SECURITIES AND CORPORATE LITIGATION

Our securities and commodities litigation and arbitration experience includes virtually all areas of substance -- from routine to extraordinary. Our ability to handle private client litigation is buttressed by our depth in related regulatory and enforcement matters.  Our attorneys have handled countless litigation matters (including class actions) and arbitrations on behalf of financial services firms and individuals before the Financial Industry Regulatory Authority (FINRA) and other dispute resolution forums in a wide range of sales practice disputes including:

Fraud

Suitability

Unauthorized Trading

Churning

Research

Discretionary Accounts

Third-Party Investment Managers

Annuities

Selling-Away

Failure to Supervise

Best-Execution

Reparations under the Commodity Exchange Act

SECURITIES & COMMODITIES REGULATORY & ENFORCEMENT

The Firm has decades of experience in handling regulatory and enforcement matters on behalf of national and regional financial services firms and their registered professionals.  Representative regulatory and enforcement representations include:

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., Case No. 3:16-cv-01735-D in the United States District Court for the Northern District of Texas.

Court-appointed Receiver in a federal securities enforcement action filed by the SEC presently pending in the Western District of District of Texas. Securities and Exchange Commission v. Robert A. Helms, Janniece S. Kaelin, Deven Sellers, Roland Barrera, Vendetta Royalty Partners, LTD, Vendetta Royalty Management, LLC, Vesta Royalty Partners, LP, Vesta Royalty Management, LLC, Iron Rock Royalty Partners, LP, Iron Rock Royalty Management, LLC, Arcady Resources LLC, Barefoot Minerals, G.P., G3 Minerals, LLC, Haley Oil Company, Inc., Lake Rock, LLC, Sebud Minerals, LLC, Technicolor Minerals, G.P., Defendants, and William L. Barlow and Global Capital Ventures, LLC, Relief Defendants; Case No. 1:13-cv-1036; United States District Court for the Western District of Texas, Austin Division

Court-appointed Receiver in a federal securities enforcement action filed by the SEC presently pending in the Southern District of Texas. Securities and Exchange Commission v. Evolution Capital Advisors, LLC, Evolution Investment Group I, LLC and Damian Omar Valdez; Case No. 4:11-cv-02945; United States District Court for the Southern District of Texas, Houston Division.

Court-appointed Receiver in a federal securities enforcement action filed by the SEC presently pending in the Southern District of Texas.  Securities and Exchange Commission v. Albert Fase Kaleta and Kaleta Capital Management, Inc.; Case No. 4:09-cv-3674; United States District Court for the Southern District of Texas, Houston Division.

Court-appointed Receiver in a consolidated SEC and CFTC federal securities enforcement action in the Southern District of Texas.  Securities and Exchange Commission and Commodity Futures Trading Commission v. PrivateFX Global One, Ltd., 36 Holdings, Ltd., Robert D. Watson and Daniel J. Petroski; Case No. 4:09-cv-1540; United States District Court for the Southern District of Texas, Houston Division.

Representation of senior executive of Stanford Financial Group in Securities and Exchange Commission and related enforcement matters.

Representation of a national brokerage firm in a regulatory matter concerning alleged sales practice and supervisory violations in its Houston branch office.

Representation of a national brokerage firm in a regulatory matter concerning alleged sales practice and supervisory violations in its San Antonio/Corpus Christi complex.

Representation of a national brokerage firm in a regulatory matter, national in scope, concerning the Firm's fixed income trading desk and related policies and supervisory procedures.

Representation of a national brokerage firm in an internal investigation concerning the Firm's sales practices and related policies and supervisory procedures concerning the sale of closed-end funds and equity-linked notes.

Representation of a national brokerage firm in a regulatory matter concerning certain allegedly deficient policies and supervisory procedures related to its international office based in Houston.

Representation of a national brokerage firm in connection with a regulatory investigation regarding sales practices and supervisory procedures related to the offer and sale of direct investment programs and dividend reinvestment programs.

Representation of a Texas-based broker-dealer in connection with a nationwide "sweep" investigation regarding mutual fund "share class" sales practice issues and reporting violations.

Representation of a national brokerage firm in a national regulatory "sweep" regarding late-filing of registration and other regulatory documents.

Representation of an off-shore broker-dealer in an SEC enforcement action alleging the internet-based offer and sale of securities in violation of the registration provisions of the Securities Act of 1933 and the broker-dealer registration provisions of the Securities Exchange Act of 1934.

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