Jim conducts comprehensive security, corporate governance, and regulatory practice in which he represents investment advisers, broker-dealers, banks, investment companies, transfer agents, issuers, independent directors, and their employees before the U.S. Securities and Exchange Commission (SEC), the Financial Industry Regulatory Authority (FINRA), state regulators, state and federal courts, and others. Jim regularly advises clients on all aspects of compliance with federal, state, and self-regulatory organization (SRO) securities and commodity regulation. He also conducts internal investigations on behalf of management and independent directors and represents clients in enforcement proceedings before the SEC, FINRA, state regulators, and the U.S. Department of Justice. In addition, Jim represents clients in private litigation in state and federal courts and arbitrations, including broker-dealers, financial services firms, and individuals relating to securities issues, as well as parties in general commercial, employment, franchise, and insurance matters. He co-chairs the White Collar Defense and Government Investigations practice group.
Jim advises on employment and licensing issues facing broker-dealers, banks, and investment advisers. He defends firms in disputes with their employees over compensation, disclosures, and other issues. Additionally, his practice covers a range of industries in the drafting and enforcement of non-compete, confidentiality, and other employment-related agreements, including both the negotiation and drafting of relevant agreements and the regular enforcement in litigation of the claims of employers seeking to enforce those agreements.
Jim routinely advises firms and individuals in connection with the acquisition and sale of broker-dealers, investment advisers, and affiliated businesses, and the related structuring of the resulting businesses.
Articles in the National Law Review database by James S. Rollins