Securities / Arbitration:
Hundreds of successful resolutions

The firm has an active and sophisticated securities litigation and arbitration practice, representing major Wall Street and regional financial institutions and their brokers in investment banking and retail brokerage disputes as well as in regulatory proceedings before the SEC, NASD, NYSE and the State of Texas and employment matters.

We enjoy taking on difficult liability cases on short notice in Texas and other states and, in certain select matters involving significant damages, we represent investors in bad investment disputes.

The firm also represents shareholders, officers and directors in corporate mismanagement and fraudulent conveyance controversies.

Our experience includes:

• Handling more than 250 brokerage litigation and arbitration cases in Texas and elsewhere involving investment products of all kinds, including exchange listed and OTC stocks, investment grade and high yield corporate and government bonds, stock and index options, mortgage-backed securities and derivatives, limited partnerships, commodities, mutual funds and managed money portfolios;
• Successfully defended brokers in NASD, SEC and state license and regulatory proceedings;
• Consultation and litigation in more than 50 matters involving employment issues, such as trade secrets and covenants-not-to-compete, U-5 and U-4 defamation and discrimination;
• Numerous liability suits with multimillion dollar damages. Examples include successful defenses in a 100-day, $12 million arbitration involving high yield bonds on margin, brought by multiple foreign claimants; a financial malpractice suit involving a $100 million bond offering; and a major lender liability action alleging damages of more than $70 million;
• Argument of securities cases before the Court of Appeals and Texas Supreme Court.