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John Kincade

Shareholder; Co-Chair, Securities Litigation & Enforcement

John Kincade is Co-Chair of Winstead’s Securities Litigation & Enforcement Practice Group. He practices at all levels of federal and state securities litigation, arbitration and regulatory enforcement disputes. He represents a wide range of financial services clients including brokers/dealers, investment advisers, banks, and their registered persons in complex, high stakes FINRA arbitrations, FINRA Enforcement proceedings and investigations, and SEC and State enforcement matters. He also advises privately held and publicly traded companies and their officers and directors in federal and state court securities class actions and lawsuits, and is skilled in conducting internal investigations. In addition, he counsels clients in regulatory and enforcement matters before SEC, FINRA, State Securities Board, and Texas Attorney General. 

Texas Supreme Court - Briefing Attorney

  • The Honorable Franklin S. Spears, 1986-87

Representative Experience

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

Constitutional

  • First Amendment, open meetings/open records, procurement, eminent domain and election law

Experience

  • 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.