Denver Atty Aided Scheme With His Signature, SEC Says
Law360 (June 28, 2019, 10:02 PM EDT) -- The U.S. Securities and Exchange Commission has accused a Denver lawyer of helping another attorney circumvent her status on OTC Markets Group Inc.'s list of prohibited lawyers by signing off on her legal opinion letters and providing them to transfer agents and brokerage firms, the agency announced Friday.
Michael J. Woodford, 64, a longtime divorce attorney, has been added as a defendant to a complaint initially filed in March against 63-year-old Denver securities attorney Diane Dalmy, according to court filings. According to the 16-page amended complaint, Dalmy prepared legal opinion letters concerning the sale of certain microcap securities from transfer agents...
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