{"id":2,"date":"2009-11-12T11:22:57","date_gmt":"2009-11-12T18:22:57","guid":{"rendered":"http:\/\/www.kleinutah.com\/?page_id=2"},"modified":"2021-01-23T18:15:48","modified_gmt":"2021-01-24T01:15:48","slug":"about","status":"publish","type":"page","link":"http:\/\/www.kleinutah.com\/index.php\/about","title":{"rendered":"About"},"content":{"rendered":"<p><body><br \/>\n<!--Peer Ratings Widget--><br \/>\n<script src=\"https:\/\/www.martindale.com\/marketyourfirm\/mhratings\/js\/peer-rating.js\"><\/script><\/p>\n<div id=\"mh-rating-container\" isln=\"905834892\" param=\"0341112ff23d5a0eaf35a6d1f4ad482b\"><\/div>\n<p><!--Peer Ratings Widget--><\/p>\n<p align=\"center\"><strong><span style=\"text-decoration: underline;\">WAYNE KLEIN, FOUNDER<\/span><\/strong><\/p>\n<p align=\"center\"><strong><em><span style=\"text-decoration: underline;\">wklein@kleinutah.com<a href=\"http:\/\/www.kleinutah.com\/wp-content\/uploads\/2009\/11\/Wayne-Klein-Headshot-10092017.jpg\"><img loading=\"lazy\" decoding=\"async\" class=\"alignright size-full wp-image-110\" title=\"Wayne Klein\" src=\"http:\/\/www.kleinutah.com\/wp-content\/uploads\/2009\/11\/Wayne-Klein-Headshot-10092017-300x298.jpg\" alt=\"Wayne Klein\" width=\"300\" height=\"298\" \/><\/a><\/span><\/em><\/strong><\/p>\n<p><strong>OVERVIEW: <\/strong>Wayne Klein spent more than twenty-five years in the investigation and prosecution of white-collar fraud for government agencies in Utah and Idaho.\u00a0 He has been quoted frequently in the Wall Street Journal, New York Times, and BusinessWeek and was featured prominently in Kurt Eichenwald\u2019s book <em>Serpent on the Rock<\/em>.<\/p>\n<p><strong>FIDUCIARY SERVICES: <\/strong>Mr. Klein has been appointed by state and federal courts as a Receiver to investigate the operations of companies in trouble and liquidate the assets.\u00a0 This includes investment Ponzi schemes and creditor recovery actions.\u00a0 Forensic accounting is utilized to identify sources and expenditures of funds and to locate assets to recover. As a court-appointed bankruptcy trustee, he has reorganized troubled businesses.<\/p>\n<p><strong>EXPERT WITNESS: <\/strong>Wayne serves as a consulting and testifying expert in securities litigation, securities arbitration, and antitrust cases analyzing compliance with the law and the liability of various parties.<\/p>\n<p><strong>INTERNAL INVESTIGATIONS<\/strong>:\u00a0 Wayne provides an independent investigation of transactions or conduct for companies that have discovered questionable activities.<\/p>\n<p align=\"center\"><strong><span style=\"text-decoration: underline;\">EMPLOYMENT EXPERIENCE<\/span><\/strong><\/p>\n<p><strong>KLEIN &amp; ASSOCIATES, PLLC, 2009-Present, Founder<\/strong><\/p>\n<p>Provides investigative, forensic accounting, analytical, and consulting services in complex financial matters and litigation.\u00a0 Mr. Klein has served as the Chair of the Litigation Section of the Utah State Bar.<\/p>\n<p><strong>LONE PEAK VALUATION GROUP, 2016-Present, Principal<\/strong><\/p>\n<p>As a principal with Lone Peak, Mr. Klein also assists clients with forensic accounting, expert witness assistance, and other litigation support.<\/p>\n<p><strong>LEWIS B. FREEMAN &amp; PARTNERS, INC., 2008-2009, Principal<\/strong><\/p>\n<p>Opened Salt Lake City office for Miami-based firm that provided forensic accounting, receivership, and consulting services.\u00a0 When LBF&amp;P decided to close its Utah office, Klein &amp; Associates was formed.\u00a0 Mr. Klein provided assistance on LBF&amp;P cases in Florida and generated new business for the firm in the Intermountain West.<\/p>\n<p><strong> <\/strong><\/p>\n<p><strong>UTAH DIVISION OF SECURITIES, 2005-2008, Director<\/strong><\/p>\n<p>Directed state agency responsible for licensing of securities professionals, registration of securities, and investigation and prosecution of suspected investment fraud.\u00a0 Served as presiding officer for certain enforcement actions.\u00a0 Set regulatory policy, handled legislative matters, and coordinated regulatory and enforcement efforts with other states and federal agencies.<\/p>\n<p><strong>UTAH ATTORNEY GENERAL\u2019S OFFICE, COMMERCIAL ENFORCEMENT DIVISION<\/strong><\/p>\n<p>Division Chief, 2001-2005; Head of Antitrust Unit, 1998-2001; Assistant Attorney General, 1996-1998.\u00a0 As Division Chief, supervised attorneys in advising agencies about, and bringing enforcement actions for violations of antitrust, securities, consumer protection, real estate, corporations, and professional licensing statutes.\u00a0 Notable cases include lead counsel in investigation of analyst conflicts of interest by Goldman Sachs, Microsoft antitrust action, and being appointed as Special Assistant to the U.S. Attorney General.<\/p>\n<p><strong>IDAHO DEPARTMENT OF FINANCE, Securities Bureau Chief, 1986-1995<\/strong><\/p>\n<p>Directed state agency in administering securities laws, commodity code, and corporate takeover law.<\/p>\n<p><strong>IDAHO ATTORNEY GENERAL\u2019S OFFICE, Deputy Attorney General, 1983-1986<\/strong><\/p>\n<p>Investigated and litigated securities and commodities fraud enforcement actions and provided legal counsel\u00a0 to state bank regulators.<\/p>\n<p><strong>FIRST SECURITY BANK OF UTAH, N.A. CORPORATE TRUST DEPARTMENT, 1982-1983<\/strong><\/p>\n<p>Administered trusts for corporate and municipal financings and handled default problems.<\/p>\n<p align=\"center\"><strong><span style=\"text-decoration: underline;\">OTHER SKILLS<\/span><\/strong><\/p>\n<p align=\"center\">\n<p><strong>EDUCATION:<\/strong><\/p>\n<ul>\n<li><strong>George Washington University, National Law      Center, J.D. 1982<\/strong>.\u00a0 Staff member, The Journal of      International Law and Economics.<strong> <\/strong><\/li>\n<li><strong>University of Utah, 1979, B.A., Political      Science, Certificate in International Relations<\/strong><\/li>\n<\/ul>\n<p><strong>CERTIFICATES AND LICENSES:<\/strong><\/p>\n<ul>\n<li><strong>Utah Bar, Admitted 1982<\/strong><\/li>\n<li><strong>Idaho Bar, Admitted 1984<\/strong><\/li>\n<li><strong>Federal Bar, Admitted to the U.S. Supreme Court and courts of the Fourth, Ninth, and Tenth Circuits.<\/strong><\/li>\n<\/ul>\n<p><strong> <\/strong><\/p>\n<p><strong>MEMBERSHIPS, ACTIVITIES:<\/strong><\/p>\n<ul>\n<li><strong>Certified Fraud Examiner, 2010<\/strong><\/li>\n<li><strong>Chair, Utah State Bar Litigation Section, 2009-2010<\/strong><\/li>\n<li><strong>FINRA Arbitrator (qualified)<\/strong><\/li>\n<li><strong>Member, Utah State Bar Securities Section<\/strong><\/li>\n<li><strong>Hearing Officer, Nevada Division of Securities,      1996-1998<\/strong><\/li>\n<li><strong>Founding Chair, Idaho State Bar Business Law      Section<\/strong><\/li>\n<li><strong>Past director and officer of North American      Securities Administrators Association<\/strong><\/li>\n<li><strong>Representative of U.S. States to International      Organization of Securities Commission<\/strong><\/li>\n<li><strong>Arbitrator, National Futures Association<\/strong><\/li>\n<\/ul>\n<p><strong> <\/strong><\/p>\n<p><strong>CONGRESSIONAL TESTIMONY, TEACHING, PUBLICATIONS<\/strong><\/p>\n<ul>\n<li>U.S. House Subcommittee on      Commerce, Trade, and Consumer Protection, <em>Contact Lens Sales: Is Market Regulation the Prescription?<\/em>,      Sept. 15, 2006.<\/li>\n<li>U.S. Senate Committee on      the Judiciary, <em>Enforcement of State      Laws Relating to Interstate Transportation of Intoxicating Liquors<\/em>,      Mar. 9, 1999.<\/li>\n<li>U.S. House Subcommittee on      Environment, Credit, and Rural Development,<em> Application of the Commodity Exchange Act\u2019s Anti-Fraud and      Anti-Manipulation Protections<\/em>, June 30, 1993.<\/li>\n<li>Adjunct Professor, Boise      State University: Teaching upper division courses on legal economics and      commercial law, 1989-1995.<\/li>\n<li><em>The Prudential Solution \u2013 National Securities      Regulatory Settlements<\/em> (co-author), 51 <span style=\"text-decoration: underline;\">The Business Lawyer<\/span>, 223, 256-182 (1995).<\/li>\n<li><em>The Idaho Securities Act: An Analysis of Idaho      Courts\u2019 Securities Opinions<\/em>, 29 <span style=\"text-decoration: underline;\">Idaho      Law Review<\/span> 95 (1992-93).<\/li>\n<li><em>CDs as Securities: State Law Considerations<\/em>, 1986 Boston University <span style=\"text-decoration: underline;\">Annual Review of      Banking Law<\/span>.<\/li>\n<\/ul>\n<p><a href=\"http:\/\/www.kleinutah.com\/wp-content\/uploads\/2009\/11\/Curriculum-Vitae-Jan1216.pdf\">Click here for the Curriculum Vitae of Wayne Klein<\/a><\/p>\n<p><script type=\"text\/javascript\">\nvar gaJsHost = ((\"https:\" == document.location.protocol) ? \"https:\/\/ssl.\" : \"http:\/\/www.\");\ndocument.write(unescape(\"%3Cscript src='\" + gaJsHost + \"google-analytics.com\/ga.js' type='text\/javascript'%3E%3C\/script%3E\"));\n<\/script><br \/>\n<script type=\"text\/javascript\">\ntry {\nvar pageTracker = _gat._getTracker(\"UA-15588753-1\");\npageTracker._trackPageview();\n} catch(err) {}<\/script><\/p>\n<p><\/body><\/p>\n","protected":false},"excerpt":{"rendered":"<p>WAYNE KLEIN, FOUNDER wklein@kleinutah.com OVERVIEW: Wayne Klein spent more than twenty-five years in the investigation and prosecution of white-collar fraud for government agencies in Utah and Idaho.\u00a0 He has been quoted frequently in the Wall Street Journal, New York Times, and BusinessWeek and was featured prominently in Kurt Eichenwald\u2019s book Serpent on the Rock. FIDUCIARY&hellip;<\/p>\n","protected":false},"author":1,"featured_media":0,"parent":0,"menu_order":2,"comment_status":"closed","ping_status":"closed","template":"","meta":{"footnotes":""},"class_list":["post-2","page","type-page","status-publish","hentry"],"_links":{"self":[{"href":"http:\/\/www.kleinutah.com\/index.php\/wp-json\/wp\/v2\/pages\/2","targetHints":{"allow":["GET"]}}],"collection":[{"href":"http:\/\/www.kleinutah.com\/index.php\/wp-json\/wp\/v2\/pages"}],"about":[{"href":"http:\/\/www.kleinutah.com\/index.php\/wp-json\/wp\/v2\/types\/page"}],"author":[{"embeddable":true,"href":"http:\/\/www.kleinutah.com\/index.php\/wp-json\/wp\/v2\/users\/1"}],"replies":[{"embeddable":true,"href":"http:\/\/www.kleinutah.com\/index.php\/wp-json\/wp\/v2\/comments?post=2"}],"version-history":[{"count":14,"href":"http:\/\/www.kleinutah.com\/index.php\/wp-json\/wp\/v2\/pages\/2\/revisions"}],"predecessor-version":[{"id":5983,"href":"http:\/\/www.kleinutah.com\/index.php\/wp-json\/wp\/v2\/pages\/2\/revisions\/5983"}],"wp:attachment":[{"href":"http:\/\/www.kleinutah.com\/index.php\/wp-json\/wp\/v2\/media?parent=2"}],"curies":[{"name":"wp","href":"https:\/\/api.w.org\/{rel}","templated":true}]}}