Joseph Cialone III - Associate
Joe Cialone is a commercial litigator with experience handling urgent matters involving temporary restraining orders, temporary injunctions, and preliminary injunctions nationwide. A significant portion of Joe’s diverse commercial litigation practice involves the representation of securities industry firms and professionals.
He was admitted to practice in 2016, and joined Henneman Rau Kirklin & Smith LLP as an associate in January 2017.
Joe attended Rice University, where he majored in political science with concentrations in American politics and international relations. During his time at Rice, Joe worked at Rice University’s James A. Baker III Institute for Public Policy, a prominent public policy think tank. While on campus, Joe also spent three years as a captain of the club baseball team, helping lead the program to its first National Club Baseball Association World Series appearance.
Prior to law school, Joe spent five years working as a client analyst for a leading private wealth management company in Houston, Texas. As a client analyst, Joe became intimately familiar with the registered investment advisory business, including portfolio construction, client reporting, and compliance matters.
With HRKS, Joe has been closely involved in both pursuing and defending claims for emergency injunctive relief following the resignation or termination of financial services professionals in nearly twenty states. He also represents individuals and businesses in complex commercial litigation matters in a variety of industries.
Joe is admitted to practice in:
- United States District Court for the Eastern District of Texas
- United States District Court for the Northern District of Texas
- United States District Court for the Western District of Texas
- Rice University, B.A. Political Science, 2010
- The University of Texas School of Law, J.D., 2015
- First chair in FINRA arbitration seeking expungement of customer complaint from securities industry registration records of financial advisor. Result: The tribunal granted expungement relief, finding that the customer complaint was “factually impossible or clearly erroneous” (Denver, CO).
- Second chair in AAA arbitration defending registered investment advisor firm against investor claims of breach of fiduciary duty, negligence, securities fraud, and violations of both California and federal securities laws. The investor sought more than $1.5 million in damages. Result: The tribunal entered a total defense verdict, denying all relief sought by the investor (San Francisco, CA).
- Represented major broker dealer firm in breach of contract claim against former employee in FINRA arbitration. Result: The matter was decided on the papers, and the firm was awarded compensatory damages, attorneys’ fees, costs, and interest (Houston, TX).
- Represented major broker dealer firm in breach of contract claim against former employee in FINRA arbitration. Result: The matter was decided on the papers, and the firm was awarded compensatory damages, costs, and interest (Houston, TX).
- Assisted in representation of securities firms in investigating departing employee conduct and seeking temporary and preliminary injunctive relief in dozens of matters nationwide.
- Assisted in representation of dozens of FINRA-registered brokers and SEC-registered investment advisers in post-employment disputes, including defending against attempts to obtain temporary and preliminary injunctive relief nationwide.
- Involved in nearly 50 FINRA arbitrations in ten different states representing financial services firms and professionals.
- Assisted in litigation of post-employment restrictive covenants on behalf of both employers and employees in a wide variety of industries.
- Assisted in defense of financial services firms and their advisors on issues of investment suitability, fraud, negligence, and alleged violations of state and federal securities laws.
- Represented engineers, doctors, and others in negotiations with their current and former employers regarding compensation, severance, and post-employment restrictive covenants.
- Texas Rising Star, 2021, 2022 and 2023 (recognized by Thomson Reuters, published in Texas Monthly)
In 2019, Joe delivered a CLE presentation to the Houston Bar Association’s Securities Litigation & Arbitration Section on seeking expungement of customer complaints against financial advisors through FINRA arbitration.
- Texas Bar Association
- Antitrust & Business Litigation Section
- Labor & Employment Law Section
- Oil, Gas, and Energy Resources Law Section
- Houston Bar Association
- Labor & Employment Law Section
- Securities, Litigation & Arbitration Section
- Houston Young Lawyers Association
- Morgan Stanley Broker Clears Record of Complaint J.P. Morgan Settled After He Moved,” Advisor Hub, November 10, 2022.