プロフィール
Craig Waugh focuses his practice on high-stakes commercial and securities litigation, as well as employee benefits and executive compensation disputes.
Craig’s commercial litigation practice includes representing businesses in a wide variety of industries, from agribusiness to manufacturing, consumer goods, health care, and all manner of professional services organizations. He also represents entities and their stakeholders with dissolutions, buyouts, fiduciary duty litigation, and actions involving allegations of unfair competition and other commercial tort claims. Craig is admitted to the bar in both Arizona and Colorado.
Craig also has deep experience with matters involving employee benefits and executive compensation, including litigating benefit claims under the Employee Retirement Income Security Act of 1974 (ERISA). His employment practice also involves the enforcement of restrictive covenants and the protection of confidential and trade secret information.
Craig’s practice extends to navigating clients through the process of prosecuting and defending against claims alleging violations of securities law. He represents both individuals and entities before the Securities and Exchange Commission, the Financial Industry Regulatory Authority (FINRA), and state securities regulators.
取扱分野
実績紹介
- Representing a health care management services organization in contract and regulatory disputes with claimed damages in excess of $15 million.°
- Representing an executive in ERISA-governed severance benefit litigation seeking $2 million in recovery.°
- Represented an executive in ERISA litigation seeking $4 million value right benefit resulting from change of control event, resulting in settlement.°
- Represented a REIT, automotive technology company, and executive clients in executive compensation and incentive plan disputes involving co-founder and officer departures, and incentive plan implementation.°
- Represented the seller of an online university in $7 million post-sale working capital adjustment dispute.°
- Represented a REIT in defense of litigation involving interstate transportation of hazardous materials during remediation project.°
- Represented a developer of 320-acre sports park in construction and financing disputes.°
- Representation of numerous clients in SEC, FINRA and Arizona Corporation Commission investigations and enforcement actions involving alleged registration, anti-fraud, suitability, recordkeeping, and other standards violations.
- Representation of securities registered representatives and dually registered investment advisors in FINRA arbitrations involving alleged fraud, churning and fiduciary duty violations.°
- Represented an investment advisor in AAA arbitration seeking dissolution of a disputed partnership relationship, resulting in award of approximately $1.7 million to client, and in subsequent AAA arbitration seeking dissolution of related real estate company, resulting in recovery of fees and costs.°
- Represented an insurance agency and five of its agents in SEC and Arizona Securities Division investigations, and in related enforcement actions alleging sales of $17 million in notes associated with a $1.2 billion Ponzi scheme.°
- Represented an investment advisory firm and one of its principals during an SEC investigation into the firm’s options trading strategy, and in defense of two arbitrations filed by a combined total of 30 clients seeking $12 million in damages.°
- Represented securities representative in FINRA disciplinary hearing and appeal to National Adjudicatory Council in matter related to a nationwide probe into sales of investments in life settlements company.°
- Negotiated U5 disclosure language with investment advisor’s firm, prior to filing, to ensure accurate and fair reporting of separation reasons.°
- Recovered an award of $4.5 million for a large Mexican farming operation for breach of a distribution and agency contract against a large, U.S.-based produce distributor in arbitration conducted through the International Centre for Dispute Resolution.°
- Resolved $25 million dispute for Chilean, Mexican, and Peruvian farming operations against U.S.-based produce distributor in Florida federal court action and related USDA PACA process.°
- Resolved a business dissolution and breach of fiduciary duties action in favor of a company in the health and wellness industry and its managing member, who obtained full ownership of the business.°
- Resolved a business dissolution action after obtaining the appointment of a receiver for a successful restaurant located near the Grand Canyon, obtaining sale terms for his clients’ ownership interests in the business.°
- Worked out numerous commercial loans and leases in excess of $1 million on behalf of businesses in health, hospitality and retail industries, as well as individual guarantors.°
- Obtained the appointment of commercial receivers and judgments on behalf of lenders in cases involving loans secured by office buildings, apartment and condominium complexes and other real property.°
°The above representations were handled by Mr. Waugh prior to his joining Greenberg Traurig, LLP.
受賞歴・所属団体
- Listed, The Best Lawyers in America, Commercial Litigation, 2021-2025
- Listed, The Legal 500 United States, Labor and Employment > ERISA Litigation, 2024
- Listed, Super Lawyers magazine, Southwest Super Lawyers Rising Stars, 2014-2022
- Board of Directors, Greater Phoenix Chamber, 2024-Present
- Member, State Bar of Arizona
- Member, Securities Regulation Section Executive Council
- Member, Judicial Branch of Maricopa County, Arizona Judicial Merit System Commission
- Chair, 2014-Present
- Commissioner, 2010-Present
- The Financial Planning Association of Greater Phoenix, Inc.
- Director, 2019-2022
- Chair, 2021
学歴・資格・言語
- 法務博士, Georgetown University Law Center
- 学士号, University of Vermont
- Arizona
- Colorado
- Spanish, Conversational