Michael A. Rodriguez

Michael A. Rodriguez

Michael A. Rodriguez, Senior Counsel at Ballard & Littlefield, LLP, provides the firm with a broad perspective on the securities markets drawn from a lengthy legal career in private and public roles.  He has a sophisticated practice in securities-industry arbitration, litigation and regulatory matters.  Mr. Rodriguez has handled or been involved with many significant and challenging matters including complex options and derivatives cases, claims arising from the Fannie Mae and Freddie Mac debacle and hotly contested broker-dealer raiding and employment transition cases.  He has also represented clients before various regulatory agencies.

Mr. Rodriguez previously served as regional counsel for two prominent Wall Street financial services firms. In this role, he counseled branch and regional management and operational staff on a host of matters, including recruiting and employment law, proposed and active account transactions and customer sales-related complaints. As in-house counsel, Mr. Rodriguez also had responsibility for handling internal corporate investigations, responding to regulatory inquiries and managing litigation conducted by outside counsel. He was also actively engaged in compliance matters and in-house education programs with branch office presentations and regional seminars for advisors and management in his regions.

Mr. Rodriguez further distinguished himself at the international level as legal advisor to various stock exchanges and governmental agencies involved in the creation and development of capital markets in former Communist countries following the dissolution of the Soviet Union.

Mr. Rodriguez began his career with the Securities and Exchange Commission, where he was ultimately appointed as the Assistant Regional Administrator in charge of the Houston office. He handled or supervised numerous matters involving securities registration, investment advisor registration and regulation, and securities fraud such as market manipulation, insider trading, investment suitability, and false or misleading disclosure and registration documents. 

Mr. Rodriguez earned his B.A. degree in Philosophy at Trinity University and his J.D. degree from Northwestern University School of Law. He is a member of the State Bar of Texas, Houston Bar Association and the Houston World Affairs Council.


Areas of Practice

  • Business & Commercial Litigation
  • Employment Disputes
  • Partnership Disputes
  • Arbitration & Mediation
  • Regulatory Matters

Bar Admissions

  • State Bar of Texas
  • U.S. District Court Northern District of Texas
  • U.S. District Court Southern District of Texas

Education

  • J.D., Northwestern University School of Law, 1979
  • B.A., Philosophy, Trinity University, San Antonio, Texas, 1976

Professional Associations

  • State Bar of Texas
  • Houston Bar Association
  • Houston World Affairs Council


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