FacultyFaculty/Author Profile
Ronak V. Patel

Ronak V. Patel

Kelly Hart

Austin, TX, USA


Ronak V. Patel is a partner in the litigation section and handles a variety of civil litigation matters for businesses and individuals. He is an experienced litigation attorney who possesses extensive regulatory experience with securities regulatory agencies across the U.S.  Mr. Patel has served as lead counsel in a number of high profile investigations including Ponzi fraud schemes, broker misconduct, and complex investment products. Mr. Patel is skilled in directing investigations, litigating matters involving investment advisers and breach of fiduciary duty allegations, and has extensive experience with broker-dealer and investment adviser compliance matters.

Before joining Kelly Hart & Hallman, Mr. Patel served as Deputy Securities Commissioner of Texas and worked with the Securities Commissioner to manage the Texas State Securities Board. Prior to assuming the role of Deputy Securities Commissioner, Mr. Patel served as both attorney, since 2003, and Director of Inspections & Compliance, since 2011, of the Texas State Securities Board.  Mr. Patel held numerous leadership positions with the North American Securities Administrators Association (NASAA), which has led to strong relationships with numerous state and federal securities regulators.

Mr. Patel practice focuses on government investigations and white-collar defense.  He practices before the Texas State Securities Board, and other state securities regulators, SEC, FINRA, DOJ, CFPB, CFTC, FDIC, FTC, PCAOB and other regulatory and law-enforcement agencies.  Mr. Patel represents broker-dealers, investment advisers, hedge funds and other private funds, public companies, audit committees and special committees, asset managers, accountants and lawyers, and other institutions in government investigations, securities law enforcement matters and related litigation.
Ronak V. Patel is associated with the following items:
Web Segment  Web Segment Broker/Dealer: State Enforcement Initiatives, Developments and Priorities - Broker/Dealer Regulation and Enforcement 2017, Tuesday, October 17, 2017
CHB Chapters  CHB Chapters Memorandum of Understanding Regarding the Treatment of Non-Public Information Shared Between the North American Securities Administrators Association and the Securities and Exchange Commission (February 17, 2017) - Broker/Dealer Regulation and Enforcement 2017, Tuesday, October 17, 2017
State Regulatory Requests: Using a Measured Approach to Manage a Broker-Dealer’s Objections (August 2017) - Broker/Dealer Regulation and Enforcement 2017, Tuesday, October 17, 2017
Outline: State BD Regulation & Enforcement - Broker/Dealer Regulation and Enforcement 2017, Tuesday, October 17, 2017
NASAA Broker-Dealer Section Study of Senior Practices and Procedures, 2016–2017 - Broker/Dealer Regulation and Enforcement 2017, Tuesday, October 17, 2017
MP3 Audio  MP3 Audio Broker/Dealer: State Enforcement Initiatives, Developments and Priorities - Broker/Dealer: State Enforcement Initiatives, Developments and Priorities, Tuesday, October 17, 2017
MP4 - Mobile Video Seg  MP4 - Mobile Video Seg Broker/Dealer: State Enforcement Initiatives, Developments and Priorities - Broker/Dealer: State Enforcement Initiatives, Developments and Priorities, Tuesday, October 17, 2017
On-Demand Web Programs  On-Demand Web Programs Broker/Dealer Regulation and Enforcement 2017, Wednesday, October 18, 2017, New York, NY
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