Jeffrey D. Gardner

Vice Chair, Commercial Litigation

Overview

Mr. Gardner focuses his practice on securities litigation, class action, employment, and intellectual property matters. He currently serves as national Co-Chair of the Section of Litigation Trial Practice Committee of the American Bar Association.

Contact
Areas of Focus
  • Securities Litigation and Regulatory Compliance
  • Class Action and Derivative Suits
  • Labor and Employment
  • Corporate and Business
  • Intellectual Property
Education

J.D., Illinois Institute of Technology/Chicago-Kent College of Law (2002)

B.A., University of Minnesota (1999)

Biography

Mr. Gardner focuses his practice on securities litigation, class action, employment, and intellectual property matters. He currently serves as national Co-Chair of the Section of Litigation Trial Practice Committee of the American Bar Association.

Mr. Gardner has extensive experience representing businesses and individuals in complex business disputes, as well as financial service industry investigations and enforcement actions brought by the U. S. 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 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 (ERISA).

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.

Admissions

Admitted to Practice

  • Texas (2004)
  • Arizona (2002)

Court Admission

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

Representative Experience

  • Secured total defense verdict with co-counsel for registered investment adviser and investment adviser representative in a lengthy jury trial before Arizona District Court and involving claims of securities fraud
  • Secured unanimous jury verdict with co-counsel in a matter involving federal and state securities fraud claims, as well as breach of fiduciary duty claims, in a trial before Arizona District Court
  • Defended officers of commercial real estate lender in a class action alleging damages in controversy of approximately $900 million; also represented officers in mass action, additional state court action, and regulatory investigation
  • Represented the CFO of a 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 the 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

Media and Presentations

Articles

Presentations

  • “Securities: Tackling Future Issues Today,” State Bar of Arizona Convention (2016)
  • “Working Effectively With Experts,” American Bar Association Section of Litigation Trial Evidence and Trial Practice Committees (2016)
  • Program Chair and Presenter, “Raising Money, Regulation and Litigation in Arizona,” State Bar of Arizona Annual Convention (2015)
  • Chair and Presenter, “Wall Street, Lawyers, Ethics and Movies,” State Bar of Arizona Annual Convention (2013)
  • “The Arizona Securities Act: Advantages and Disadvantages in Arizona Class Actions,” State Bar of Arizona (2013)
  •  “Understanding the Demand Futility Exception, SOUND ADVICE,” American Bar Association (2013)
  • “Nuts and Bolts of Securities Law, Regulation and Litigation in Arizona,” State Bar of Arizona Annual Convention (2012)
  • “Navigating the Credit Crisis: What Every Litigator and Corporate Counsel Needs to Know About Representing Clients in an Uncertain New World,” State Bar of Arizona Annual Convention (2009)
  • “Timing Is Everything: The Civil, Regulatory and Criminal Implications of Backdated Stock Options,” ABA Litigation Section Annual Meeting (2007)

Memberships

American Bar Association

  • Co-Chair, Trial Practice Committee, Section of Litigation (2015 – present)
  • Past Co-Chair, Class Actions & Derivative Suits Committee (2012 – 2015)

American Bar Foundation

  • Member, The Fellows of the American Bar Foundation (2014 – present)

State Bar of Arizona

  • Past Chair, Securities Regulation Law Section

Maricopa County Bar Association (MCBA)

Honors and Awards

  • AV Preeminent® Peer Review Rated
  • Listed, The Best Lawyers in America© in the category of Commercial Litigation (2015 – 2018)
  • Listed, Southwest Super Lawyers in the categories of Securities Litigation and Class Action/Mass Torts (2018)
  • Listed, Southwest Super Lawyers Rising Star in the categories of Securities Litigation and Class Action/Mass Torts (2012 – 2016)
  • Listed, Top Lawyers, Securities Litigation, AZ Business Magazine (2013)

Community Involvement

TGen

  • Ambassador, Translational Genomics Research Institute (TGen) an affiliate of City of Hope (2015 – present)

Phoenix Theater Company

  • Phoenix Theater Company, Ambassador (2017 – present)

Cancer Support Community of Arizona

  • Chair, Board of Directors (2013)
  • Vice Chair, Board of Directors (2012)