Mitchell E. Herr
Mitchell E. Herr exclusively concentrates his legal practice in securities litigation, primarily SEC and FINRA enforcement matters. Mr. Herr frequently lectures on the defense of SEC and FINRA proceedings and resides in Holland & Knight's Miami, Florida office. Mr. Herr is a member of the following legal practice teams:
- Securities Litigation – defends corporate clients and their directors and officers, broker-dealer firms and registered investment advisers and their associated registered persons, mutual funds and hedge funds in SEC and FINRA matters, securities class actions, shareholder derivative lawsuits and FINRA arbitration claims.
- Financial Services and Compliance Services – counsels financial institutions, including broker dealers, registered investment advisers, mutual funds and hedge funds on SEC and FINRA compliance and enforcement matters.
- Corporate Governance – counsels corporate clients and their directors and officers on corporate governance issues including compliance with SEC requirements.
- Investigations and Compliance Services and Foreign Corrupt Practices Act – conducts internal corporate investigations and interfaces with the SEC and prosecutorial agencies.
Mr. Herr joined Holland & Knight in 2000, after serving for more than five years as the chief trial counsel for the regional office of the SEC in Miami, Florida, where he was responsible for its litigation in eight states and two territories. At the SEC, Mr. Herr handled many significant and complex SEC cases, including several of first impression (listed below).
In 2013, Mr. Herr was appointed as a member of the advisory board for litigation of the Practical Law Company. On the nomination of the SEC, Mr. Herr was appointed by a federal court to serve as Equity Receiver in SEC v. KS Advisors, Inc. et. al., Civil Action No. 2:04-CV-105-FtM-29 (M.D. FLA.), an SEC enforcement action concerning two failed hedge funds that had raised $10 million from investors.
While at Dickinson College, Mr. Herr was elected to Phi Beta Kappa in his junior year and was awarded a three-year Army ROTC full-scholarship. At the University of Chicago Law School, Mr. Herr served as an Associate Editor of the Law Review and was elected to the Order of the Coif.
- Key Partners Finalist, South Florida Business Journal, 2006
- Top Lawyer, South Florida Legal guide, Securities Litigation, 2005-2008
- Florida Legal Elite, Florida Trend magazine, 2005-2009, 2012
- Corporate Counsel Edition, Super Lawyers magazine, January 2009
- Board of Advisors, OffshoreAlert Financial Due Diligence Conference, 2009-2010
- Florida Super Lawyers magazine, 2006-2013
Miami, Florida 33131
