Bass, Berry & Sims | Broker-Dealer and Financial Products

Services Attorneys Newsletters	Broker-Dealer and Financial Products Our Broker–Dealer and Financial Products Practice serves the unique needs of the highly complex financial services industry. We regularly represent national, regional and local brokerage firms, representatives and investment advisers, as well as public and private institutions, in securities litigation and arbitration throughout the country. We also represent such clients in regulatory and compliance matters with the SEC, FINRA and state regulatory agencies. In addition, we regularly provide counsel and litigation support for recruiting, transition and employment matters. As one of the largest practices of its kind in the country, we have the experience and depth to handle matters of critical importance to participants in the financial services industry, especially those matters involving a significant number of claims. Because we are a regional mid-size firm, we offer rates substantially more appealing than national firms, while maintaining a standard of high service and broad-based experience with the financial services industry. We recognize that clients seek efficient legal services and quality; we also recognize that clients appreciate the difference between cost and value. We believe that our fee structure demonstrates our willingness to share risk, and meet your objective to obtain lower costs without sacrificing quality. As a cohesive group within a much larger law firm, the members of our Broker-Dealer and Financial Products Practice regularly draw on the knowledge base and experience of Bass, Berry & Sims’ other practice groups, such as our Corporate Finance, Financial Institutions, Financial Transactions, Private Equity, Public Finance, Securities Offerings, Class Actions and Shareholder Suits groups. We believe that having regular interaction with other focused practice groups within the firm that also deal with financial services issues allows us to bring special value to our client relationships. < back

Broker-Dealer and Financial Products

Our Broker–Dealer and Financial Products Practice serves the unique needs of the highly complex financial services industry. We regularly represent national, regional and local brokerage firms, representatives and investment advisers, as well as public and private institutions, in securities litigation and arbitration throughout the country. We also represent such clients in regulatory and compliance matters with the SEC, FINRA and state regulatory agencies. In addition, we regularly provide counsel and litigation support for recruiting, transition and employment matters.

As one of the largest practices of its kind in the country, we have the experience and depth to handle matters of critical importance to participants in the financial services industry, especially those matters involving a significant number of claims. Because we are a regional mid-size firm, we offer rates substantially more appealing than national firms, while maintaining a standard of high service and broad-based experience with the financial services industry. We recognize that clients seek efficient legal services and quality; we also recognize that clients appreciate the difference between cost and value. We believe that our fee structure demonstrates our willingness to share risk, and meet your objective to obtain lower costs without sacrificing quality.

As a cohesive group within a much larger law firm, the members of our Broker-Dealer and Financial Products Practice regularly draw on the knowledge base and experience of Bass, Berry & Sims’ other practice groups, such as our Corporate Finance, Financial Institutions, Financial Transactions, Private Equity, Public Finance, Securities Offerings, Class Actions and Shareholder Suits groups. We believe that having regular interaction with other focused practice groups within the firm that also deal with financial services issues allows us to bring special value to our client relationships.

< back