Attorneys

Melissa Hubbard
OF COUNSEL

As the former general counsel of several investment banking, investment and financial advisory, and broker-dealer firms, as well as an independent director (and chair of the audit and compliance committees) of a publicly-held entertainment and technology company, Melissa Hubbard has hands-on transactional expertise in mergers and acquisitions, financings, and public and private securities offerings in a broad range of industries including mining, energy, municipal, banking, healthcare, franchise, telecommunications, technology and entertainment. She has counseled numerous private equity and venture capital groups, as well as executives, regarding all aspects of securities compliance and disclosure issues, including executive compensation, corporate governance, internal investigations, licensing, and Sarbanes Oxley and Dodd-Frank Act compliance.

In addition, for over 25 years she has actively served as an arbitrator and mediator for matters administered by the American Arbitration Association and the Financial Industry Regulatory Authority, Inc. (“FINRA”) and has received a variety of appointments by the FCC and the FTC to special arbitration panels. She has also represented broker-dealers and business owners in arbitration and mediation hearings, and served as an expert witness on numerous occasions relating to securities laws and regulations and investment banking industry practices.

Melissa is rated AV Preeminent by Martindale-Hubbell, was recognized as Outstanding Alumni in Private Practice by the University of Colorado Law School Alumni Board, and is a Stanford University Alumni Council interviewer of local high school students applying to her alma mater. She is a Colorado Bar Foundation Fellow and has received the Colorado Supreme Court Pro Bono Achievement Award for the past eight years. She is a current member and past chair of the CBA Communication and Technology subsection and organizes networking and nonprofit events for the Senior Women’s Corporate Counsel group.

Melissa’s community service commitment is extensive. She currently serves on the Board of the Colorado Open Golf Foundation and mentors young golfers in the First Tee Program at Green Valley Ranch. She is also a scout leader, an active volunteer for Habitat for Humanity, and the former President of her neighborhood HOA. Melissa is a past chair of the CU Law School Alumni Foundation and a member of the Young American’s Bank Board, the Legal Aid Foundation, and the Denver Center for the Performing Arts Complex Foundation.

Specific Areas of Practice
  • Business and Corporate
  • Securities/Finance/Municipal
  • Telecommunications/Technology
  • Franchise/Licensing/Distribution Agreements
  • Employment Contracts
  • Non-profits/Foundations
  • HOA Policies ad Covenants
  • Church and School Abuse Prevention and Response Policies

Significant Representations

  • IPO’s, Private Placements, Tender Offers and Going Private Transactions
  • M&A, asset sales/purchases, spin-offs
  • Corporate Governance Policies and Procedures
  • Audit and Compliance Committees and Internal Investigations
  • Executive Compensation Programs
  • Broker-Dealers, Investment Advisors
  • Engagement Agreements and Auction Bidding Processes for Investment Banks
  • Franchisors and Franchisees
  • Telecommunications and Technology Companies
  • Oil, gas, mining and clean energy
  • Employment Handbooks; policies and training
  • Alternative Dispute Resolution; arbitrations and mediations

Honors / Distinctions

  • 2016-Corporate Counsel Panel at the Business Law Institute
  • 205 and 2016-Presenter at several arbitration and mediation seminars.
  • 2013-Supreme Court of Colorado Pro Bono Achievement Award (4 consecutive years)
  • 2012-Colorado Bar Foundation Fellow
  • 2011-University of Colorado Law School Distinguished Alumni in Private Practice
  • Numerous publications and speaking engagements on the topics of Drafting Arbitration Clauses, Director and Officer Risk Prevention and working with General Counsels.

Admitted to Practice Before

  • Colorado

Professional and Community Affiliations

  • Colorado Open Golf Foundation Board, First Tee Mentor Program at Green Valley Ranch Golf Club
  • Stanford University Alumni Interviewer and Community Service Outreach Programs
  • Senior Women’s Corporate Counsel Group
  • Boy Scout leader at Colorado Academy
  • The Greens at Pinehurst Homeowners Board
  • Habitat for Humanity

 

Practice Areas
Business & Corporate
Franchise & Distribution
Mergers and Acquisitions
Securities & Finance

 

Awards

Print Friendly, PDF & Email
  • EDUCATION
  • LICENSED IN
  • PRACTICE AREAS

EDUCATION

Stanford University, A.B. with highest honors in Political Science, 1980

The Georgetown University Law Center, Dean’s List, first year of law school, 1980-1981

The University of Colorado School of Law, J.D, 1983

LICENSED IN

Colorado

Equal Pay, Minimum Wage, and the Newest Colorado Employment Laws

By Larry Lee Colorado lawmakers have had a busy legislative session. Six new employment laws were enacted in the state addressing equal gender pay, criminal history inquiries, felony convictions for wage violations, local government rule for minimum wage, garnishments and a study of a family and medical leave insurance program. Here’s the highlights and effective […]

SEC Adopts Regulation Best Interest: New Standards for Broker-Dealers

By Dave Thayer   Doing business has become riskier for broker-dealers giving investment advice. On June 5, 2019, the Securities and Exchange Commission (SEC) adopted “Regulation Best Interest” which in a nutshell says that broker-dealers cannot put their own pocketbooks ahead of their clients’ “best interest.” For years, broker-dealers were viewed as purveyors of investment […]

SEC proposes new public company disclosure rules

By Dave Thayer On May 3, 2019, the Securities and Exchange Commission proposed amendments to improve and streamline financial disclosures relating to business acquisitions and dispositions. The proposed amendments are primarily to rules contained in Article 11 of Regulation S-X, but include changes to other related rules and disclosures, such as Form 8-K. The SEC […]

Jones & Keller Announces 2019 Executive Changes

Charles Wern becomes president and Paul Vorndran and Nicole Westbrook join the Executive Committee at the Denver-based business law firm.

New SEC Rules Modify and Simplify Regulation S-K

By Reid A. Godbolt The Securities and Exchange Commission (“SEC”) recently adopted amendments (available at https://www.sec.gov/rules/proposed/2017/33-10425.pdf) to its Regulation S-K and related rules and forms in seeking to modernize and simplify disclosure requirements for public companies, investment advisers and investment companies. The amendments are intended to improve the readability and navigability of disclosure documents and […]

14 Jones & Keller Attorneys Named to the Super Lawyers and Rising Stars Lists

Please join us at Jones & Keller in congratulating attorneys selected to this this year’s lists.

Annuities Sellers Beware: Advice May Trigger Enforcement

By Paul L. Vorndran Selling an annuity while advising investors about their securities investments will subject you to enforcement action by the Colorado Securities Commissioner. In the summer of 2018, the Colorado Securities Commissioner (Commissioner) adopted a rule which provides that an insurance agent who receives commissions from the sale of insurance products, where the […]

Investment or Financial Professional Titles: Making Sense of It All

(Originally published December 1, 2015) By Paul L. Vorndran Deciding upon whom to trust to deliver accurate and fair advice is an investor’s first difficult decision. In the investment world, a number of titles may be used by a professional offering various investments. But most of these are marketing tools issued by various organizations, and […]

ETF Recommendations Under Scrutiny

(Originally published December 1, 2015) By Paul L. Vorndran Regulators have been warning investors about investing in Exchange-Traded Funds (ETFs), a unit investment trust or open-end investment company whose shares represent an interest in a portfolio of securities that track an underlying benchmark or index.  In June 2009, those warnings were directed to broker-dealers and […]

Reid Godbolt Awarded the “Lifetime Achievement Award” by the Catholic Lawyers Guild of Colorado

Jones & Keller is pleased to announce that Reid A. Godbolt has been awarded the 2019 Lifetime Achievement Award by the Catholic Lawyers Guild of Colorado. The Lifetime Achievement Award is bestowed upon an attorney who has demonstrated outstanding lifetime contributions to religion, profession and country. “I am humbled and honored by this award and […]

Colorado Rejects Williamson “Presumption”

(Originally published December 1, 2015) By Paul L. Vorndran A panel of the Colorado Court of Appeals issued an opinion giving the Colorado Securities Commissioner a victory in a long standing effort to regulate joint ventures and general partnerships. In Rome v. HEI Resources, Inc. et al, 2014 CA 160, the Court first held that there is […]

Colorado Investment Adviser Revoked for Non-Securities Transactions

(Originally published December 1, 2015) By Paul L. Vorndran As a cautionary tale, Colorado licensed investment advisers should be mindful that non-securities transactions with their clients will be scrutinized by the Colorado Divisions of Securities. In December 2013, Secure Retirement Group, Inc. doing business as Secure Financial Group, Inc. and its principal, David L. Gonzales, […]

Colorado Securities Commissioner Loses Important Case Interpreting Definition of ‘Security’

(Originally published December 1, 2015) by Paul Vorndran Denver District Court recently determined that oil and gas joint venture interests promoted by Colorado companies HEI Resources, Inc. and Heartland Energy Development Corporation were not securities under the Colorado Securities Act. On October 17, 2013 following an intensely contested case brought by the Colorado Securities Commissioner, […]

Definition of ‘Note’ in Colorado Securities Act Limited

(Originally published March 17, 2016) by Paul L. Vorndran The Colorado Court of Appeals reversed a criminal conviction for securities fraud pursuant to C.R.S. § 11-51-501(1)(b) finding the trial court erred in refusing to give a proffered instruction that not all promissory notes are securities for purposes of the Colorado Securities Act (CSA).  In People v. Mendenhall, […]

Attorneys