Securities

The Firm's attorneys provide advice to public companies regarding compliance issues and are also engaged as special counsel on a transactional basis by other issuers. The Firm's expertise includes federal and state registrations, private placements and 1934 Act, as well as the Investment Company Act, Investment Advisor Act and broker-dealer compliance. The Firm's securities practice also includes litigation and arbitration of disputes involving allegations of securities fraud.

Representative Matters

• Serves as co-lead counsel for C Spire Wireless in securities claims related to auction rate securities pending in the United States District Court for the Southern District of New York.
• Prosecuted securities and common law claims alleged by Cellular South against Merrill Lynch in connection with Auction Rate Securities. Cellular South, Inc. v. Merrill Lynch Pierce Fenner & Smith, Inc. in the United States District Court for the Southern District of New York, MDL No. 09-md-2030, Case No. 1:10-cv-2653.
• Prosecuted securities and common law claims alleged by Cellular South against J. P. Morgan in connection with Auction Rate Securities. Cellular South, Inc. v. J.P. Morgan Securities, Inc., in the United States District Court for the Southern District of New York, MDL No. 10-MDL-2157, Case No. 09 CIV 6199.
• Represented Arkansas bank holding company on a private placement securities offering of preferred shares.
• Represented Southern Timber Venture II, LLC in recapitalization of timber company including private placement of new equity.

News & Events

• Jury Verdict Reversed and Rendered in Favor of Trustmark National Bank
• Rogers and Penick Close Financing for Credit Facility