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Smith Working Shot

Scott D. Smith

Senior Counsel
Recent Articles By Kenneth M. Krock

Education

University of Texas

B.A. in English Literature, 1997

South Texas College of Law

J.D., 2001

Boston University School of Law

LL.M. in Banking and Financial Law, 2002

Admissions

Texas

New York

District of Columbia

 

U.S. District Court, Southern District of Texas

U.S. District Court, Southern District of New York

U.S. District Court, Eastern District of New York

U.S. District Court, Western District of New York

U.S. District Court, District of Columbia

U.S. District Court, Northern District of Illinois

U.S. District Court, District of Nebraska

 

U.S. Court of Appeals, Second Circuit

U.S. Court of Appeals, Fifth Circuit

Memberships & Activities

Member, South Texas Law Review

American Bar Association

Houston Bar Association

HBA Securities Litigation & Arbitration Section, Chair (2021-2022)

HBA Commercial and Consumer Law Section

HBA Litigation Section

Texas Trial Lawyers Association

Houston Trial Lawyers Association

Awards

Martindale-Hubbell

AV Peer Review Rated Preeminent® issued by Martindale-Hubbell

Platinum Client Champion issued by Martindale Hubbell

Scott is a seasoned trial and arbitration attorney with over 20 years of experience who has obtained favorable awards and verdicts for clients on both sides of the docket. He has experience resolving a broad array of business and commercial disputes, as well as regulatory and compliance matters. He assists his clients in obtaining or defending against injunctive relief at TRO proceedings and temporary injunction hearings.

 

Since 2003, Scott has represented both large and small, public and private companies, their directors, officers, partners, members, employees, and affiliates in a broad spectrum of business disputes and litigation involving breach of contract, fraud, tortious interference with contract, negligence, misappropriation of trade secrets, business disparagement, breach of fiduciary duty, unfair competition, employment agreements, including enforcement of non-competition and non-solicitation covenants, as well as disputes and litigation in real estate and probate matters. He has also successfully argued appeals before the New York State Appellate Division and the Texas Fourteenth District Court of Appeals. In addition to complex commercial and business litigation, his practice is also concentrated on matters related to legal ethics and professional responsibility.

Representative Experience

Arbitration

      • First Chair in FINRA arbitration representing 11 respondents (9 individual financial advisors and 2 entities, including a national independent registered investment advisory firm) in a dispute over breach of restrictive covenants, misappropriation of trade secrets, and civil conspiracy.
      • First Chair in AAA arbitration representing a financial advisor against a former employer over withheld distributions and breach of agreements.
      • First Chair in AAA arbitration defending an investment firm against claims of fiduciary duty breach, fraud, and securities law violations.
      • First Chair in AAA arbitration defending a financial advisor against an unenforceable “buy-out” provision claim.
      • First Chair in bench trial representing an Estate Executrix in fiduciary breach and property misappropriation claims.
      • First Chair in AAA arbitration defending an automobile dealership against DTPA fraud and breach of contract claims.

 

Financial Services Industry

      • Represented a national financial services firm in complex commercial litigation in federal court regarding the breach of an asset purchase agreement, unfair competition, civil conspiracy, misappropriation of trade secrets, breach of common law duties, conversion, and tortious interference against multiple individuals and a competing national financial services firm.
      • Representation of financial services firms in investigating departing employee conduct and seeking and obtaining temporary and preliminary injunctive relief in hundreds of matters nationwide.
      • Representation of FINRA-registered brokers and SEC-registered investment advisors in post-employment disputes, including defending against attempts by opposing parties to obtain temporary and preliminary injunctive relief nationwide.
      • Representation of financial services firms and their advisors in defense of customer complaints regarding issues of investment suitability, fraud, negligence, and alleged violations of state and federal securities laws.
      • Representation of individuals, financial advisors, and financial institutions in FINRA and AAA arbitrations nationwide.
      • Representation of individuals, financial advisors, and financial services firms regarding transition of financial advisors to new firm.
      • Representation of financial advisors and financial services firms in U-5 and expungement-related disputes.
      • Representation of financial advisors and financial services firms in promissory note disputes.
      • Representation of individuals, financial advisors, and financial services firms in hundreds of industry disputes in FINRA and AAA arbitrations nationwide.
      • Representation of CEO of brokerage services provider specializing in energy derivatives in SEC Enforcement Action.
      • Representation of Investment Holding Company and its CEO in securities litigation matter with a major financial institution.

 

Business/Employment Disputes

      • Representation of physicians in partnership dispute regarding multiple urgent care facilities.
      • Representation of individual members of LLC and multiple companies in business divorce matters.
      • Representation of international manufacturer of off-highway power and propulsion systems, diesel engines, and distributed energy systems in property damage and products liability lawsuit.
      • Representation of individual regarding the post-acquisition of beekeeping business involving restrictive covenants contained in contract.
      • Representation of commercial property owner in lawsuit against former partner regarding claims of conversion, money had and received, tortious interference with contract, unjust enrichment, fraud, and breach of fiduciary duty.
      • Representation of energy services company in copyright infringement lawsuit.
      • Representation of individual against multiple companies for breaches of loan and investment agreements and suit on sworn account.
      • Representation of an oil & gas company in breach of contract action regarding finance and accounting software for the upstream oil & gas industry.
      • Representation of an employee of an oil & gas company regarding claims of misappropriation of trade secrets and breach of contract.
      • Representation of dental practice against former employee regarding breach of non-competition and non-solicitation provisions in employment agreement.

 

Probate Litigation

      • Representation of Independent Executrix of Estate in action for breach of fiduciary duty, misappropriation of property belonging to the Estate, and theft of property under the Texas Theft Liability Act.
      • Represented heirs at law of Estate in multi-jurisdictional litigation involving fraudulent transfer of property belonging to Estate.
      • Representation of daughter of Decendent involving appointment of Administrator of Decedent’s Estate and issuance of Letters of Administration.