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.
  • Employee Stock Plans

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

    Represented account holder in NASD securities arbitration.
  • Stock Purchase Agreement

    Represent the client in the acquisition of 100% of the stock of a corporation that deals in used work trucks. Drafted the purchase agreement and all ancillary documents.
  • Real Estate Acquisitions

    Represented an issuer in connection with a $100+ million offering of limited partnership interests for the acquisition of multi family apartment projects.