Ronak V. Patel, a former Deputy Securities Commissioner of Texas, advises financial services clients on complex securities investigations, enforcement actions, and litigation. Recognized by Chambers USA for his work in financial services regulation and broker-dealer enforcement, he represents broker-dealers, investment advisers, private equity firms, hedge funds, private funds, public companies, and other institutions in government investigations, securities law enforcement matters, and related litigation. Ronak also counsels clients on regulatory compliance, risk management, and emerging issues involving fintech and cryptocurrency, including regulatory considerations and best practices associated with novel technologies.
Ronak has served as lead counsel in high-profile investigations involving allegations of securities fraud, broker misconduct, complex investment products, and alleged breaches of fiduciary duties. He represents clients in matters involving federal and state securities laws, including allegations of failures to supervise, fraud, and breaches of fiduciary duty. His practice also includes complex financial litigation, where he draws on his regulatory and litigation experience to develop practical strategies for clients facing significant regulatory and legal challenges.
Ronak’s private practice is informed by more than a decade with the Texas State Securities Board, including service as Deputy Securities Commissioner of Texas. In that role, he oversaw securities enforcement and regulatory operations and directed matters involving broker-dealers and investment advisers. He also worked closely with state and federal securities regulators across the country while holding leadership positions with the North American Securities Administrators Association (NASAA). Ronak draws on this firsthand regulatory perspective to help investment advisers, broker-dealers, and other financial services clients identify and minimize regulatory risk and navigate complex investigations, enforcement actions, and litigation.