The Taylor Law Offices



(713) 626-5320   (direct)

(713) 402-6154   (fax)





University of Texas School of Law, J.D.

Cornell University, A.B.


Bar Admissions




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



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:

  • 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.


  • Erosion of Attorney-Client Privilege In Internal Investigations: An Update,” ABA Corporate Governance Seminar, May 2008

  • "Future of Fee-Based Brokerage,” Review of Securities and Commodities Regulation, December 2007

  • "Revenue Recognition Update," Executive Enterprise Institute's Advanced SEC Reporting and Sarbanes-Oxley Compliance Seminar, April 29, 2004

  • "Revenue Recognition: Focus on 'Roundtripping' and Pro Forma Issues," SEC and FASB Reporting Symposium, April 3-4, 2003

  • “Representing a Company in a Crisis Situation: Anatomy of the Process,” Los Angeles County Bar Association, 36th Annual Securities Regulation Seminar, 2003

  • “The SEC’s Focus on Financial Fraud and Earnings Management – An Update,” Los Angeles County Bar Association, 35th Annual Securities Regulation Seminar, 2002

  • “The SEC’s Focus on Financial Fraud and Earnings Management ,” Los Angeles County Bar Association, 34th Annual Securities Regulation Seminar, 2001

  • "Q&A Online: Chat, Research," Compliance Reporter, July 31, 2000, cited in NASD Notice to Members 01-23, "Online Suitability."

  • "Recent Trends in Failure to Supervise Cases," Securities & Commodities Regulation, December 2000.






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