Securities litigation and enforcement continues to be a flashpoint in American jurisprudence. The strictures of the Sarbanes-Oxley Act have only increased the premium on effective legal representation on securities issues.

Our firm has an active securities practice with experience that ranges from counseling on SEC filing preparation to appearing before the Securities & Exchange Commission. The following bullet points highlight our securities practice:

securities
  • Representation of public corporations before state securities boards, including Texas, Oklahoma, Kansas, Missouri, Wisconsin, Washington, Ohio, Virginia, Pennsylvania, and Alabama, and regional offices of the Securities & Exchange Commission (the “SEC”), including Fort Worth and Denver.

  • Extensive experience with Wells submission preparation, Regulation D, Regulation FD, and private offering investigations.

  • A collaborative team approach that fosters the free exchange of ideas and techniques while promoting responsiveness to the client through multiple points of contact.

  • Attorneys licensed in all state and federal courts in Oklahoma and Texas.

  • Experience defending securities fraud class actions, registration and exemption claims, and disclosure and offering disputes.

  • Familiarity with, and expertise in, the 1933 and 1934 Acts, the PSLRA, and SLUSA.

  • Handling of numerous securities arbitrations before the NASD, the NYSE, and FINRA including unauthorized trading, churning, unsuitability, selling away, and failure to supervise claims.

  • Significant experience affirming and/or vacating securities arbitral awards in district court.

ALTERNATIVE DISPUTE RESOLUTION

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APPELLATE PRACTICE

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BUSINESS LAW

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CRIMINAL LAW

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ESTATE PLANNING

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FAMILY LAW

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LITIGATION

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OIL AND GAS LAW

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PUBLIC ENTITIES

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REAL PROPERTY

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SECURITIES

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