ALAN BASKIN

Alan Baskin

Attorney/Owner
LOCATION: Phoenix, Arizona
phone: 602-812-7977
email: alan@baskin.law

BIO

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 25+ 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, and then Baskin Richards, PLC in November, 2013. In September 2020, he founded Baskin 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 Litigation & Arbitration

Securities Regulatory & 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
     JD. – 1990
  • Georgetown University, Washington, District of Columbia – 1991
  • Georgetown University, Washington, District of Columbia
    B.S. – 1987
    Major: Speech Communication

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: The Intersection of Federal and State Law in Commercial Cannabis Operations: An Advanced Discussion of Emerging Real Estate, Securities and Bankruptcy Issues.2020
  • 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 Office2012
  • Trial Basics for Family Lawyers, State Bar of Arizona2009
  • Best Practices in Securities Arbitrations, Arizona State Bar Convention2007
  • Regulatory Rave, Arizona State Bar Convention (Seminar Co-Chairperson)2006
  • Alternative Dispute Resolution: Options, Processes, and Procedures, 2003 NASD Fall Securities Conference2003
  • 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 Realtors2003
  • It’s Never Just a Complaint, Financial Planning Association of Greater Phoenix2003
  • Overview of NASD Arbitration Process, Arizona Chapter of National Association of Personal Financial Planners2002
  • How to Sell a Home Without Buying a Lawsuit, Arizona Association of Realtors2002
  • 1001 Ways to Avoid Being Sued, Coldwell Banker Success Day2001
  • I’ve Been Sued for What?, Financial Planning Association of Greater Phoenix2000
  • Overview of NASD Arbitration Process, The Principal Financial Group2000
  • Administrative and Criminal Prosecution of Securities Cases, Maricopa County Bar Association1999
  • 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

  • 20082009, 20112020 Southwest Super Lawyer
  • AV and Preeminent Ratings from Martindale Hubbell

Associations

  • Executive Council, Securities Regulation Section of Arizona State Bar Association, Chairman (presently)
  • 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

CONTACT A Skilled Phoenix Securities Litigation and Arbitration Attorney

To schedule a consultation, call 602-812-7977 or fill out our contact form.

AWARDS & HONORS