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...

Stay ahead of the curve

In the legal profession, information is the key to success. You have to know what’s happening with clients, competitors, practice areas, and industries. Law360 provides the intelligence you need to remain an expert and beat the competition.


  • Access to case data within articles (numbers, filings, courts, nature of suit, and more.)
  • Access to attached documents such as briefs, petitions, complaints, decisions, motions, etc.
  • Create custom alerts for specific article and case topics and so much more!

TRY LAW360 FREE FOR SEVEN DAYS

Attached Documents

Related Sections

Case Information

Case Title

Subscribers Only

Case Number

Subscribers Only

Court

Subscribers Only

Nature of Suit

Subscribers Only

Judge

Subscribers Only

Date Filed

Subscribers Only

Companies

Government Agencies

Hello! I'm Law360's automated support bot.

How can I help you today?

For example, you can type:
  • I forgot my password
  • I took a free trial but didn't get a verification email
  • How do I sign up for a newsletter?
Beta
Ask a question!