SIGNIFICANT CASES
Feigin v. Zinn, 789 P. 2d 478 (Colo. App. 1990) (successfully argued that the grant of immunity under the Colorado Securities Act is not self-executing once a witness asserts the privilege against self-incrimination.)
Feigin v. Colorado National Bank, 897 P. 2d 814 (Colo. 1995) (successfully argued the Colorado Rules of Civil Procedure do not govern administrative investigative subpoenas issued by the Division; Bank was not entitled to reimbursement of costs incurred in complying with such a subpoena.)
Rosenthal v. Dean Witter Reynolds, Inc., 908 P. 2d 1095 (Colo. 1995) (as amicus curiae, argued that reliance is not an element of an anti-fraud violation under the Act which must be pled or proven; Court so held).
EXPERT TESTIMONY/ENGAGEMENTS
People v. Brian V. Prendergast, 87 P.3d 175 (Colo. App. 2003) (Testified at trial as to the definition of a “security,” the issue of “materiality,” and the issue of “duty to disclose.”)
People v. Paul Williams, 00CR557, El Paso County District Court, April 17, 2001
(Testified at trial as to the definition of a “security” and the issue of “materiality.”)
People v. Ervin Jones, Case No. 02 CR 956, Denver District Court, January 26, 2004. (Testified at trial as to the definition of a “security” and the issue of “materiality”.)
People v. Richard Chipperfield, Case No. 03 CR 532, Douglas County District Court, April 20, 2004. (Testified at trial regarding the definition of a “security” and the issue of “materiality.”)
People v. Will Hoover, Case No. 03 CR 1499, Denver District Court, May 17, 2004. (Testified at trial regarding the definition of a “security” and the issue of “materiality.”)
People v. Sanford Schupper, Case No. 96 CR 1193, El Paso County District Court, September 27, 2004. (Testified at trial regarding the definition of “security,” and the issues of “materiality” and the “duty to disclose.”)
Payne v. A.G. Edwards & Sons, Inc., NASD Arbitration Case No. 04-03313. (Testified at hearing regarding the issues of suitability, supervision, and unauthorized trading.)
Cope v. Multi-Financial Securities Corp., NASD Arbitration Case No. 05-00575. (Testified at hearing regarding the issues of breach of fiduciary duty, suitability, supervision, “materiality,” and anti-fraud violations.)
West v. A.G. Edwards & Sons, Inc., NASD Arbitration Case No. 05-03452. (Engaged to testify regarding the issues of breach of fiduciary duty, suitability, excessive trading, and supervision (matter settled in October 2006 prior to hearing)).
R. Djokic & Associates, LLC
Post Office Box 272029
Fort Collins, CO 80527-2029
Phone: 303-807-4406
Fax: 970-206-9896
