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  • Education
    • J.D., Georgetown University Law Center, 2008, Georgetown Journal of International Law, Notes and Articles Editor
    • B.A., cum laude, University of Vermont, 2004, Political Science; Spanish

Craig Waugh assists businesses and individuals in resolving their commercial disputes by taking the time to understand their unique situation and explain all of the options available to effectively and efficiently achieve their goals.

He has successfully briefed and argued a wide variety of complex commercial litigation matters in the Arizona trial courts and in proceedings submitted to the American Arbitration Association and its International Centre for Dispute Resolution, including matters with as much as $54 million in dispute.

A substantial portion of his work is focused on prosecuting and defending claims in federal and state courts alleging violations of securities laws, and representing entities and individuals before the SEC, Arizona Securities Division and FINRA. Craig also represents entities and their stakeholders in the context of buy-outs, dissolution, fiduciary duty litigation, commercial lending disputes and actions involving unfair competition and other commercial tort claims.

  • Representation of numerous clients in SEC, FINRA and Arizona Corporation Commission 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 and large claims for 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.
  • Successfully 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 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 favorable sale terms for his clients’ ownership interests in the business.

  • Successfully worked out several commercial loans and leases in excess of $1 million on behalf of businesses in health, hospitality and retail industries, as well as individual guarantors.
  • Successfully 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.