People* Names that appear with an asterisk indicate a Winstead professional not admitted to practice law. IndustriesPracticesBlogs- 10.02.24Author David F. Johnson Makes 2024 Texas Super Lawyers® Top 100 Texas Super Lawyers List
- Author David F. Johnson Makes 2024 Texas Super Lawyers® Top 100 Texas Super Lawyers List(10.02.24)
- 09.26.24Update to the Qualified Professional Asset Manager Exemption (QPAM)
- Update to the Qualified Professional Asset Manager Exemption (QPAM)(09.26.24)
- 02.22.24SEC and DOJ Charge Founder and Promoters of "HyperFund" with $1.7 Billion Crypto Pyramid and Ponzi Scheme
- SEC and DOJ Charge Founder and Promoters of "HyperFund" with $1.7 Billion Crypto Pyramid and Ponzi Scheme(02.22.24)
- 01.05.24Judge Rules That Terraform's Crypto Assets Are Securities
- Judge Rules That Terraform's Crypto Assets Are Securities(01.05.24)
- 12.07.23SEC Charges Real Estate Fund Adviser with Misappropriating $35 Million and Later Manipulating the Market in a Fake Tender Offer to Acquire WeWork
- SEC Charges Real Estate Fund Adviser with Misappropriating $35 Million and Later Manipulating the Market in a Fake Tender Offer to Acquire WeWork(12.07.23)
- 09.01.23A Potential Big Win for Bitcoin: A Federal Court Overturned the SEC's Refusal to List a Spot Bitcoin ETF
- A Potential Big Win for Bitcoin: A Federal Court Overturned the SEC's Refusal to List a Spot Bitcoin ETF(09.01.23)
- 08.01.23Federal Court in Terraform Labs Rejects Ripple Decision
- Federal Court in Terraform Labs Rejects Ripple Decision(08.01.23)
- 07.28.23Ripple's Legal Waves: Ripple Summary Judgment Ruling Could Have Wide-Ranging Impact
- Ripple's Legal Waves: Ripple Summary Judgment Ruling Could Have Wide-Ranging Impact(07.28.23)
- 07.10.23SEC and DOJ Go On An Insider-Trading Enforcement Spree
- SEC and DOJ Go On An Insider-Trading Enforcement Spree(07.10.23)
- 02.08.23SEC Probes into Advisers' Compliance with the Custody Rule for Digital Assets
- SEC Probes into Advisers' Compliance with the Custody Rule for Digital Assets(02.08.23)
- 01.12.23SEC Files Subpoena Enforcement Action Against Covington & Burling, Seeking Names of Clients Impacted by Chinese State-Sponsored Cyberattack
- SEC Files Subpoena Enforcement Action Against Covington & Burling, Seeking Names of Clients Impacted by Chinese State-Sponsored Cyberattack(01.12.23)
- 10.13.22Financial Regulators Focus on Preservation of Ephemeral Messaging
- Financial Regulators Focus on Preservation of Ephemeral Messaging(10.13.22)
- 09.26.22SEC Charges Public Company Executives with Insider Trading Despite Trading Through Purported Rule 10b5-1 Trading Plans
- SEC Charges Public Company Executives with Insider Trading Despite Trading Through Purported Rule 10b5-1 Trading Plans(09.26.22)
- 09.12.22Florida District Court Permits the SEC to Pay Disgorgement to the US Treasury Where Victims of the Fraud Could not be Identified
- Florida District Court Permits the SEC to Pay Disgorgement to the US Treasury Where Victims of the Fraud Could not be Identified(09.12.22)
- 05.04.22SEC Expands and Renames Cyber Unit to "Crypto Assets and Cyber Unit"
- SEC Expands and Renames Cyber Unit to "Crypto Assets and Cyber Unit"(05.04.22)
- 04.07.22The PCAOB Brings First Failure-To-Supervise Case
- The PCAOB Brings First Failure-To-Supervise Case(04.07.22)
- 03.18.22SEC Settles Municipal Bond Fraud Case Against Texas School District and Former CFO, and Suspends External Auditor
- SEC Settles Municipal Bond Fraud Case Against Texas School District and Former CFO, and Suspends External Auditor(03.18.22)
- 01.21.22SEC Complaint Upheld in Rare - But Not Unprecedented - Shadow Trading Case
- SEC Complaint Upheld in Rare - But Not Unprecedented - Shadow Trading Case(01.21.22)
- 01.07.22SEC's Fort Worth Regional Office Investigating Underwriter Disclosures on Environmental, Social, and Governance Issues
- SEC's Fort Worth Regional Office Investigating Underwriter Disclosures on Environmental, Social, and Governance Issues(01.07.22)
- 12.20.21SEC and DOJ Bring Parallel Civil and Criminal Charges Against Five Russians for $82 Million Hack-And-Trade Scheme
- SEC and DOJ Bring Parallel Civil and Criminal Charges Against Five Russians for $82 Million Hack-And-Trade Scheme(12.20.21)
- 10.06.21SEC Charges Case Featuring Alleged Wash Sales Involving Options of "Meme Stocks"
- SEC Charges Case Featuring Alleged Wash Sales Involving Options of "Meme Stocks"(10.06.21)
- 09.17.21SEC and DOJ Bring Parallel Cases Alleging $8 Million Serial Insider-Trading Scheme
- SEC and DOJ Bring Parallel Cases Alleging $8 Million Serial Insider-Trading Scheme(09.17.21)
- 08.16.21SEC Increases Financial Thresholds for Qualified Clients
- SEC Increases Financial Thresholds for Qualified Clients(08.16.21)
- 07.14.21SEC Brings Significant SPAC Enforcement Action
- SEC Brings Significant SPAC Enforcement Action(07.14.21)
- 06.22.21SEC Conducts Sweep of Customers Impacted by SolarWinds Cyber Breach
- SEC Conducts Sweep of Customers Impacted by SolarWinds Cyber Breach(06.22.21)
- 05.27.21SEC Brings "Naked Short Selling" Case
- SEC Brings "Naked Short Selling" Case(05.27.21)
- 04.07.21SEC Investment Advisers: Texas says "April Fools!" to Federal Preemption?
- SEC Investment Advisers: Texas says "April Fools!" to Federal Preemption?(04.07.21)
- 03.26.21SPACs in the Spotlight: Skyrocketing Deal Volume Invites Regulatory Scrutiny
- SPACs in the Spotlight: Skyrocketing Deal Volume Invites Regulatory Scrutiny(03.26.21)
- 03.10.21What Investment Advisers and Fund Managers can Expect from the SEC Under the Biden Administration
- What Investment Advisers and Fund Managers can Expect from the SEC Under the Biden Administration(03.10.21)
- 02.08.21What to Expect from the SEC Under the Biden Administration
- What to Expect from the SEC Under the Biden Administration(02.08.21)
- 02.02.21When PPP met OBA - An Investigation was Born
- When PPP met OBA - An Investigation was Born(02.02.21)
- 01.06.21Four Things You Need to Know About the Extended Limitations Period for SEC Disgorgement
- Four Things You Need to Know About the Extended Limitations Period for SEC Disgorgement(01.06.21)
- 11.16.20SEC Adopts Amendments to "Accredited Investor" Definition
- SEC Adopts Amendments to "Accredited Investor" Definition(11.16.20)
- 09.25.20Achieving Diversity and Inclusion within the Securities and Financial Management Industry and its Legal Partners
- Achieving Diversity and Inclusion within the Securities and Financial Management Industry and its Legal Partners(09.25.20)
- 09.04.20Charges Against Marble Ridge Capital Founder Illustrate the Pitfalls That Await Members of Unsecured Creditors' Committees Who Ignore Their Fiduciary Duties
- Charges Against Marble Ridge Capital Founder Illustrate the Pitfalls That Await Members of Unsecured Creditors' Committees Who Ignore Their Fiduciary Duties(09.04.20)
- 06.25.20Supreme Court Affirms SEC's Authority to Obtain Disgorgement, But Recognizes Limits on Such Relief
- Supreme Court Affirms SEC's Authority to Obtain Disgorgement, But Recognizes Limits on Such Relief(06.25.20)
- 05.14.20Don't Cry (or Lie) Over Skim Milk: SEC Charges Ron Swanson with Securities Fraud
- Don't Cry (or Lie) Over Skim Milk: SEC Charges Ron Swanson with Securities Fraud(05.14.20)
- 04.15.20What a Business Should Know Before Triggering a MAC Clause Based on COVID-19
- What a Business Should Know Before Triggering a MAC Clause Based on COVID-19(04.15.20)
- 04.06.20Fraud in the Time of Covid-19
- Fraud in the Time of Covid-19(04.06.20)
- 04.03.20The SEC Opts Not to Extend Reg BI and Form CRS Compliance Deadline
- The SEC Opts Not to Extend Reg BI and Form CRS Compliance Deadline(04.03.20)
- 04.03.20RIAs & Advisors Consider CARES Act PPP Loan Participation: Getting the Application Right Takes Diligence
- RIAs & Advisors Consider CARES Act PPP Loan Participation: Getting the Application Right Takes Diligence(04.03.20)
- 03.16.20The SEC Grants Temporary Relief Due to the Coronavirus COVID-19 Pandemic
- The SEC Grants Temporary Relief Due to the Coronavirus COVID-19 Pandemic(03.16.20)
- 03.11.20SEC Proposes to Update "Accredited Investor" Definition
- SEC Proposes to Update "Accredited Investor" Definition(03.11.20)
- 02.27.20Steven Seagal is not "Above the Law" in Crypto Scalping Case
- Steven Seagal is not "Above the Law" in Crypto Scalping Case(02.27.20)
- 02.21.20Risky Business: How Departing Brokers Can Unintentionally Trip Reg. BI
- Risky Business: How Departing Brokers Can Unintentionally Trip Reg. BI(02.21.20)
- 01.09.20It's the Final Countdown: Being Prepared for Regulation Best Interest
- It's the Final Countdown: Being Prepared for Regulation Best Interest(01.09.20)
- 06.25.19Fifth Circuit Overturns Receiver's Settlement Barring Third-Party Claims Against Stanford Financial Insurers
- Fifth Circuit Overturns Receiver's Settlement Barring Third-Party Claims Against Stanford Financial Insurers(06.25.19)
- 06.21.19An RIA'S Communications with Attorney Consultants Associated with its Outside Compliance Firm are Always Privileged, RIGHT? Well, That Depends . . .
- An RIA'S Communications with Attorney Consultants Associated with its Outside Compliance Firm are Always Privileged, RIGHT? Well, That Depends . . .(06.21.19)
- 06.18.19Audit Firm to Pay $50 Million Penalty for Using Information Pilfered From PCAOB
- Audit Firm to Pay $50 Million Penalty for Using Information Pilfered From PCAOB(06.18.19)
- 04.26.19Freight Company Charged with Truckload of Accounting Fraud
- Freight Company Charged with Truckload of Accounting Fraud(04.26.19)
- 04.08.19Janus Meets Its Maker: The Supreme Court Expands Primary Liability in Lorenzo v. SEC
- Janus Meets Its Maker: The Supreme Court Expands Primary Liability in Lorenzo v. SEC(04.08.19)
- 03.18.19You WILL (not May) Face the Heat
- You WILL (not May) Face the Heat(03.18.19)
- 02.26.19What You Should Know About FINRA's Exam Priorities for 2019
- What You Should Know About FINRA's Exam Priorities for 2019(02.26.19)
- 02.22.19Update: The EB-5 Program Has Been Renewed . . . For Now
- Update: The EB-5 Program Has Been Renewed . . . For Now(02.22.19)
- 02.18.19529 Problems, but FINRA Ain't One
- 529 Problems, but FINRA Ain't One(02.18.19)
- 02.18.19Attorney Responsible for Insider-Trading Compliance Faces Charges of…Insider Trading
- Attorney Responsible for Insider-Trading Compliance Faces Charges of…Insider Trading(02.18.19)
- 01.16.19Cybersecurity: Don't Become a Different Kind of Victim
- Cybersecurity: Don't Become a Different Kind of Victim(01.16.19)
- 12.05.18Will the EB-5 Program Be Renewed, Altered or Abolished?
- Will the EB-5 Program Be Renewed, Altered or Abolished?(12.05.18)
- 11.08.18Federal Court Evaluates When Cryptocurrency May Constitute a Security in a Criminal Case
- Federal Court Evaluates When Cryptocurrency May Constitute a Security in a Criminal Case(11.08.18)
- 10.23.18SEC Enforces Identity Theft Red Flags Rule for the First Time: What it Means for Texas Businesses
- SEC Enforces Identity Theft Red Flags Rule for the First Time: What it Means for Texas Businesses(10.23.18)
- 10.08.18Investment Advisers and Fee Disclosures
- Investment Advisers and Fee Disclosures(10.08.18)
- 10.08.18Massachusetts Heats up Fiduciary Rule Discussion with Cold-blooded Enforcement
- Massachusetts Heats up Fiduciary Rule Discussion with Cold-blooded Enforcement(10.08.18)
- 10.16.17Presentation: Temporary Injunctive Relief in Texas (Tarrant County Bar Association)
- Presentation: Temporary Injunctive Relief in Texas (Tarrant County Bar Association)(10.16.17)
EventsPublications- 04.20.22The PCAOB brings first failure-to-supervise case
- The PCAOB brings first failure-to-supervise case(04.20.22)
- 03.01.22ICC FraudNet Global Annual Report, Using Receiverships to Investigate and Combat Fraud (Co-Author)
- ICC FraudNet Global Annual Report, Using Receiverships to Investigate and Combat Fraud (Co-Author)(03.01.22)
- 11.01.21Diversity, Equity & Inclusion Spotlight: Omar J. Alaniz, State Bar of Texas Bankruptcy Section Newsletter
- Diversity, Equity & Inclusion Spotlight: Omar J. Alaniz, State Bar of Texas Bankruptcy Section Newsletter
(11.01.21)
- 10.01.21What Texas Bankruptcy Judges Wish You Knew About Virtual Hearings, State Bar of Texas Bankruptcy Section Newsletter (Co-Authored)
- What Texas Bankruptcy Judges Wish You Knew About Virtual Hearings, State Bar of Texas Bankruptcy Section Newsletter (Co-Authored)
(10.01.21)
- 03.01.21Judicial Profile: The Honorable E. Lee Morris, U.S. Bankruptcy Judge for the Northern District of Texas, Fort Worth Division, State Bar of Texas Bankruptcy Section Newsletter
- Judicial Profile: The Honorable E. Lee Morris, U.S. Bankruptcy Judge for the Northern District of Texas, Fort Worth Division, State Bar of Texas Bankruptcy Section Newsletter(03.01.21)
- 11.16.20Ponzi Ruling Complicates Texas Fraudulent Transfer Litigation (Co-Author)
- Ponzi Ruling Complicates Texas Fraudulent Transfer Litigation (Co-Author)(11.16.20)
- 10.23.20Business Bankruptcy Case Developments–2020 and 2021, Annual Jay L. Westbrook Bankruptcy Conference (UTCLE) (Co-Author)
- Business Bankruptcy Case Developments–2020 and 2021, Annual Jay L. Westbrook Bankruptcy Conference (UTCLE) (Co-Author)
(10.23.20)
- 09.04.20Charges Against Marble Ridge Capital Founder Illustrate the Pitfalls That Await Members of Unsecured Creditors’ Committees Who Ignore Their Fiduciary Duties, Winstead Securities Litigation and Regulatory Enforcement
- Charges Against Marble Ridge Capital Founder Illustrate the Pitfalls That Await Members of Unsecured Creditors’ Committees Who Ignore Their Fiduciary Duties, Winstead Securities Litigation and Regulatory Enforcement(09.04.20)
- 07.08.20Surviving Chapter 11 Business Bankruptcy During Covid-19, State Bar of Texas Bankruptcy Section’s Covid-19 Legal Resources
- Surviving Chapter 11 Business Bankruptcy During Covid-19, State Bar of Texas Bankruptcy Section’s Covid-19 Legal Resources(07.08.20)
- 02.20.20Governmental Immunity Update, 35th Annual School Law Conference, The University of Texas Law School, Austin, TX (Co-Authored)
- Governmental Immunity Update, 35th Annual School Law Conference, The University of Texas Law School, Austin, TX (Co-Authored)(02.20.20)
- 10.03.19Stipulated Judgements Surviving Bankruptcy, State Bar of Texas Bankruptcy Law Section Newsletter
- Stipulated Judgements Surviving Bankruptcy, State Bar of Texas Bankruptcy Law Section Newsletter
(10.03.19)
- 03.19.18Businesses, Technology, and the Law
- Businesses, Technology, and the Law(03.19.18)
- 03.06.18Texas Litigation Since the Plunge in Oil Prices
- Texas Litigation Since the Plunge in Oil Prices(03.06.18)
- 02.21.18Massachusetts Heats up Fiduciary Rule Discussion with Cold-blooded Enforcement
- Massachusetts Heats up Fiduciary Rule Discussion with Cold-blooded Enforcement(02.21.18)
- 02.06.18Businesses Hunt for Coverage for Hurricane Harvey Flooding
- Businesses Hunt for Coverage for Hurricane Harvey Flooding(02.06.18)
- 09.10.17Don’t Go Near the Water: Following the Fate of the Clean Water Rule, 55 Duquesne Law Review 247, Winter 2017
- Don’t Go Near the Water: Following the Fate of the Clean Water Rule, 55 Duquesne Law Review 247, Winter 2017(09.10.17)
- 11.13.15Interpreting Arbitration Agreements: Two Key Points from Recent Texas Supreme Court Decisions
- Interpreting Arbitration Agreements: Two Key Points from Recent Texas Supreme Court Decisions(11.13.15)
Speeches- 04.24.23The Baby-Boomer Generation & The Largest Succession of Wealth in History: The New Frontier in Asset Recovery (Co-Presenter)
- The Baby-Boomer Generation & The Largest Succession of Wealth in History: The New Frontier in Asset Recovery (Co-Presenter)(04.24.23)
- 04.20.23When One Is Not Enough: Dividing Fiduciary Powers and Dispositions, 29th Advanced Estate Planning Strategies
- When One Is Not Enough: Dividing Fiduciary Powers and Dispositions, 29th Advanced Estate Planning Strategies(04.20.23)
- 08.17.22Defending Defects, Part II: Implementing a Comprehensive Defense Strategy to Resolve Construction Defect Claims
- Defending Defects, Part II: Implementing a Comprehensive Defense Strategy to Resolve Construction Defect Claims(08.17.22)
- 11.01.21What’s the Plan: Chapter 11, State Bar of Texas Bankruptcy Section Starting Out Right (Co-Presented)
- What’s the Plan: Chapter 11, State Bar of Texas Bankruptcy Section Starting Out Right (Co-Presented)
(11.01.21)
- 01.09.21Inspire & Innovate Women Leaders Month, Islamic Society of Greater Houston (Panelist)
- Inspire & Innovate Women Leaders Month, Islamic Society of Greater Houston (Panelist)
(01.09.21)
- 12.15.20The Basics of the False Claims Act, STARK, and Anti-Kickback Statute and Recent Regulatory Developments, Austin Bar Association, Health Law Section Remote CLE
- The Basics of the False Claims Act, STARK, and Anti-Kickback Statute and Recent Regulatory Developments, Austin Bar Association, Health Law Section Remote CLE(12.15.20)
- 10.06.20Drafting to Win: Contract Drafting Strategies Designed to Withstand the Rigors of Litigation, Dallas Bar Corporate Counsel Section, Virtual (Moderator)
- Drafting to Win: Contract Drafting Strategies Designed to Withstand the Rigors of Litigation, Dallas Bar Corporate Counsel Section, Virtual (Moderator)(10.06.20)
- 09.18.20Tips to Avoid Lender Liability, WABC Annual Convention/TBA Bankers Legal, Virtual
- Tips to Avoid Lender Liability, WABC Annual Convention/TBA Bankers Legal, Virtual(09.18.20)
- 09.17.20Pre-trial Receiverships, WABC Annual Convention/TBA Bankers Legal, Virtual
- Pre-trial Receiverships, WABC Annual Convention/TBA Bankers Legal, Virtual(09.17.20)
- 10.01.15Hydraulic Fracturing Regulation: Why the Federal Government Should Follow the Texas Model, Thurgood Marshall School of Law 2015 Energy Symposium
- Hydraulic Fracturing Regulation: Why the Federal Government Should Follow the Texas Model, Thurgood Marshall School of Law 2015 Energy Symposium(10.01.15)
- 07.25.14Ethics Session: The Not So Unique Ethical Issues Facing Class Action Defense Counsel
- Ethics Session: The Not So Unique Ethical Issues Facing Class Action Defense Counsel (07.25.14)
- 04.01.08Federal Income Tax Implications of Business Litigation, Presentation to the Winstead PC Business Litigation Practice Group
- Federal Income Tax Implications of Business Litigation, Presentation to the Winstead PC Business Litigation Practice Group(04.01.08)
- 01.01.06Trial, Tactics & Technology: Where Business, Litigation and Litigation Support Intersect, 18th Annual General Counsel Forum, ALM, New York
- Trial, Tactics & Technology: Where Business, Litigation and Litigation Support Intersect, 18th Annual General Counsel Forum, ALM, New York(01.01.06)
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