Roy M. Hartman, Partner/Shareholder

Roy M. Hartman, a Director of the firm since 1992, earned his Bachelor of Arts degree from Miami University in Oxford, Ohio in 1977, and his law degree from the Thomas Franklin Backus School of Law at Case Western Reserve University in Cleveland, Ohio in 1980. In 1980, Mr. Hartman became a member of the Ohio Bar, and in 1981 he was admitted to The Florida Bar. Mr. Hartman is also admitted to practice before the U.S. District Courts for the Southern, Middle, and Northern Districts of Florida; the U.S. Bankruptcy Courts for each of the Districts in Florida; the U.S. Courts of Appeal for the Fifth and Eleventh Circuits; and the U.S. Tax Court.  

Prior to the Sarbanes-Oxley Act of 2002, Mr. Hartman's practice primarily involved litigation concerning accountant's liability, and financial fraud.  With the advent of Sarbanes-Oxley, the Firm, and Mr. Hartman in particular, has developed a vibrant, nationwide Sarbanes-Oxley practice, with Mr. Hartman's focus on advising accounting firms on SEC regulatory compliance, PCAOB compliance, and avoidance of accountant's liability claims.

Mr. Hartman has spent his entire legal career in Miami.  Prior to entering private practice, Mr. Hartman spent over three years with the Miami Branch Office of the Securities Exchange Commission in the Enforcement Division. At the SEC, he investigated public companies, transactions of broker dealers and investment advisors and the securities transactions of private individuals and entities.

Mr. Hartman is well versed in the Sarbanes-Oxley Act of 2002, the progeny of SEC rules promulgated thereunder, as well as the standards of the Public Company Accounting Oversight Board.  Mr. Hartman has lectured on these matters, as well as acountant's liability under state and federal laws.

After he left the SEC, Mr. Hartman began his private practice with Mershon, Sawyer, Johnston, Dunwoody and Cole, and later with the national law firm, Weil, Gotshal and Manges in their Miami office.

Mr. Hartman has also actively represented both secured and unsecured creditors, debtors and trustees in bankruptcy matters. Within this context, Mr. Hartman has handled claims of fraudulent conveyance and bankruptcy preference, stay relief litigation, objections to claims, and non-dischargeability of particular debts due to allegations of fraud.

As a result of his representation of financial institutions and other creditors, he is equally experienced in foreclosure and replevin actions, mechanics' lien litigation, defense and prosecution of claims of lender liability, actions based on fraud or breach of fiduciary duty, letter of credit transactions, contract and business disputes, and securities fraud actions. Mr. Hartman also is experienced in alternative dispute resolution methods such as mediation and arbitration.  Mr. Hartman also advises business clients on labor law issues and loan and other contractual workouts.

Mr. Hartman has litigated matters in the State and Federal court throughout Florida and in such diverse and varied locations as New York, Philadelphia, Washington, D.C., and Phoenix.  Mr. Hartman has also prosecuted and defended arbitration cases before the AAA.

Mr. Hartman was also a panel speaker before the South Florida Compliance Association on the regulations governing advertising by banks and thrifts before the South Florida Secured Lenders Group on issues involving potential lender liability, and at various CLE seminars concerning the Uniform Commercial Code, and specifically secured creditors' rights under Article 9. Mr. Hartman is also a member of The Bankruptcy Bar Association for the Southern District of Florida and The Dade County Bar Association.

Married and a father of two sons, Mr. Hartman was active in the Plantation Athletic League as a team sponsor as well as a former league administrator.