About Us
The Securities Litigation and Regulatory Enforcement resource Web site provides legal news, trends, and insights into navigating the complexities of the Securities Exchange Commission (SEC), U.S. Department of Justice (DOJ), Financial Industry Regulatory Authority (FINRA), Texas State Securities Board, and other state securities regulators. This is a go-to resource for broker dealers (BDs), investment advisers (IAs), general counsel (GCs) and directors and officers (D&Os) throughout Texas and across the nation. Learn more
Our Team
tgalloway@winstead.com
817.420.8262
Toby Galloway is Co-Chair of Winstead’s Securities Litigation & Enforcement Practice Group. He also practices in the areas of white-collar defense, governmental & internal investigations… Read More
rvpatel@winstead.com
512.370.2892
Ronak V. Patel is Co-Chair of Winstead’s Securities Litigation & Enforcement Practice Group. He focuses on a wide range of securities regulatory and litigation matters. Read More
mkleinsasser@winstead.com
817.420.8281
Matthias Kleinsasser is a seasoned litigator with experience in federal district court, bankruptcy court, and Texas state court. He regularly represents officers, directors, and other clients involved in private securities litigation, as well as in investigations brought by regulatory agencies. Read More.
jlacy@winstead.com
817.420.8274
Jamie Lacy is a member of Winstead’s Business Litigation Practice Group. Jamie’s Business Litigation Practice focuses on securities litigation and enforcement, white collar-defense, and governmental and internal investigations. Read More
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Blog Posts
The dust has settled on the 2020 election, and the Biden administration has begun pressing forward with its policy objectives. Critical to achieving such objectives is the Democrats’ control of…
Continue Reading What to Expect from the SEC Under the Biden AdministrationThe government cannot take action against abuses of the various aid programs associated with the CARES Act without first identifying abuses. In a recent round of inquiries, FINRA sent requests…
Continue Reading When PPP met OBA – An Investigation was BornThe Securities and Exchange Commission’s disgorgement powers have made legal headlines a couple of times over the last few years – most notably, with the U.S. Supreme Court’s decisions in…
Continue Reading Four Things You Need to Know About the Extended Limitations Period for SEC Disgorgement