Shepherd D. Tate
Shep Tate is practice leader of the firm’s Broker-Dealer & Financial Products Litigation Practice Group, focusing on securities litigation, arbitration, compliance and regulatory matters.
- Securities & Shareholder Litigation – Shep represents public and private companies in the financial services industry in matters relating to governance, finance and sales practices.
- Financial Products & Broker-Dealer – Shep has represented broker-dealers, financial institutions, investment advisers, commodities firms and registered representatives in a wide variety of disputes throughout the country, ranging from trading desk disputes, raiding and employee transition cases, breach of contract actions, sales practice cases, product failure disputes, mark-up issues, and allegations of fraud and breach of fiduciary duty. He also represents firms and associated persons in regulatory proceedings involving FINRA and state and federal securities regulators.
Memberships
Memphis Bar Association
Tennessee Bar Association
American Bar Association
Representative Experience
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Served as lead counsel for Morgan Keegan and related entities in Federal securities, ERISA and derivative multi-district litigation related to investment company losses in the wake of the credit crisis
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Represented American Investment Funds I, LLC, parent company to American Tubing Arkansas, LLC, in its sale to Sanhua International, Inc.
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Assisted in the early and successful resolution of 47 arbitration claims under the Texas Prompt Pay laws brought by pharmacies against a pharmacy benefit manager
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Represented Morgan Keegan in defense of more than 300 customer-initiated arbitrations in the wake of the failure of a family of mutual funds
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Represented Duncan-Williams, Inc. in a raiding case against Coastal Securities, Inc., in which our client alleged that Coastal and former Duncan-Williams employees conspired to misappropriate, copy and delete documents in a raid of the Duncan-Williams public finance department
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Represented Raymond James & Associates, Inc., in a raiding claim against a competitor, Cantor Fitzgerald, that hired a significant number of employees away from our client’s fixed income department
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Successful representation of Securities Service Network, Inc., and its principal officer in an arbitration that was brought outside of the NASD’s (now FINRA’s) six year eligibility period
Publications
Past Events
Media Mentions & Firm News
Accolades
Best Lawyers® — Memphis Arbitration “Lawyer of the Year” (2021, 2019, 2015); Memphis Litigation: Securities “Lawyer of the Year” (2014); Memphis Securities Regulation “Lawyer of the Year” (2013); Memphis Securities / Capital Markets Law “Lawyer of the Year” (2011)
The Best Lawyers in America© — Arbitration; Bet-the-Company Litigation; Commercial Litigation; Litigation: Regulatory Enforcement (SEC, Telecom, Energy); Litigation: Securities; Securities Regulation (2003-2021)
Mid-South Super Lawyers (2006-2020)
Top 50 Memphis Super Lawyers (2019)
Business Tennessee “Tennessee’s Best 150 Lawyers”
Tennessee Bar Foundation — Fellow
Memphis Bar Association — Fellow