30 Years 30 Years in securities law

Clifford J Hunt

Clifford J. Hunt

Mr. Hunt received his Bachelor of Arts degree in business administration from Hanover College in 1983, and his Juris Doctor from the University of Dayton School of Law in 1986.  He is a member of the Florida Bar, the United States Court of Appeals for the Eleventh Circuit, and the United States Court of Appeals for the Ninth Circuit.  He is an approved arbitrator for the National Futures Association and previously was appointed and served as an arbitrator in approximately 100 securities sales practice cases emanating from the United States District Court litigation styled: SEC vs. Prudential Securities, Inc.  Mr. Hunt was formally a member of Kiefner & Hunt, P.A. from 2003-Sept. 2006 and a shareholder with the Ft. Lauderdale, Florida law firm, Becker & Poliakoff, P.A., practicing securities and corporate law in the firm’s Tampa office from 1999-2002, as well as the St. Petersburg, Florida law firm, Riden, Earle & Kiefner, where he practiced securities law from 1988 through 1999 (partner 1992-99), and he was Assistant Corporate Counsel for Raymond James Financial, Inc. from 1986-1988. Mr. Hunt is currently the managing shareholder of the Law Office of Clifford J.  Hunt, P.A. and practices securities and corporate law. Mr. Hunt is rated “AV” by Martindale-Hubbell legal directory. 

Mr. Hunt concentrates his practice in the area of securities and corporate regulation.  His substantial experience in securities and corporate matters includes:

  • Representation of business entities as issuer’s counsel in connection with private and public offerings of securities;
  • Representation of public companies in connection with their submission of Form 211 Applications to FINRA pursuant to SEC Rule 15c2-11;
  • Representation of business entities and their principals regarding reporting requirements and filings under the Securities Act of 1933 and the Securities Exchange Act of 1934 as well as serving as filing agent for issuers and their principals’ filings through the Securities and Exchange Commission EDGAR system;
  • Representation of business entities and their principals regarding mergers and acquisitions and compliance with federal antitrust laws pertinent to such transactions;
  • Representation of broker-dealers as underwriter’s counsel in connection with private offerings and initial public offerings of securities;
  • Representation of investment advisers, broker-dealers, their principals and associated persons in state and federal court litigation and arbitration matters before the Financial Industry Regulatory Association. (“FINRA”), the American Stock Exchange, Inc. (“AMEX”), the Chicago Board Options Exchange, Inc. (“CBOE”) and the American Arbitration Association, Inc. (“AAA”);
  • Representation of investment advisers, investment companies, broker-dealers, their principals and associated persons in regulatory/administrative matters before the United States Securities and Exchange Commission (“SEC”), FINRA, and the various states’ securities commissions, including but not limited to, the Florida Department of Financial Services, Office of Financial Regulation; 
  • Representation of broker-dealers and their principals regarding regulatory compliance with the rules and regulations of the SEC, FINRA and other exchanges as well as the rules and regulations of the various states’ securities commissions;
  • Representation of investors/shareholders in matters involving securities anti-fraud issues, including broker-dealer sales practice violations; and
  • Representation of insurance agencies in connection with state insurance regulator inquiries, counseling principals of the agencies regarding compliance with the insurance laws of the State of Florida and other states’ insurance laws.

Mr. Hunt has lectured at St. Petersburg Junior College and before the St. Petersburg Stock and Bond Club and he made a television guest appearance on a Pinellas County Florida legal program relating to securities law.  Reported cases: Passalacqua, et al. v. Naviant, Inc., 2003 WL 21076835 (Fla. 4th DCA May 14, 2003); Eaton Vance Distributors, Inc. v. Ulrich, 692 So.2d 915 (Fla. 2d DCA 1997); Dyer v. Pioneer Concepts, Inc., 667 So.2d 961 (Fla. 2d DCA 1996).

Mr. Hunt is licensed to practice law in the State of Florida.

Telephone:  (727) 471-0444   Facsimile:  (727 471-0447