March 31, 2020

John Kincade

John Kincade is Co-Chair of Winstead’s Securities Litigation & Enforcement Practice Group. He practices at all levels of federal and state securities litigation, arbitration and regulatory enforcement disputes. He represents a wide range of financial services clients including brokers/dealers, investment advisers, banks, and their registered persons in complex, high stakes FINRA arbitrations, FINRA Enforcement proceedings and investigations, and SEC and State enforcement matters. He also advises privately held and publicly traded companies and their officers and directors in federal and state court securities class actions and lawsuits, and is skilled in conducting internal investigations. In addition, he counsels clients in regulatory and enforcement matters before SEC, FINRA, State Securities Board, and Texas Attorney General. 

Texas Supreme Court - Briefing Attorney

  • The Honorable Franklin S. Spears, 1986-87

Representative Experience

Securities Litigation, Arbitration, and Enforcement

  • Defense of broker/dealers, investment advisors, banks, insurance companies, and their registered persons in FINRA arbitrations and state and federal court lawsuits
  • Defense of publicly traded companies and their officers and directors in federal and state court securities class actions and lawsuits
  • Defense of regulatory and enforcement matters before SEC, FINRA, State Securities Board, Texas Dept. of Insurance, and Texas Attorney General

Financial Services and Lending

  • Representation of banks, insurance companies, mortgage companies, and servicers, in pre-litigation strategies, workouts, co-lender issues and facility syndications, and collection litigation, including extraordinary judicial remedies such as receiverships

Business and Commercial

  • Contract, partnership, business torts and fraud, SEC Receivership, and insurance regulatory litigation

Corporate and D&O

  • Corporate governance, D&O fiduciary duty and indemnification, proxy disputes, and M&A litigation, including going private litigation

Constitutional

  • First Amendment, open meetings/open records, procurement, eminent domain and election law

Articles in the National Law Review database by John Kincade

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