Attorney Profile - Rodney K. Vincent

Rod Vincent, a former Regional Counsel for the Securities and Exchange Commission, has over 35 years successful experience as a trial attorney before Federal and State Courts, arbitration panels, and securities regulatory agencies. Rod is the author of articles on securities fraud and is a recognized expert in the areas of market manipulation, securities fraud, and securities compliance matters.

Rod Vincent has a national securities law practice emphasizing the representation of parties in arbitrations actions, broker/dealer and investment advisor compliance, and representing parties before regulatory agencies.

During his career Rod Vincent has served as Regional Counsel of the Denver Regional Office of the Securities and Exchange Commission (“Commission”), and as branch chief and trial attorney with the Commission’s Division of Enforcement. While employed by the Commission he supervised and/or litigated complex market manipulation and securities fraud cases. Also while employed by the Commission, was Rod Vincent was assigned as a Special Assistant U.S. Attorney and/or an assisting attorney for criminal referrals to the Department of Justice and various U.S. Attorney’s Offices. He also led federal, state and NASD securities fraud task forces seeking out violations of federal and state securities law.

Rod Vincent has also served as general counsel and vice-president of a major insurance company, counsel and compliance director of the insurance company’s national broker/dealer and as a county attorney.

Rod graduated from Kansas State University in Manhattan, Kansas in 1962, and Washburn University School of Law in Topeka, Kansas in 1967. He is admitted to practice law in Kansas, Colorado, Nebraska, and the District of Columbia.