· Rice University, B.A. Political Science, 2010

· The University of Texas School of Law, J.D., 2015

Trial/Arbitration Highlights

• First chair in FINRA arbitration seeking expungement of customer complaint from securities industry registration records of financial advisor. Result: The tribunal granted expungement relief, finding that the customer complaint was “factually impossible or clearly erroneous” (Denver, CO).
• Second chair in FINRA arbitration defending financial advisor against claims of breach of a non-solicitation agreement, tortious interference, and unfair competition. Result: After two weeks of evidentiary hearings, the tribunal denied all claims against the advisor and ordered the claimant to pay a significant portion of his attorneys’ fees (Dallas, TX).
• Second chair in AAA arbitration defending registered investment advisor firm against investor claims of breach of fiduciary duty, negligence, securities fraud, and violations of both California and federal securities laws. The investor sought more than $1.5 million in damages. Result: The tribunal entered a total defense verdict, denying all relief sought by the investor (San Francisco, CA).
• Second chair in a jury trial representing plaintiff manufacturer of oilfield products in suit involving claims of breach of contract, misappropriation of trade secrets, and fraud. After three days of testimony, the case settled favorably (Houston, TX).
• Second chair AAA arbitration defending minority owner in a business divorce case against claims for breach of non-solicitation covenant and misappropriation of trade secrets. The adverse party sought more than $2.5 million in damages. Result: The tribunal denied all claims against client minority owner, and the adverse party was ordered to pay attorneys’ fees (Houston, TX).
• Second chair FINRA arbitration defending energy investment banker against attempt to enforce non-compete agreement via preliminary injunction. Result: After a week of evidentiary hearings, the tribunal ruled in favor of the banker and declined to enforce the non-compete (Houston, TX).

Financial Services Litigation

FINRA Arbitration

• Involved in more than 50 FINRA arbitrations nationwide representing financial services firms and professionals.
• Lead counsel for financial advisors successfully pursuing expungement of Form U4 customer complaints in numerous states.
• Lead counsel for national broker-dealer firm in successfully recovering full balances owed on promissory notes in multiple arbitrations that were decided on the papers.
• Represented financial services firms and individuals in numerous transition disputes on both sides of the docket in FINRA arbitration.
• Represented financial services firms and individuals in numerous promissory note and deferred compensation disputes on both sides of the docket in FINRA arbitration.
• Assisted in defense of financial services firms and their advisors on issues of investment suitability, fraud, negligence, and alleged violations of state and federal securities laws

Advisor Transition Disputes

• Lead counsel representing RIA firm in litigation to enforce post-sale restrictive covenants (District Court, Harris County, TX).
• Lead counsel representing financial advisor in state court defending against breach of contract claims by former employer (District Court, Harris County, TX).
• Lead counsel representing financial advisor in temporary injunction proceedings brought by former employer (District Court, Tarrant County, TX).
• Assisted in representation of broker in preliminary injunction proceedings defending against credit union’s attempts to enforce restrictive covenants (S.D. Texas).
• Assisted in representation of RIA firm in federal court against former employee regarding misappropriation of trade secrets, including obtaining preliminary injunctive relief (N.D. Illinois).
• Assisted in representation of securities firms in investigating departing employee conduct and seeking temporary and preliminary injunctive relief in dozens of matters nationwide.
• Assisted in representation of dozens of FINRA-registered brokers and SEC-registered investment advisers in post-employment disputes, including defending against attempts to obtain temporary and preliminary injunctive relief nationwide.
• Represented financial advisors and bankers in negotiating separations from former firms, including equity buyouts, compensation, and division of assets.
• Represented financial advisor in claims before the Texas Workforce Commission regarding unpaid compensation following transition to competitor.

Commercial Litigation

Restrictive Covenants

• Lead counsel in securing temporary injunction against former employee on behalf of heavy equipment service company (District Court, Hidalgo County, TX).
• Assisted in representation of insurance company to enforce restrictive covenants against departing executive (District Court, Harris County, TX).
• Assisted in representation of engineer in suit brought by former employer regarding misappropriation of trade secrets (District Court, Montgomery County, TX).
• Assisted in litigation of post-employment restrictive covenants on behalf of both employers and employees in a wide variety of industries.

Other Matters

• Lead counsel representing business owner pursuing claims against equipment vendor for sale of faulty equipment (District Court, Harris County, TX).
• Assisted in representation of commercial real estate company in securing temporary restraining order against apartment management company (District Court, Harris County, TX).
• Assisted in representation of medical device company in preliminary injunction proceedings defending against supplier’s claim of breach of sales agreement (W.D. Michigan).

Non-Litigation Matters

Financial Services Industry

• Successfully represented broker in FINRA investigation, including on the record examination, regarding managed accounts.
• Successfully represented broker in internal investigation by compliance department.
• Assisted in representation of investment adviser firm in responding to SEC investigation regarding alleged failure to supervise.
• Represented broker-dealer in conducting due diligence on potential oil & gas investment vehicle.
• Prepared employment agreements, affiliate agreements, and client agreements for financial services industry firms.

Other Matters

• Represented international oil and gas operator in local mineral rights transaction.
• Represented engineer in negotiating severance package with petroleum exploration company.
• Represented physicians in negotiation of releases and/or buyouts from non-compete agreements.
• Texas Rising Star, 2021-2025 (recognized by Thomson Reuters, published in Texas Monthly)

• Texas Rising Star, 2021, 2022, 2023 and 2024 (recognized by Thomson Reuters, published in Texas Monthly)

In 2019, Joe delivered a CLE presentation to the Houston Bar Association’s Securities Litigation & Arbitration Section on seeking expungement of customer complaints against financial advisors through FINRA arbitration.

• Texas Bar Association
  •  Antitrust & Business Litigation Section
  •  Labor & Employment Law Section
  •  Oil, Gas, and Energy Resources Law Section
• Houston Bar Association
  • Labor & Employment Law Section
  • Securities, Litigation & Arbitration Section
  • Section Chair, 2024-2025
• Houston Young Lawyers Association

• “Morgan Stanley Broker Clears Record of Complaint J.P. Morgan Settled After He Moved,” Advisor Hub, November 10, 2022.