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Matthew Smith

Partner

555 17th Street, Suite 3200, Denver, CO 80202

Matt provides his clients with reliable counsel through virtually all aspects of litigation, with an emphasis on financial services and securities matters.

Matt represents public and private companies and their officers and directors, issuers, broker-dealers, investment banks, and individuals in both commercial and securities-related disputes. He has experience handling cases implicating federal and state securities laws including auction rate securities, Regulation SHO, accounting fraud, market manipulation, suitability, unauthorized trading, and employment matters.

Matt regularly represents clients in proceedings before governmental and self-regulatory organizations, including the SEC, the Colorado Division of Securities, FINRA, and the New York Stock Exchange. Matt also conducts internal investigations of alleged misconduct for companies and represents individuals in such investigations.

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Client Results

Representative Experience
  • Successfully defended investment firm and its principals at trial against securities fraud claims under the Colorado Securities Act
  • Represent financial advisor against derivative and class-action claims of negligence and breach of fiduciary duty by minority shareholders alleging over $500 million in damages
  • Represent former CEO of public company against securities fraud claims by minority investors in Colorado state court
  • Represent former compliance officer of securities firm regarding SEC investigation of alleged Reg SHO violations
  • Successfully represented securities firm and investment advisor against customer allegations relating to sale of $35 million of auction rate securities
  • Successfully obtained summary judgment in favor of former officer of public company against SEC claims of securities fraud alleging revenue recognition and other accounting fraud
  • Defended chief legal officer and other principals of a hedge fund in an investigation into alleged violations in a Bernie Maddoff-related matter
  • Conducted internal investigation of one of nation’s largest insurance brokerages regarding alleged bid rigging and price fixing

Education

Bar Admissions

Recognition

  • Colorado Super Lawyers®, Securities Litigation, 2013-2017

Professional and Civic Affiliations

  • ACE Scholarships, Advisory Board Member, 2014-present
  • Boys & Girls Club of Metro Denver, Associates Board Member, 2010-present
  • Children’s Hospital Colorado 
    Quality Control and Patient Safety Council, Member, 2011-present
    Parent Advisory Council, Member and Volunteer, 2010-2012
  • Denver Chamber Economic Development Corporation, Board of Governors, 2010-2013
  • Leadership Denver Program, Graduate, 2011
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