Mr. Harvin handles a variety of large business litigation matters in state and federal courts primarily concerning securities and fraud claims, real estate and commercial contracts, officer and director liability, shareholder rights, advanced technology, deceptive trade practices, insurance coverage, trust administration, employment and other disputes. For 30 years, Mr. Harvin has represented major broker dealers, as well as individuals, in more than 350 investment suits and arbitrations before FINRA, the NASD and NYSE. These matters have involved a variety of investment strategies in stocks, bonds, options, futures, insurance products, auction rate and mortgage-backed securities and derivatives, and have covered a broad range of compliance issues under federal and state securities laws and regulations. He has also represented financial professionals in contract negotiations, employment suits and Texas Securities Board, FINRA and SEC regulatory proceedings. In 2007, 2009, 2010, 2011, 2012 and 2013 Mr. Harvin was named by his peers as a “Texas Super Lawyer” (a Thomson Reuters service) in securities litigation, having more than 50 cases tried to a decision or reported. Named a “Top Houston Lawyer” by H Texas Magazine in 2010.
Representative Matters
Regularly retained by brokerage firms to try arbitrations nationwide.
Obtained a dismissal for securities broker against multi-million dollar claims by more than 20 claimants in a 100-day hearing before the NASD.
Defended a Wall Street investment banking firm in state court against malpractice charges in connection with a $100 million bond offering.
Handled significant appellate matters before the courts of appeal and argued before the Texas Supreme Court three times.
Defended energy investment banking firm in significant fee dispute.
Obtained dismissal, after three-week trial, of a client sued by the State of Texas for fraud in sale of CMOs.
Defended Wall Street firm in series of arbitrations alleging market manipulation of over the counter stock.
Obtained dismissal of investment banking firm sued in arbitration for alleged misrepresentations in public equity offering of energy company that went bankrupt.
Obtained defense jury verdict in large options churning case brought in federal court.
Defended multinational bank, headquartered in New York, in a large lender liability suit brought by Russian oil trading firm for termination of a $40 million commitment letter.
Recovered $5 million arbitration award, on behalf of an oil and gas client, against an international trading firm and insurer for refusal to pay a claim under a $2.4 million policy.
Brought action, on behalf of venture capital client, against borrower and its transaction counsel for fraud in back dating stock to pledge agreement. Recovery confidential.
Defended Wall Street bank and brokerage firm on two large, multi-million dollar claims involving over-the-counter equity, currency and commodity deviations.
Recovered arbitration award for actual and punitive damages sustained by client in the purchase of energy limited partnerships.
Brought insurance coverage and fraudulent conveyance suit on behalf of a well-known assisted living/long term care company. Recovery confidential.
Defended developer in state court suit alleging fraud in an $11 million sale of commercial real estate.
Defended commercial building owner in bankruptcy court suit alleging participation in fraudulent conveyances of assets worth $12 million.
Represented oil rig contractor in construction and payment disputes.
Arbitrated and obtained declaratory relief for northeastern pipeline company in a joint venture dispute.
Won three trials in state court involving disputes under energy management construction contracts.
Won two employment discrimination trials for corporate clients in federal court.
Obtained cease and desist settlements in numerous trademark infringement actions on behalf of Houston based restaurant company.
Has represented two homeowners associations in deed restriction cases.
Brought trespass of title suit on behalf of agricultural landowner against chemical company. Recovery confidential.
Activities and Affiliations
Regularly attends securities industry legal and compliance seminars.
Serves as an arbitrator for National Futures Association.
Speaks to industry association groups on compliance and financial advisor malpractice.
Educational and Professional Background
Admitted to the State Bar of Texas, 1979.
Education: Washington & Lee University, B.A. with honors; Southern Methodist University, J.D. 1979.
Member: State Bar Association of Texas, American Bar Association, Houston Bar Association and Houston Bar Foundation.
Admitted to practice before the Supreme Court of Texas, the United States Fifth Circuit Court of Appeals, and the United States District Courts for the Southern, Eastern and Western Districts of Texas.
Rated “AV® Preeminent™” Lawyer by Martindale Hubbell.
Personal
Born, Houston, Texas, 1954.
Married to Lyl Coxe Harvin, two daughters.
Vestry and Chancellor, St. Martin’s Episcopal Church
Past President and Board member, Community of the Streets (Outreach)
