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.