Are you Robert Michael Underwood? Claim this page now or Cliam yourself lawyer page
I’m in the middle of several projects right now, but eager to assist individuals and firms in the financial services industry. Subject to check for any conflict of interest, I am available to assist in defense of regulatory inquiries and civil litigation and to advise generally on licensing and compliance matters, especially in the State of Florida. My bio follows:
Mike Underwood was a key official at the predecessor of the Florida Department of Financial Services and authored many provisions of Florida’s securities and banking laws. Since leaving government, he has become recognized as a national leader in financial services regulation, especially in Florida. He represents securities broker-dealers, investment advisers, mortgage brokers, financial institutions and affiliated individuals in civil litigation, arbitration, regulatory investigations and enforcement actions. His experience includes defense of class actions, multi-district litigation and regular appearances before self-regulatory organizations as well as state and federal financial regulators. Mike's primary focus is assisting clients with state and federal securities, banking and insurance regulatory matters, but he is also experienced in financial privacy regulation, escheat and unclaimed property, professional licensing, educational institutions, game promotions, internal investigations, expert witness testimony, government liaison, legislative lobbying and political activities and fundraising. He is a member of the Board of Governors of the Florida Securities Dealers Association, an officer of the American Bar Association Committee on State Regulation of Securities and Chair of its Subcommittee on Enforcement. He has been published often on financial services regulation and lectures frequently on these topics.
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101 N Monroe St Ste 1090 Tallahassee, FL 323011547 |
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Experience includes regulatory compliance and appearances before FINRA as well as state and federal regulators
Advises and represents the insurance industry, securities broker-dealers, investment advisers, financial institutions and affiliated individuals.
Advises and represents businesses in all matters related to government.
All types of professional licensing.
| Association name | Position name | Duration |
|---|---|---|
| Fla. Securities Dealers Assoc. | Member, Bd. of Governors | 1993 - 1900 |
| Fla. Securities Dealers Assoc. | Member, Bd. of Governors | N/A |
| American Bar Association | Chair, Subcomt. St. Sec. Enforcement | 2003 - 1900 |
| American Bar Association | Chair, Subcomt. St. Sec. Enforcement | N/A |
| Assoc. of Registration Management | Member | N/A |
| Securities & Insurance Licensing Assoc. | Member | N/A |
| Assoc. of Registration Management | Member | 2005 - 1900 |
| Securities & Insurance Licensing Assoc. | Member | 2005 - 1900 |
| Florida Bar | Task Force Ch. 517, Fla. Stat. | 2006 - 2008 |
| Award name | Grantor | Date granted |
|---|---|---|
| Editor (Research) | Tennessee Law Review | 2024 |
| Editor (Research) | Tennessee Law Review | 2024 |
| School name | Degree | Graduated |
|---|---|---|
| University of Tennessee College of Law | JD - Juris Doctor | 2024 |
| State University of New York at Buffalo | BS - Bachelor of Science | 2024 |
| University of Tennessee College of Law | JD - Juris Doctor | 2024 |
| State University of New York at Buffalo | BS - Bachelor of Science | 2024 |
| Case name | Outcome |
|---|---|
| Lewis v. Continental Bank Corporation | Prevailed |
| Rousseff v. E.F. Hutton | Amicus views incorporated in decision |
| State | Number | Status | Acquired | Updated |
|---|---|---|---|---|
| FL | 299650 | 1980 | 09/15/2021 |
| Publication name | Title | Date |
|---|---|---|
| J D Supra | "Florida Emergency Order Suspends Securities Branch-Office Regulations" | 2017 |
| Insurance Regulation eNews | "Florida Regulator to Overhaul Securities and Investment Adviser Regulations" | 2014 |
| Securities & Financial Services eNews | "Florida Legislature Considering Overhaul of State Blue Sky Law" | 2009 |
| Securities & Financial Services eNews | "SEC Chair Schapiro Outlines Future Regulatory System" | 2009 |
| Insurance Finance and Investment | "Florida Tightens Laws on Suitability of Annuity Sales to Seniors" | 2008 |
| Tennessee Law Review | Editor (Research) | 2024 |
| Conference name | Title | Date |
|---|---|---|
| American Bar Association, Business Law Section, Spring Meeting | Managing Parallel Proceedings in Securities Investigations | 2006 |
| Title | Company name | Duration |
|---|---|---|
| Attorney | Buchanan Ingersoll & Rooney | 2007 - 1900 |
| Attorney | Buchanan Ingersoll & Rooney | N/A |
