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Charles C. Harper, Principal   





Offering clients comprehensive consulting and compliance services. Receiver in State and Federal governmental enforcement actions providing recovery of assets for investors and creditors. Providing expert testimony in areas of securities and other litigation. Consultation with counsel in litigation strategy.


Associate General Counsel and Senior Vice President

Represented Paine Webber and its employees before various regulatory agencies and self-regulatory organizations including the SEC, CFTC, NASD and NYSE as well as various state securities regulatory agencies.


Associate Regional Administrator

In charge of the Miami Branch Office of the Securities and Exchange Commission.  Responsible for implementing the Commission's Regulatory and Enforcement Programs in Florida and Puerto Rico.  Involved in every major enforcement case brought by the Miami Branch Office from 1974 to 1995.

Significant SEC Cases and Professional Activities

SEC v. Premium Sales, 1993
This case involved a Ponzi scheme in the guise of financing the business of food diverter.  Individual investors believed that they had $500,000,000 invested in the scheme when in fact assets were not available to pay them.  Obtained an injunction and had a receiver appointed.  Worked with the criminal authorities to insure the appropriate prosecution of those responsible.

SEC v. Elliot, 1987
This case involved a $60,000,000 Ponzi scheme that victimized over 1,000 elderly residents of Naples, Florida.  The case was very complex due to the nature of the real estate, mortgages, tax certificates and other assets of the receivership estate.  Obtained an injunction and a receiver.  Worked with the criminal authorities to insure the appropriate prosecution of those responsible.

SEC v. E.S.M. Government Securities, 1985
This case involved a $300,000,000 fraud by an unregistered U.S. Government securities broker - dealer.  Financial records were falsified in order to make it appear as though ESM Government Securities was prosperous, when in fact it had been insolvent for years.  Various banks as well as state governmental agencies experienced a loss of their collateral used for "repo" agreements with ESM.  Obtained and injunction and the appointment of a receiver.  Worked with the criminal authorities to insure the appropriate prosecution of those responsible.

Florida Penny Stock Task Force, 1988-1994
Organized and chaired the Florida Penny State Task Force.  The task force was comprised of the SEC, U.S. Attorney's Office, I.R.S. Criminal Intelligence Division, NASD Anti-Fraud in Washington, D.C. and N.A.S.D. Districts Seven, Three and Twelve, as well as the State of Florida, other state securities agencies and the regulators from various Canadian Provinces.  The members of the task force brought numerous cases against penny stock broker dealers and participated in formulating and implementing the Commission's rules relating to the sale of penny stocks.

Other Professional Activities

Organized and conducted training programs for Assistant United States Attorneys and Special Agents of the Federal Bureau of Investigation on securities fraud.  The courses were conducted in Miami, Florida, the F.B.I. Academy, Quantico, Virginia and in New York City.

Member, Curriculum Development Committee, NASD Institute for Professional Development, NASD Institute - Wharton Certificate Program, University of Pennsylvania, 1998-2001

Speaker and Panel Moderator at Florida Office of Comptroller - North American Securities Administrators' Association Broker Dealer Training Programs.

Organized and conducted training for over twenty states on the supervision of sales practices by New York Stock Exchange member firms.



bulletUniversity of Miami School of Law
L.L.M. Taxation
Juris Doctorate
bulletUniversity of Miami School of Business
Bachelor of Business Administration



bulletBar Admissions
Admitted to the Practice of Law in the State of Florida and the District of Columbia
bulletMember, Board of Governors of the Florida Securities Dealers Association, Chairman, Legislative Committee, 1995-Present
bulletMember, Federal Bar Association

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