Michael A. Rodriguez

Michael A. Rodriguez

Michael A. Rodriguez’s lengthy legal career has given him the benefit of multiple perspectives on the securities markets.  He began 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, false or misleading registration and other disclosure documents.

Subsequently, after a stint as an Assistant Attorney General for the State of Texas, Mr. Rodriguez 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 employment and recruiting, proposed and active account transactions, customer complaints, regulatory inquiries and outside litigation. 

Mr. Rodriguez further distinguished himself at the international level as an advisor to stock exchanges and governmental agencies creating and developing capital markets following the dissolution of the Soviet Union.

His most recent experience has been in the private sector with a sophisticated practice of securities-related arbitration, litigation and regulatory matters.  Mr. Rodriguez has handled or been involved with many significant and challenging matters including complex options cases, claims arising from the Fannie Mae and Freddie Mac debacle and employment recruiting matters.

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.



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