BAUGH
DALTON

LLC

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BAUGH
DALTON

LLC

Chicago · Dallas · Phoenix · Atlanta*

*Baugh Dalton Jones & Haley - A joint venture between Baugh Dalton LLC and Jones & Haley PC, Atlanta, GA
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The Baugh · Dalton Way

Baugh · Dalton is a boutique law firm specializing in insurance, financial services and commercial litigation. But our real specialty is managing the litigation process so that you can realize predictable and acceptable outcomes that are consistent with your business objectives.

At Baugh · Dalton, we listen first, then act. We assimilate years of experience into every single answer. At every juncture, we keep you apprised of important developments. When called upon, we defend your interests with skill and passion.

In addition, our unique perspective as a Third-Party Administrator lets us assess a situation from the viewpoint of both outside litigation counsel and inside counsel. As such, we provide practical consultation and litigation services on complex coverage issues and the defense of professional liability claims on behalf of securities brokers-dealers, lawyers, accountants, insurance agents/brokers and other professionals. All of which makes Baugh · Dalton the first place to turn for litigation and consultation needs. We will make your life a lot easier!

Baugh · Dalton was founded by attorneys each with 20 to 30 years of experience in trial law. Our clients receive sophisticated counsel from seasoned veterans who can cut to the chase, and who manage the process to anticipate and shape outcomes.

Our approach allows us to provide clients with the best course of action based on facts, potential outcomes and the risks associated with those outcomes. The result is a legal strategy that supports long-term interests.

We leverage our unique business management perspective when evaluating cases to determine when a settlement will provide the best economic result for, as well as the best representation of, each client, and when litigation is the best approach at a particular time. We have learned to identify when a settlement is more advantageous than an extended defense, always keeping in mind that the ultimate goal is to save your business the most money possible. On the other hand, if trial is necessary we have the depth, expertise and remarkable record of success to provide our clients with the greatest opportunity for a successful outcome.

While Baugh · Dalton delivers the peace of mind you expect from a large law firm, we are able to serve your needs in a most cost-efficient manner because of our focus and size.

Our clients get the best of both worlds - high-caliber service and depth of experience, without the prohibitive costs of a larger firm.

Financial Services
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Our attorneys represent a wide range of professional service practitioners in complex cases including:

Securities Brokers and Dealers

Baugh · Dalton attorneys defend against claims of improper activity in customer accounts and defend against regulatory actions. Baugh · Dalton is one of the most experienced firms in the Midwest in the arbitration of such cases with a remarkable record of success. We have handled customer disputes concerning issues such as suitability, unauthorized trading and churning involving securities and investments of all types, as well as inter-firm disputes concerning improper use of confidential information and/or enforcement of restrictive covenants. We have also assisted firms and individuals in regulatory and enforcement actions and investigations by the NASD, the SEC and state securities commissions.

Insurance Brokers and Agents

Baugh · Dalton defends insurance brokers and agents in a wide variety of actions alleging errors and omissions involving various types of insurance policies including life, health, accident, homeowners, liability and surety as well as fixed variable and equity indexed annuities. The lawyers who have defended insurance brokers and agents have acquired extensive experience in such cases.

Real Estate Brokers and Agents

Baugh · Dalton has defended both national and local real estate brokers and agents in actions involving negligence, fraud and contractual issues. The firm's attorneys have extensive experience in both commercial and residential matters.

Directors and Officers

With extensive experience in defending claims brought against corporate directors and officers, our attorneys have successfully handled claims ranging from shareholder derivative suits to claims of breach of fiduciary duty, unlawful distribution of corporate assets, employment-related and other torts, and a wide variety of breach of contract and commercial litigation. We strive to bring a successful and expeditious resolution to these legal matters while always keeping the costs of defense and the long-term business in mind.

Professional Liability
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Accountants

The attorneys at Baugh · Dalton have defended widely recognized accounting firms as well as solo practitioners in professional liability actions in both civil and bankruptcy courts. These cases have involved audit work, investments advice (including tax shelters), accounting services, fraud and embezzlement, business restructures, leveraged buyouts and other transactions.

Attorneys

Throughout the years, Baugh · Dalton attorneys have defended an extensive number of legal malpractice cases, including attorneys in some of the largest law firms to solo practitioners, and involving virtually every area of legal specialty and underlying claims and transactions.

Insurance Coverage
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Other insurance defense areas include employment practices, liability, surety matters, subrogation, and coverage.

Insurance Coverage/ Surety/ Subrogation

Baugh · Dalton's insurance litigation group represents insurance companies in resolving complex coverage issues and assists carriers in drafting policy language. Many litigated issues arise from potential for estoppel, the alleged failure to defend under liability policies or out of a failure to settle claims that result in bad faith litigation. Baugh · Dalton also assists its clients to navigate complex claims handling procedures that often arise with Illinois claims. Commercial General Liability, Directors and Officers and Professional Liability policies are the primary areas of concentration.

Commercial Litigation
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The attorneys at Baugh · Dalton are very experienced in the handling of commercial litigation in cases of large financial disputes, unfair competition, employment disputes, defense of product liability, breach of contract, breach of warranty, collection of large receivables, other business torts, securities litigation, as well as defense of consumer and class action law suits.

Business Representation

Baugh · Dalton attorneys are experienced in advising corporations, partnerships and other business entities in many areas, including structuring commercial transactions, reduction of legal risks and liability damage control, compliance with laws, regulatory matters, tax reduction and other areas of business law. Our attorneys provide counsel on matters including selecting the most appropriate entity for conducting a business; structuring and organizing a corporation, limited liability company, or joint venture; and matters related to the purchase and sale of a business and its assets.

Mergers & Acquisitions, Divestitures and Restructurings

We work with you from the earliest planning stage through the intricacies of tax planning to the closing. We are experienced in mergers, tender offers, leveraged buy-outs, acquisitions or sales of stock and assets, recapitilizations, insurance transactions, conversions, tax-free reorganizations and buyouts of minority interests.

Corporate Counseling and Regulatory Compliance

We counsel clients from the formative beginnings of their business through growth, maturity and divestiture. We draft and negotiate contracts, structure employment agreements, create succession plans, evaluate rights and duties of shareholders, officers and directors, counsel on environmental strategies and regulatory compliance and create and implement anti-takeover strategies. We represent clients before state and federal regulatory agencies and advise them on how to operate within the law and comply with government regulations.

Real Estate

We counsel sellers, buyers, landlords, and tenants in transactions involving construction, selling, purchasing, leasing and financing of office buildings, shopping centers, apartment buildings, company facilities and single-family homes.

Finance, Securities & Venture Capital

Whether your company is privately held or publicly traded, growing or restructuring, borrowing or lending, we offer a variety of legal services that assist management and owners in achieving their goals in a creative, timely and cost-effective manner.

Closely Held Businesses

We provide creative advice and specialized legal services to growing, closely held businesses.

Baugh · Dalton specializes in insurance litigation, in particular, in the areas of directors and officers liability, and professional liability defense for securities brokers and dealers, lawyers, accountants, insurance agents/brokers and other professionals as well as employment practices liability, surety matters and subrogation, construction liability and major coverage disputes. Our attorneys also represent business entities and individuals in most areas of civil litigation, including defense of personal injury and property damage claims, construction defect and transportation litigation.

  • Baugh Dalton acts as a third-party administrator for insurance companies seeking to outsource claims handling services and provides claims evaluation services and a variety of audits for self-insureds, insurers and reinsurers.
  • We also counsel on claims management and risk reduction, resolve claim disputes through negotiation, mediation, arbitration or litigation and manage and handle claims, including hiring and monitoring and managing defense counsel, and helping to make litigation strategy and settlement decisions.
  • Our attorneys also offer commercial litigation services in cases of large financial disputes, unfair competition, defense of product liability, breach of contract, breach of warranty, collection of large receivables and other major business litigation.
  • Our attorneys specialize in the areas of personal injury and property damage claims, transportation, premises liability and construction defect litigation. In addition, Baugh Dalton attorneys defend healthcare liability claims and counsel clients regarding healthcare regulatory investigations, and assist in resolving contractual disputes.
Transactional
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Baugh Dalton’s transactional attorneys represent businesses of all sizes in the wide variety of matters businesses face on a daily basis. From the formation of a business to the sale or transfer of a business, Baugh Dalton’s attorneys pride themselves on developing strong and lasting relationships with their clients to provide not only solutions to current issues but also counsel for the long term goals of the clients. Baugh Dalton’s attorneys have significant experience in the following areas:

Business Formation

Our attorneys work diligently to understand the purpose and needs of a new business, and its owners, to ensure the new business is structured in the most advantageous manner. The attorneys can navigate the requirements for governmental filings as well as draft all agreements necessary to properly set a new business on the right course.

General Counsel and Business Transactions

Our attorneys provide counsel and services to businesses and their owners relating to their day-to-day operations and legal and business matters. This advice encompasses a comprehensive range, including the drafting and negotiation of contracts, employment and consulting agreements, confidentiality and noncompete agreements, creating business succession plans and all aspects of the purchase, sale and transfer of business. Our attorneys function as outside general counsel for a number of the Firm's closely held clients and are, accordingly, familiar with the issues, legal and otherwise, which these clients, and their owners encounter on a daily basis.

Banking/Financial

Our attorneys represent commercial lenders, individual investors and businesses in the structuring, documentation and negotiation of real estate and asset-based loans.

Real Estate

Our attorneys represent owners, purchasers, lessors and lessees of both commercial and residential real estate in all aspects of purchase, sale, lease and financing transactions.

Employment Practices
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We represent management in a variety of employment disputes in federal and state courts as well as in administrative agencies. These disputes include claims based on Title VII, the Age Discrimination in Employment Act, the Americans with Disabilities Act and their state based counterparts, other federal statutes such as the Family and Medical Leave Act and common law claims such as wrongful discharge, breach of contract, interference with contractual relations, retaliatory discharge, intentional infliction of emotional distress, and fraud.

David A. Baugh

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David A. Baugh is a licensed CPA and concentrates his practice in corporate, commercial and securities litigation, professional malpractice, directors' and officers' (D&O) liability and healthcare related litigation. Since 1982, he has directly defended accountants, attorneys, insurance and real estate agents and brokers, securities brokers and dealers, architects, engineers, corporate directors and officers, physicians and other related professionals and has represented various insurance carriers in connection with coverage disputes and other matters of policy interpretation.

Mr. Baugh has successfully defended professionals on a nationwide basis, including cases of first impression concerning liability to third parties. More specifically, he represented the interests of defendant accountants in the case of Toro Co. v. Krouse, Kern & Co., Inc., in which the 7th Circuit, applying Indiana law, adopted the credit alliance standard of liability to third parties.

He has represented various carriers in numerous cases in connection with claims asserted against directors and officers of corporations and financial institutions, including litigation concerning the United American Banks in Tennessee and the VMS related entities in Chicago. Throughout the last several years, Mr. Baugh has devoted a substantial portion of his practice to litigation matters against businesses and their directors, officers, agents and representatives in areas such as antitrust, privileges and employment liability.

Mr. Baugh has lectured and given seminars on various securities, D&O and professional malpractice issues. He received his B.B.A. cum laude from the University of Georgia in 1975 and his J.D. from the University of Tennessee College of Law in 1978. After graduating from law school, he worked at the Securities and Exchange Commission in Washington, D.C., in the division of corporate finance.

John D. Dalton

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John D. Dalton is a licensed CPA and concentrates in insurance coverage, commercial and professional liability litigation. He also practices in the areas of securities litigation and general business law. He is an author in the areas of school law, environmental liability and insurance coverage. He has given seminars on various issues regarding insurance coverage and policy interpretation. He is a member of the American, Illinois State and Chicago Bar Associations. He was also a member of the Insurance Law Section Council of the Illinois State Bar Association from 1999 to 2005.

Mr. Dalton has represented insurance carriers nationwide in complex coverage litigation and advised insurers regarding difficult coverage issues that often arise in Illinois, such as estoppel and targeted tender. He has also advised insurance companies on drafting new policy provisions to keep up with changes in the law. He has defended accountants, actuaries, attorneys, psychiatrists, insurance agents, Registered Investment Advisors and Broker/Dealers. Mr. Dalton has provided expert testimony on behalf of carriers in Illinois insurance coverage litigation.

He has obtained successful results at the appellate level in both defense and coverage cases. Specifically, he represented the defendant psychiatrist and hospital in Bloom v. Braun where the Illinois First District Appellate Court limited the use of alleged fraudulent concealment to toll the statutes of limitations or repose. Also, he represented the insurance carrier in Tudor Insurance v. Valuemetrics where the same court limited the usually broad duty to defend, in holding that the insurer had no duty to defend when the underlying lawsuit did not state a negligence claim, because there was no direct duty from the insured to the plaintiff.

Mr. Dalton was admitted to practice in Illinois in 1987. He is admitted to practice in the United States District Court for the Northern, Central and Southern Districts of Illinois and the United States Court of Appeals for the Sixth Circuit. He is also a member of the Trial Bar of the Northern District of Illinois. He graduated from Illinois Wesleyan University in 1984 and The John Marshall Law School in 1987. He received an AV rating through Martindale - Hubbell. He was licensed as a Certified Public Accountant in Illinois in 1989.

David R. Carlson

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David R. Carlson concentrates his practice in commercial litigation including professional malpractice and, in particular, corporate directors' and officers' (D&O) liability, attorneys' malpractice and insurance agents' liability. He has represented insurance carriers in connection with coverage disputes and other matters of policy interpretation including First Southern Bank, United American Banks in Tennessee, First Republic Bank Corporation in Texas and AmeriFirst Trust Company. Over the past several years, he has managed the firm's third-party administration of over 350 claims from a run-off insurance agents errors and omissions program with a major nationwide insurance company.

During law school, Mr. Carlson worked at the Glenview State Bank as an assistant vice president in the loan administration department from 1982 to 1984. He received his B.B.A. in finance from the University of Notre Dame in 1971 and his J.D. from DePaul University College of Law in 1984.

Prior to receiving his law degree, Mr. Carlson worked for the Federal Deposit Insurance Corporation (FDIC) in its division of bank supervision from 1973 to 1975 and its division of bank liquidation from 1975 to 1982. Among other matters while with the FDIC, he investigated potential liability claims under defunct banks' fidelity bonds and against former directors and officers of financial institutions.

Mary Kay Morrissey

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Mary Kay Morrissey concentrates her practice in the areas of commercial litigation, professional malpractice litigation, managed health care litigation, and employment litigation. Ms. Morrissey began her professional career in 1987 working in the area of commercial litigation for one of the largest and most prestigious firms in Oklahoma. In 1989, Ms. Morrissey returned to Illinois. Throughout her 20 years of practice, Ms. Morrissey has amassed a broad range of experience in trial work and appellate practice in both federal and state courts.

In 1997, Ms. Morrissey left private practice to go in house with Ameritech's Litigation Department, where she successfully defended Ameritech in a number of commercial class action lawsuits. While at Ameritech, Ms. Morrissey also defended Ameritech in numerous employment actions, involving sexual harassment, sexual discrimination, age discrimination and disability discrimination issues.

Ms. Morrissey has been back in private practice since June 2001, once again concentrating her practice in the areas of commercial litigation and professional malpractice litigation, representing both corporations and individuals.

Ms. Morrissey received her BS from Marquette University in 1984, and her JD from the University of Tulsa Law School in 1987. While in law school Ms. Morrissey was on the Dean's Honor Roll, received academic law school scholarships, and was invited to be a member of the University of Tulsa's Law Journal. While a member of the Law Journal, Ms. Morrissey authored The Duties of Concurrent Owners of Oil and Gas Interests: Tenneco Oil Co. v. Bogart, 22 Tulsa Law Journal 563 (1987). Ms. Morrissey was admitted to the Bar of Oklahoma and the U.S. District Court for the Northern District of Oklahoma in 1987, the Bar of Illinois and the U.S. District Court for the Northern District of Illinois in 1989 and has been admitted to practice before the U.S. Court of Appeals for the 10th and 7th Circuits.

Jamie B. Palfai

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Jamie B. Palfai concentrates his practice in corporate, commercial and securities-related litigation as well as various state and federal regulatory matters. Beginning in 1999, Mr. Palfai served as a senior enforcement attorney with the Arizona Securities Division before taking an in-house position as a director and corporate counsel for a large independent broker-dealer. In this latter role, Mr. Palfai oversaw the filing and defense of hundreds of consumer-initiated and industry-related disputes involving various securities industry professionals, firms and corporations.

In addition to successfully prosecuting several high profile securities fraud matters as an enforcement attorney, Mr. Palfai has played a direct role in the favorable resolution of multiple arbitration, litigation and regulatory actions. While serving in this same corporate counsel capacity, he was also directly involved in overseeing the business functions of one of the country's largest broker-dealer networks, allowing him first hand insight into the firm's mechanics, operations and procedures; such insight often serves to provide strategic advantages to any resulting legal action, dispute or inquiry.

Mr. Palfai received his B.Sc. from McGill University in Montreal, Quebec in 1990 and subsequently graduated magna cum laude from the University Of Arizona College Of Law in 1996, receiving membership into The Order of the Coif. Mr. Palfai is an active member of the State Bar of Arizona, and is admitted to practice before the Federal District Court, District of Arizona. Mr. Palfai has also qualified for Series 7 (general securities representative) and Series 24 (general securities principal) licensing through FINRA.

James C. Yong

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James C. Yong counsels self-regulatory organizations, broker-dealers, investment advisors, hedge funds, futures commission merchants and others in the financial services industry in regulatory matters before the SEC, CFTC, State Blue Sky Commissioners, self-regulatory organizations and other regulators. Jim also litigated securities matters before industry arbitrators and the federal court.

Mr. Yong brings a variety of experiences to the law firm, having worked as outside counsel, in-house counsel and for a government agency. His investigative experience is also enhanced by his work as an internal auditor for the then seventh largest bank in the United States and as an enforcement attorney with the SEC. Mr. Yong has been serving the financial sector for more than 30 years, having worked in the banking and the securities industries, including options, futures, security futures and equity markets. While in private practice, Mr. Yong helped a client become the second market to be approved by the CFTC as a designated contract market for security futures and another to become one of the ten entities recognized as an Electronic Communications Network ("ECN") by the SEC. Mr. Yong also helped other clients develop hedging programs. As part of a pro bono representation, Jim obtained 501(c)3 status for one of his clients.

In the corporate world, Mr. Yong has been appointed as the General Counsel, first with The Options Clearing Corporation and then with the National Stock Exchange, Inc. He was also the National Stock Exchange's first Chief Regulatory Officer and its affiliated broker-dealer's first Chief Compliance Officer. While representing these self-regulatory organizations, Mr. Yong has been his corporation's representative on a number of regulatory and industry committees, including acting as the Executive Representative to FINRA, the Intermarket Surveillance Group (including chairing some of its subcommittees), the Securities Industry Committee on Arbitrations, the International Organization of Securities Commissioners ("IOSCO") and the North American Securities Administrators Association ("NASAA"). Mr. Yong has experience in matters involving the development of new products (and their disclosures) with securities and options exchanges; creating rule filings and policy issues with the SEC; commodity futures matters involving the CFTC; margin questions involving the Board of Governors of the Federal Reserve System, the SEC and the CFTC; liquidation matters involving SIPC; blue sky matters involving state securities commissioners; international matters relating to market linkages, licensing agreements and advising foreign markets; banking matters involving lines of credit, settlement procedures, and letters of credit; litigation matters prosecuting disciplinary matters, defending class actions, arbitration proceedings and administrative proceedings; and general corporate matters. Jim also helped OCC obtain its AAA rating from Standard and Poor's credit reporting agency. Finally, Jim was one of the principal authors and editor of the options disclosure document entitled Characteristics and Risks of Standardized Options, which is required to be distributed to all traders of standardized options traded in the United States.

Mr. Yong's government experience includes work as an enforcement attorney for the SEC and externships with the United States Court of Appeals for the Seventh Circuit and a United States Magistrate for the Northern District of Illinois.

Mr. Yong is an alumnus of the Stanford University Graduate School of Business, having completed the Stanford Executive Program in 2012. He also received his Juris Doctor from DePaul University College of Law and his Bachelor of Arts from the University of Illinois at Urbana-Champaign. Mr. Yong has obtained the General Securities Representative (Series 7), General Securities Principal (Series 24), Uniform Securities Agent State Law (Series 63) and Operations Professional (Series 99) certifications.

Gara M. Seagraves

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Gara M. Seagraves concentrates her practice in the areas of insurance defense, D&O liability, and commercial litigation. She has defended brokers, financial planners, insurance agents and other financial professionals in both State and Federal court and the Financial Industry Regulatory Authority.

Ms. Seagraves graduated cum laude from the University of Michigan and graduated cum laude from the University of Wisconsin Law School. Ms. Seagraves is the 2006 recipient of the Abner Brodie Award for Outstanding Achievement in Legal Study and Practical Application of the Law. Ms. Seagraves is the current MCLE Director of the Securities Law Committee of the Chicago Bar Association. Ms. Seagraves is also a member of the Wisconsin State Bar Association and the Chicago Bar Association and is admitted to the bar in both Illinois and Wisconsin.

Daniel A. Hetzel

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Daniel A. Hetzel concentrates his practice in the area of financial services litigation and arbitration, as well as professional liability and civil litigation. Mr. Hetzel has defended securities broker-dealers, registered investment advisers, registered representatives, financial advisors, insurance agents and other professionals in state and federal court and before the dispute resolution tribunal of the Financial Industry Regulatory Authority. Mr. Hetzel has extensive experience defending cases involving managed accounts, private placements, REITS, alternative investments, variable annuities, mutual funds, exchange traded funds, life insurance trusts, deferred compensation plans and welfare benefit plans. Mr. Hetzel also has experience representing securities broker-dealers, registered investment advisers and their representatives in regulatory and enforcement matters before the SEC, FINRA and state securities commissioners. Mr. Hetzel also works closely with the compliance departments of broker-dealers and other financial institutions to ensure that their internal policies and procedures are consistent with the mandates of the SEC, FINRA and state securities commissioners.

Mr. Hetzel obtained his undergraduate degree (summa cum laude and Phi Beta Kappa) from Northwestern University. He obtained his J.D. from the University of Chicago and his M.B.A., with a concentration in finance, from the DePaul University Kellstadt Graduate School of Business. Mr. Hetzel is admitted to practice law in Illinois and Virginia. Mr. Hetzel is also a Certified Fraud Examiner and is a member of the Securities Law Committee of the Chicago Bar Association.

Raya D. Bogard

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Raya D. Bogard concentrates her practice in the areas of lending, business transactions, general corporate law, and real estate. Her practice involves representing commercial banking lenders, individual investors and businesses in the documentation and negotiation of real estate and asset-based loans. In addition, she represents businesses and entrepreneurs in a variety of business transaction including the formation, operation and sale of businesses and all aspects of the purchase, sale, lease and financing of real estate.

Ms. Bogard's prior professional experience also includes acting as the Administrative Code Rules Manager for the Illinois Department of Commerce and Economic Opportunity while she was attending law school. In this position, Ms. Bogard gained invaluable experience in legal drafting and the legislative process.

Ms. Bogard graduated magna cum laude from Illinois College in 1997 withh a B.S. in Biology and Physical Education. In 2012, she was inducted into the Illinois College Athletic Hall of Fame as a member of the 1993 Volleyball Team. She graduated magna cum laude from The John Marshall Law School in 2004, whereupon she was elected to the Order of John Marshall. While in law school, Raya was on the Dean's List and was a semifinalist in the Dean Fred F. Herzog Moot Court Competition.

Ms. Bogard is a member of the Illinois Bar Association and the DuPage County Bar Association. She has authored Defeating Adverse Possession Through Presumptions, The Journal of the DuPage County Bar Association, Volume 21 (March, 2009).

A central Illinois native, she currently resides in the Village of Oak Park. In addition to her law practice, Raya serves as Trustee of her hometown chuch and volunteers in a number of different capacities in connection with local youth sports and schools.

Emily R. Norris

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Emily R. Norris graduated magna cum laude with a degree from the University of California, San Diego. Ms. Norris subsequently graduated magna cum laude from the University of Illinois College of Law. While in law school, Ms. Norris was on the Dean's List and received academic awards of excellence in trial advocacy, legal writing and legal research. In addition to her course work, Ms. Norris helped teach courses in Criminal Law and Evidence. She was Vice President of the International Law Society and Articles Editor for the University of Illinois Elder Law Journal.

Ms. Norris focuses her practice in commercial litigation and insurance coverage. She apportions a substantial amount of her practice to litigation and arbitration involving securities broker-dealer firms and their brokers.

Prior to joining the firm, Ms. Norris worked as an associate for a small litigation firm in Chicago, focusing on medical malpractice defense and corporate litigation defense.

Ms. Norris is a volunteer at the Chicago Lighthouse Kane Legal Clinic, helping provide legal services to the blind and visually impaired. She is also a member of the American Cancer Society's Associate Board of Ambassadors.

Ms. Norris is admitted to the bar in Minnesota and Illinois and is a member of the Chicago Bar Association and the Women's Bar Association.

Ms. Norris is fluent in Farsi.

Sinjan Bose

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Sinjan Bose concentrates his practice in the areas of insurance coverage, financial services litigation and arbitration, professional liability, and commercial litigation.

Prior to joining the firm, Mr. Bose worked as an associate at a creditor's rights firm representing lenders and servicers in matters relating to chancery and forcible entry and detainer, and defended lenders from municipal code violations. Before then, Mr. Bose worked as an attorney representing individuals in domestic relations cases and handled a variety of other civil litigation matters.

Mr. Bose received his undergraduate degree in economics from the University of Michigan and his law degree from Chicago-Kent College of Law. While in law school, Mr. Bose was a member of Chicago-Kent's Moot Court Honor Society and was on the Dean's List. He received an award for academic excellence in legislative advocacy and guided his moot court team to a semifinal finish at the 2012 DePaul University National Cultural Heritage Law Moot Court Competition. Additionally, Mr. Bose was an articles editor for the Chicago-Kent Journal of Intellectual Property and volunteered as a mediator for the Center for Conflict Resolution.

Monica V. Banasiuk

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Monica Banasiuk is an associate attorney who focuses her practice on financial services litigation, professional liability, commercial litigation and insurance coverage. Ms. Banasiuk represents securities broker-dealers, financial planners, registered representatives and other financial professionals in State and Federal courts, and also before the dispute resolution tribunal of the Financial Industry Regulatory Authority. Monica has substantial litigation experience and always strives to ensure that her cases are handled efficiently and with excellence.

Monica received her Bachelor's degree in Psychology, with a minor in Spanish, from the University of Michigan, Ann Arbor. She went on to receive her Juris Doctorate from Chicago-Kent College of Law where she was consistently on the Dean's list and earned the Prestigious Center for Computer-Assisted Legal Instruction Excellence for the Future award in her trial advocacy classes.

Prior to joining Baugh Dalton, Monica practiced commercial and civil litigation, focusing mainly on real estate and construction issues. Her prior work provided her with ample experience with motion practice, the discovery process, trial preparation, settlement negotiations and trial.

Additionally, Monica is a member of the Auxiliary Board of the Lincoln Park Zoo and serves as the Secretary to the Junior Board of PAL-PAC(Polish American Leadership Political Action Committee).

Edmund S. McAlister

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Edmund S. McAlister concentrates his practice on insurance coverage disputes under general liability, Directors & Officers liability, and all-risk insurance policies as well as on general commercial litigation. His litigation experience includes large, complex, and high profile cases. He has litigated numerous coverage and bad faith matters for domestic and foreign insurer clients. Recently, Mr. McAlister obtained a $3.7 million judgment on behalf of a partially-subrogated insurance carrier and it's insured. Earlier in his career, Mr. McAlister successfully prosecuted the first-ever bilateral class action lawsuit arising out of the demutualization of the Chicago Board of Trade, and prosecuted unlawful competition and tortious interference claims on behalf of a publicly traded company that resulted in a permanent injunction.

Mr. McAlister's publications include: The Barbarians are at the Gate, and the Junta Won't Return My Calls... Am I Covered? THE BRIEF, vol. 35, No. 2 (2006); Political and Currency Risk Insurance ABA Committee on Corporate Counsel Newsletter (Nov. 2001); The Hydraulic Pressure of Vengeance: U.S. v. Alvarez-Machain and the Case for a Justifiable Abduction; 43 DEPAUL L. REV. 449 (1994); and The Military Structure, Strategy & Tactics of the Warring Factions [in the former Yugoslavia]; U.N.S./1994/674/add. 2 (v.1) (with M.C. Bassiouni, et al). (U.N. Security Council Publication). His reported cases include Feldheim v. Sims, 326 Ill.App.3d 302 (1st Dist. 2001) and Thomas v. Johnson Controls, Inc., 344 Ill.App.3d 1026 (1st Dist. 2003).

Mr. McAlister was admitted to practice in Illinois and the United States District Court for the Northern District of Illnois in 1994. He has been admitted pro hac vice in numerous jurisdictions around the country. He graduated from Murray State University in 1982, and DePaul University College of Law in 1994. He received an AV rating through Martindale-Hubbell. Prior to becoming an attorney, Mr. McAlister was a military intelligence officer in the United States Army, obtaining the rank of Lieutenant Colonel. He is fluent in Italian.

Noreen Cabrera

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Noreen Cabrera concentrates her practice in the areas of contract and lease disputes, medical malpractice and premises liability. Mrs. Cabrera was born and raised in Northern Ireland and completed her Bachelor of Laws degree in Trinity College, Dublin, and Masters in Law in University College, Dublin, receiving high honors in both. She then emigrated to Dallas, Texas, where she earned her Juris Doctorate, cum laude, at Texas A&M School of Law. She has been published in the Texas A&M School of Law Law Review: Psychiatrists' Duty to Warn Third Parties: Tarasoff Kicked Out of Texas ... Finally! 7 Texas A&M School of Law Law Review, Spring 2004.

In her 12 years of practice, Mrs. Cabrera has vigorously prosecuted and defended numerous civil trials in both state and federal court. Her numerous successes have included securing a six-figure plaintiff verdict in federal court representing a plaintiff corporation in complex contractual dispute against a Fortune 500 company; securing a defense verdict for apartment complex in premises liability/DTPA lawsuit involving allegation of sexual assault at complex; winning summary judgment in a complex breach of contract action with successful counterclaim against the plaintiff, including award of attorney fees; securing summary judgment in premises liability and negligent activity lawsuit on behalf of national distributor concerning a forklift accident that resulted in severe brain damage to the plaintiff; securing summary judgment in premises liability slip and fall lawsuit on behalf of bingo hall owner, on grounds that condition was not unreasonably dangerous and owner had no notice of the condition; securing a transfer of venue from Oregon federal court to Texas in a six figure wrongful retaliation and racial discrimination employment claim following oral argument in Portland, Oregon, ultimately resulting in a favorable settlement for client; and winning several motions to dismiss under the Texas Medical Liability Act's expert report requirement requiring trial and appellate courts to dismiss all claims against the client health care provider, including recovery of client's attorney's fees and costs from plaintiffs and their counsel.

Mrs. Cabrera has been licensed in Texas since November 2000 and is licensed to practice in the Northern, Southern and Eastern Districts of Texas and in the Fifth Court of Appeals, Texas.

John D. Purdy, Jr.

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jpurdy@baughdaltonlaw.comVCardPrintable Bio

John D. Purdy, Jr. earned his B.A. in Econ from Yale University in 1963 and his J.D. from the University of Chicago Law School in 1966. John concentrates his practice in the representation of lenders and closely held businesses (for which he frequently functions as outside general counsel), and the owners of such businesses in business and personal matters. Among his clients are individuals, banks and asset-based lenders, financial intermediaries, software developers, a number of internet-based companies, and an independent records storage company. John has attained the Martindale-Hubbell AV rating. His experience and achievements include:

  • Representation of lenders in all phases of real estate and asset-based loan transactions, including the negotiation and documentation of such loans.
  • Involvement in business transactions of all kinds, including formation, operation and sale of corporations, partnerships and limited liability companies.
  • Representing owners and lessors and lessees of real estate in purchase, sale, lease and financing transactions, including purchase and sale agreements, office and industrial leases, architect and construction contracts and financing agreements.
  • Advising his clients and their owners as to succession planning and estate planning issues and real estate partnerships.

John is a member of the American, Illinois State and Chicago Bar Associations. Born in Chicago, he currently resides in the Village of Clarendon Hills.

In addition to his law practice, he was a principal in a closely held computer software company, which has given him a working knowledge of the business and legal issues facing software developers, as well as those encountered generally by small businesses and their owners.

An elected or appointed municipal official for more than 25 years, John has lectured on land use and municipal topics at seminars presented by Prentice Hall and the Illinois Institute of Continuing Legal Education (ILCLE).

Robert Shipley

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rshipley@baughdaltonlaw.comVCardPrintable Bio

Robert A. Shipley focuses his practice in civil litigation involving complex business, construction, construction defect, insurance, professional liability and tort litigation and general business counseling, as well as Mediation and Alternative Dispute Resolution. An experienced trial attorney, he has tried in excess of 100 cases to verdict and has successfully argued cases in the Illinois Appellate Court.

Mr. Shipley has been awarded the AV® Preeminent Peer Review Rating™ from Martindale Hubbell Law Directory and has been included in the Bar Register of Preeminent Lawyers™ since 2010.

Construction litigation - Represents architects and engineers, contractors and owners in litigation matters involving construction claims and disputes, design and construction defects, delay claims, insurance coverage claims, lien claims, professional liability actions, surety claims, as well as property and tort claims.

Insurance - Represents insurers in claims involving fraud, life insurance, liability and property claims, coverage analysis and disputes.

Insurance defense litigation - Represents clients in claims involving personal injury, property claims, business and contractual disputes, product liability and tort claims.

General business litigation - Represents clients in claims involving contract disputes, dissolution of business relationships and general business litigation.

Professional Liability - Represents design professionals arising from construction related claims. Represents professionals, including physicians and lawyers, in claims involving malpractice and professional privilege disputes. Mr. Shipley is a certified mediator and panel arbitrator for the American Arbitration Association.

Mr. Shipley received his Juris Doctor from Northern Illinois University College of Law in 1978 and Bachelor of Arts from the University of Illinois at Urbana-Champaign in 1975. He is a graduate of the DePaul University Center for Dispute Resolution.

Mr. Shipley is licensed to practice law in Illinois and is admitted to the Illinois State Bar, U.S. District court for the Northern District of Illinois and the U.S. Court of Appeals for the Seventh Circuit. He is a member of the Trial Bar of the U.S. District Court for the Northern District of Illinois.

Mr. Shipley's professional affiliations include the Illinois State Bar Association where he is past chairman of the Interdisciplinary Cooperation Committee and former member of the Civil Practice and Procedure Section Counsel. He is also a member of the American Bar Association, Chicago Bar Association, Defense Research Institute, Professional Liability Defense Federation and Illinois Association of Healthcare Attorneys.

Richard W. Jones

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VCardPrintable Bio

Areas of Practice - Securities, Mergers and Acquisitions, Corporate, Hedge Funds:

Mr. Jones concentrates his practice on securities matters, such as public offerings, IPO's, private placements, SEC compliance, broker/dealer and investment adviser regulation and hedge funds. Much of Mr. Jones' practice is devoted to mergers and acquisitions, and he has represented many clients in connection with their purchase or sale of a business, utilizing the optimum format for each transaction.

As a corporate lawyer, Mr. Jones also represents clients in the daily operation of their business in counseling on general corporate matters such as formation of a business, choice of business entity, and general operational issues.

Mr. Jones is the author of articles and a speaker on topics related to his areas of legal expertise.

Over 30 Years of Legal Practice and Experience:

  • Partner with Jones & Haley, 1991 - Present
  • Securities Chair - Hurt, Richardson, Garner, Todd & Cadenhead, 1989 - 1991
  • Securities and Exchange Commission - Division of Enforcement, 1981 - 1983
  • Hearing Officer for the Georgia Commissioner of Securities, 1990
  • Arbitrator for the National Association for Securities Dealers, Inc.
  • Special Adviser to Georgia Secretary of State on Georgia Investment Adviser Legislation, 1987 - 1988
  • Ernst & Whinney, Tax Department, 1979 - 1981

Representative Experience:

Securities Offerings

  • Represented software and hardware company in a $4,312,500 IPO of common stock.
  • Represented electronics manufacturer in a $3,000,000 IPO of common stock.
  • Represented restaurant franchisor in a $9,200,000 IPO of common stock.
  • Represented insurance company in the public offering of $10,000,000 in bonds.
  • Represented oil and gas producer in public offering of $2,000,000 in common stock.
  • Represented commercial developer in public offering of $13,800,000 in common stock.
  • Represented developer in $14,000,000 partially designated blind pool public offering.
  • Represented lender in private placement of $1,000,000 in limited partnership units.
  • Represented magazine publisher in $600,000 private placement of common stock.
  • Represented book publisher in $400,000 private placement of common stock.
  • Represented medical device manufacturer in $2,175,000 private placement of common stock.
  • Represented office developer in $5,500,000 private placement of limited partnership units.
  • Represented restaurant franchisor in $2,625,000 private placement of common stock.
  • Represented oil and gas producer in $2,100,000 private placement of limited partnership units.
  • Represented education company in $10,040,000 private placement of common stock.
  • Represented mortgage company in $7,400,000 private placement of preferred stock and subordinated notes.
  • Represented photographic equipment and software manufacturer in $4,000,000 private placement of common stock and warrants.

Mergers and Acquisitions

  • Represented public telecommunication company in a spin-off of a subsidiary to its shareholders.
  • Represented private company in the reorganization of its nursing home business.
  • Represented Atlanta's largest residential mortgage company in its sale to a national bank (Stock sale).
  • Represented owners of a private software company in the sale of their business to Microsoft (Stock sale).
  • Represented public company in the acquisition of an oil and gas company (Stock sale).
  • Represented private book publisher in the sale of its business to media conglomerate (Stock sale).
  • Represented private personnel company in the sale of its business to a public company (Asset sale).
  • Represented construction company in the sale of its business to a public electric utility (Stock sale).
  • Represented public Israeli company in the acquisition of pharmaceutical testing company (Stock purchase).

Securities Regulatory

  • Represented numerous public companies in making their required regulatory filings with the SEC - 10-K, 10-Q, 8-K's.
  • Represented publicly traded companies in delisting hearings before the National Association of Securities Dealers, Inc.
  • Represented companies in obtaining their listing on the OTC Bulletin Board.
  • Represented public company in obtaining stock exchange listing.
  • Represented private companies to become public reporting companies.

Hedge Fund

  • Represented Fund of Funds Hedge Fund in a private placement of member shares.
  • Represented Tax Exempt Bond Hedge Fund in a private placement of member shares.
  • Represented Real Estate Hedge Fund in a private placement of member shares.
  • Represented public equity Hedge Fund in a private placement of member shares.
  • Represented Natural Resource Fund in a private placement of member shares.
  • Represented Venture Capital Fund in a private placement of member shares.
  • Represented Venture Capital Fund in investments in portfolio companies.
  • Represented Venture Capital Fund in the sale of the fund to a public company (Stock sale).
  • Represented PIPE hedge fund in a private placement of its member shares.

Broker/dealer - Investment Adviser

  • Represented broker/dealer in arbitration hearing before the Municipal Securities Rule Making Board (MSRB).
  • Represented broker/dealer registered in 40 states in a sale of its business (Stock sale).
  • Represented broker/dealer and registered representatives in arbitration proceedings before the NASD (FINRA).
  • Represented company in the acquisition of a broker/dealer licensed in 35 states.
  • Represented Investment Adviser in the sale of its business.
  • Represented Investment Adviser in joint venture with accounting firm.

Securities Investigation

  • Represented broker/dealer in an investigation conducted by 14 state Commissioners of Securities.
  • Represented broker/dealer in investigation by the NASD and NYSE.
  • Represented private company in investigation and cease and desist hearing by the Georgia Securities Commissioner.
  • Represented registered representative in investigation conducted by the SEC.

Education:

  • University of Tennessee, College of Law, Doctor of Jurisprudence, 1979
  • University of Tennessee, Graduate School of Business Administration, MBA Accounting, 1979
  • University of Tennessee, College of Business Administration, BS Accounting, 1976

Professional Licensing:

  • State Bar of Georgia, 1983
  • State Bar of Tennessee, 1979
  • Passed Certified Public Accountants Examination, 1980
  • Admitted to practice Tennessee Supreme Court, 1979
  • Admitted to practice Georgia Supreme Court, 1983
  • Admitted to practice U.S. District Court, 1992
  • Admitted to practice U.S. Circuit Court, 1994

Organizations:

  • Tennessee Bar Association
  • State Bar of Georgia
  • Lawyer's Club of Atlanta
  • Atlanta Bar Association
  • Phi Alpha Delta Legal Fraternity

Community Activities:

  • DeKalb Hospital Authority, Board of Directors
  • Dunwoody Homeowner's Association, President, Board of Directors
  • Dunwoody Preservation Trust, Founder, Officer, Board of Directors
  • Brook Run Conservancy, Inc. - Secretary
  • Georgia Chapter of International Association for Financial Planning - Regulatory Chairman - Board of Directors
*Richard W. Jones is a Member of Baugh Dalton Jones & Haley - A joint venture between Baugh Dalton LLC and Jones & Haley PC, Atlanta, GA

J. William Haley

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billhaley@corplaw.netVCardPrintable Bio

J. William Haley was born in Anderson, South Carolina, December 28, 1946; admitted to bar, 1976, Georgia.

Education: University of Georgia (B.S., 1970; M.B.A., 1976; J.D., 1976). Phi Delta Phi. Member of Staff, 1974-1975 and Decisions Editor, 1975-1976, Georgia Law Review. Author: Section 337, Corporate Liquidations; The Casualty Conversion Dilemma, 10 Ga. L. Rev. 123 (1975);

Member: Atlanta (Member, Business and Finance, Corporate Counsel, Taxation Sections) and American (Member, Business Law, Taxation Sections) Bar Associations, State Bar of
Georgia (Member, Corporate and Banking, Corporate Counsel, Fiduciary, Taxation Sections), Lawyers Club of Atlanta;

PRACTICE AREAS: Corporate and Commercial Law; Mergers and Acquisitions, Commercial Litigation.

*J. William Haley is a Member of Baugh Dalton Jones & Haley - A joint venture between Baugh Dalton LLC and Jones & Haley PC, Atlanta, GA

Chicago

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135 South LaSalle St.
Suite 2100
Chicago, IL 60603

tel: (312) 759-1400
fax: (312) 759-0402

Dallas

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3838 Oak Lawn Avenue
Suite 1000-#187
Dallas TX, 75219

tel: (214) 368-6308
fax: (214) 368-0161

Phoenix

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2850 East Camelback Rd.
Suite 200
Phoenix, AZ 85016

tel: (480) 339-6000
fax: (480) 339-6001

Atlanta

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115 Perimeter Center Pl.
Suite 170
Atlanta, GA 30346

tel: (770) 804-0500
fax: (770) 804-0500


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