Mike Underwood

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211 connections

Industry

Law Practice

Mike Underwood’s Summary

Advises and represents businesses in all matters related to government, especially insurance companies, securities broker-dealers, investment advisers, financial institutions and affiliated individuals in civil litigation, arbitration, regulatory investigations and enforcement actions. Experience includes regulatory compliance and defense of class actions, multi-district litigation and appearances before self-regulatory organizations like FINRA (formerly NASD) and the New York Stock Exchange as well as state and federal regulators. I am a Linkedin Open Networker. While I do not accept all invitations to connect, I will never act to penalize someone seeking to expand their network.

Mike Underwood’s Specialties:

Broker-dealer, investment adviser, banking, insurance and securities regulation. Financial privacy regulation. Escheat and unclaimed property. Professional licensing. Educational institutions. Game promotions. Defense litigation. Internal investigations. Expert witness testimony. Government liaison. Legislative lobbying. Political activities and fundraising.