Corporate Governance , Regulatory Law
Robert C. Harris is a Partner to Hunter Taubman Fischer & Li’s Miami office. He practices in the firm’s Regulatory Enforcement and Investigations, Securities Litigation/Arbitration, Commercial Litigation/Arbitration, Governmental Investigations, and Corporate practice groups. He is admitted to practice in all state and federal courts throughout Florida.
As part of the firm’s litigation team, Mr. Harris represents public/private companies and brokers in matters involving both investigations and proceedings brought by the U.S. Securities and Exchange Commission (“SEC”) and self-regulatory organizations, including the Financial Industry Regulatory Authority (“FINRA”). He also represents the firm corporate clients in their general business matters, including the formation of various business entities and the drafting of the respective governing corporate documents.
Mr. Harris has successfully prosecuted and defended commercial litigations at both the state and federal court level, including matters involving public and private companies. Mr. Harris also represents officers and directors of companies in business disputes. Additionally, Mr. Harris has significant experience with FINRA arbitrations involving full-service broker-dealers, discount broker-dealers, independent broker-dealers and their registered representatives, in cases involving, but not limited to, claims of sales practice violations and employment disputes. Mr. Harris has also represented brokerage firms and their licensed personnel in all stages of FINRA regulatory investigations and enforcement proceedings.
Prior to joining Hunter Taubman Fischer & Li, Mr. Harris worked for a boutique securities litigation defense firm in Boca Raton, FL. While there, Mr. Harris’ practice encompassed all aspects of commercial and securities litigation, including the representation and defense of businesses, executives, brokerage firms and licensed individuals. Mr. Harris regularly represented major national brokerage firms and their associated personnel in all facets of litigation and gained significant experience defending alleged violations of the state and federal securities laws, rules, and regulations. Additionally, Mr. Harris counseled brokerage firms and licensed individuals on litigation avoidance and spoke at compliance seminars hosted by various full-service, independent and discount broker-dealers, typically in the area of “best practices.”
Mr. Harris’ professional experience also includes serving eight (8) years as a legal specialist in the U.S. Army Reserves Judge Advocate General’s Corps, where he served as a paralegal assisting Army lawyers tasked with providing legal advice and counsel to officers and enlisted soldiers.
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