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 counsels (GCs) and directors and officers (D&Os) throughout Texas and across the nation. Learn more

Our Team

John Kincade

jkincade@winstead.com
214.745.5707

John Kincade is a member of Winstead’s Business Litigation and Securities Litigation & Enforcement Practice Groups. John represents public companies and their officers and directors in federal and state court securities class actions and law suits. Read More

John's Linkedin Profile

Ronak V. Patel

rvpatel@winstead.com
512.370.2892

Ronak Patel is a member of Winstead’s Litigation Practice Group and Securities Litigation & Enforcement Practice Group. He focuses on a wide range of securities regulatory and litigation matters. Read More

Ronak's Linkedin Profile

Toby M. Galloway

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

Toby M.'s Linkedin Profile

Jamie Lacy

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

General Counsel & D&O

Charges Against Marble Ridge Capital Founder Illustrate the Pitfalls That Await Members of Unsecured Creditors’ Committees Who Ignore Their Fiduciary Duties

On September 3, 2020, the Securities & Exchange Commission charged Daniel Kamensky with abusing his fiduciary position as co-chair of the Neiman Marcus Group Unsecured Creditors’ Committee by pressuring a…

Continue Reading Charges Against Marble Ridge Capital Founder Illustrate the Pitfalls That Await Members of Unsecured Creditors’ Committees Who Ignore Their Fiduciary Duties

Broker Dealer, General Counsel & D&O, Investment Adviser

Supreme Court Affirms SEC’s Authority to Obtain Disgorgement, But Recognizes Limits on Such Relief

Earlier this week, a near-unanimous[1] United States Supreme Court issued its much anticipated ruling on the SEC’s ability to obtain disgorgement of ill-gotten gains in cases involving securities fraud…

Continue Reading Supreme Court Affirms SEC’s Authority to Obtain Disgorgement, But Recognizes Limits on Such Relief

Broker Dealer, General Counsel & D&O, Investment Adviser

Don’t Cry (or Lie) Over Skim Milk: SEC Charges Ron Swanson with Securities Fraud

Ron Swanson once stated, “There’s only one thing I hate worse than lying—skim milk, which is water that’s lying about being skim milk.”

Today the SEC announced that it has…

Continue Reading Don’t Cry (or Lie) Over Skim Milk: SEC Charges Ron Swanson with Securities Fraud

Securities Litigation and Regulatory Enforcement