Attorney Profile

 

Ms. Windham is an experienced trial attorney who represents her clients in commercial litigation, in FINRA arbitration, and in federal and state governmental investigations, whistleblower cases, and a variety of administrative proceedings. She has more than 12 years of specialized experience in securities litigation and complex fraud cases, and is currently the court appointed federal equity receiver in a case filed by the United States Securities & Exchange Commission (SEC) to halt an alleged $28 million Ponzi scheme. Ms. Windham has been trial counsel in multiple civil litigation and FINRA arbitration cases in which the firm won arbitration awards and/or settlements in excess of a million dollars for its clients. In one example, the client won a $6.9 million FINRA arbitration award against a brokerage firm that froze him out from trading his options accounts during a day of heavy market loss despite no risk of loss to the firm. In other cases, her client investors prevailed on claims concerning broker misconduct. Ms. Windham also represents clients in the financial industry and negotiated or litigated regulatory investigations and lawsuits to appropriate resolutions. In more than one case, Ms. Windham persuaded regulators or criminal prosecutors to drop the case against a client. In another recent case, she litigated an improperly imposed excessive civil penalty from the initial administrative hearing until the penalty was overturned by the Utah Court of Appeals. In addition to her extensive securities litigation work, Ms. Windham also specializes in immigration law and environmental matters.

Ms. Windham maintains an AV Preeminent (4.9) rating with Martindale Hubbel, which is the highest rating awarded to attorneys for professional competence and ethics. She is recognized as a “Rising Star” in Securities Litigation by Mountain States Super Lawyers (2012-2017) and has been voted by her peers throughout the state as one of Utah’s “Legal Elite”, as published in Utah Business Magazine (2012-2014, 2017).

Ms. Windham serves as Vice Chair of the firm’s Women Lawyers Group.

SELECTED REPORTED CASES

  • SEC v. Marquis Properties, LLC., Case No 2:16-cv-00040-JNP. Ms. Windham is the court-appointed federal equity receiver of a company alleged to have been operated as a $28 Million Ponzi scheme.
  • Phillips v. Dep’t of Commerce, 2017 UT App 84, 397 P.3d 863. The Utah Court of Appeals overturned the Utah Securities Commission’s assessment of a $413,750 civil penalty for violations of the Utah Securities Act against Ms. Windham’s client.
  • Harriman v. Galbraith, 2:14-CV-00482. Obtained jury verdict and award for plaintiff client on breach of verbal contract claim.
  • In the Matter of the Arbitration between Healthright Partners, et al. v. Lincoln Fin. Advisors, Corp. (FINRA Arbitration 09-02961, Sept. 27, 2010). Obtained arbitration award in excess of $4 million for plaintiff client investors in FINRA selling-away case.
  • United States ex rel. Lemmon v. Envirocare of Utah, Inc., 614 F.3d 1163 (10th Cir. 2010). Tenth Circuit reversed dismissal of the client qui tam relator’s complaint finding it sufficient to plead fraud on the federal government based on the defendant’s alleged concealment of hazardous waste disposal violations.
  • In the Matter of the Arbitration between Eliason et al. v. T.D. Ameritrade, Inc. (FINRA Arbitration 09-02054, July 9, 2010). Obtained $6.9 Million arbitration award for day-trader client whose options trading was frozen by his brokerage firm on a day of heavy market loss, despite posing no risk of loss to firm.
  • United States v. Clarkson, 551 F.3d 1196 (10th Cir. 2009). Tenth Circuit reversed client’s criminal conviction (and client was subsequently released) because police-dog-in-training was unqualified to perform drug search.

Education

S.J. Quinney College of Law, University of Utah, J.D., 2005

  • Order of the Coif
  • Managing Editor, UTAH LAW REVIEW
  • Graduate Certificate in Natural Resources and Environmental Law
  • William H. Leary Scholar

University of Utah, B.S., Geography, 2002

  • summa cum laude
  • Certificate in Urban Planning

Prior Professional Experience

  • Law Clerk to Justice Matthew B. Durrant, Utah Supreme Court
  • Law Clerk, U.S. Securities & Exchange Commission, Summer 2003

Admitted to Practice

  • Utah State Bar
  • Utah Supreme Court
  • United States District Court for the District of Utah
  • United States Court of Appeals, Tenth Circuit

Affiliations / Memberships

  • Women Lawyers of Utah
  • Member, Securities Section of the Utah State Bar
  • Member, Natural Resource Section of the Utah State Bar

Professional and Civic Activities

  • Volunteer & Past Project Leader, Ray Quinney & Nebeker Signature Pro Bono Project (2014-present) (representing defendants facing jail time for contempt of court at Utah Office of Recovery Services at Order to Show Cause Calendar)
  • Secretary, Securities Section of the Utah State Bar

Publications / Presentations

  • Speaker, Case Study: The Conviction of Shkreli Attorney Evan Greebel, Utah State Bar Business Law & Securities Law CLE, February 7, 2018
  • Speaker, The Art of Civil Trial Objections (and Responses), National Business Institute, June 24, 2016
  • Statutes of Limitations: Utah, Practical Law (2015, 2016)
  • Note, Finding the Line Between Action and Inaction, SUWA v. Norton and Judicial Review of Statutory Land Management Standards, Utah Law Review (2004)
  • Development, Multipurpose Vehicle Checkpoints Are Unreasonable Seizures under the Utah Consititution, Utah Law Review (2004)

Related News