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Securities Litigation, Arbitration and Enforcement

Securities Litigation

Controversies surrounding securities can arise between the issuing company and its shareholders, or between broker-dealers and their customers.  Mr. Ebaugh vigorously represents plaintiffs and defendants in securities litigation, including actions for misstatements or omissions, failure to register, aiding and abetting, and control person liability.  Mr. Ebaugh’s notable representations in this practice area include the following:

  • Successfully defended California-based broker-dealer in securities fraud lawsuit.  On behalf of the broker-dealer, Mr. Ebaugh filed an anti-SLAPP motion to dismiss plaintiff’s claims.  In response, the plaintiff promptly dismissed all of his claims against the broker-dealer.
  • Defended Texas-based company and two of its officers in a multi-million dollar securities fraud case brought by an institutional investor in the United States District Court for the Eastern District of New York.  After completion of the initial phase of discovery, the parties reached a settlement and the case was dismissed.
  • Secured summary judgment for a biotech company against a plaintiff alleging entitlement to a $10 million finder’s fee.
  • Secured summary judgment for investor against a company that had sold him securities in violation of the Texas Securities Act.
  • Special counsel to Texas county in connection with its claims against two brokerage firms for excessive markups.  After threatening to file suit, the claims were settled.


Securities Arbitration

Approximately two-thirds of all securities arbitrations are between broker-dealers and their clients.  The most common allegations of misconduct by a broker or a brokerage firm are:

  • Account overtrading (churning)
  • Unauthorized trading
  • Market manipulation
  • Mutual fund share class violations
  • Negligence
  • Breach of fiduciary duty
  • Omission of facts
  • Misrepresentation/fraud
  • Breach of contract
  • Unsuitability
  • Failure to supervise

Mr. Ebaugh’s notable representation in this practice area include the following:

  • Won monetary awards for investors who pursued securities claims through final hearings in FINRA arbitration.
  • Co-counsel for 31 investors in an ad hoc arbitration against two limited liability companies and their managers.  Claims include fraud, breach of fiduciary duty, and unjust enrichment.


Securities Enforcement

Mr. Ebaugh vigorously defends companies, financial services firms, and their employees in investigations and enforcement proceedings brought by the Securities and Exchange Commission (SEC), the Financial Industry Regulatory Authority (FINRA), and the Texas State Securities Board.  Matters handled by Mr. Ebaugh have involved a broad range of issues, including securities fraud, insider trading, undisclosed outside business activities, private securities transactions, books and records violations, and Form U4 disclosure violations.

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Our Office
  • Houston Office
    3730 Kirby Drive, Ste 1200
    Houston, Texas 77098
    Phone: 713-752-0700
    Fax: 713-739-0500