Jason S. Lewis

Jason S. Lewis

Shareholder

Jason Lewis is a Shareholder practicing out of Greenberg Traurig’s Texas offices. Jason, a former Enforcement Attorney with the U.S. Securities & Exchange Commission, is a trial attorney who handles civil and criminal regulatory investigations and litigation matters for corporations and individuals across the country and internationally. Jason’s practice focuses on SEC enforcement, government investigations, conducting internal corporate investigations, White Collar criminal defense, securities litigation, crisis management, and business disputes and litigation. Jason routinely handles high-profile and high-stakes matters.

Jason has defended and regularly represents corporate entities, officers, directors, investment advisors, hedge funds, broker-dealers, and individuals in civil and criminal investigations and litigation, involving the U.S. Securities and Exchange Commission (SEC), the Department of Justice (DOJ), the Financial Industry Regulatory Authority (FINRA), Internal Revenue Service (IRS), Department of Treasury’s Office of Foreign Assets Control (OFAC), state securities boards, as well as numerous other state and federal governmental agencies. Jason also routinely represents public companies and their officers and directors in securities class actions, derivative actions, state and federal litigation, and arbitrations.

During his tenure at the SEC, Jason conducted numerous securities-related investigations, including accounting fraud, market manipulation, offering fraud, auditor misconduct, reporting and disclosure violations and insider trading. After returning to private practice, Jason has conducted a broad range of internal corporate investigations, which include accounting irregularities, FCPA, export controls and sanctions, insider trading, corruption, and bank fraud. In addition, Jason advises clients on corporate governance and compliance matters.

Concentrations

  • SEC investigations and litigation
  • Government investigations
  • Internal corporate investigations
  • Crisis management
  • Foreign Corrupt Practices Act
  • White collar criminal defense
  • Securities class actions
  • Securities litigation
  • FINRA enforcement
  • Business disputes and litigation
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Capabilities

Experience

  • Obtained summary judgment against the SEC in an insider trading case brought against the Chairman of the Board of consumer financial services provider. SEC v. Powell, Civil Action No. 6:11-CV-161-WSS (W.D. Tx. Opinion dated Oct. 11, 2012).°
  • Obtained denial of SEC Preliminary Injunction application against Pacific West Capital Group and its CEO in the Central District of California. SEC v. Pacific West Capital Group, Inc., et al, 2:15-cv-02563-FMO-FFM, In the United States District Court, Central District of California (June 2015).
  • Lead trial counsel in SEC enforcement action against former CEO and Chairman of Servergy, Inc. Also charged in the SEC's action is Texas Attorney General Ken Paxton for allegedly recruiting investors while hiding that he was being compensated to promote the company's stock. SEC v. William E. Mapp, III, No. 4:16-cv000246, In the Eastern District of Texas.
  • Lead trial counsel for former CEO and COO of The Ticket Reserve, Inc. in SEC enforcement action where the SEC alleges that the former CEO and COO participated in a “fraudulent scheme” with a financial advisor who sat on TTR’s board and, allegedly, made numerous material misrepresentations and omissions to his professional athlete clients. SEC v. Narayan et al., No. 16-1417, In the Northern District of Texas.
  • Obtained SEC termination letter for a senior executive of a publicly-traded oil field service company closing its nine month insider trading investigation relating to a proposed merger announcement. (2016)
  • Obtained termination letter from SEC closing its nearly three-year insider trading investigation of a senior officer of a publicly-traded technology company. (2016)
  • Obtained termination letter from SEC closing its nearly two-year investigation into alleged FCPA violations in Asia by publicly-traded gaming company. (2015)
  • Obtained SEC termination letter from SEC closing its 14-month insider trading investigation into alleged insider trading and tender offer violations against an attorney and investor of a publicly-traded bank. (2014)
  • Obtained termination letter from SEC closing its two-year investigation into alleged insider trading allegations against CEO of publicly-traded energy company.° (2013)
  • Obtained termination letter from SEC closing its 12-month investigation into registration and anti-fraud allegations against international fund and its principals.° (2012)
  • Obtained termination letter from SEC closing its 18-month investigation into alleged anti-fraud violations against publicly-traded software company and its CEO. SEC brought enforcement action against several other individuals as a result of its investigation.° (2009)
  • Representing former CFO of medical device company in a strict liability Sarbanes-Oxley Section 304 executive claw-back action brought by the SEC. SEC v. Michael Gluk, Civil Action No. 1:12-C V-285-SS, In the Western District of Texas, Austin Division.
  • Obtained favorable settlement for former director of oil field services company after three-year investigation and litigation by SEC related to alleged insider trading allegations. Obtained a discovery sanction award against the SEC during pretrial litigation.° SEC v. Robert L. Hollier and Wayne A. Dupuis, Civil Action No. 6:09-cv-00928 (W.D. La. 2011).
  • Obtained favorable settlement for high-net worth individual and company related to allegations of a fraudulent tender offer brought by the SEC in the Southern District of New York. SEC v. Luis Chang and Everbright Development Overseas, Limited, Civil Action No. 14 4132 (ER) (S.D.N.Y. 2015).
  • Represented Chairman of publicly-traded financial services company in two-year SEC investigation. Client was not charged while four other executives and board members entered into settled actions with the SEC. (2012 – 2015)
  • Represented Southlake Resources and its President in settled SEC action related to the offer and sale of interests in oil and gas joint ventures. SEC v. Southlake Resources Group, LLC, et al., Civil Action No. 16-cv-4:16-00992 (N.D. Tex. Oct. 24, 2016)
  • Represented former CEO and Chairman of publicly-traded energy company in settled action brought by the SEC in the Western District of Oklahoma. SEC v. Jerry D. Cash, case number 09-cv-00639, in the U.S. District Court for the Western District of Oklahoma (W.D. Okla. 2009).
  • Representing Whole Foods and its executive management in putative class action on behalf of investors in WFM stock between July 31, 2013 and July 29, 2015, alleging that WFM and certain executives violated Section 10(b) and Rule 10b-5 by making material misrepresentations that obscured weights and measures violations in California and New York City stores. Obtained dismissal of all claims alleged in the Second Amended Complaint. Markman v. Whole Foods Market, Inc., et al., No. 1:15-cv-681-LY, In the Western District of Texas. 
  • Represented the former CFO of ArthroCare Corp. in securities class action amid accusations that material misrepresentations led to a restatement of financial results. Also represented former CFO in federal and state derivative suits alleging a breach of fiduciary duty. In re ArthroCare Securities Litigation, (U.S. District Court for the Western District of Texas, Austin Division). °
  • Lead counsel for Pacific West Capital Group and its owner and president in putative class action brought by purchasers of fractional interests in life settlements through Defendant Pacific West Capital Group, Inc., alleging violations of the California Corporate Securities Act; common law negligence, fraud, and related claims; breach of contract; and other California statutory causes of action. Shechter, et al. v. Pacific West Capital Group, Inc. et al., Case No. BC-621512, Superior Court, County of Los Angeles.
  • Represented former Chairman of the Board of Penson Worldwide, Inc., in breach of fiduciary duty litigation brought by the liquidating trust in Texas State Court. Penson Technologies LLC and its Chief Officer, acting in his capacity as representative of the bankruptcy estates of Penson Worldwide, Inc., et al. vs. Philip A. Pendergraft, Roger J. Engemoen, Jr., David M. Kelly, James S. Dyer, David Johnson, David A. Reed, Kevin McAleer, and Thomas R. Johnson; Cause No. CC-14-00873-C, in the County Court at Law No. 3, Dallas County, Texas.
  • Represented former CEO and Chairman alleging violations of Section 10(b) of the Exchange Act, in suits by two independent classes, based on an alleged off-the-books loan and check-kiting scheme, as well as in several state and federal derivative suits alleging a breach of fiduciary duty.° Friedman v. Quest Energy Partners LP, and Jents v. Quest Resource Corporation, (U.S. District Court for the Western District of Oklahoma, Oklahoma City Division).
  • Lead counsel for former CEO and Chairman of Servergy, Inc. with regard to allegations of violations of the Alabama and Texas Securities Acts, among other causes of action. Breslin, et al. v. Servergy, et al., Cause No. DC-16-01483, in the 101st Judicial District Court of Dallas County, Texas.
  • Represented German private equity firm in minority shareholder dispute with publicly-traded U.S. technology company.
  • Lead trial counsel for former CFO of publicly-traded medical device company in 18-day federal criminal securities fraud trial alleging nearly $1 billion in investor losses. U.S. v. Baker, Criminal Action No. 1:13-CR-346-SS, In the Western District of Texas, Austin Division. (2015) Conviction was reversed and remanded by the Fifth Circuit in 2016.
  • Representing former lead systems engineer at a Dallas technology firm charged with embezzling $2.4 million from the company by causing it to place orders with fictitious businesses he created and using the funds for his own use. USA v. Chang, Case No. 3:16-cr-00329, In the U.S. District Court for the Northern District of Texas.
  • Represented publicly-traded oil field services company in Department of Justice FCPA investigation relating to issues in Nigeria, Kazakhstan, Colombia and Mexico.
  • Obtained cautionary letter from OFAC for Hollywood actor resulting from travel to Cuba.°
  • Represented former CEO and Chairman of energy company relating to USAO investigation in the Western District of Oklahoma.
  • Represented individual relating to alleged billion-dollar gambling operation in DOJ investigation. Obtained probation with no jail time.°
  • Represented Texas based energy company and its principals for alleged criminal securities fraud brought by Butler County Prosecutors Office in Butler County, Ohio.
  • Defended individual from criminal violations and obtained civil settlement with no criminal action in alleged structuring case investigated by U.S. Attorney's Office for the Eastern District of Texas and IRS CID.
  • Representing key witness relating to a criminal indictment of a Texas government official.
  • Conducted internal whistleblower investigation for publicly-traded international building manufacturer.
  • Conducted internal investigation for market analysis and intelligence firm regarding potential insider trading.°
  • Conducted internal investigation for financial services company relating to potential misconduct and kickbacks between financial advisor and county official.°
  • Conducted special committee investigation for regional bank regarding potential securities violations and bank fraud.°
  • Conducted internal investigations for publicly-traded energy company involving financial reporting.°
  • Conducted internal investigation for energy company regarding FCPA and export control issues.
  • Represented former Major League Baseball manager Ron Washington in his separation with the Texas Rangers.
  • Represented former executives against allegations of breaching fiduciary duty, usurping corporate opportunities, and sharing confidential and proprietary information in competition with former employer.
  • Represented former CFO of publicly-traded restaurant chain in separation with company.
  • Obtained summary judgment with regard to multimillion-dollar breach of contract claim for financial services company.°
  • Represented financial services company in class action, multi-district litigation and opt-out litigation.°
  • Enforcement Attorney, Securities and Exchange Commission, 2004-2007
°The above representations were handled by Mr. Lewis prior to his joining Greenberg Traurig, LLP.

Recognition & Leadership

  • Listed, Chambers USA Guide, Litigation: White Collar Crime and Government Investigations, 2017
  • Team Member, U.S. News - Best Lawyers®, Best Law Firms Edition, "Law Firm of the Year," Banking & Finance - Litigation, 2017
  • Listed, D Magazine, "Best Lawyers in Dallas – Securities Litigation & Enforcement," 2016 and 2017
  • Listed, Super Lawyers magazine, Texas Super Lawyers, 2015-2017
  • Tribal Member, Cherokee Nation of Oklahoma
  • National Board of Trustees, Hugh O’Brian Youth Leadership
  • Member, Association of Securities & Exchange Commission Alumni (ASECA)
  • Member, American Bar Association, Criminal Justice Section
  • Member, State Bar of Texas
  • Member, Dallas Bar Association, Securities Section
  • Member, Sooner Club and OU Club of Dallas

Credentials

Education
  • J.D., Cornell Law School, 1998
    • Concentration in Business Law and Regulation
  • B.A., with distinction, University of Oklahoma, 1995
Admissions
  • Texas
  • U.S. Court of Appeals for the Fifth Circuit
  • U.S. Court of Appeals for the Tenth Circuit
  • U.S. District Court for the Northern District of Texas
  • U.S. District Court for the Eastern District of Texas
  • U.S. District Court for the Southern District of Texas
  • U.S. District Court for the Western District of Texas
  • U.S. District Court for the Western District of Oklahoma