Charles C. Harper, Principal
LEWIS B. FREEMAN &
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.
PAINE WEBBER INC.
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.
SECURITIES AND EXCHANGE COMMISSION
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
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
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
Organized and conducted training for over twenty states on the
supervision of sales practices by New York Stock Exchange member firms.
|University of Miami School of Law|
|University of Miami School of Business|
Bachelor of Business Administration
CERTIFICATIONS AND LICENSES
Admitted to the Practice of Law in the State of Florida and the
District of Columbia
|Member, Board of Governors of the Florida Securities Dealers
Association, Chairman, Legislative Committee, 1995-Present|
|Member, Federal Bar Association|