Randy is an attorney with over 45 years of experience in the financial services industry specializing in SEC, FINRA and State regulatory actions. He has a strong background in civil and criminal litigation and serves as an advisor to broker/dealers and investment advisors regarding government investigations and customer litigation/arbitrations.

He also serves as an advisor to broker/dealers, investment advisors as well as public and private boards of directors regarding government investigations and customer litigation/arbitrations.

Randy graduated with a B.A. from the University of Texas in 1970 and a J.D. from the University of Houston in 1973. He is a member of the State Bar of Texas and is admitted to practice law before the Fifth Circuit Court of Appeals; Texas Southern District/Bankruptcy Court; Colorado District Court; Eleventh Circuit Court of Appeals.

Randy is a member of The Sedona Conference, a highly experienced group of lawyers and judges, which examines current trends in complex litigation, including developments in statutory and case law having a direct impact on the securities industry and bar.

Achievements:

• Inductee, Worldwide Lifetime Achievement (2015)
• AV Preeminent® Attorney Rating, Martindale-Hubbell® (2015)
• Inductee, Elite American Lawyers (2015)
• Industry Expert, “Top Lawyers: The Secrets to their Success,” Who’s Who Publishers (2015)
• Inductee, Lifetime Membership, Worldwide Registry (2014)
• Thirty Years, AV Preeminent® Attorney Rating, Martindale-Hubbell® (1981-2011)
• Division of Enforcement, Securities and Exchange Commission (1973-1976)

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