Roger N. Walter

Mr. Walter served as General Counsel to the Kansas Securities Commissioner for over 14 years. He also served on the Broker-Dealer Regulation Committee of the North American Securities Administrators Association and chaired the Viatical Investments Task Force with that organization.

Roger represents investors in securities arbitrations against their financial advisors or stockbrokers seeking recovery of investment losses in a wide range of disputes. He also represents financial professionals in defending arbitration claims, in resolving regulatory compliance issues with state and federal securities regulators and FINRA, and represents securities agents in employment disputes with their employing brokerage firms.

Roger also represents parties in complex commercial and business litigation. He has extensive experience in representing individuals before state administrative agencies regarding licensing and other issues.

In addition to his litigation practice, Roger represents entrepreneurs and business entities in securities transaction matters related to private and exempt securities offerings or registered public offerings.

Roger has taught Securities Regulation as an adjunct professor at both Washburn University School of Law and University of Kansas School of Law. Martindale-Hubbell has rated Roger at the highest AV® rating for lawyers. He has been recognized in the peer-review publication Best Lawyers in America in the practice area of Securities/Capital Markets Law.

Roger played competitive rugby with the University of Kansas Rugby Football Club serving as President and team captain, and toured with the club playing international matches in England (Cornwall), Scotland, Ireland, Wales, France, New Zealand and Argentina. He is an avid runner and also enjoys biking and hiking. He has been married to Evan Williams since 1989 and has three sons.

Education:

• Kansas State University, B.S., cum laude, 1969
• University of Kansas School of Law, J.D., 1975
• University of Missouri at Kansas City School of Law, L.L.M.

Admissions:

• Kansas Bar, 1975
• Kansas Supreme Court, 1975
• U.S. District Court, Kansas
• 10th Circuit Court of Appeals
• U.S. Supreme Court

Professional Background:

• Disciplinary Counsel, Kansas Supreme Court, 1979-1986
• Assistant Attorney General, Criminal Division, Kansas Attorney General Office
• General Counsel to the Kansas Securities Commission, 1986-1999
• Member, North American Securities Administrators Association, 1987-1999
• Member, numerous NASAA standing committees and special task forces including Small Business Capital Formation Committee (Vice-Chairman) and Viatical Settlements Task Force (Chairman)
• Adjunct Professor, Securities Regulation, Washburn School of Law, 1993-2008
• Author, several law journal articles
• Adjunct Professor, Security Regulation, University of Kansas School of Law

Civic/Community Involvement:

• Member, Board of Directors, Youth Sport, Inc.
• Member, Board of Directors, Lawrence Habitat for Humanity, 1993-1996
• Frequent lecturer, both locally and nationally, on topics including securities law and attorney ethics

Distinctions:

• Martindale-Hubbell AV® rating
• Named to the latest edition of “The Best Lawyers in America” in Securities Law
• Named in Shathmore’s Who’s Who Registry of Outstanding Professionals
• Named as one of the top 3% of attorneys in the nation by Legal News

Noteworthy Cases:

• State ex rel. Mays v. Ridenhour, 248 Kan 919, 811 P.2d 1220 (1991), Kansas Supreme decision defining the scope of Kansas Securities Commissioner’s equitable cause of action with respect to civil conspiracy and aiding and abetting theories of liability
• State v. Ribadeneira, 15 Kan App 2d 734, 817 P.2d 1105 (Ka. App. 1991), Kansas Court of Appeals decision defining the level of criminal intent required for a conviction for securities fraud under the Kansas Securities Act
• 537721 Ontario, Inc. v. Mays, 14 Kan App 2d 1, 780 P.2d 1126 (1989), Kansas Court of Appeals decision defining the Howey test for investment contracts