Ms. Shumway's practice area is business litigation, with a strong emphasis on complex securities litigation, arbitration, and regulatory investigations. Ms. Shumway spent twelve years in the securities industry prior to joining Carrington Coleman. After two years with the National Association of Securities Dealers, Ms. Shumway joined the compliance department of an investment firm where she was a Vice President and the Director of Compliance. Ms. Shumway managed the firm's litigation, arbitration, and regulatory matters and supervised the firm's compliance activities. Ms. Shumway has represented clients in several major securities matters, including class action lawsuits and shareholder derivative litigation. She has defended clients against civil and criminal securities fraud allegations. In addition, Ms. Shumway has represented officers and directors in SEC proceedings. She has defended corporate clients in litigation involving a variety of financing transactions including public offerings, private placement of securities, and asset securitization transactions. Ms. Shumway also represents investment firms and associated persons in arbitration proceedings. She has defended clients against a wide variety of claims, including unsuitability, churning, misrepresentation, breach of contract, fraud, negligence, breach of fiduciary duty, violation of the Texas Deceptive Trade Practices Act, and violation of federal and state securities acts. She has also defended investment firms against claims of wrongful termination, defamation, and breach of contract brought by departed employees. She has represented employers in compensation disputes, including issues relating to forgivable loans and non-competition agreements. Additionally, Ms. Shumway has represented investment firms and associated persons in regulatory investigations and proceedings involving the SEC and FINRA. |