H. Norman Knickle

Lecturer

Attorney-Adviser, U.S. Securities and Exchange Commission

BA, University of Rhode Island
JD, Quinnipiac University School of Law
LLM, Banking and Financial Law, Boston University School of Law

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Biography

H. Norman Knickle is an attorney-adviser in the Boston Regional Office of the U.S. Securities and Exchange Commission. The SEC oversees the key participants in the securities world, including securities exchanges, securities brokers and dealers, investment advisors, and mutual funds with a mission to protect investors, maintain fair, orderly, and efficient markets, and facilitate capital formation.

Since 2003, Mr. Knickle has conducted dozens of examinations and investigations of regulated persons and entities on behalf of the SEC that include the subjects of insider trading, financial fraud, and corporate governance.

Mr. Knickle was previously a member of the Rhode Island House of Representatives where he served on its Judiciary Committee. Mr. Knickle also previously practiced law in the private sector with a focus on business litigation. He has written three articles relating to business or securities law with one of them recently cited by the Ninth Circuit Court of Appeals and another cited by the Rhode Island Supreme Court. He currently serves as a member of the Quinnipiac University School of Law Dean’s Council, and is frequently a speaker at public forums regarding the federal securities laws.

He teaches Securities Regulation.

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