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(713) 626-5320 (direct)
(713) 402-6154 (fax)
Education
University of Texas
School of Law, J.D.
Cornell University,
A.B.
Bar Admissions
Texas
California
New York
Practice Areas
Securities and
Commodities Litigation
& Enforcement
Commercial
Litigation
Internal
Investigations
Professional
Affiliations
Securities
Industry and Financial
Markets Association, Compliance
& Legal
Division
Houston Bar
Association, Litigation Section, Securities Litigation &
Arbitration Section
State Bar of Texas
Business Law
Section, Securities Law Committee
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Thomas L. Taylor, III
Tom Taylor focuses
his practice on a variety of securities, commodities and commercial
litigation matters. He 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:
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Securities and Exchange Commission v. Christopher Faulkner and
Breitling Oil & Gas Corporation, Breitling Energy Corporation,
Jeremy S. Wagers, Judson F. ("Rick") Hoover, Parker R. Hallam,
Joseph Simo, Dustin Michael Miller Rodriguez, Beth C. Handkins,
Gilbert Steedley, Breitling Oil & Gas Corporation, Crude Energy,
LLC, and Patriot Energy, Inc. in the United States District
Court for the Northern District of Texas; Case No.
3:16-cv-01735-D
Tom regularly
represents financial services firms and individuals in civil actions
(including class actions), arbitrations and federal law enforcement
proceedings arising under the federal and state securities laws. He
represents public companies and their boards of directors in civil
litigation and investigations involving a broad range of fiduciary
and disclosure issues, including revenue recognition and financial
reporting. Tom has been actively involved in actions
involving mutual fund sales practices and "market timing." He has
represented public company boards of directors conducting internal
investigations under Sarbanes-Oxley.
Tom regularly represents national and regional financial services
firms and their registered representatives in private civil
litigation, as well as in litigation and enforcement proceedings
involving the SEC, FINRA and other securities regulatory bodies. He
has testified as an expert witness in the United States District
Court and in arbitration.
Before entering private practice, Tom served as Assistant Regional
Administrator of the Fort Worth Region of the Securities and
Exchange Commission and headed the Commission’s Houston branch
office. He also served as Assistant General Counsel of the Commodity
Futures Trading Commission and as an attorney in the Office of
General Counsel of the SEC in Washington, D.C.
Publications
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Erosion of Attorney-Client Privilege In Internal Investigations:
An Update,” ABA Corporate Governance Seminar, May 2008
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"Future
of Fee-Based Brokerage,” Review of Securities and
Commodities Regulation, December 2007
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"Revenue Recognition Update," Executive Enterprise Institute's
Advanced SEC Reporting and Sarbanes-Oxley Compliance Seminar,
April 29, 2004
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"Revenue Recognition: Focus on 'Roundtripping' and Pro Forma
Issues," SEC and FASB Reporting Symposium, April 3-4, 2003
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“Representing a Company in a Crisis Situation: Anatomy of the
Process,” Los Angeles County Bar Association, 36th Annual
Securities Regulation Seminar, 2003
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“The SEC’s Focus on Financial Fraud and Earnings Management – An
Update,” Los Angeles County Bar Association, 35th Annual
Securities Regulation Seminar, 2002
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“The SEC’s Focus on Financial Fraud and Earnings Management ,”
Los Angeles County Bar Association, 34th Annual Securities
Regulation Seminar, 2001
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"Q&A Online: Chat, Research," Compliance Reporter, July 31,
2000, cited in
NASD Notice to Members 01-23,
"Online Suitability."
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"Recent Trends in Failure to Supervise Cases," Securities &
Commodities Regulation, December 2000.
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