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
Services – counsels financial institutions, including broker
dealers, registered investment advisers, mutual funds and hedge funds on SEC and
FINRA compliance and enforcement matters.
Governance – counsels corporate clients and their directors and
officers on corporate governance issues including compliance with SEC
- 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.