Shareholder; Co-Chair, Securities Litigation & Enforcement
Texas Supreme Court - Briefing Attorney
- The Honorable Franklin S. Spears, 1986-87
Securities Litigation, Arbitration, and Enforcement
- Defense of broker/dealers, investment advisors, banks, insurance companies, and their registered persons in FINRA arbitrations and state and federal court lawsuits
- Defense of publicly traded companies and their officers and directors in federal and state court securities class actions and lawsuits
- Defense of regulatory and enforcement matters before SEC, FINRA, State Securities Board, Texas Dept. of Insurance, and Texas Attorney General
Financial Services and Lending
- Representation of banks, insurance companies, mortgage companies, and servicers, in pre-litigation strategies, workouts, co-lender issues and facility syndications, and collection litigation, including extraordinary judicial remedies such as receiverships
Business and Commercial
- Contract, partnership, business torts and fraud, SEC Receivership, and insurance regulatory litigation
Corporate and D&O
- Corporate governance, D&O fiduciary duty and indemnification, proxy disputes, and M&A litigation, including going private litigation
- First Amendment, open meetings/open records, procurement, eminent domain and election law
- Anton v. Merrill Lynch, Pierce, Fenner & Smith Incorporated and Russell Norwood, 355 S.W. 3d 251 (Tex. App. – Austin 2001, pet. denied). In a case of first impression, the appellate court held that an IRA account custodian and its employee have no duty to notify an intended beneficiary of a change in beneficiary designation made by the IRA account owner.
- In re Performance Nutrion, Inc., (Mims, Trustee v. Kennedy Capital Management, Inc., 239 B.R. 93 (N.D. Tex. Bankr. 1999)). Obtained a judgment in favor of client bankruptcy trustee on claims for breach of fiduciary duty, self dealing, failure to maximize value, and conspiracy/aiding and abetting, following a 21-day trial.
- Holley v. Kitty Hawk, Inc., 200 F.R.D. 275 (N.D. Tex. 2001). Established further parameters and requirements for notice by a proposed lead plaintiff/lead counsel in Rule 10b-5 action.
- Nat'l Converting v. Bankers Trust, 134 F. Supp. 2d 804 (N.D. Tex. 2001). In an issue of first impression, established that a non-employee/non-shareholder family member may act as a client representative of a closely held, family corporation with regard to the receipt of privileged attorney client communications.