Jeffrey D. Gardner

Jeffrey D. Gardner Member

P: 602-262-5818
F: 602-495-2605
L: Phoenix

Mr. Gardner is Vice-Chair of the firm's Commercial Litigation Department, and currently serves as national Co-Chair of the American Bar Association's Section of Litigation Trial Practice Committee. His practice emphasizes securities litigation, class action, employment, and intellectual property matters. A litigator with extensive experience, Mr. Gardner has successfully represented businesses and individuals in complex business disputes, as well as financial service industry investigations and enforcement actions brought by the United States Securities and Exchange Commission (SEC), the Financial Industry Regulatory Authority (FINRA), the Arizona Corporation Commission Securities Division, the Arizona Department of Financial Institutions, and numerous other federal and state regulatory agencies throughout the United States. Mr. Gardner has an in-depth knowledge of the laws, rules, and regulations applicable to broker-dealers, registered investment advisers, banks, registered representatives, and investment adviser representatives. He routinely counsels financial industry clients on compliance with a broad range of laws, including but not limited to, the Securities Act of 1933, the Securities Exchange Act of 1934, the Investment Advisers Act of 1940, the Investment Company Act of 1940, the Dodd-Frank Act, and the Employee Retirement Income Security Act.

Importantly, Mr. Gardner also serves as a trusted business advisor. In that capacity, he often counsels clients on ways to mitigate risk, achieve business objectives, develop and implement employment policies, and secure and protect intellectual property.

Areas of Focus

  • Securities Litigation and Regulatory Compliance
  • Class Action and Derivative Suits
  • Labor and Employment Law
  • Corporate and Business Law
  • Intellectual Property Law

Representative Engagements

  • Secured total defense verdict with co-counsel for registered investment adviser and investment adviser representative in lengthy jury trial before Arizona District Court and involving claims of securities fraud.

  • Defended officers of commercial real estate lender in class action alleging damages in controversy of approximately $900 million; also represented officers in mass action, additional state court action and regulatory investigation.

  • Represented CFO of public company in securities fraud class action, derivative suit, civil litigation, SEC investigation and enforcement action.

  • Defended class actions in matters involving securities fraud, employment and ERISA, and antitrust claims.

  • Defended international businesses in investigation and enforcement action brought by the Securities Division of the Arizona Corporation Commission.

  • Represented employees in New York Attorney General and SEC investigation involving allegations of market timing and late trading; also represented company in SEC investigation involving such claims.

  • Represent broker-dealers, registered investment advisers, and licensed individuals with licensing and registration requirements, as well as disclosure or reporting requirements - including consultation on Form ADV, Form U4, and Form U5 filings and amendments.

  • Represent clients with regulatory inquiries, investigations, productions, Wells' responses and, where necessary, defense of enforcement actions.

  • Defended broker-dealers, registered investment advisers, and licensed individuals in customer arbitrations involving claims of unsuitable investment recommendations, negligent supervision, negligent hiring, selling away, impermissible annuity or mutual fund switches, and churning.

  • Represent clients in intra-industry disputes and employment matters, including actions involving employee forgivable loans or notes, enforcement or defense of non-solicitation or confidential and proprietary agreements, and the like.


Articles, Publications and Presentations


Honors, Appointments and Awards

  • AV® PreeminentTM Peer Review Rated

  • Listed, The Best Lawyers in America (2015-2017) in the category of Commercial Litigation

  • Listed, Rising Stars, Southwest Super Lawyers (2012-2016) in the categories of Securities Litigation, Class Action/Mass Torts

  • Listed, Top Lawyers, Securities Litigation, AZ Business Magazine (2013)


Professional Affiliations

  • Maricopa County Bar Association
  • American Bar Foundation
    The Fellows of the American Bar Foundation, Member, (2014-present)
  • State Bar of Arizona
    Securities Regulation Law Section, Chair, (Immediate past Chair)
  • American Bar Association
    Trial Practice Committee, Co-Chair, (2015 - present)
    Class Actions & Derivative Suits Committee, Co-Chair, (2012-2015)
  • Cancer Support Community of Arizona: Executive Committee and Board of Directors
    Chair, (2013)
    Vice Chair, (2012)

Admitted to Practice

  • Arizona, 2002
  • Texas, 2004

Court Admission

  • U.S. Court of Appeals, Ninth Circuit, 2004
  • U.S. District Court, District of Arizona, 2002
  • U.S. District Court, Northern District of Texas, 2005

Education

  • J.D., Illinois Institute of Technology/Chicago-Kent College of Law, 2002
  • B.A., University of Minnesota, 1999