Professional Experience
Mr. Tenenbaum specializes in the defense of securities regulatory investigations, proceedings and actions; securities litigation and arbitration; and securities law compliance.
Before forming his own firm, he headed the corporate securities department at a major law firm. Prior to private practice, he served with the United States Securities and Exchange Commission in its New York Office where he was a Trial Attorney with the Division of Enforcement responsible for investigating and prosecuting securities law violations by Wall Street firms and others. He also was an Attorney-Advisor in the Division of Corporation Finance.
His recent clients include Merrill Lynch Pierce Fenner and Smith, Inc.; and, both a senior executive and an in-house attorney for QWEST. He is qualified as an expert witness in corporate and securities law, preparing reports and providing testimony in federal and state courts in both civil and criminal cases. Opposing experts have included a former state securities commissioner, a Director of the National Association of State Securities Law Administrators, a law school professor and treatise author. Other attorneys- particularly practicing white collar criminal law- have called upon him to serve as co-counsel in complex securities cases. He is also a speaker at programs on business and securities law topics, including Continuing Legal Education programs.
Mr. Tenenbaum represents companies, securities brokerage firms, investment advisors, their managements and individuals in investigations, enforcement actions and disciplinary proceedings brought by the SEC, State Securities Commissions and Attorneys General, the NASD and Securities Exchanges. In one matter, he defended a securities firm and its principals in a SEC action seeking damages of $130 million. Mr. Tenenbaum represents securities brokerage firms in customer and employee arbitration and he represents shareholders in derivative class actions. He advises public companies and securities brokerage firms on federal and state securities laws and regulation compliance. He also advises companies on corporate governance compliance, including Sarbanes Oxley; and he conducts internal investigations on behalf of corporate management.
Mr. Tenenbaum also has extensive experience as a securities transactional attorney. His client representation spans a broad range of transactions including issuer counsel in $500 million and $200 million public offerings of convertible debentures by a New York Stock Exchange listed company. He has also served as underwriter counsel in numerous debt and equity offerings. He has represented clients in “going private” transactions, mergers and acquisitions, proxy contests and tender offers. His experience in complex and sophisticated transactions provide an in-depth perspective for both defending and establishing claims of violations in such transactions.
Mr. Tenenbaum has an AV Martindale-Hubbell Rating*
References
References, which are available upon request, include: Fortune 500 General Counsel, a former United States Attorney and State Attorney General.
Education
Fordham University, 1973, B.A. Magna Cum Laude
Fordham University, 1976, J.D. American Jurisprudence Award
Admitted to Bar
New York – 1976
Colorado – 1981
Professional Memberships and Activities
American Bar Association (Member- Committee on Corporate Governance; Member- Corporate, Banking and Business Law Sections)
Colorado Bar Association
Denver Bar Association (Member- Securities Section)
SEC Alumni Association
* Martindale-Hubbell has maintained Ratings for lawyers for more than a century, and currently reviews and assigns ratings for over 150,000 lawyers each year. Ratings reflect the confidential opinions of bar members and the judiciary, and attest to the individual lawyer’s legal ability and adherence to accepted professional standards of ethics. Exclusively developed and assigned by the Martindale-Hubbell Law directory, Ratings are considered valuable benchmarks intended for use by members of the profession. An AV Rating signifies that the lawyer has reached the heights of professional excellence. He or she has usually practiced law for a number of years, and is recognized for the highest levels of skill and integrity.