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
D. Trey Jordan
Counsel ~ Jackson, Mississippi|
(601) 709-3449
(866) 443-1578
D. Trey
Ladd Mark
Associate ~ Birmingham, Alabama|
(205) 458-5297
(205) 714-6896
Ladd
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
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.
  • Division Purchase of Publicly Held Company

    Represented a management team in purchasing a division of a publicly held company in the financial services sector, including a private equity raise and related bank facility.
  • Employee Stock Plans

    Assisted the client with private offering exemptions for employee stock plans.
  • Mergers & Acquisitions

    Handle the M&A work and SEC reporting for the fourth largest medical malpractice insurer in the U.S.
  • Cash Sponsored Demutualization

    Represented ProAssurance Corporation (NYSE: PRA) as securities and corporate counsel in its acquisition of Podiatry Insurance Company of America (PICA) in a cash sponsored demutualization. In this transaction, PICA, an Illinois domiciled mutual insurance company, was converted from a mutual insurer, and its 10,000+ policyholders received cash funded by ProAssurance. Under the terms of the negotiated Stock Purchase Agreement, ProAssurance purchased all of PICA's newly issued stock for a cash price of $135 million. Pursuant to the Stock Purchase Agreement, PICA filed a Plan of Conversion with the Illinois Director of Insurance for approval in accordance with the conversion statute in the Illinois Insurance Code. The Plan of Conversion was approved by the Illinois Department of Insurance in January 2009, approved by the PICA stockholders on March 31, 2009, and closed on April 1, 2009. Representation included preparation and negotiation of the acquisition agreement, regulatory approval of Illinois Insurance Department, tax advice, and HSR anti-trust filing.