Lucas T.

Lucas T. Ritchie

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Luke is a partner in the Trial Section and focuses his litigation and trial practice on complex business and securities disputes, government investigations, and enforcement actions involving claimed violations of federal and state securities laws, the False Claims Act, consumer protection laws, and corporate governance and fiduciary laws. His clients include businesses ranging from the development-stage to public and across various sectors together with their principals, officers, directors, and compliance professionals, as well as institutions and individuals in the heavily-regulated fintech and traditional financial services industries. Luke 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 interviewed or quoted in the Wall Street Journal, NPR’s Marketplace, the Denver Business Journal, the Colorado Sun, and Law Week Colorado, among other publications and he regularly presents to the legal and business communities on topics related to litigation, government investigations, and legal ethics. He is well known not only for his litigation and trial practice, but also as a leader in the legal community. He was recently appointed by the Colorado Supreme Court to serve on the Colorado Civil Rules Committee, he is the current Chair of the Colorado Bar Association’s Business Law Section, the former Chair of the CBA’s Litigation Section, and the former three-term Chair/Co-Chair of the CBA’s Securities Law Subsection.

Representative Matters
  • Counseled development-round chief investor in protecting/enforcing rights during blockchain technology company’s contentious restructuring transaction and related public securities offering.

  • Defended private equity fund and management team in SEC investigation alleging Ponzi scheme, and in parallel receivership action and investors’ actions claiming millions in damages.

  • Represented officers and directors of national environmental/construction firm in litigating adverse co-founder’s disputed removal from company and affiliates.

  • Defended founder/CEO of architecture, design, and development conglomerate in litigating resignation and divestiture from management and ownership.

  • Defended co-founder/CEO of digital asset issuer in SEC investigation alleging securities fraud – 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

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

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

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

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

Using Waivers of Liability to Protect Your Business During COVID
Colorado Bar Association Business Law Section Newsletter, May 2020

2 Key 10th Circ. Holdings In Western Union Derivative Suit
Law360, May 2019

“Privilege and Disqualification," Evidence in Colorado: Practice Guide, 2nd Edition
CBA-CLE Books (CLE in Colorado, Inc.), April 2019

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

Speaking Engagements and Presentations

“A Day in the Life of a Business & Corporate Lawyer. ”
Colorado Attorney Mentoring Program's A Day in the Life Series, March 9, 2022

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

“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

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

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

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

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

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

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

“Legal Ethics On-Screen”
51st Annual Rocky Mountain Securities Conference, May 3, 2019

“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

“Maintaining Civility in the Most Heated of Situations”
1st Annual Colorado Litigators Summit, October 26, 2018

“Ethical Issues for Securities Industry Professionals”
50th Annual Rocky Mountain Securities Conference, May 7, 2018

“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

“Hot Topics for Public Companies in 2016: The General Counsel’s Perspective”
Securities Law Subsection of the CBA Business Law Section, February 16, 2016

“What to Do If the SEC Comes Knocking”
Denver Business Journal - Managing Enterprise Risk for Your Company Series, October 13, 2015

“Civil Litigation for Young Lawyers”
Denver Bar Association Young Lawyers Division, 2014

Posts by Lucas T. Ritchie