CHRISTOPHER BEBEL, ESQ. PC
900 Rockmead Drive, Suite 147 Houston, TX 77339

P: 281-348-2572
F: 281-348-2573
TF: 1-877-348-2572

CHRISTOPHER J. BEBEL - Narrative CV

In December 1986, I earned an LL.M. (Securities Regulation) from Georgetown University Law Center.  I received my J.D. from the William Mitchell College of Law in June 1985, graduating “with honors” and in the top 5% of my class. 
I obtained a B.S. from the University of Minnesota, Carlson School of Management, in August 1981.

After completing my graduate legal studies in the securities law area, while at the same time serving as a tutor of first and second year law school students at Georgetown, I began working as a regulator of the securities industry.  Specifically, in February 1987, I became an attorney for the U.S. Securities & Exchange Commission (Division of Enforcement).  Initially, I worked for the SEC in the Southwest Region.  During my first year of service, I received the highest performance evaluation rating of any attorney in the office.  Additionally, my graduate thesis on securities law, which I had written while attending Georgetown, was published by the Texas Tech Law Review, Texas Tech University, where it was named “Best Article of the Year” by the Texas Tech Law Review editorial staff.

Following my first year of service as a regulator of the securities industry, I transferred to the SEC, Division of Enforcement, Washington, D.C.  While serving as an SEC attorney in Washington, D.C., I received the highest performance evaluation rating of any attorney in the branch to which I was assigned.  On another occasion, I received the highest possible performance evaluation rating.  Additionally, I was selected as the only attorney to represent the SEC, Division of Enforcement, in connection with the Washington, D.C. American Inns of Court program.  During my term of service at the SEC headquarters in Washington, D.C., I also co-authored an article on securities law which was published as a lead article by the West Virginia Law Review, West Virginia University.

In October 1989, I became an Assistant U.S. Attorney, District of Minnesota.  During my tenure with the U.S. Attorney’s Office, I was assigned to many cases involving securities law and financial matters generally. While serving as a U.S. Department of Justice attorney, I received sustained superior performance and civil servant of the year awards.  As a result of achievements in the securities law area, I also received commendations from the Director of the Federal Bureau of Investigation and the Director, U.S. Securities and Exchange Commission, Division of Enforcement, along with federal law enforcement officers, who bestowed a special recognition award upon me for "Outstanding Professionalism and Dedication."  Based upon my performance, together with my knowledge of securities law, I was given primary responsibility over some of the most significant cases within the District of Minnesota involving securities/business matters.

In September 1996, I joined the NASD (n/k/a FINRA) Division of Enforcement, District 6 (Texas) as Senior Regional Attorney and was thereafter promoted to Regional Counsel after being recognized for tendering overall outstanding performance.  While serving as an NASD attorney, Division of Enforcement, I was asked by both the Office of the Solicitor General, U.S. Department of Justice, and the U. S. Attorney’s Office, District of Minnesota, to serve as a Special Assistant United States Attorney on securities law cases.  After being asked to serve as a Special Assistant U. S. Attorney on securities law proceedings, I worked on appellate matters relating to United States v. O’Hagan, which I had prosecuted in its entirety, then briefed and argued before the Eighth Circuit Court of Appeals.  I also provided advice and expertise to various federal prosecutors who were working on high profile cases involving alleged violations of the federal securities laws. 

During my term of service at the NASD, I was selected to serve on the subcommittee which prepared the NASD Sanction Guidelines (the sole representative of District 6); and I also wrote an article relating to securities law, which was published as the lead article in Volume 59 of the Louisiana Law Review, Louisiana State University.  While working in a regulatory capacity at the NASD, I maintained oversight responsibilities with respect to the securities industry and I initiated, or participated in, formal disciplinary proceedings against numerous NASD member firms, along with registered representatives and supervisory personnel who were associated with those brokerage firms.  Sanctions imposed in connection with these disciplinary actions related to a wide range of offenses, including failure to supervise, the maintenance of inadequate written supervisory procedures, private securities transactions ("selling away"), outside business, conversion, improper use of customer funds, fraud and deception, misleading advertising, record keeping violations, registration violations, trade reporting, and the violation of just and equitable principles of trade.  Based on the organizational structure which was employed at the NASD, my responsibilities went far beyond the analysis and prosecution of securities industry activities which served as a basis for formal disciplinary actions; I regularly served as a de facto supervisor of NASD supervisory personnel who oversaw the work of NASD examiners.  During the period in which I served as a regulator at the NASD, I made a series of presentations to members of the securities industry, along with those involved in the representation of NASD member firms, and addressed federal securities law issues, NASD rules, and official pronouncements of the NASD.   

In October 2000, I entered private practice with Shepherd & Smith, which shortly thereafter was renamed Shepherd, Smith & Bebel.  While practicing in the securities law area and working on cases throughout the nation, I also served as a securities litigation consultant to the U.S. Department of Justice and was retained as a consulting and testifying expert by a trustee of the Securities Investor Protection Corp. in a case against Bear, Stearns Securities Corp.  As an additional matter, I was appointed to the Council of the Houston Bar Association Securities Law Section. 

In February 2004, I joined Sacks, Bebel & Boll, PLLC, and then in August 2004, I started my own law firm, Christopher Bebel, Esq. P.C.  While practicing at Christopher Bebel, Esq. P.C., I continued to focus on matters involving securities law.  Further, I continued to serve on the Council of the Houston Bar Association Securities Law Section, and at the same time served as the Chairperson of the Membership Committee of the Public Investors Arbitration Bar Association ("PIABA"), a national organization comprised of attorneys representing investors in securities law proceedings.  Following the time at which I formed my own law firm, I accepted an invitation to serve on the Advisory Board of the Corporate Compliance Center, South Texas College of Law, Houston, Texas.

I have lectured on securities law to students at approximately one-half dozen law schools and graduate degree programs, including Baylor University School of Law, Texas Tech University School of Law, William Mitchell College of Law, University of Houston School of Law, and the University of Dallas.  I have also lectured on securities law issues for the State Bar of Texas, U. S. Securities and Exchange Commission, U.S. Attorney’s Office, Northern District of Texas, FBI Academy, Dallas Bar Association, Houston Bar Association and PLI.  As an additional matter, I have also served on the Advisory Board to the Texas Tech Student Managed Investment Fund.
My publications include the following:

My legal commentary and analysis has been featured in Time Magazine, Fortune Magazine, U.S. News & World Report, Wall Street Journal, Washington Post, New York Times, Los Angeles Times, Chicago Tribune, Dallas Morning News, Houston Chronicle, USA Today, Detroit Free Press, American Lawyer, Kiplinger’s Personal Finance, Christian Science Monitor, National Law Journal, Texas Lawyer, International Herald Tribune, Agence France Presse, National Post of Canada, Financial Times of Germany, Australian Financial Review, Montreal Gazette, The Times of London, The Financial Times of London, Chicago Sun Times, St. Louis Post-Dispatch, Boston Globe, Seattle Times, Bloomberg News, Dow Jones Newswires, Corporate Counsel, Associated Press, Reuter’s, New York Post, New York Newsday, Orlando Sentinel, Pittsburgh Post Gazette, San Francisco Chronicle, Minneapolis Star Tribune, American Banker, Legal Times, and numerous other publications.

My legal interpretation and analysis has also been highlighted on NBC’s Today Show, NBC’s Nightly News Tonight, CBS’ The Early Show, CBS’ Nightly News, ABC’s World News Tonight, CNBC, MSNBC, CNNfn, Public Television’s Nightly Business Report, Fox News Channel’s Your World With Neil Cavuto, Bloomberg Television, Bloomberg Radio, National Public Radio’s All Things Considered, National Public Radio’s Morning Edition, National Public Radio’s Marketplace, National Public Radio’s Weekend Edition, CBS Marketwatch, The Street.com, Forbes.com, BBC Television, BBC Radio, BBC Online, CBS radio, and numerous other media outlets.