Will Montgomery brings an extensive knowledge of litigation and arbitration processes, and a commitment to achieving the clients’ goals, to each of his cases.  Will works on a case to the level it deserves, whether the amount in controversy is measured in thousands or millions of dollars, and whether the case needs to be settled, tried, or appealed.   Will has been lead counsel in dozens of jury and non-jury trials, and more than 70 arbitrations (to final decision), in more than 20 states. Will’s experience allows him to quickly evaluate the critical aspects of each case, including witness credibility and the underlying facts and legal theories, in order to form a plan with the client for resolving the dispute. 
 
Arbitration or litigation often occurs in tandem with regulatory investigations.   Over the decades, Will has handled regulatory investigations and enforcement actions brought by FINRA (formerly NASD), the SEC, and the Texas State Securities Board.  

Will can provide loss prevention and lawsuit avoidance to clients as well, having spoken at many continuing education meetings.   The use of real-world examples of nightmarish litigation can help focus the audience’s attention and receptiveness.       

While Will has handled cases across the spectrum of commercial disputes (real estate, oil & gas, banking, debt collection, and insurance) he has extensive experience in disputes arising in the securities industry.  His experience in a wide range of securities cases includes:

• Customer disputes (including fraud, suitability, unauthorized trading, selling away, failure to supervise, churning, day trading, negligent hiring, and violations of state and federal securities laws);

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• Disputes between firms (including raiding, breach of contract, failure to deliver/pay and pricing);

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• Disputes between ex-employees and firms (including defamation, wrongful termination, note collection and failure to pay compensation); and
   

• Clearing disputes, brought by correspondents and customers of those correspondents.