Texas Securities Litigation Firm

The Taylor Law Offices, P.C. has earned a reputation for experience, depth of knowledge and focused and effective representation of individuals and institutions in a broad range of broker-dealer, employment, litigation and commercial matters.  The attorneys at the Firm regularly handle disputes involving investment-related allegations such as fraud, unauthorized trading, suitability, and churning, as well as commercial and corporate litigation matters involving business torts, partnership disputes, shareholder disputes and related matters.

The Firm also represents individuals and institutions in internal, SEC and SRO investigations and regulatory matters involving a wide range of issues including: securities and commodities sales practices, auction rate securities, options backdating, fixed income and derivative products, internal accounting controls, and supervision of domestic and international broker-dealer business units.

Representations

The Firm's principal, Thomas L. Taylor III, has served as court-appointed Receiver and as counsel to Receivers in a number of federal securities and commodities enforcement actions. He is currently serving as Receiver in a major Securities and Exchange Commission enforcement action pending in the Northern District of Texas. The Taylor Law Offices, P.C. represents litigants in the State and federal courts as well as in FINRA, AAA and JAMS securities, commodities, and employment arbitrations.  Its attorneys have represented countless individuals, registered representatives, securities firms, investment advisers and other securities industry professionals.  The Taylor Law Offices P.C. also handles FINRA member disputes, U-5 expungement actions and defamation actions. 

The Firm has extensive experience in handling regulatory inquiries initiated by the SEC, CFTC, FINRA and State regulatory authorities involving broker-dealers, registered representatives, analysts, traders, and investment advisers.  The Firm is currently active in one SEC Receivership in which Tom Taylor, the firm's principal, is the Court-appointed Receiver.

Our Philosophy

Our Firm provides effective and cost-efficient representation by understanding the goals and sensitivities of our clients.  We engage in skillful negotiation where appropriate, but deliver focused and aggressive advocacy in contested matters.  Our attorneys are committed to providing excellent legal representation and achieving our clients' goals in a cost efficient manner.

The content provided on this website is for informational purposes only and does not constitute legal advice.