Jeffrey D. Gardner

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Partner

Location:

Phoenix, Arizona

Phone:

602-256-6100

Fax:

602-256-6800

E-mail:

E-mail Me

Jeffrey D. Gardner joined Roshka DeWulf & Patten from Baker & McKenzie, LLP, in 2006. His practice is focused primarily on securities and complex corporate litigation, arbitrations, enforcement proceedings and investigations. Mr. Gardner has substantial experience representing public and private companies, officers and directors in federal and state class actions and derivative suits. He also routinely represents businesses and individuals in investigations and enforcement actions brought by the United States Securities and Exchange Commission, state regulatory authorities, and the Financial Industry Regulatory Authority (FINRA). In addition, Mr. Gardner counsels broker-dealers and registered investment advisors on regulatory matters and inquiries.

Areas of Practice

Securities Litigation, Arbitration, Enforcement and Investigations
Class Actions and Derivative Suits
Complex Corporate Litigation
Broker-Dealer and Registered Investment Advisor Regulation

Education

Chicago-Kent College of Law, Illinois Institute of Technology, Chicago, Illinois
- J.D. - 2002
University of Minnesota
- B.A. - 1999
- Major: Sociology of Law
- Major: Criminal Justice and Deviance

Published Works

"Five Things to Remember When Drafting or Responding to a Securities Fraud Class Action Complaint", Co-Author, A.B.A. Sec. Lit., CADS Committee, Vol. 17, No. 1, 2007
"Mutual Fund Market Timing and Late Trading Investigations: The Current Landscape", A.B.A. Sec. Lit., Securities Litigation Committee, Vol. 16, No. 3, 2006

Classes/Seminars

Chair and a Presenter, "Navigating the Credit Crisis: What Every Litigator and Corporate Counsel Needs to Know About Representing Clients in an Uncertain New World", Arizona State Bar Annual Convention, 2009
"Timing is Everything: The Civil, Regulatory and Criminal Implications of Backdated Stock Options", ABA Litigation Section, Annual Meeting, 2007

Professional Associations and Memberships

State Bar of Arizona, Officer and Executive Committee Member of Securities Regulation Committee
State Bar of Texas
American Bar Association, Sub-Committee Chair of Class Actions and Derivative Suits Committee
Maricopa County Bar Association
Financial Planning Association

Pro Bono Activities

Member of the Board of Directors and Executive Committee, The Wellness Community of Arizona