Lucas T. Ritchie

Biography

Cases

• Defending a founder/CEO of architecture, design, and development conglomerate in a highly contentious business divorce litigation involving intellectual property and tortious interference claims.
• Representing a special committee of board of directors of closely held corporation in conducting internal investigation of company-to-executive lending activity and related corporate governance and controls.
• Defending a construction industry founder/officer in a highly contentious shareholders' derivative action seeking to unwind purchase transaction, dissolution, and damages.
• Counseling a major development-round investor in protecting/enforcing ownership rights with regard to a blockchain technology company's contentious restructuring transaction and related public offering.
• Defended founders/C-Suite executives of a national technology company in shareholders' derivative action claiming minority oppression and seeking dissolution and damages—obtained dismissal of four claims and favorable settlement of remaining two claims.
• Represented a regional business in the nutraceutical industry in defending against claims and in prosecuting counterclaims in commercial contract dispute—obtained six-figure jury verdict.
• Obtained termination/no action letter in defending a registered investment advisor in an enforcement proceeding alleging suitability violations.
• Represented a startup contract carrier operation in contested application proceeding before the PUC—prevailed at hearing and obtained Interim Order and subsequent Commission Order granting requested authority over intervenor's objection.
• Prosecuted business tort claims for a registered investment advisor against former partners in a FINRA industry dispute, and obtained favorable settlement on the eve of arbitration.
• Obtained a termination/no action letter in defending co-founder/CEO of digital asset issuer in an SEC investigation alleging violations of the anti-fraud provisions of the Securities Act, the Exchange Act, and the Advisors Act.
• Obtained favorable settlement and dismissal for a business consulting and credit repair enterprise and its founder/CEO in an enforcement action alleging a Ponzi scheme.
• Represented a regional vocational college in defending against Title VII racial discrimination claims asserted by a former employee—obtained summary judgment, dismissal of subsequent appeal, and denial of subsequent petition for a writ of certiorari.
• Represented a seller of local business in defending against claims brought by a potential purchaser and in prosecuting counterclaims and cross-claims against multiple parties—obtained full dismissal after first week of trial.
• Defended (local counsel) municipal funds and former trustees in seven consolidated securities class actions alleging securities fraud and seeking damages in excess of $1 billion.
• Defending a venture capital fund's founder, C-Suite executive, and management company in an SEC investigation regarding the Securities Act, the Exchange Act, and the Advisors Act.
• Defending a construction industry CEO in civil investigation being conducted by the U.S. Attorney's Office for the SDNY alleging False Claims Act violations.
• Obtained favorable settlement and an administrative order for a private equity fund and management team in an SEC investigation alleging Ponzi scheme and related violations of the anti-fraud provisions of the Securities Act, the Exchange Act, and the Advisors Act, and in a parallel receivership action and investors' actions.
• Won full dismissals of putative class action and parallel dissenter's rights actions for a manufacturing company, C-Suite executives, and directors in shareholder litigation seeking to unwind a complex merger transaction and damages.
• Obtained favorable settlement and dismissal for a real estate development company and its principal in enforcement action and parallel receivership actions alleging Ponzi scheme.
• Obtained a termination/no action letter in defending mutual fund's former independent trustees in SEC investigation alleging violations of the Investment Company Act of 1940.
• Won judgment on behalf of defrauded equity investor for full investment amount plus attorneys' fees in securities fraud action against former business partner in the health supplements industry.
• Obtained favorable settlement and administrative order in defending mutual fund's management team and interested trustee in an SEC proceeding alleging violations of the Investment Company Act of 1940.
• Obtained favorable settlement and an administrative order for a registered investment advisor and its president in an SEC enforcement proceeding alleging violations of the anti-fraud provisions of the Advisors Act.
• Negotiated "walk away" settlement on the eve of FINRA arbitration for a brokerage firm defending a customer dispute alleging state and federal securities fraud and breach of fiduciary duty claims.

Publications & Speaking Engagements

Presentations

• Presenter, "Corporate Responsibility and the Intricacies of the Sarbanes-Oxley Act," University of Denver - Daniels College of Business, (April 2024).
• Presenter, "Lessons from the Litigators: If Only We Could Have Warned You," Business Law Institute, (September 9, 2023).
• Presenter, "Day in the Life Series: Corporate Litigator," Supreme Court Atty Mentoring Program, (March 9, 2022).
• Presenter, Roundtable Discussion with Affinity Bar Leaders, CBA-CLE, (June 5, 2021).
• Presenter, "Living and Leading in 2020: Safely Leading Partners, Employees, and Clients in the New Covid-19 Normal," CO Litigators' Summit, CBA-CLE, (Sept. 25, 2020).
• Presenter, "What Business Lawyers Do that Litigators Love," Business Law Institute, CBA-CLE, (Sept. 8, 2020).
• Presenter, "The Ethics of Working Remotely," CBA-CLE, (July 16, 2020).
• Presenter, "Introducing Tung Chan: Q&A with the New Colorado Securities Commissioner," CBA-CLE, (June 6, 2020).
• Presenter, "Legal Ethics on Silver Screen 2.0," CBA-CLE, Ethics 7.0, (Nov. 7, 2019).
• Presenter, "Knowing Your Audience: Trying Your Case Outside Metro-Denver," CO Litigators Summit, CBA-CLE, (Sept. 27, 2019).
• Presenter, "Business Books & Records, Best Practices to Avoid Litigation Risk," Business Law Institute, CBA-CLE, (Sept. 12, 2019).
• Presenter, "Legal Ethics on Silver Screen," Rocky Mountain Securities Conference, SEC, (May 3, 2019).
• Presenter, "Check-In with SEC's Regional Director, Denver Regional Office," CBA-CLE, (March 15, 2019).
• Presenter, "Maintaining Civility in the Most Heated Situations," CO Litigators' Summit, CBA-CLE, (October 26, 2018).
• Presenter, "Ethical Issues for Securities Professionals," Rocky Mountain Securities Conference, SEC, (May 7, 2018).
• Presenter, "Formation, Operation, and Dissolution: Litigator's Perspective on LLC Divorce," Business Law Institute, CBA-CLE, (Sept. 16, 2016).
• Presenter, "Hot Topics for Public Companies in 2016: General Counsel's Perspective," CBA-CLE, (February 16, 2016).
• Presenter, "What to Do If the SEC Comes Knocking," Denver Business Journal – Managing Enterprise Risk for Your Company Series, (October 13, 2015).

Articles

• Author, "Privilege and Disqualification," Evidence in Colorado: Practice Guide, 3rd Edition. (November 2021).
• Author, "What to Expect Regarding Regulatory and Enforcement Priorities," ColoradoBiz, (September 21, 2021).
• Co-Author, "Using Waivers of Liability to Protect Your Business During COVID," Colorado Bar Association Business Law Section Newsletter, (May 2020).
• Co-author, "2 Key 10th Circ. Holdings In Western Union Derivative Suit," Law360, (May 2019).
• Author, "Privilege and Disqualification," Evidence in Colorado: Practice Guide, 2nd Edition. (April 2019).
• Author, "Privilege and Disqualification," Evidence in Colorado: Practice Guide, 1st Edition. (April 2018).

Press

• WTO Launches Securities Litigation Practice with Lucas T. Ritchie
• 5280 Names 8 WTO Lawyers to 2024 Top Lawyers List

Legal Memberships, Activities, and Honors

Community Memberships, Activities, and Honors