorporated, et al., 2018 U.S. Dist. LEXIS 35616 (C.D. Cal. Mar. 2, 2018).
- Obtained complete AAA arbitration victory in which my client, a large health insurer, successfully proved an in-network provider submitted a significant number of fraudulent claims for reimbursement.
- Represented numerous broker dealers and financial advisors in FINRA sales-practice and industry arbitrations.
- Secured a reversal and remand on behalf of an indigent habeas corpus petitioner in a reported decision of first impression in the Seventh Circuit, Davis v. Humphreys, 747 F.3d 497 (7th Cir. 2014).
Representative Governmental Enforcement Actions and Corporate Investigations
- Counsel to Board of Directors of medical-device manufacturer in negotiating and resolving parallel enforcement action alleging improper gratuities paid to federal employees, including obtaining a non-prosecution letter from criminal division of Department of Justice.
- Counsel to Audit Committee of Fortune 500 manufacturer in internal investigation concerning improper revenue recognition.
- Counsel to Special Committee of medical-equipment manufacturer in internal investigation concerning alleged channel stuffing and other accounting improprieties.
- Counsel to Special Litigation Committee concerning alleged sabotage of a corporate opportunity.
- Counsel to Audit Committee of publicly traded Oil & Gas company in high-profile internal investigation concerning alleged executive misconduct and improper related-party transactions.
- Counsel to Special Committee to Board of Directors of national home-improvement provider concerning alleged executive misconduct.
- Counsel to Audit Committee of international technology company in internal investigation into unusual sales practices within the company’s Asia-Pacific supply chain.
- Counsel to executives and public and private companies in responding to subpoenas and investigative demands from DOJ, SEC, FINRA, and numerous other federal agencies.
News & Resources
News & Press Mentions
Industries & Practices
- Banking & Financial Institutions
- Class Action Litigation
- Commercial Litigation
- Food, Beverage & Agribusiness
- Government Enforcement & Corporate Investigations
- Securities & Financial Services Litigation & Enforcement