Articles / Publications

Cover/Book Author

• "10b5-1 Plan Abuse - Practical Steps to Detect and Prevent," The Corporate Counselor (September 2007)
• "Doing Business in States Other Than the State of Incorporation," BNA - Corporate Practice Series (2006), ISSN 0162-5691; No. 85
• “Addendum to the SEC Handbook – Covering SEC Rules Related to the Sarbanes-Oxley Act, 2003 Addendum,” RR Donnelley Financial Handbook (2003)
• "The Sarbanes-Oxley Act of 2002, with Analysis - The Effect of the Sarbanes-Oxley Act on Directors and Officers," Matthew Bender Publication, (2002), ISBN 0-8205-5722-6
• “Navigating the Minefield of the SEC’s Ethics Reform Measures,” Wall Street Lawyer (November 2002)
• “Creating the Ultimate Board in the Sarbanes-Oxley, Post-Enron Era,” Securities Regulatory Update (November 2002)

Author

• "Stock Option Scandal," Texas Lawyer, Developments in the Substantive Law (December 25, 2006)
• "Decoding the Stock Option Backdating Scandal," State Bar of Texas, Corporate Counsel Section Newsletter (Summer 2006)
• "Indemnification of Directors and Officers: A Different Side to the Problem of Corporate Corruption," Wall Street Lawyer (June 2004)
• “Now It’s Personal: The Real Impact of Sarbanes-Oxley on Directors and Officers,” Wall Street Lawyer (September 2002)
• “Insider Trading: The Rules Have Changed,” Orange County Business Journal (July 16, 2001)

Guest Commentator

• “The Impact of the NYSE Proposed Rule Reform on Southwest Airlines,” National Public Radio, Nationwide (December 2002)
• “August 14, 2002 – Reckoning Day for Public Company CEOs/CFOs,” WBAP News Radio, Dallas, Texas (August 16-18, 2002)
• “Potential Insider Trading Liabilities for ImClone Executive,” Yahoo! FinanceVision (June 14, 2002)

Quoted In

• “Putting Faith in Blind Trusts,” CFO (April 2003)
• “Sarbanes-Oxley hits smaller firms in wallet,” Dallas Business Journal (August 30 - September 5, 2002)
• "Stock Options - Raising Money, " Entrepreneur (May 2002)
• “A New Take On the ‘Blind Trust’ – How executives insulate themselves from holdings that could get them into trouble,” The Christian Science Monitor (January 14, 2002)
• “Oops! It's Regulation FD,” PR Week (January 8, 2001)
• “Put Up or Shut Up – To Comply with Reg FD, corporate officers are starting to put company news on the Web. Hijinks ensue,” eCFO (Spring 2001)
• “SEC Solution Takes Edge Away from Analysts,” Austin Business Journal (November 24, 2000)
• “New SEC Disclosure Rule Could Hinder Giants, Help the Small,” Best Insurance News (August 17, 2000)
• “Legal Recourse,” Dallas Morning News (June 28, 2000)
• “SEC's Push for Plain English Strains Deals,” Dallas Morning News (June 13, 1999)

Briefings, Seminars & Speeches

Webinars

• "SEC's Recent Interest in 10b5-1 Sales by Insiders," (November 2007) [Click on the title of the webinar to view the presentation in its entirety.]
• "Straight Talk on Backdating," (November 1, 2006) [Click on the title of the webinar to hear the presentation in its entirety.]

Speaker

• "Realizing Your Company's Potential in Preparation for an IPO," Ernst & Young sponsored presentation, Belo Mansion (March 26, 2008)
• "Foreign Corrupt Practices in 2007 - Assessing the Real Risk," with Matthew Nielsen, at the Tatum Directors Roundtable, offices of Tatum, LLC (March 25, 2008)
• "Crisis Management for Corporate Counsel," Association of Corporate Counsel - DFW Chapter 2007 Golf and Spa Event, Dallas, TX (September 2007)
• "Conducting an Effective, Efficient and Objective Internal Investigation," University of Texas School of Law, 29th Annual Corporate Counsel Institute (May 11, 2007)
• "Decoding the Backdating Scandal," Navigant Consulting (October 2006)
• "The Impact of Sarbanes-Oxley on Public Companies and their Managers,“ Sarbanes-Oxley for Financial Managers Dallas (October 20, 2004), Austin (October 21, 2004) and Houston (October 22, 2004)
• "The Real Lessons Learned from Enron, WorldCom and Other Recent Cases,” D&O Market Meltdown Conference (April 2, 2003)
• “Current Developments in Securities Law – Sarbanes-Oxley and Beyond,” The 2003 Securities Law Institute, Cleveland, Ohio (February 6, 2003)
• “IPO Planning for VC-Backed Portfolio Companies” (November 12, 2002)
• “Fiduciary Duties Post-Enron,” Farm Credit Bank – National Director’s Conference (September 10, 2002)
• “New SEC Rule 10b-5: Now insiders can safely trade in their companies' securities” (April 10, 2001)
• “Understanding New Regulation FD” (January 9, 2001)

Panelist

• "Building a Winning Board" Worshop presented by Texchange and NASDAQ OMX, University of Texas at Dallas (April 29, 2008)