Lucas T.


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Luke Ritchie is a partner in the Trial Section and focuses his litigation and trial practice on defending directors, officers and their businesses in the financial services and other highly-regulated industries against high-stakes enforcement proceedings and in complex litigations. He has substantial lead-counsel experience - often coordinating multi-firm joint-defense efforts for entire management teams - defending claims involving federal and state securities laws, fraud, fiduciary duties, corporate governance, and other business torts. He also prosecutes and defends complicated business “divorce” cases.  Luke is admitted to practice before the U.S. Supreme Court, the U.S. Tax Court, the U.S. Court of Appeals for the Tenth Circuit, the U.S. District Courts of Colorado, Eastern District of Louisiana, and Western District of New York, as well as Colorado State Courts. He also practices before federal, state, and private regulatory authorities including the SEC, FINRA, CFP® Board, and state attorneys general.

Luke is honored to Chair the Colorado Bar Association’s Securities Law Subsection as well as its Litigation Section.  He also sits on Executive Councils of the CBA’s Litigation and Business Law Sections, as well as the Boards of several 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

"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

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

“Living and Leading in 2020 and Beyond: Safely Leading Your Partners, Employees, and Clients in the New Covid-19 Normal, and Lessons Learned Over the Last 6 Months. Insights from Denver Thought Leaders”
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