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

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

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.
  • 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.
  • Employee Stock Plans

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

    Represented account holder in NASD securities arbitration.
  • HUD Refinancing, Section 232

    Refinance of term loans on 7 existing nursing homes in Alabama with HUD insured loans and restructure of working capital line with accounts receivable lender. Corporate restructure to accommodate HUD Master Lease requirements, negotiated intercreditor agreement with HUD and AR lenders, review and opine on loan documents.