Paul R. Wood
Areas of Focus
Corporate Directors & Officers Liability Litigation
Financial and Securities Litigation
Litigation and Dispute Resolution
Mergers and Acquisitions Litigation
Financial Regulatory Enforcement
, University of Denver Sturm College of Law
Tax Law Journal
, Editor; American Jurisprudence Award for Securities Regulation
, University of Colorado-Boulder
U.S. District Court, District of Colorado
U.S. Court of Appeals, First Circuit
U.S. Court of Appeals, Sixth Circuit
U.S. Court of Appeals, Tenth Circuit
Paul Wood is an experienced trial lawyer who focuses his practice on the securities industry. Paul’s knowledge of the highly regulated broker-dealer and registered investment advisor world allows him to effectively counsel clients and formulate proactive litigation strategies which fit into their overall business goals. Paul has represented securities broker/dealers and other financial services firms before FINRA and in court on a wide range of claims, including customer complaints, fraud, raiding and recruitment, and protocol for broker recruiting compliance.
Although Paul’s practice focuses on the securities industry, he has represented a wide variety of public and private companies in securities- related litigation. He has litigated cases arising from post-merger or acquisition disputes involving securities fraud, violations of the proxy rules, valuation and accounting issues. He has represented public companies in SEC investigations regarding false statements in prospectuses and quarterly and annual reports.
Paul has extensive trial experience before courts, juries and arbitrators in a broad range of complex commercial cases, having tried cases in federal and state courts and before arbitration panels in 17 states. Paul’s trial experience allows him to formulate a winning strategy and aggressively pursue that strategy to resolution. However, as a trained mediator, he understands the value of settling cases in creative ways for each client, and combines his litigation and mediation skills to achieve the best possible result.
Paul has represented companies in a diversity of industries, including:
Securities and financial services
Oil and gas
Selected for inclusion in
Colorado Super Lawyers
Stafford Continuing Legal Education, Inc. Lecturer
American Jurisprudence Award for Securities Regulation
American Bar Association
Colorado Bar Association
Denver Bar Association
First Judicial Bar Association
Defended broker-dealer in FINRA case involving raiding claim in which broker dealer in Bozeman, Montana, hired 95 percent of a competitor’s branch office. After two-week arbitration, claimant received less than 20 percent of damages claimed.
Defended broker-dealer in FINRA case involving raiding claim where broker dealer in Cedar Rapids, Iowa, hired 95 percent of a competitor’s branch office. Claimant settled for less than 10 percent of demand.
Obtained preliminary injunction in Maricopa County, Arizona, District Court against former broker who violated the protocol when he changed firms.
Successfully defended broker dealer against customer fraud suit in five day jury trial in District Court for the City and County of Denver, Colorado.
Defense verdict in favor of a broker-dealer and one of its employees on fraud and breach of fiduciary duty claims arising from the recommendation of an investment strategy to multiple plaintiffs. Securities Fraud Case, FINRA Arbitration, Raleigh, North Carolina.
Defense verdict in favor of a broker-dealer and one of its officers on fraud claims arising from the purchase of collateralized mortgage obligations by an FDIC-insured bank. Securities Fraud Case, FINRA Arbitration, Los Angeles, California.
Successfully defended a NASDAQ-listed company against state and federal securities fraud claims based in part on alleged accounting improprieties. Defense verdict after a one-week arbitration in which the claimants sought more than $5 million in damages. Securities Fraud Case, American Arbitration Association.
Obtained a fraud verdict in the amount of $1.2 million in favor of the bank against a borrower who signed a promissory note with no intention of paying it after a five day jury trial. Successfully defended the bank against lender liability counterclaims. Bank Fraud Case, U.S. District Court for the District of Colorado.
Obtained defense verdict in $5 million lender liability lawsuit and $200,000 judgment on fraud counterclaim after three-week jury trial. Lender Liability Case, District Court for Arapahoe County of Denver, Colorado.
Successfully defended mortgage originator against demand by bank to repurchase $11 million in loans as a result of negligence in processing applications in four-day bench trial. Mortgage Case,District Court for the City and County of Denver, Colorado.
Obtained dismissal of shareholder derivative claims alleging violation of Sarbanes-Oxley Act against officers and directors of public company; settled case for less than 10 percent of demand. Shareholder Derivative Case, U.S. District Court for the District of Colorado.
Successfully defended CEO of bankrupt technology company from claims of fraud and malfeasance by creditor. Business Fraud Case, U.S. District Court for the Eastern District of Wisconsin
Obtained summary judgment in favor of company where its director of human resources used racial slur when describing her subordinate and successfully defended appeal to Tenth Circuit Court of Appeals. Race Discrimination Case,U.S. District Court for the District of Colorado.
Successfully defended employer against wrongful discharge/ADEA claim in five-day jury trial. Age Discrimination Case, U.S. District Court for the District of Colorado.
Successfully defended a hospital in a breach of contract case brought by one of its physicians. Obtained a defense verdict after a one-week jury trial, and received an award of attorney's fees against the plaintiff in the amount of $150,000. Employment Contract Case,District Court for the City and County of Denver, Colo.
'Fiduciary Rule’ Update: Financial Services Industry Should Prepare for Compliance
M&A Litigation Series: Successor and Alter-Ego Liability
August 16, 2016
Publications & Presentations
Shareholders Jim Miller and Paul Wood Speak at Securities Arbitration & Mediation Webcast
May 18, 2016
SEC Finally Approves FINRA’s Watered-Down Recruitment Broker Bonus Disclosure Rule
May 9, 2016
Much-Anticipated Fiduciary Rule Presents New Challenges to Financial Services Industry
April 20, 2016
Two Major Implications for Consumer Finance Industry from This Month’s Proposed CFPB Rules
October 20, 2015
Beware the Boilerplate: Request for Attorneys’ Fees in Arbitration Can Haunt You Later
September 18, 2015
CFPB Goes Public and Steps Up Enforcement Activity
May 4, 2015
DOL Releases Controversial Proposal, Signifying Regulatory Intent to Expand Fiduciary Standard
April 15, 2015
CFPB Casts Doubt on Pre-dispute Consumer Arbitration Clauses
March 25, 2015
Polsinelli Adds Trio of Prominent Litigation Attorneys who Focus on Securities and Financial Matters
July 1, 2013
M&A Litigation Series: Successor and Alter-Ego Liability
August 16, 2016
"I view a case in the context of a client’s overall business rather than as an isolated event
so that I can better understand and explain why the events occurred."
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