Genna Stephens

Counsel
Norton Rose Fulbright US LLP

Dallas
United States
T:+1 214 855 8079
Dallas
United States
T:+1 214 855 8079
Genna Stephens

Genna Stephens

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Biography

Genna has extensive experience representing corporate and individual clients in securities-related matters, including regulatory inquiries and enforcement actions before state regulators, FINRA and the SEC. She also handles securities fraud class actions and customer-member disputes. Genna gained significant trial experience participating in the "Lawyers on Loan" program through the Dallas District Attorney's Office, where she spent three months prosecuting criminal cases. She also recently served a six month secondment for a large financial institution during which she handled broker/dealer regulatory inquiries and investigations.

Professional experience

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JD, Southern Methodist University, Dedman School of Law, 1998
BA, Literature, University of Texas, 1994

While in law school, Genna was a staff editor and the citations editor of the International Law Review Association and a member of the Phi Delta Phi Legal Honor Fraternity. Genna is licensed to practice in the U.S. District Court for the Northern, Southern, Eastern, and Western Districts of Texas, the Fifth Circuit Court of Appeals and Texas State Courts.

  • Texas State Bar
  • Represented various regional and national brokerage firms in regulatory inquiries and investigations resulting in closure with no-action or Consent Orders with reduced penalties
  • Submitted extensive Wells Submission to SEC resulting in complete dismissal of proposed Wells Notice action with respect to corporate employees and reduced penalties for corporate client and former employee
  • After obtaining dismissal of a securities arbitration involving over-concentration in technology stocks and collateralized loan claims, successfully resolved ten related arbitrations alleging damages reaching eight figures
  • Successfully obtained dismissals or defense awards in multiple customer-member arbitrations involving allegations of unsuitability, unauthorized trading, selling-away, misappropriation and related claims
  • Assisted trial team in obtaining directed verdict in large NASD arbitration for Wall Street investment bank and brokerage firm on claims alleging involvement with Enron
  • Successfully assisted trial teams in obtaining dismissal at 12b-1 stage in securities fraud class actions and other complex commercial cases, and handling subsequent appeals
  • Through the "Lawyers on Loan" program with the Dallas District Attorney's Office, prepared and tried over a dozen cases
  • Co-author, "Lessons From Recent FINRA Cycle Exams," Law360, Sept. 6, 2016
  • "Selecting Arbitrators in FINRA Arbitrations," In-house CLE, 2009
  • "Broker/Dealer Best Practices Seminar," CLE, 2006
  • "Private Securities Litigation Reform Act," In-house CLE, 2000
  • State Bar of Texas
  • Dallas Bar Association - Business Litigation Section and Securities Section
  • Patrick E. Higginbotham American Inn of Court, Former Associate