Retta A. Miller

Financial Institution Representation

Retta has represented financial institutions, including banks, insurance companies, and securities firms, in a wide variety of matters including class action defense, lender liability, defensive actions, contract disputes, and in the prosecution of collection actions. She has represented agents and participants in participated transactions, individual lenders, and community development corporations, among others. She has obtained summary judgments and motions to dismiss, and has served as counsel in bench trials, jury trials, and before arbitration panels.

Securities Litigation and Arbitration

Retta 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. Retta has represented broker/dealers and individuals in regulatory investigations and proceedings before the Securities Exchange Commission, FINRA, and the NASD. She has also represented clients in state and federal court actions involving securities fraud, including class actions.

• Defended multiple financial institutions in claims arising from a participated loan in connection with a leveraged buyout. Plaintiffs asserted claims for breach of fiduciary duty, fraud, tortious interference with business relationships, and business disparagement and sought $45 million in actual damages plus punitive damages.  The case was dismissed without prejudice.
• Represented oil and gas operating company in claim brought by SEC Receiver on behalf of nearly 100 investors alleging aiding and abetting under the Texas Securities Act. Obtained favorable resolution after limited discovery.
• Represented retail brokerage firm and registered representative in federal court 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.
• Represented brokerage firm in federal court 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).
• Represented oil and gas operating company in federal court class action involving sale of limited partnership interests in offshore drilling partnerships. Favorably settled case following class certification.
• 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.
• 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 after Houston Court of Appeals held the trial court failed to compel arbitration.
• Represented brokerage firm in lawsuit involving claims of selling away by an independent contractor registered representative. Claims of over 100 Plaintiffs were successfully resolved.
• 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.
• Represented mobile phone manufacturer in federal court trademark and trade dress infringement suit against manufacturer of after-market accessories. Obtained permanent injunction.
• 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.
• Represented brokerage firm in arbitration asserting claims of raiding against competitor. After a multi-week hearing, an award was entered in favor of client.
• Represented brokerage firms and financial institutions in multiple cases involving claims of raiding against a competitor. Cases were favorably resolved.
• Represented financial institution in multiple lawsuits and arbitrations involving life settlement investments. Matters were successfully resolved.
• Representing insurance company in multiple lawsuits and arbitrations related to annuities, variable life insurance, and disability insurance.

• Women’s Business Enterprise Hall of Fame Inductee, 2020
• Top Business Defenders, Dallas Business Journal, 2008
• Athena Award
• Distinguished Pro Bono Service Award, North Texas Legal Services
• Meritorious Pro Bono Service Award, North Texas Legal Services
• Hall of Fame Award, Oklahoma State University College of Human Environmental Sciences
• Distinguished Alumna Award, Oklahoma State University College
• Woman of Excellence, Women’s Enterprise
• Best Women Lawyers in Dallas, D Magazine, 2010
• Super Lawyer, Super Lawyers by Thomson Reuters, 2010-2020
• The Top Women Attorneys in Texas, Super Lawyers, 2020
• The Best Lawyers in America (Woodward/White Inc.)
  • Commercial Litigation, 2012-2021
  • Arbitration, 2018-2021
• Women Helping Women Award, Dallas Women’s Foundation, 2014
• Top 250 Women in Litigation, Benchmark Litigation, 2017
• Local Litigation Star, Benchmark Litigation, 2018

• North Texas Food Bank
  • Board of Directors
• Komen for the Cure – Dallas County Affiliate
  • Board of Directors
  • Former President
  • Former Grants Committee Chair
• Oklahoma State University Foundation, Board of Governors
• Women’s Business Council Southwest
  • Board of Directors
  • Executive Committee
• Dallas Women’s Foundation
  • Board of Trustees
  • Executive Committee
  • Capital Campaign Cabinet
  • Former President
• YWCA
  • Board of Directors
  • Executive Committee
• Family Place, Board of Directors
• International Women’s Forum
• Greater Dallas Chamber Women’s Business Conference, Founding Chair
• Leadership Dallas
• Greater Dallas Chamber Executive Women’s Round Table
• American Bar Association
• Texas Bar Foundation, Fellow
• Dallas Bar Association, Fellow

Financial Institution Representation

Retta has represented financial institutions, including banks, insurance companies, and securities firms, in a wide variety of matters including class action defense, lender liability, defensive actions, contract disputes, and in the prosecution of collection actions. She has represented agents and participants in participated transactions, individual lenders, and community development corporations, among others. She has obtained summary judgments and motions to dismiss, and has served as counsel in bench trials, jury trials, and before arbitration panels.

Securities Litigation and Arbitration

Retta 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. Retta has represented broker/dealers and individuals in regulatory investigations and proceedings before the Securities Exchange Commission, FINRA, and the NASD. She has also represented clients in state and federal court actions involving securities fraud, including class actions.