Top best Securities Lawyers Near me in ZIP 78746

Roland provides legal advice to businesses with respect to their formation, growth, and operations. In his practice, Roland has represented multi-billion dollar pension funds, both start-up and seasoned hedge fund and investment managers, consumer product good companies, restaurants, and real estate investment funds. He also has developed expertise in the area of crowdfunding, which includes the offer and sale of securities through the internet using general solicitation and advertising. In all of these representations, the recurring theme of Roland’s practice is helping clients raise capital to fund their business operations and investment strategies. His practice centers around the sale and issuance of securities in an efficient manner that ensures full and adequate disclosure to investors to minimize the potential future liability for fraud claims.. Roland began his career at the international law firm of Baker & McKenzie in Dallas, representing large corporate taxpayers before the Internal Revenue Service. Following his time in Dallas, he moved home to Austin to join the Palo Alto, California-based law firm, Wilson Sonsini Goodrich & Rosati, representing early stage technology companies and investment funds in connection with private equity and debt financings. He later served as an associate attorney in the Austin office of Winstead Sechrest & Minick in its corporate and securities section. Representations included private equity and debt financings, mergers and acquisitions, and public company Securities Exchange Act compliance. Additionally, his representations included federal and state income tax planning in connection with the foregoing transactions.. Roland later served as general counsel and chief compliance officer to a fund-of- hedge funds manager in Austin, Texas with $1 billion (2006) under management, and assistant general counsel to a public pension fund in Austin, Texas with over $100 billion under management (2011).. Roland has four children: Cormac, Ava, Ella, and Coen. In his free time, he loves to write poetry, swim, practice yoga, and freedive.

Mr. Pugh was born and raised in Austin, Texas and has resided in the area for the last 40 years. He received his Bachelor of Business Administration in Management Information Systems from the University of Texas in 1999. He received his law degree from the University of Texas and was licensed to practice law in the State of Texas in 2005 and before the U.S. District Court, Western District of Texas in 2005 as well.Mr. Pugh began his legal career with Slater Kennon & Jameson in 2002, while still a student at the University of Texas Law School. Since that time, he has concentrated his practice in the area of civil litigation with primary emphasis in the areas of commercial litigation, collections, real estate, and consumer protection (DTPA).Mr. Pugh practices in state and federal courts and is a member of the State Bar of Texas, Travis County Bar Association, and Texas Young Lawyers Association.. Areas of Practice:. Litigation Percentage:. Bar Admissions:. Education:

Forman Law Firm's practice is dedicated to representing investors that have lost money in any type of investment.  I also am frequently hired by financial professionals in employment disputes with their firms and/or when they are involved in enforcement and disciplinary issues with the regulators.. I formed the Forman Law Firm in 2002 after serving 12 years as Chief Executive Officer and General Counsel of stockbrokerage firms in Dallas and Austin Texas beginning in 1991.  Having spent the last 12 years dealing with almost every aspect of the retail brokerage business, I recognized that Main Street investors were not always being dealt with fairly or openly by Wall Street and I became somewhat disenchanted with the industry.  Having served on several committees and boards at what is now known as FINRA, the regulatory authority that governs the stockbroker community, I saw first-hand how the regulatory industry and arbitration system was run, and quite frankly, I wanted out.. After selling my firm various securities attorneys frequently hired me as an expert witness for both investors and brokerage firms in various arbitration cases and state and federal court lawsuits, and I learned a great deal how securities industry arbitrations were handled across the nation from the perspective of others.  Having been a mediator since the early 90s, I was also often asked to mediate cases for the parties involved in these disputes, and mediated some 200 different cases throughout the United States and helped the parties resolve virtually all of those cases.  I really enjoyed serving as a mediator in these securities disputes, but I didn’t want to spend every day on an airplane just so I could mediate a securities fraud case.  So, in 2004 I changed the focus of the Forman Law Firm from mediation and expert witness work to representing investors that have been victims of investment fraud or broker misconduct, and I haven’t looked back.  My law practice has been very successful and rewarding and we really enjoy helping aggrieved investors.. Having grown up in East Texas and having spent a majority of my career in Austin, Texas, I take a lot of pride in helping our clients recover when they have been victims of investment fraud.  Because FINRA arbitration is not governed specifically by any states' laws, we are frequently hired by clients around the country.  Also, FINRA's arbitrations take place in Texas in Dallas and Houston, and with offices in Tyler and Austin (by appt) we are ideally located to represents clients from any region of Texas.  Of course, repreesnting clients from many different cities, we frequently go visit the other cities we know and love in Texas.  I have a terrific wife, two sons, a great hunting dog, at least three cats and we really enjoy Austin and my old stomping grounds at Lake Tyler.  When not demanding recoveries from Wall Street or working for select financial professionals, I spend as much time possible fishing, hunting and traveling.   I am passionate about my law pracitic, I enjoy helping my clients, and life is good.

Experienced Securities attorney serving clients in Austin and surrounding areas.

Experienced Securities attorney serving clients in Austin and surrounding areas.

Experienced Securities attorney serving clients in Austin and surrounding areas.

Experienced Securities attorney serving clients in Austin and surrounding areas.

Experienced Securities attorney serving clients in Austin and surrounding areas.

Experienced Securities attorney serving clients in Austin and surrounding areas.

Experienced Securities attorney serving clients in Austin and surrounding areas.

Experienced Securities attorney serving clients in Austin and surrounding areas.

Experienced Securities attorney serving clients in Austin and surrounding areas.

Experienced Securities attorney serving clients in Austin and surrounding areas.

Experienced Securities attorney serving clients in Austin and surrounding areas.

Experienced Securities attorney serving clients in Austin and surrounding areas.