Top best Securities Lawyers in Memphis | 44 available

Niel Prosser has over 35 years of experience in securities arbitration and commercial litigation. In that span, he has seen the law from several perspectives, including as a partner in a large law firm and as Head of Litigation for a large securities firm.. Niel graduated from the University of Memphis School of Law with honors in 1985. For the next year he clerked for the Chief Judge of the U.S. District Court for the Western District of Tennessee. Niel then went into private practice at the second largest firm in Memphis, Armstrong Allen, where for 13 years he handled various types of business litigation in Tennessee, Arkansas and Mississippi (including non-competition/confidentiality agreements, contracts, corporate disputes, products liability and securities), as well as some business practice.. In 1999, Niel was hired as Deputy General Counsel and Head of Litigation for Morgan Keegan and Company, a position he held for 15 years. Morgan Keegan, which was acquired by Raymond James in 2012, was a large regional broker-dealer with revenues exceeding $1 billion and offices throughout the southeastern United States, parts of the Midwest, New York and California. Niel’s position at Morgan Keegan gave him a wealth of securities arbitration experience. In addition to handling numerous cases personally, Niel directed the defense of approximately 1,750 arbitration cases, including many cases filed beginning in 2007 regarding Morgan Keegan’s proprietary “RMK High-Yield Bond Funds”. These Funds, which had previously been top performers, crashed at the outset of the Financial Crisis, generating arbitrations, state/federal lawsuits and class actions collectively seeking billions of dollars in damages. In 2012, Niel and his legal team at Morgan Keegan were recognized as “In-House Team of the Year” at the Benchmark Litigation Annual Awards South. Niel left Raymond James and started the Prosser Law Firm in 2014. In 2022, he added two Partners – Rob Clapper and Kyle Johnson – and renamed the firm Prosser, Clapper & Johnson, PLC.. Niel’s wealth of experience includes many other broker/dealer issues, including regulatory investigations, broker recruiting, promissory note collection, employment issues, U-4/U-5 reporting/expungement and firm supervisory and compliance procedures.. Niel has taught Legal Research and Writing as an adjunct professor at The University of Memphis School of Law, served as President of the Memphis Mid-South Chapter of the Federal Bar Association, earned the designation Certified Regulatory and Compliance Professional through the NASD’s certification program at the Wharton School of Business and has held the Series 7 and Series 24 securities licenses. He is licensed to practice law in Tennessee and is a member of the Memphis and Tennessee Bar Associations.

Mr. Quay has more than 30 years of experience representing the transactional, commercial interests, and financing of private and public companies with complex corporate and financial structures; financial institutions; and private equity funds.. From early in his career, Mr. Quay has provided legal advice and assisted in mergers and acquisitions; debt and equity financings; technology procurement, licensing and sales; aircraft leasing and financing; strategic alliances; and venture transactions for both institutional and entrepreneurial clientele.. He has represented numerous corporate clients in a wide variety of industries, including those involved in financial services, including issuers, underwriters, loan sellers and other entities in public offerings and private placements; companies engaged in domestic and international aircraft leasing and overnight courier delivery; companies manufacturing and selling internationally and domestically electrical systems, electrical parts, and medical devices; companies engaged in the retail sale of clothes, food, auto parts, electricity, and financial products and services, including life insurance and annuities, and sales of regional cellular wireless services; and companies engaged in logistics services, real estate, health care, and orphan drug development.. Practice Areas. Corporate and Securities. Mergers and Acquisitions, Private Equity and Buyout, Private investment Funds, Venture Capital, E-Commerce, Joint Ventures and Strategic Alliances, Technology Transactions, Compensation, and Business Advisory. Finance. Corporate Finance, Asset Backed Finance, Structured Finance and Securitization, Equipment Finance and Leasing, Aircraft Finance and Leasing, Microfinance, Timber, Project Financing, Financial Restructuring, and Distressed Finance. Financial Industry. Financial Institution and Banking, Investment Funds, Fund Formation and Restructuring, Financial Institution Organization and Capital Raising, Financial Institution acquisitions, sales and mutual conversions, Secondary Market Transactions

Charles W. Hill concentrates his practice in the areas of employment law, securities and broker/dealer litigation, contracts and commercial litigation.. Mr. Hill consults with employers concerning employment law decisions regarding their workforce, including discipline, discharge and the implementation of specific policies to ensure compliance with existing employment law, particularly the application of federal and state discrimination statutes. Mr. Hill provides advice and consultation concerning the purchase of employment practices liability insurance including addressing potential coverage issues.. Mr. Hill regularly represents employers in the defense of claims filed with the EEOC and State Human Rights Commissions. He regularly represents employers in federal and state courts in the defense of employment law claims.. Mr. Hill also maintains an active broker/dealer and investment advisory litigation practice. He regularly represents Broker/Dealers, Advisors and securities representatives in securities arbitration before the Financial Industry Regulatory Authority (FINRA) and in securities litigation brought in the federal and state courts, including disputes over investment products, employee transitions, sales practices and corporate governance. He also consults with Broker/Dealers regarding regulatory compliance, examinations, and inquiries.. Mr. Hill is experienced in the defense of class action wage and hour claims, consumer financial claims and product claims.. In addition, Mr. Hill has extensive experience representing clients involved in litigation over restrictive covenants, non-solicits, covenants against disclosure of proprietary information and the protection of trade secrets.. He is also experienced in the litigation of directors and officers insurance matters and matters of corporate governance. He is experienced in regulatory investigations including matters of FINRA, SEC, and DEA compliance.

Experienced Securities attorney serving clients in Memphis and surrounding areas.

Experienced Securities attorney serving clients in Memphis and surrounding areas.

Experienced Securities attorney serving clients in Memphis and surrounding areas.

Experienced Securities attorney serving clients in Memphis and surrounding areas.

Experienced Securities attorney serving clients in Memphis and surrounding areas.

Experienced Securities attorney serving clients in Memphis and surrounding areas.

Experienced Securities attorney serving clients in Memphis and surrounding areas.

Experienced Securities attorney serving clients in Memphis and surrounding areas.

Experienced Securities attorney serving clients in Memphis and surrounding areas.

Experienced Securities attorney serving clients in Memphis and surrounding areas.

Experienced Securities attorney serving clients in Memphis and surrounding areas.

Experienced Securities attorney serving clients in Memphis and surrounding areas.

Experienced Securities attorney serving clients in Memphis and surrounding areas.

Experienced Securities attorney serving clients in Memphis and surrounding areas.

Experienced Securities attorney serving clients in Memphis and surrounding areas.

Experienced Securities attorney serving clients in Memphis and surrounding areas.

Experienced Securities attorney serving clients in Memphis and surrounding areas.

Experienced Securities attorney serving clients in Memphis and surrounding areas.

Experienced Securities attorney serving clients in Memphis and surrounding areas.

Experienced Securities attorney serving clients in Memphis and surrounding areas.

Experienced Securities attorney serving clients in Memphis and surrounding areas.