Legal Question in Securities Law in Texas


A dealer broker securites firm in Texas settled a lawsuit by one of my former clients . I left the firm years ago. Although I was not sued by my former client I helped my former employers attorneys prepared their case in the NASD case as I thought the lawusit was unfounded.Unfornuately the attorneys settled and I was not consulted. The same attorneys later sued me for $150 K in Texas. I am a lifetime residence of Ohio. My business was in Ohio and I was never in Texas except to ''fly through the Dallas Airport.'' How can I get the venue changed to the Federal Courts in Ohio? I have raised the issue pro se in a timely filed answer.

Asked on 1/17/08, 7:57 am

1 Answer from Attorneys

Daniel Ross Ross Law Group

Re: venue

Your question raises numerous issues which most certainly require a consultation with an experienced attorney. I cannot tell whether you have been sued in state court or in Federal court; the answer to that question may influence any response as to your ability, if any, to transfer to Ohio Federal court. Jurisdictional questions are complex, as are choice of law, removal and remand, and special appearance and waiver issues.

I also wonder about your relationship with the attorneys who, after seeking your assistance in their client’s case, later turn around and, presumably on behalf of the same client, sue you. It raises questions of conflict of interest and confidentiality concerns. Did they represent you, or did they give you that impression? Does the lawsuit against you arise out of the same transactions as the case against the former company? Did they anticipate and/or inform you of the possibility that they might sue you on behalf of your former company, or disclose any potential conflicts with you?

If you wish to discuss this issue with me, please feel free to call or email me. Please understand that, unless a written contract of employment between you and our firm is agreed to and signed, that we will not give you legal advice. I would advise you to seek advice from an attorney qualified in these areas as soon as possible.

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Answered on 1/17/08, 1:12 pm

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