Attorney

Lucas T.
Ritchie

Attorney
Lucas T. Ritchie
Attorney

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Luke is a partner in the Trial Section and focuses his litigation and trial practice on high stakes business and securities disputes as well as government investigations and enforcement proceedings. His clients have included public and private companies, corporate officers, directors, and compliance professionals across various industries, private funds and fund managers, and investment advisors. Luke handles highly contentious and complex disputes involving federal and state securities laws, corporate governance and fiduciary standards, consumer protection laws, and business divorces. He is often called on to participate in or lead joint-defense efforts on behalf of entire management teams and involving some of the most respected law firms and lawyers in the country. Luke has been quoted in the Wall Street Journal, NPR’s Marketplace, the Denver Business Journal, the Colorado Sun, and LawWeek Colorado, among other publications and he regularly presents on topics related to business and securities litigation, enforcement defense, and legal ethics.
 
In January 2022, Luke was appointed by the Colorado Supreme Court to serve on the Colorado Civil Rules Committee. He previously served three consecutive terms as Chair of the Colorado Bar Association’s Securities Law Subsection. He also currently serves as Vice-Chair of the CBA’s Business Law Section and previously served as Chair of the CBA’s Litigation Section. 


Representative Matters
  • Represented officers and directors of national environmental and construction firm in negotiating and obtaining favorable terms of co-founder’s removal from the company’s and its affiliates’ management and membership.

  • Represented founder and CEO of architecture, design, and development conglomerate in Aspen, CO in negotiating and obtaining favorable terms of his separation and divestiture from companies’ management and membership.

  • Represented CEO of blockchain technology company in defending SEC enforcement investigation alleging Securities Act and Exchange Act claims – obtained “no action” letter.

  • Represented international manufacturing company and its officers and directors in defending parallel shareholder actions challenging complex merger transaction and claiming millions in damages – obtained full dismissals of both the putative class-action alleging breaches of fiduciary duties and parallel dissenter’s rights action.

  • Represented commercial real estate developer and its principal in connection with parallel actions brought by Colorado Securities Commissioner and court-appointed receiver alleging securities fraud and various statutory and common law business torts and claiming millions in damages. Obtained agreeable settlement terms and clients’ dismissal with prejudice.

  • 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

Author
“Privilege and Disqualification,” Evidence in Colorado: Practice Guide, 3rd Edition
CBA-CLE Books (CLE in Colorado, Inc.), November 2021

Author
What to Expect Regarding Regulatory and Enforcement Priorities
ColoradoBiz, September 21, 2021

Quoted
Liability Waivers Offer Protection as Businesses Reopen
Law Week Colorado, July 2020

Quoted
Will Liability Waivers Protect Businesses From COVID-19 Lawsuits?
Marketplace, June 2020

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
CBA-CLE Books (CLE in Colorado, Inc.), April 2019

Author
“Privilege and Disqualification," Evidence in Colorado: Practice Guide, 1st Edition
CBA-CLE Books (CLE in Colorado, Inc.), April 2018

Speaking Engagements and Presentations

Moderator
“Annual Roundtable Discussion with Diversity Bar Leaders”
CBA-CLE, June 5, 2021

Moderator
“Insights from Denver Thought Leaders on Safely Leading Partners, Employees, and Clients Through the New COVID-19 Normal"
CBA-CLE Colorado Litigators Summit, September 25, 2020

Panelist
“What Business Lawyers Do That Litigators Love”
CBA-CLE Business Law Institute, September 8, 2020

Panelist
“The Ethics of Working Remotely”
Colorado Bar Association Litigation Section Virtual Program, July 16, 2020

Moderator
“Introducing Commissioner Chan: A Discussion with Colorado's New Securities Commissioner”
Colorado Bar Association Business Law Section Virtual Program, June 9, 2020

Co-Presenter
“Ethics on the Silver Screen”
CBA-CLE Ethics 7.0, November 7, 2019

Moderator
“Knowing Your Audience: Trying Your Case Outside of Metro-Denver”
CBA, CLE Litigators’ Summit, September 27, 2019

Presenter
“Business Books and Records - Best Practices and Avoiding Litigation Risk”
CBA, CLE Business Law Institute, September 12, 2019

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

Posts by Lucas T. Ritchie