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Attorney Spotlight

How does Jessie Zeigler anticipate the intersection of privacy and smart technology will impact the future of litigation? Find out more>

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Experience Spotlight

Primary Care Providers Win Challenge of CMS Interpretation of Enhanced Payment Law

With the help and support of the Tennessee Medical Association, 21 Tennessee physicians of underserved communities joined together and retained Bass, Berry & Sims to file suit against the Centers for Medicare & Medicaid Services to stop improper collection efforts. Our team, led by David King, was successful in halting efforts to recoup TennCare payments that were used legitimately to expand services in communities that needed them. Read more

Tennessee Medical Association & Bass, Berry & Sims

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Thought Leadership

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Thought Leadership Spotlight

GDPR Top 5 Actions You Should Take Now

The EU's General Data Protection Regulation (GDPR) went into effect on May 25th. As most organizations are aware, the GDPR applies not only to EU businesses but also many companies in the U.S. While the deadline is quickly approaching, most organizations are still grappling with the implications of the regulation on their business. Even if your readiness efforts are behind the curve, the GDPR Top 5 Actions You Should Take NOW will help you begin your efforts towards compliance and help mitigate your organization's risk in the short-term.

Click here to download the checklist.

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Broker-Dealer & Financial Products

Our Broker-Dealer and Financial Products Practice Group serves the unique needs of the financial services industry. As one of the largest practices of its kind in the country, we have defended more than $1 billion in claims for clients in 39 states (including D.C.) during the past six years. We handle a wide range of matters for participants in the financial services industry, from bet-your-company litigation matters to routine compliance counseling. Our involvement in such a diverse range of matters provides a unique platform from which to help our clients with their opportunities and challenges.

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. A significant amount of our practice involves issues impacting the fixed income markets and, in addition to product failure cases, we have extensive experience trying cases with complex issues involving a variety of financial products including municipal bonds, structured products, open-end and closed-end bond funds, CDOs, CMOs and other asset-backed securities. We assist our clients in defending class actions and investor arbitrations, as well as prosecuting and defending against raiding claims.

We also represent clients in regulatory proceedings and compliance matters with the U.S. Securities and Exchange Commission (SEC), Financial Industry Regulatory Authority (FINRA) and state regulatory agencies. In addition, we regularly provide compliance and employment counseling, litigation support for non-compete and recruitment cases, and advising for data breach prevention and response.

Among the types of issues about which we routinely counsel broker-dealer clients are:

  • Trading and mark-ups
  • Derivatives
  • Margin
  • Net capital
  • Clearance and settlement
  • Sales practices
  • Compliance
  • Supervisory and reporting requirements under federal and state laws and regulations of FINRA, the SEC and state regulatory agencies
  • Recruitment, employment and termination
  • Customer privacy, data protection and education
  • Regulatory proceedings before the SEC, FINRA and state regulatory agencies
  • Arbitration
  • Litigation

Because we are a regional mid-size firm, we believe we are able to offer attractive fee arrangements as compared to larger national firms, while maintaining a standard of high service and broad-based experience with the financial services industry.

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