Securities Regulation

Our business attorneys provide counsel and services related to federal and state securities laws and regulations for public and privately owned companies, individual investors, investment advisors, broker-dealers, insurance companies, and corporate officers.


We provide legal services and assistance in connection with:

  • Planning and implementing public offerings of securities (including drafting and filing registration statements for initial and secondary public offerings)
  • Private placements and other exempt offerings of securities
  • Resales of restricted securities
  • Sales of securities by insiders
  • Compliance with Securities and Exchange Commission (SEC) reporting requirements
  • Proxy solicitations
  • Broker-dealer registration
  • Registered broker-dealer compliance

Our Attorneys

Charlotte Bennett
Associate ~ Birmingham, Alabama|
(205) 458-5460
(205) 714-6889
Charlotte
Sean Dudley
Associate ~ Mobile, Alabama|
(251) 345-8221
(251) 344-9696
Sean
Lauren Foshee
Associate ~ Birmingham, Alabama|
(205) 458-5270
(205) 244-5713
Lauren
Jefferson Holt
Associate ~ Atlanta, Georgia|
(404) 685-4277
(404) 214-7998
Jefferson
Thomas Potter, III
Partner ~ Nashville, Tennessee|
(615) 724-3231
(615) 724-3331
Thomas
Gene Price
Partner ~ Birmingham, Alabama|
(205) 458-5328
(205) 244-5698
Gene
William Schifino, Sr.
Of Counsel ~ Tampa, Florida|
(813) 367-5745
(813) 357-3526
William
Jack Stephenson, Jr.
Partner ~ Birmingham, Alabama|
(205) 458-5201
(205) 244-5708
Jack
Brian Watson
Counsel ~ Orlando, Florida|
(407) 540-6629
(321) 249-0529
Brian

Experience Matters

Brief sentence defining representative matters.

  • Acquisition

    Represented ProAssurance, the nation's fourth largest seller of medical liability coverage, in the acquisition of Eastern Insurance Holdings, Inc., for $205 million in cash to expand its workers’ compensation coverage.
  • Asset Purchase Agreement

    Represented pharmacy in asset purchase of intellectual property supporting a health care regulatory compliance web site.
  • Employee Stock Plans

    Assisted the client with private offering exemptions for employee stock plans.
  • Acquisition

    Handled the stock merger of insurance company in which ProAssurance issued shares of its common stock to shareholders of Physicians Insurance Company (PIC) of Wisconsin pursuant to SEC registration statement. Prepared and negotiated acquisition agreement, regulatory approval of Wisconsin Insurance Department, SEC registration of stock issued in merger, tax advice, HSR anti-trust filing.
  • Acquisition of Company

    Represented ProAssurance Corporation in its acquisition of Mid-Continent General Agency, Inc., a Houston based surplus lines agency licensed in all states. ProAssurance executed a Stock Purchase Agreement with the parent of the agency providing for the purchase of all of its stock for a purchase price payable in cash and shares of ProAssurance stock. The Stock Purchase Agreement also provided for contingent consideration based on the profits of the acquired company and underwriting profit to be derived by ProAssurance on the sale of its policies through the agency.