Luke Ritchie is a partner in the Trial Section and focuses his litigation and trial practice on representing businesses and their executives and officers in complex commercial litigation and regulatory proceedings. He prosecutes and defends claims involving federal and state securities laws, fraud, corporate governance, business torts, and business “divorce.” Over the past fifteen years, Luke has gained extensive lead-counsel experience representing his clients before federal and state courts, in private arbitration proceedings, and before federal, state, and private regulatory authorities including the SEC, FINRA, and state attorneys general.
Additionally, Luke is currently serving his third term as Chair / Co-Chair of the Colorado Bar Association’s Securities Law Subsection, his first term as Chair of the CBA’s Litigation Section, his first term as a member of the CBA’s Board of Governors, and he sits on the Executive Councils of both the CBA’s Litigation and Business Law Sections. Luke is also a frequent presenter and lecturer on topics related to litigation and trial practice, Securities Law and attorney professionalism. Outside of his practice, Luke sits on the Boards of various community organizations.
Representative Matters
Represented mutual fund’s management and Interested Trustee in defending SEC enforcement proceeding alleging 1940 Act claims - obtained SEC “no action” letter.
Represented mutual fund's former Trustees in defending SEC enforcement proceeding alleging 1940 Act claims - negotiated agreeable settlement terms and administrative order.
Represented municipal funds and former trustees in defending seven consolidated securities class action lawsuits in U.S. District Court.
Represented registered investment advisor and its president in defending SEC enforcement proceeding alleging claims of improper registration and material misstatements - negotiated agreeable settlement terms and administrative order.
Represented brokerage firm in defending customer dispute alleging state and federal securities fraud and breach of fiduciary duty claims - negotiated “walk away” settlement on the eve of FINRA arbitration hearing, which enabled brokerage firm to avoid Central Registration Depository reporting.
Represented defrauded investor in prosecuting claims for securities fraud and other business torts against local promoter of a business scheme - obtained judgment for damages including return of investment, statutory interest and reasonable attorney fees.
Represented local nonprofit entity and its Executive Director in defending against a wrongful termination action filed by a former employee - obtained a full defense verdict.
Represented 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.
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 seller of local business in defending against claims brought by potential purchaser and in prosecuting counterclaims and cross-claims against multiple parties - obtained full dismissal after first week of trial.
Represented a local business in the satellite TV industry in prosecuting claims for breach of distribution agreement - obtained six-figure arbitration award.
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.
Publications and Articles
Co-author
"2 Key 10th Circ. Holdings In Western Union Derivative Suit,"
Law360, May 2019
Contributing Author
"Evidence in Colorado: A Practical Guide (2019 2nd ed.),"
Colorado Bar Association, April 2019
Contributing Author
"Evidence in Colorado: A Practical Guide (2018 1st ed.),"
Colorado Bar Association, April 2018
Speaking Engagements and Presentations
Presenter
“Legal Ethics On-Screen”
51st Annual Rocky Mountain Securities Conference, May 3, 2019
Moderator
“Annual Check-In with SEC’s Regional Director, Denver Regional Office”
CBA Securities Law Subsection, CBA/CLE, Financial Services and Securities Lawyers, March 15, 2019
Faculty/Moderator
“Maintaining Civility in the Most Heated of Situations”
1st Annual Colorado Litigators Summit, October 26, 2018
Faculty/Panelist
“Ethical Issues for Securities Industry Professionals”
50th Annual Rocky Mountain Securities Conference, May 7, 2018
Panelist
“The Life and Death of an LLC: Formation, Operations, and Dissolution (a Litigator’s Perspective on LLC Divorce)”
CBA, CLE Business Law Institute, September 16, 2016
Moderator
“Hot Topics for Public Companies in 2016: The General Counsel’s Perspective”
Securities Law Subsection of the CBA Business Law Section, 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
Panelist
“Civil Litigation for Young Lawyers”
Denver Bar Association Young Lawyers Division, 2014