Retta A. Miller has more than twenty-seven years of experience representing clients in civil litigation, arbitration, and appeals. She has extensive trial experience, having served as lead counsel in over 30 trials and arbitrations that were tried to conclusion.
In one notable case, Ms. Miller represented a Japanese company sued for breach of contract and fraud in U.S. District Court in San Antonio, Texas. After a 10 week trial, the jury returned a take nothing verdict in favor of the defendant. The case received national recognition when it was named to the list of "Top Defense Wins" by the National Law Journal.
Securities Litigation and Arbitration
Ms. Miller has represented retail brokerage firms and registered representatives in litigation, arbitration, and regulatory investigations in Texas and nationally. She has represented clients in arbitration before the Financial Industry Regulatory Authority (FINRA), the National Association of Securities Dealers (NASD), New York Stock Exchange (NYSE), and American Arbitration Association (AAA) in customer complaints, recruiting and raiding litigation (including covenants not to compete), and employment matters. Ms. Miller has represented broker/dealers and individuals in regulatory investigations and proceedings before the Securities Exchange Commission and the NASD. She has also represented clients in state and federal court actions involving securities fraud, including class actions.
Intellectual Property Cases
Ms. Miller's representation of clients in intellectual property matters has included trademark and trade dress, unfair competition, trade secret, and patent matters.
Financial Institution Representation
Ms. Miller has represented financial institutions in a wide variety of matters including:
- collecting promissory notes and guarantees through summary judgment, bench trials, and jury trials
- defending wrongful foreclosure, usury, and liability claims
- representing community development corporations in disputes involving the sale of promissory notes and partnerships
Ms. Miller has represented clients in appeals in state and federal courts. She has handled appeals involving arbitration, securities litigation, and intellectual property claims. She has argued before the Fifth Circuit Court of Appeals and Texas appellate courts. Ms. Miller has also handled mandamus proceedings involving arbitration, discovery, and other pre-trial matters.
Attorney Profile: Retta Miller — Knowing what matters
More about Retta A. Miller: Experience | Involvement | Recognition | Speeches / Publications | News
- Charles G. Taylor v. Deutsche Bank Securities, Inc. and David McInnis (United States District Court Northern District of Texas, Dallas 2004) - Represented retail brokerage firm and registered representative in securities action brought by former customer alleging failure to sell stock during black-out period. Secured summary judgment in favor of the brokerage firm and registered representative.
- Cindy Kilgore v. Prudential Securities, Inc. and Daniel Barnett, (United States District Court Eastern District of Arkansas 2006) - Represented brokerage firm in securities class action alleging violation of the Arkansas Deceptive Trade Practices Act. Case voluntarily dismissed after Ms. Miller filed a motion to dismiss under Securities Litigation Uniform Standards Act of 1998 (SLUSA).
- Patricia Gunter et. al v. Hall Houston Oil Company et al (United States District Court New Jersey 1999) - Represented oil and gas operating company in class action involving sale of limited partnership interests in offshore drilling partnerships. Favorably settled case following class certification.
- Albert Awakin v. Prudential Securities, Inc. (NASD Arbitration Little Rock 2005) - Represented brokerage firm in arbitration where claimants sought $19 million in damages and alleged fraud and failure to supervise in connection with the sale of low-priced securities. Obtained dismissal of claims in their entirety after a full hearing.
- Lynda M. Johnson v. Prudential Equity Group, LLC (NASD Arbitration Houston 2005) - Represented brokerage firm in case where claimant alleged over $3 million in damages related to alleged diversion of community property to pay for losses in futures account. Pre-hearing motion to dismiss granted.
- Robert H. Walsh and Carol Lynch Barden v. First Union Securities and Ray Gibson (NYSE Arbitration Houston 2004) - Represented brokerage firm and registered representative in arbitration involving options trading. Claimants sought $900,000 in damages. Obtained dismissal of all claims except suitability at the end of claimants' case. Upon conclusion of the hearing, Panel dismissed suitability claims and ordered claims expunged from the registered representative's CRD record.
- Dale Feigener et al. v. Mark Douglas Montana, M&M Financial, Inc., Crown Capital Securities, L.P. and Delta Capital Holdings, LLC (149th Judicial District Court Brazoria County, Texas 2008) - Represented brokerage firm in lawsuit involving claims of selling away by an independent contractor registered representative. Claims of over 100 Plaintiffs were successfully resolved.
- Richard Moody et al. v. Prudential Equity Group (FINRA Arbitration Oklahoma City 2008) - Represented brokerage firm in case involving technology stocks. Claimant asserted claims of breach of fiduciary duty, breach of contract, failure to supervise, violation of NASD rules and Oklahoma Securities statutes. Claims were denied in their entirety after a two-day hearing.
- Elizabeth Gayle v. Wachovia Securities, et al. (FINRA Arbitration Houston 2009) - Represented brokerage firms and broker in claims involving physical stock certificates that were allegedly not returned. Claimant sought damages in excess of $500,000 in damages. After three-day hearing, a nominal award (less than $5,000) was entered and the panel recommended the expungement of the financial advisor's registration records held with the Central Registration Depository ("CRD").
- In re Prudential Securities Incorporated and Linda Metzinger Lamonte, 159 S.W.3d 279 (Tex. App. Houston [14th Dist. 2005, original proceeding) - Represented retail brokerage firm and registered representative. Houston Court of Appeals held trial court failed to compel arbitration of claims of plaintiff as well as those assigned to her by her former husband, who signed an arbitration agreement with brokerage firm, because the claims were factually intertwined.
- Stuart J. Kaufman. M.D. v. Physicians Resource Group (Fifth Court of Appeals - Dallas 2001) - Dallas Court of Appeals upheld vacatur of arbitration award rescinding contract because arbitration panel had no authority to award rescission. Represented party seeking vacatur of award.
- Del E. Webb Construction v. Richardson Hospital Authority, 823 F.2d 145 (5th Cir. 1987) - Represented architect in appeal of trial court order compelling arbitration. Fifth Circuit Court of Appeals held joinder of arbitration between owner and architect and arbitration between owner and contractor was improper when contract required consent to joinder of arbitrations and architect did not consent to joinder.
- Nokia Corp. and Nokia Mobile Phones, Inc. v. Hypercel Corp. (United States District Court Northern District of Texas 2001) - Represented Nokia in trademark and trade dress infringement suit against manufacturer of after-market accessories. Obtained permanent injunction.
- UBS PaineWebber, Inc. v. Prudential Securities, Inc. et al (NASD Arbitration Oklahoma City 2001) - Represented brokerage firm and individual respondents in arbitration where claimant alleged raiding, unfair competition, and violation of trade secret statute as a result of recruitment and hiring of three registered representatives. Claimants sought permanent injunction and damages in excess of $2 million. After six-day hearing, claims dismissed in their entirety.
- Espeed, Inc. and Electronic Trading Systems Corp. v. The Board of Trade of the City of Chicago and the Chicago Mercantile Exchange (United States District Court Northern District of Texas 2002) - Served as local counsel for the Chicago Mercantile Exchange in patent infringement case involving electronic trading systems. The case settled before trial.
More about Retta A. Miller: Biography | Involvement | Recognition | Speeches / Publications | News
Ms. Miller is a Fellow of the Litigation Counsel of America and the Texas Bar Foundation.
Ms. Miller has been involved in a number of civic and charitable activities, including:
- Family Place Board of Directors
- Komen for the Cure Dallas County Affiliate Board of Directors (Former President and Grants Committee Chair)
- Oklahoma State University Foundation Board of Governors
- Women's Business Council Southwest Board of Directors and Executive Committee
- Dallas Women's Foundation Board of Trustees and Executive Committee (former President)
- Founding Chair of Greater Dallas Chamber Women's Business Conference
- Leadership Dallas
- Greater Dallas Chamber Executive Women's Round Table
More about Retta A. Miller: Biography | Experience | Recognition | Speeches / Publications | News
Ms. Miller received the Dallas Business Journal's 2013 "Women in Business" Award. Ms. Miller was also named to the Dallas Business Journal's 2008 "Top Business Defenders" list. She received the Athena Award, which recognizes women who excel in their profession, serve their community, and assist other women in realizing their full leadership potential. She was also recognized for her pro bono work and received the Distinguished Pro Bono Service Award and the Meritorious Pro Bono Service Award for her work with North Texas Legal Services. Ms. Miller received the Oklahoma State University College of Human Environmental Sciences Hall of Fame Award as well as the Distinguished Alumna Award and was named a Women's Enterprise "Woman of Excellence." She was also named one of the "Best Women Lawyers in Dallas 2010" by D Magazine. In addition, Ms. Miller has been named a "Super Lawyer" (2010-2012) by Thomson Reuters and was listed in the 2012-2013 editions of The Best Lawyers in America under Commercial Litigation.
More about Retta A. Miller: Biography | Experience | Involvement | Speeches / Publications | News
Speeches / Publications
Links to Publications
More about Retta A. Miller: Biography | Experience | Involvement | Recognition | News
B.S., Oklahoma State University
M.S., Oklahoma State University
J.D., cum laude
, Northwestern University School of Law
- Executive Editor, Journal of International Law and Business
- Member, National Moot Court Team
- United States Supreme Court
- United States Court of Appeals for the Fifth Circuit
- United States District Courts for the Eastern, Northern, Western, and Southern Districts of Texas