Cory Braddock is based in Snell & Wilmer's Phoenix office where he is a member of the firm's Commercial Litigation and Securities Litigation Practice Groups. His practice focuses on complex commercial litigation with a particular emphasis on securities and financial services institution litigation in both federal and state courts, FINRA arbitration proceedings, general commercial litigation matters, and tax controversy litigation.
Cory's securities practice draws from his substantial experience in the brokerage industry where he was a producing broker (Financial Representative) with Fidelity Investments (Series 7, 65, life agent) and a branch manager with Scottrade (Series 24). While in the brokerage industry, he obtained, and still maintains, his Certified Financial Planner designation. Cory has defended a number of financial institutions, including retail banks, credit unions, insurance companies, broker-dealers, investment advisors, financial planners, brokers, insurance agents and unlicensed persons against claims involving alleged breach of fiduciary duty, negligence, unauthorized trading, churning, suitability, selling away, failure to supervise, claims under the Securities Act of 1934 (Rule 10b-5 claims), the Investment Advisors Act of 1940, and under Arizona's State securities fraud statutes.
Cory's general commercial litigation practice includes the representation of national banks, state credit unions, third-party ACH processors, real estate developers, title companies and individuals in federal and state court and in arbitration proceedings. Cory has been successful in obtaining dismissal at the motion to dismiss stage on numerous occasions. He has also been successful at trial, both as lead counsel and as a supporting member of a litigation team. Specifically, Cory successfully prosecuted, including conducting direct examination, cross examination, and delivering closing arguments, in a Section 1983 claim that resulted in a federal court jury verdict in favor of his client and included an award of punitive damages. Also, Cory actively participated as a member of the litigation team that obtained one of the largest jury verdicts in the history of the State of Arizona. He has also prepared briefing for, and argued in, the Ninth Circuit Court of Appeals.
Cory's tax controversy practice focuses on representing non-profit organizations, universities, and businesses in state and local tax matters, including litigation relating to the property tax exemptions, property tax valuation, and compliance with Arizona's unclaimed property statutes.
Education
- Brigham Young University (J.D., cum laude, 2006)
- Moot Court
- Research Assistant for Professor Stanley D. Neeleman
- Brigham Young University (B.A., Business Management, 1993)
Court Admissions
- Supreme Court of Arizona
- United States District Court, District of Arizona
- United States Court of Appeals, Ninth Circuit
Representative Presentations & Publications
- Surprise! SEC Approves Amendments to the Custody Rule, Co-Author, American Bar Association, Commercial & Business Litigation Newsletter, Focus on Securities Litigation, Vol. 11, No. 3 (Summer 2010)
- Pennywise, Pound Foolish: Why Investors Would be Foolish to Pay a Penny or a Pound for the Protections Provided by Sarbanes-Oxley, BYU Law Review, Volume 1, 2006
Professional Recognition & Awards
- Pro Bono Attorney of the Year, Snell & Wilmer (2008)
Other Professional Experience
- Elam & Burke, Law Clerk, Boise, Idaho (Summer 2004)
- Scottrade, Inc., Branch Manager
- Fidelity Investments, Financial Representative
