Alan Baskin

member/owner

LOCATION Phoenix, Arizona

PHONE 602-812-7979

FAX 602-595-7800

EMAIL alan@baskinrichards.com

awards &
memberships

Alan Baskin

Alan is a trial attorney whose practice emphasizes securities arbitrations, securities enforcement and regulatory matters, commercial litigation and white collar criminal cases.  During the last 22 years Alan is the only attorney to obtain a fee award against the Arizona Corporation Commission in a securities case; he has done so twice.  He has enjoyed similar success in securities arbitration.  Alan is one of a handful of attorneys to have obtained a 7-figure award in an Arizona NASD (now FINRA) arbitration, and has settled cases involving many millions of dollars.  He also successfully defended and obtained an award of attorneys’ fees against a brokerage firm that attempted to attach a client’s assets prior to initiating an arbitration.

Starting with his first job as an attorney Alan has been immersed in securities cases; in 1990 Alan joined the Securities Division of the Arizona Corporation Commission where he was Senior Counsel in the Securities Division’s Enforcement Section. He investigated and prosecuted administrative, civil and criminal securities cases. In 1992, Alan moved literally across the street to the Arizona Attorney General’s Office where he spent over five years prosecuting primarily white collar and securities cases as an Assistant Attorney General in the Securities Division. Alan’s time at the Attorney General’s Office provided invaluable trial experience, as he was fortunate enough to prosecute not only securities and other fraud trials, but he also presented DNA evidence and prosecuted a three-month long six-defendant prison murder trial. In addition, as a young attorney Alan had the opportunity to argue in the Arizona Court of Appeals in Hernandez v. Superior Court, which resulted in a published opinion remaking Arizona law regarding the double jeopardy implications of successive administrative and criminal prosecutions of securities matters.

Alan left the Attorney General’s Office in 1997, spending the next seven years at Roshka Heyman & DeWulf, PLC (now Roshka DeWulf & Patten), including four years as a partner.  In 2004, he co-founded Bade Baskin, which became Bade Baskin Richards in 2012.  In November, 2013, Alan co-founded Baskin Richards, PLC.  Since 1999 Alan has been a member of the Executive Committee of the Securities Section of the Arizona Bar, and was the Chairman from 2012-13.  He chaired the Securities Section’s seminar at the June 2013 Arizona State Bar Convention.  The seminar, which was called “Wall Street, Lawyers, Ethics and Movies???” received the Presidential Award, which gives special recognition to seminars of superior quality.

Alan has also previously co-authored the chapter on criminal appeals in the Arizona Appellate Handbook. From 1995-2000 Alan was a member of the Arizona State Bar’s Criminal Rules Committee. He has been chairman and panelist at a number of state and county bar programs related to enforcement proceedings by securities regulators, securities arbitration and litigation, white collar crime and other topics. Alan is a member of the Arizona Bar Association. He received his Bachelor of Arts degree in economics from Georgetown University and his Juris Doctorate degree from Arizona State University College of Law.

Areas of Practice

  • Securities Arbitration and Litigation
  • Securities Regulatory and Enforcement Proceedings
  • Commercial Litigation
  • White Collar Criminal Defense

Litigation Percentage

  • 100% of Practice Devoted to Litigation

Bar Admissions

  • Arizona, 1990
  • U.S. District Court District of Arizona, 1991
  • U.S. District Court Northern District of Florida, 2004

Education

  • Arizona State University, College of Law, Tempe, Arizona
    J.D. – 1990
  • Georgetown University, Washington, District of Columbia
    B.A. – 1986
    Major: Economics

Representative Cases

  • Eastern Vanguard Forex v. Arizona Corporation Commission, 206 Ariz. 399, 79 F.3d 86 (App. 2003) (Arizona Court of Appeals 2003)
  • Hernandez v. Superior Court, 179 Ariz. 516, 880 P.2d 735 (App. 1994) (Arizona Court of Appeals 1994)

Classes/Seminars

  • Arizona State Bar Convention Seminar: Mr. Smith Goes to Washington, Chairperson and Panelist (featuring Congressman David Schweikert) – 2014
  • Wall Street, Lawyers, Ethics and Movies???, Arizona State Bar Convention (Chairman and Panelist) – 2013
  • Sell v. Superior Court, the Demise of Aiding and Abetting Liability Under the Arizona Securities Act, State Bar of Arizona (Chairman) – 2013
  • Multi Agency Investigations, Settlements and Bad Boys, State Bar of Arizona (Chairman and Panelist) – 2012
  • The Care and Feeding of Experts, Arizona Attorney General’s Office – 2012
  • Trial Basics for Family Lawyers, State Bar of Arizona – 2009
  • Best Practices in Securities Arbitrations, Arizona State Bar Convention – 2007
  • Regulatory Rave, Arizona State Bar Convention (Seminar Co-Chairperson) – 2006
  • Alternative Dispute Resolution: Options, Processes, and Procedures, 2003 NASD Fall Securities Conference – 2003
  • Securities Litigation/Regulation Update, Arizona State Bar Convention (presentation regarding practice before the Arizona Corporation Commission in securities matters) – 2003
  • Experts: Can’t Live With Them, Can’t Live Without Them, Arizona Association of Realtors – 2003
  • It’s Never Just a Complaint, Financial Planning Association of Greater Phoenix – 2003
  • Overview of NASD Arbitration Process, Arizona Chapter of National Association of Personal Financial Planners – 2002
  • How to Sell a Home Without Buying a Lawsuit, Arizona Association of Realtors – 2002
  • 1001 Ways to Avoid Being Sued, Coldwell Banker Success Day – 2001
  • I’ve Been Sued for What?, Financial Planning Association of Greater Phoenix – 2000
  • Overview of NASD Arbitration Process, The Principal Financial Group – 2000
  • Administrative and Criminal Prosecution of Securities Cases, Maricopa County Bar Association – 1999
  • The Bulls, the Bears and the Sidewinders, Arizona State Bar Convention (presentation regarding parallel proceedings and securities regulatory issues) – 1999
  • Forensic Evidence, Appeals and Ethics, State Bar of Arizona – 1997
  • Evidence, A Practical Approach, Maricopa County Bar Association – 1995

Honors and Awards

  • 2008-2009, 2011-2013 Southwest Super Lawyer
  • AV and Preeminent Ratings from Martindale Hubbell

Professional Associations and Memberships

  • Executive Council, Securities Regulation Section of Arizona State Bar Association, Chairman (presently), 1999 – Present
  • Criminal Rules Committee, 1995 – 2000

Past Employment Positions

  • Roshka Heyman & DeWulf, Partner, 1997 – 2004
  • Arizona Attorney General’s Office, Assistant Attorney General, 1992 – 1997
  • Securities Division, Arizona Corporation Commission, 1990 – 1992

Published Works

  • Co-author chapter on criminal appeals, Arizona Appellate Handbook, 2000, 2002, 2006
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BASKIN RICHARDS, PLC

2901 N. Central Ave, #1150

Phoenix, AZ 85012

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