Peter H. Schwartz
Peter’s principal areas of practice include corporate finance; public and private securities offerings; merger and acquisition transactions for public and private companies; and private equity and other alternative asset fund formation, mutual funds, and investment advisers.
He also counsels traditional for-profit, public benefit, and nonprofit clients on compliance and disclosure issues, and general corporate and governance issues.
Peter has practiced at DGS since 2000, and prior to that was an associate at another law firm in Washington DC from 1996-2000.
Awards and Recognitions
Since 2006, Peter has been recognized in The Best Lawyers in America© for Mutual Funds Law, and was named Denver “Lawyer of the Year” for Mutual Funds Law by Best Lawyers® in 2013 and 2016.
Since 2016, he has been recognized as a “Colorado Super Lawyer” by Thomson Reuters in the practice area of Securities and Corporate Finance.
Peter was awarded Law Week Colorado’s Barrister’s Best 2016 as the “People’s Choice” Lawyer for Nonprofit Law.
In 2017, he became an American Bar Foundation Fellow. The Fellows is an honorary organization of attorneys, judges, law faculty, and legal scholars whose public and private careers have demonstrated outstanding dedication to the welfare of their communities and to the highest principles of the legal profession. Membership in the Fellows is limited to one percent of lawyers licensed to practice in each jurisdiction. Members are nominated by their peers and elected by the Board of the American Bar Foundation.
While at Columbia Law School, he was a Harlan Fiske Stone Scholar each year (awarded annually in recognition of superior academic achievement) and the recipient of the Jane Marks Murphy Prize in 1996 (awarded annually to a student who displays exceptional interest and proficiency in advocacy in clinical offerings).
Civic and Professional Activities
Peter is the Past Chairman of the Board of Directors of the Colfax Marathon (to serve from 2018-2020), after serving as Chairman from 2016-2018, and has served on the Board since 2013. The Colfax Marathon is a nonprofit organization whose mission is to produce the premier marathon weekend in the Mountain West Region while being committed to community, philanthropy, and fun. Originally created by the cities of Denver, Lakewood, and Aurora to recognize Colfax Avenue, the largest commercial street in the United States, the race has grown to be a nationally recognized event featuring unique courses incorporating the iconic landmarks of the Mile-High City.
He also serves as the Chairman of the Colorado Lawyers Committee (CLC), after serving as Secretary/Treasurer from 2016-2018, and has been a member of the Executive Committee since 2013 and a member of the Board of Directors since 2006. The CLC is a nonpartisan consortium of more than 70 Colorado law firms with over 800 volunteer attorneys dedicated to creating and increasing opportunities for children, the poor and other disadvantaged communities through advocacy, negotiation and litigation.
Peter is involved in several other civic and pro bono projects, including serving as Co-Chair of the Legal Services component of Project Homeless Connect since its inception in 2005. He is a mentor in the Colorado Attorney Mentoring Program (CAMP) and for associates at DGS. He also leads several projects that seek to expand the ability of corporate attorneys to find and undertake transaction-related pro bono opportunities.
Peter has written and co-written articles in several journals, including a bi-monthly column in Wall Street Lawyer for nearly 20 years.
He is also the co-author and contributing author of several chapters and treatises on corporate, securities, and nonprofit matters.
Corporate & Securities
- Peter H. Schwartz & Laura Cerezo, "SEC/SRO Update: SEC Chairman Wanted More Individuals to Invest in Private Companies; SEC Awards More Than $54 Million to 2 Whistleblowers; Elad Roisman Sworn in as Newest SEC Commissioner; SEC Charges ICO Superstore and Owners with Operating as Unregistered Broker-Dealers," Wall Street Lawyer (Oct. 2018)
- Peter H. Schwartz & Scott Turbeville, "SEC/SRO Update: SEC Amends Definition of "Smaller Reporting Company"; Commissioner Piwowar Steps Down; SEC Adopts Inline XBRL For Tagged Data; SEC Proposes Whistleblower Rule Amendments," Wall Street Lawyer (Aug. 2018)
- Peter H. Schwartz & Laura Cerezo, "SEC/SRO Update: SEC Awards Whistleblower More Than $2.1 Million; Altaba, Formerly Known as Yahoo!, Charged with Failing to Disclose Massive Security Breach, Agrees to Pay $35 Million; SEC Launches "SALI"-A New Investor Protection Search Tool; SEC Proposes Amendment to the 'Loan Rule'," Wall Street Lawyer (June 2018)
- Peter H. Schwartz & Scott Turbeville, "SEC/SRO Update: SEC Issues Updated Cybersecurity Guidance to Public Companies; SEC Settles Four Auditing Cases With Accounting Firms; NYSE and Affiliated Exchanges Pay $14 Million Penalty for Multiple Violations of Regulation SCI," Wall Street Lawyer (Apr. 2018)
- Peter H. Schwartz & Laura Cerezo, "SEC/SRO Update: Robert Jackson and Hester Peirce Sworn in as SEC Commissioners; SEC Issues Agenda for Inaugural Meeting of the Fixed Income Market Structure Advisory Committee; SEC Staff Provides Regulatory Guidance for Accounting Impacts of the Tax Cuts and Jobs Act; SEC Proposes Amendments to the Freedom of Information Act (FOIA) Regulations," Wall Street Lawyer (Feb. 2018)
- Peter H. Schwartz & Scott Turbeville, "SEC/SRO Update: SEC Announces Measures to Facilitate Cross-Border Implementation of MiFID II; SEC Proposed Rules to Implement Fast Act Mandate; SEC Chairman Clayton Provides Update on Review of 2016 Cyber Intrusion Involving EDGAR System," Wall Street Lawyer (Dec. 2017)
- Peter H. Schwartz, "SEC/SRO Update: SEC Adopts Interpretive Guidance on Pay Ration Rule; Hedge Fund Advisor Charged for Inadequate Controls to Prevent Insider Trading; SEC Charges Former Amazon Employee with Insider Trading; Hester Peirce and Robert Jackson Nominated to Fill Open SEC Commissioner Positions," Wall Street Lawyer (Oct. 2017)
- Peter H. Schwartz & Julie R. Blaser, “SEC/SRO Update: U.S. Supreme Court to Review Scope of Whistleblower Protection Under Dodd-Frank; Preparing for the CEO Pay Ratio Disclosure Rule; SEC Expands Non-Public IPO Review to All Companies; SEC Files Insider Trading Charges Against Research Scientist Seeking to Avoid SEC Detection,” Wall Street Lawyer (Aug. 2017)
- Peter H. Schwartz, Kevin T. Teng, and Shira E. Cooks, “Colorado Division of Securities Adopts New Exemption from Investment Adviser Licensing Requirements,” DGS Client Alert (July 2017)
- Contributor, Principles & Practices for Nonprofit Excellence in Colorado, 4th Ed. (Colorado Nonprofit Association, 2018)
- Peter H. Schwartz, “Liability and Risk Management for Nonprofit Organizations”, a chapter of A Guide for Colorado Nonprofit Organizations, Second Ed. (Karen E. Leaffer ed., CLE in Colo., Inc. Supp. 2018)
- Peter H. Schwartz & Scott H. Challinor, “Liability and Risk Management for Nonprofit Organizations”, a chapter of A Guide for Colorado Nonprofit Organizations, First Ed. (Karen E. Leaffer ed., CLE in Colo., Inc. Supp. 2016)
- Contributor, Principles & Practices for Nonprofit Excellence in Colorado, 3rd Ed. (Colorado Nonprofit Association, 2015)
- Peter H. Schwartz & Anna Minkinow, “Colorado Governance Principles” (Lex Mundi Pro Bono Foundation, 2013) Public Benefit Corporations
Public Benefit Corporations
- Peter H. Schwartz & Otto Miguel Hanson, “Colorado Passes Amendments to Public Benefit Corporations Act,” DGS Client Alert (June 2017)
Selected Speaking Engagements
Corporate & Securities
- Panelist, "Advertising Your Fund," DGS Private Fund Academy (May 2018)
- Panelist, "SEC Enforcement Developments," ALPS Fund Services (ALPS) Client Forum (Mar. 2018)
- Panelist, “SEC Enforcement Developments,” ALPS Fund Services (ALPS) Client Forum (Mar. 2017)
- Panelist, “Dodd-Frank and Investment Advisor Registration: A Look Back and a Look Forward,” Colorado Bar Association: Securities Subsection Luncheon Series (Nov. 2016)
- Moderator, “Surviving Regulatory Examinations,” DGS Compliance Roundtable Series (Sept. 2016)
- Panelist, “SEC Enforcement and Investment Management Litigation Trends,” ALPS Client Forum (Mar. 2016)
- Panelist, “Cybersecurity: The Changing Regulatory Landscape for Asset Managers,” DGS Compliance Roundtable Breakfast Series (Nov. 2015)
- Panelist, “SEC Exam Issues for New or Private Fund Registered Advisors” Cohen and Co. Client Conference (Sept. 2015)
- Panelist, “Current Regulatory Issues,” Denver 1940 Act Group (Mar. 2015)
- Speaker, “Nonprofit Contracts: Protecting Your Organization,” Lorman Live Webinars (upcoming – Oct. 2017)
- Moderator, “Continuing Legal Education (CLE) Component of the Nonprofit Audit Legal Clinic,” Colorado Nonprofit Pro Bono Legal Group (Feb. 2017 & July 2017)
- Speaker, “Insurance Policies for Nonprofits,” Nonprofit Learning Lab (Jan. 2017)
- Speaker, “Nonprofit Contracts: Protecting Your Organization,” Lorman Live Webinars (Oct. 2016)
Public Benefit Corporations
- Panelist, “Colorado Public Benefit Corporations Start on April 1, 2014 – Are You Ready?” B-Lab Colorado (Jan. 2014)
- Panelist, “Here's How to Pay It Forward: Pro Bono In-House Style,” Association of Corporate Counsel (Colorado Chapter): Pro Bono Committee (July 2015)
- Panelist, “The Role of Business Lawyers in Providing Legal Services that Directly or Indirectly Help the Poor,” American Bar Association Business Law Section: Pro Bono Breakfast and Committee Meeting (Aug. 2010)
Columbia University, J.D., Harlan Fiske Stone Scholar, 1996
Massachusetts Institute of Technology, M.S.R.E., 1993
Massachusetts Institute of Technology, M.C.P., 1993
Princeton University, B.A., magna cum laude, 1989