1020 N. University Parks Drive
Waco, Texas 76706
Neighborly, Waco, TX, May 2016-Present
Director of Compliance – January 2022 – Present
• Lead team of 14 compliance professionals by servant leadership, high energy level, and commitment to continuous improvement.
• Implement and develop a broad compliance program to proactively identify risks posed by an organization with 1,500 associates, 4,800 franchisees, and over $3 billion in revenue.
• Business skills in planning, use of information systems, financial management, budgeting, reimbursement and managed care, human resources management, team building and program development.
• Develop monitoring systems and processes for compliance and ethics issues.
• Lead compliance integration of businesses acquired by Neighborly.
• Prepare monthly reports to leadership about the compliance and ethics program.
• Act as a compliance advisor to departments, brands, and senior leadership.
Compliance Manager – April 2020 – December 2021
• Lead team of 12 while prioritizing multiple projects simultaneously with professionalism, meeting tight deadlines in a high-pressure, fast-paced, and diverse environment.
• Implement weekly staff compliance training involving compliance strategy and procedures.
• Develop presentations and reports recommending action and collaboration across departments.
• Consulting business operations on budgeting, accounting, and financial analysis for operational compliance.
• Cast vision of enforcing agreements with empathy.
• Engineer competitive strategies to position compliance department as a business partner with operations by incorporating SaaS.
• Problem-solving with business operations involving matters of compliance monitoring.
• Manage, plan and develop material for board meetings and executive leadership.
• Supervise compliance associates dedicated to risk assessment, data analytics, and compliance management.
• Report status of compliance efforts to C-Suite and identify need for improvement and future monitoring.
• Assess and communicate risks faced by the company and develop measures to effectively mitigate those risks on a timely basis.
Compliance Manager – Post Termination Nov 2017 – April 2020
• Spearhead launch of a program that yielded an increase of 2,366% in EBITDA growth.
• Develop policies that result in nearly 100% compliance with non-financial obligations of ex-franchisees.
• Coach staff to enhance compliance programs through effective people management.
• Implement change management process and communicate to impacted parties by crafting a message for multiple executive leadership audiences.
• Collaborate with internal stakeholders, departments, and outside consultants to develop a compliance reporting platform.
• Launch program to coach and mentor associates, increasing employee engagement.
• Show a high degree of initiative involving system development, business administration, budget management, and financial results by increasing ROI on investments in litigation finance.
• Delegating tasks to employees for compliance efforts with former franchisees.
Senior Corporate Counsel May 2016 – Nov 2017
• Advise executive team of $3 billion franchise system on enterprise-driven legal issues, including franchise law, disputes, litigation, contracts, trademarks, audits, marketing, and other corporate matters.
• Partner with business operations to control costs while increasing revenue through strategic litigation initiatives by using business acumen and critical thinking.
• Troubleshoot vulnerabilities of internal compliance, group policy, code of conduct, and code of ethics.
• Manage litigation involving non-compete agreements, trademark violations, and franchise law
• Update franchise disclosure documents in the United States and Canada.
• Design and implement technology changes to streamline systems and quality control for business operations, document management, and financial management.
• Evaluate regulatory risk and risk management insurance policies for cost control and business operations.
• Manage business relationships by written communication and oral communication to the business operations teams.
• Review and analyze advertising material for marketing compliance.
• Present to CEO, CFO, COO, and brand presidents about updates in transactions and litigation.
• Provide policy analysis to executive management using excellent communication skills.
• Command the confidence and respect of executives during C-level consulting.
• Use business storytelling to explain research and critical thinking to multiple executive management teams.
• Manage thoughtfully with the flexibility and courage to shift direction and experiment with new initiatives.
Dunnam & Dunnam LLP, Waco, TX, August 2014-April 2016
• Advocate for clients at trials and injunctions in matters involving trade secrets, construction, non-disclosure agreements, non-compete agreements, fiduciary duties, shareholder claims, personal injury, real estate and contracts.
• Advise boards, companies and shareholders regarding corporate governance, federal antifraud provisions, public disclosures, insider transactions, hostile takeovers and mergers & acquisitions often involving private equity companies.
• Investigate and advise shareholders about compliance with federal law by interviewing confidential informants, analyzing quarterly and annual reports, letters of intent, due diligence, merger agreements, warrants, options and other financial documents.
• Innovate new strategies for internet marketing for the firm, including managing the website and social media accounts as equity partner.
• Collaborate with lawyers nationwide regarding leading shareholder class action litigation.
• Employ public speaking in front of judges and lawyers in highly contentious matters.
• Writing, editing, and designing website and other corporate communications for law firm business development with creativity.
• Perform market research and content marketing for digital media after collaborating with partners about content strategy.
• Manage online marketing, social media, and public relations for law firm.
• Negotiation with opposing lawyers about legal matters.
• Persuasion of judges and juries by compelling storytelling in both oral communication and written communication.
• Engage in active listening with clients about their legal problems.
• Use independent judgment and initiative to develop and implement improved office procedures and technology; organize own work, set priorities and meet deadlines.
Deans & Lyons LLP, Dallas, TX, March 2013-June 2014
• Prevail at trial against two large Dallas litigation boutique law firms in business lawsuit.
• Manage all aspects of complex litigation involving mergers and acquisitions, investments, financial regulations, corporate finance, securities regulations, Dodd-Frank, Sarbanes-Oxley, anti-bribery, SEC, proxy statements, initial public offerings, financial accounting, managerial accounting, and the Foreign Corrupt Practices Act.
• Generate cases to the firm by business networking and business relationship building.
• Effectively argue through written briefing and oral advocacy dozens of motions to dismiss, injunctions, summary judgments, lead counsel, remand, and expedited discovery in legal matters for Fortune 100 client, individuals and other companies.
• Negotiate and draft transactions relating to real estate, securities, non-disclosure agreements, copyright, construction, corporate governance and formations of new business ventures.
• Successfully resolve personal injury litigation for plaintiffs and defendants in trucking cases and other matters involving personal injuries.
• Drive results by problem-solving project management.
• Hands-on, motivating manager with integrity and a desire to work in a dynamic environment as a servant leader.
• Use strong analytical skills and experience to interpret strategic vision into an operational model.
• Promote diversity and inclusion in team-building and staffing decisions.
• Implement background in financial statement analysis, financial modeling, and valuation for negotiations in merger and acquisition litigation.
• Automate processes and systems to achieve efficiency gains and quality improvement.
• Motivate and lead a high-performance team of professionals.
• Provide active mentoring as a cornerstone to career development.
• Identify, assess and communicate risks and exposures within or faced by the law firm, and develop measures to effectively mitigate such risks on a timely basis.
Goldfarb LLP, Dallas, TX, June 2010-February 2013
• Originate and successfully resolve over 40 cases producing hundreds of millions in shareholder value.
• Advise and advocate for the board of venture-capital-backed internet security startup involved in stockholder dispute involving licensing agreements, financing agreements, credit facilities, and investor rights agreements.
• Litigated cases representing officers and directors in privately held companies in securities litigation.
• Appointed as Sole Lead and Co-Lead Plaintiffs’ Counsel in nationwide shareholder litigation.
• Represent Europe’s third largest telephone company in federal court seeking emergency injunctive relief involving national security issues.
• Investigate and prosecute claims involving violations of the Foreign Corrupt Practices Act.
• Represent clients in over 100 cases in ongoing stockholder class and derivative actions, requiring a deep financial understanding of reporting requirements.
• Defending shareholder derivative litigation involving breach of fiduciary duty claims under Texas and Delaware law.
• Use organizational skills and tenacious work ethic to obtain cases in an intense environment requiring self to be easily adaptable.
• Seek and analyze data from a variety of sources to support decisions and to align others with the strategy.
• Lead by collaborative and flexible style with a strong service mentality.
• Encourages others to share the spotlight and visibly celebrates and supports the success of the team.
• Persevere in the face of challenges and exhibit a steadfast resolve and relentless commitment to higher standards.
• Builds strong relationships with others, particularly in a creative environment, demonstrating strong emotional intelligence and an ability to communicate clearly and persuasively.
• Understanding of investor mindsets and ability to frame and drive value-maximizing outcomes.
• Identify internal control weaknesses and design implementation of control improvements to effectively monitor controls compliance.
Provost Umphrey Law Firm LLP / Kendall Law Group LLP, Dallas, TX, March 2004-May 2010
• Developed business strategy to obtain 80 securities actions in less than one year.
• Researched and wrote persuasive arguments in cases involving business litigation, regulatory requirements, securities, internal controls, accounting, financial services, and compliance oversight.
• Took depositions of chief executives of Fortune 100 Companies in nationwide securities class action litigation.
• Business relationship management of dozens of law firms and clients to increase firm revenue.
• Prioritized 100+ shareholder cases with cases involving Cravath, Simpson Thatcher and Weil Gotshal
• Drafted persuasive legal documents and took depositions in significant securities class actions including Enron.
• Successfully presented motions for mandatory injunction, summary judgment, lead counsel, and expedited discovery in shareholder litigation.
• Negotiated legal documents with opposing counsel in class action and fiduciary litigation.
• Investigated potential securities lawsuits by researching regulatory filings including SEC Forms 3-5, 8-K, 10-K, 10-Q, 14A, S-1, S-3, S-4, and S-8.
• Supervised team of lawyers and paralegals in dynamic, intense environment with tight deadlines and high stakes.
• Used superb oral communication skills and critical-thinking in dozens of depositions involving officers and directors from Fortune 500 companies in securities class action and fiduciary litigation.
• Managed team of law clerks and paralegals in document review containing over 40 million documents in securities class action.
• Assisted in generating over $800 million for shareholders in securities class action and fiduciary duty litigation.
• Obtained denial of motion to dismiss and summary judgment by Lions Gate in copyright infringement action.
• Demonstrated computer literacy with detailed written reports in Microsoft Office, including Excel, Microsoft Word, and PowerPoint.
Baylor University School of Law, Waco, TX 2001-2004
Baylor University, Waco, TX 1996-2000
Bachelor of Business Administration, Entrepreneurship
PROFESSIONAL ASSOCIATIONS AND MEMBERSHIPS
• President, Federal Bar Association Dallas Chapter,
• Chair, CLE & Professionalism Committee, DAYL, 2008-2010
• Abner V. McCall Inn of Court, Waco, Texas
• Life Fellow, DAYL Foundation, 2008-2010
• Member, College of the State Bar of Texas, 2008-2010
• Team Member of the Year Award, Neighborly, 2019
• Leadership Waco Class XXXVI
• Best Lawyers in Dallas, Securities Regulation & Enforcement, D Magazine, 2014
• Texas Super Lawyer, 2010-2015
• Texas Bar Foundation Fellow
• Top 40 under 40, The National Trial Lawyers, 2014
• Top 100 Trial Lawyer, Civil Litigation, The National Trial Lawyers, 2015
PUBLISHED WORKS & SPEAKING ENGAGEMENTS
• Speaker, Ethical Issues in Social Media, Judge Abner V. McCall Inn of Court, February 9, 2016
• Speaker, Proposed Changes to Federal Civil Procedure Rules, Federal Civil Practice Seminar, Federal Bar Association—Dallas Chapter, January 16, 2014
• Speaker, What Every Young Lawyer Should Know About Legal Writing, Dallas Association of Young Lawyers, March 10, 2010
• Speaker, What Every Young Lawyer Should Know About Alternative Dispute Resolution, Dallas Association of Young Lawyers, September 8, 2009
• Moderator, Dallas Judges Discuss Do’s and Don’ts of Discovery, Dallas Association of Young Lawyers, July 24, 2008.
• Author, Pleading Scienter After Tellabs, 32 DALLAS BAR ASSOCIATION HEADNOTES 1, Feb. 2008
• Author, Class Certification in the Fifth Circuit After Oscar, 35 SECURITIES REGULATION LAW JOURNAL 382, 2007
• Author, Proving Fraud on the Market in the Fifth Circuit, TEXSUPP (2007), available at http://www.texsupp.com/2007/01/13/proving-fraud-on-the-market-in-the-fifth-circuit/
Securities Class Action Litigation
• In re Enron Corporation Securities, Derivative & “ERISA” Litigation, MDL-1446 (S.D. Tex.) (Fraud class action against UBS due to its positive recommendations of Enron stock while concealing kickback scheme)
• Abdulla v. Canadian Solar, Inc., et al., Court File No. C-710-10 (Ontario Superior Court of Justice) (Company failed to have adequate internal controls or comply with GAAP. Global class action certified under the Ontario Securities Act after a similar case was dismissed in the United States.)
• Rines v. Heelys, Inc., Civil Action No. 3:07-CV-01468-K (N.D. Tex.) (Securities class action involving initial public offering under Section 11 of the Securities Exchange Act of 1933)
• Schwartz v. TXU Corp., et al, Cause No. 3:02-CV-2243-K (N.D. Tex.) (Company concealed earnings decline which was caused by deteriorating gas pipeline and European operations. A lawsuit under Rule 10b-5 of the Securities Exchange Act of 1934 led to $149 million settlement in addition to corporate governance reforms and new independent directors)
• Ryan v. Flowserve, Cause No. 3:03-CV-01769-B (N.D. Tex.) ($55 million settlement achieved after Fifth Circuit reversed district court’s denial of class certification)
Selected Merger & Acquisition Related Litigation
• In re Rural Metro Corporation Shareholders Litigation, C.A. No. 6350-VCL (Delaware Chancery Court) (Trial against financial advisor for financial analysis of buyout based upon contingent financing. Combined settlements and damages trial resulted in $100 million fund for stockholders)
• Youdall v. Encana Corp., et al., Cause No. 342-2744894-14 (Tarrant County, Texas) (Buyout litigation for Athlon Energy shareholders. The settlement resulted in: (1) reduction in termination fee from 3.5% to 1%; (2) elimination of matching rights for Encana; and (3) filing of SEC Form 14D-9 supplementing material disclosures to the proxy statement relating to forecasted EBITDA and past negotiations between companies).
• In re Gardner Denver Shareholder Litigation, 8505-VCN (Delaware Chancery Court) (After former Gardner Denver CEO joined private-equity firm KKR, he disclosed confidential floor price for the buyout of Gardner Denver. Settled for $29 million.)
• Wetzel v. Karol, et al., Case No. CC-06-18562-B (Dallas County, Texas) (obtained restraining order which led to a competitive bidder and a 26% increase in shareholder compensation, from $827 million to $1.12 billion)
• In re Burlington Northern Shareholders Class Action Litigation, No. 348-241465-09 (Tarrant County, Texas) ($26 billion buyout resulting in material disclosures in amended proxy statement)
Selected Shareholder Derivative Litigation
• Levine v. Geswein, et. al., and Diebold, Inc., Cause No. 2010-CV-03848 (Stark County, Ohio) (Company issued accounting restatements resulting in $49 million fine to SEC. Derivative settlement resulted in new independent director and $39 million benefit to the corporation)
• Richardson v. Schmidt, et. al., and Sun River Energy, Inc., Nominal Defendant, Cause No. DC-12-06318 (Dallas County, Texas) (Derivative lawsuit enjoining insider transactions. Settlement resulted in improved corporate governance measures and removal of certain directors)
• In re Affiliated Computer Services Derivative Litigation, Master File No. 3:06-cv-1110-M (N.D. Tex.) ($30 million recovery for the company from officers and directors engaged in stock options backdating after defeating defendants motion to dismiss and to stay litigation)
SELECTED REPORTED CASE
• Alaska Elec. Pension Fund v. Flowserve Corp., 572 F.3d 221 (5th Cir. 2009)
RESEARCH & TEACHING INTERESTS
Securities Regulation, Mergers & Acquisitions, Complex Litigation, Civil Procedure, Franchising, Securities Law: Public Compliance, Venture Capital Transactions, Private Equity