North Carolina Securities Lawyers

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J. Steven Parker
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J. Steven Parker
Securities Lawyer Serving North Carolina
Securities Law Attorney
J. Steven Parker has extensive experience in the areas of investment adviser and broker dealer regulation, as well as securities litigation and arbitration. As a partner in the firm’s Regulatory Practice Group,... Read More »
James Penry
Claimed Lawyer ProfileSocial Media
James Penry
Raleigh, NC Securities Law Lawyer with 44 years of experience
(919) 833-9449 1330 Saint Mary's Street
Suite 260
Raleigh, NC 27605
Free ConsultationSecurities, Arbitration & Mediation, Business and Stockbroker Fraud
Wake Forest University School of Law
I am a trial lawyer, and concentrate on commercial trials and arbitrations, with a special concentration in construction and securities matters. After law school, I clerked for a U.S. District Judge, and have been engaged in trial practice since 1983. I practiced in large regional and national firms until 2000, at which time my partner and I formed our litigation firm. I have tried, arbitrated and mediated hundreds of cases. I am licensed to practice law in North Carolina, South Carolina, Florida, and California.
Sonya Tien
Claimed Lawyer ProfileSocial Media
Sonya Tien
Raleigh, NC Securities Law Attorney with 12 years of experience
(919) 348-7727 5540 Centerview Drive
Suite 200
Raleigh, NC 27606
Free ConsultationSecurities, Arbitration & Mediation, Business and Personal Injury
Columbia Law School
Sonya Tien leads her law firm's litigation, corporate, personal injury, and intellectual property practices. She received her law degree from Columbia University and was recognized as a Harlan Fiske Stone Scholar. Sonya received her business degree from the University of North Carolina at Chapel Hill, Kenan Flagler Business School, where she earned 17 scholarships. Sonya was named a Rising Star by Super Lawyers since 2020, Top 40 Under 40 Civil Plaintiffs' Lawyers, and Top 100 Civil Trial Lawyers by The National Trial Lawyers. Her articles have been published by the Wall Street Lawyer and Practising Law Institute. She has presented on the...
John Price
Claimed Lawyer Profile
John Price
Durham, NC Securities Law Attorney with 51 years of experience
(919) 313-4571 4819 Emperor Blvd.
Suite 400
Durham, NC 27703
Securities, Antitrust and IP
University of Kansas School of Law
John A. Price has over four decades of legal experience, including first chair trial experience on a variety of complex business and commercial litigation matters with special emphasis on the areas of antitrust and unfair/deceptive trade practices, business torts, securities fraud, intellectual property, minority shareholder, regulatory, products liability, environmental, and a wide spectrum of business disputes. He is ranked AV Preeminent with 5 out of 5 for legal ability and ethics by Martindale-Hubbell in a peer-reviewed rating. He is certified in civil litigation by the Texas Board of Legal Specialization, licensed to practice law in Kansas, Texas and...
Neil Riemann
Claimed Lawyer ProfileSocial Media
Neil Riemann
Raleigh, NC Securities Law Lawyer with 31 years of experience
(919) 833-9449 510 Glenwood Ave
Raleigh, NC 27603
Securities, Appeals, Construction and Stockbroker Fraud
University of Michigan - Ann Arbor
Neil Riemann tries, arbitrates, and takes appeals in business disputes. He has handled cases in federal and state courts as well as cases before arbitrators and governmental agencies. Most of his cases involve construction disputes, disputes between customers and their financial advisors, claims for insurance coverage, and claims of fraud or unfair practices.
Daniel Watts
Claimed Lawyer ProfileSocial Media
Daniel Watts
Raleigh, NC Securities Law Attorney with 8 years of experience
(919) 571-8300 5400 Glenwood Avenue
Suite 225
Raleigh, NC 27612
Securities, Business, Insurance Claims and Stockbroker Fraud
Elon University School of Law
Mr. Watts is a native of Raleigh, North Carolina and attended Elon University, where he played varsity basketball and received numerous academic honors. After graduating from Elon in 2011, Mr. Watts worked as a pro bono intern at the Office of the Federal Public Defender in Raleigh, North Carolina.

In August 2012, Mr. Watts returned to Elon University School of Law to begin his legal studies as a Presidential Scholar. While in law school, Mr. Watts served as the Symposium Editor of the Elon Law Review, competed on behalf of the Elon Law Moot Court Board, mentored students as a Dean’s...
Andrew Whiteman
Claimed Lawyer ProfileSocial Media
Andrew Whiteman
Raleigh, NC Securities Law Attorney with 43 years of experience
(919) 571-8300 5400 Glenwood Avenue, Suite 225
Raleigh, NC 27612
Free ConsultationSecurities, Business, Insurance Claims and Stockbroker Fraud
Ohio State University - Columbus
Mr. Whiteman has represented clients in civil lawsuits and arbitrations for over three decades. The main focus of his practice is the representation of individuals in disputes with securities brokers and disability insurance companies.

Mr. Whiteman is admitted to practice before the federal and state courts in North Carolina, the Fourth Circuit Court of Appeals, and the United States Supreme Court. Mr. Whiteman holds a peer review rating of “AV” from Martindale-Hubbell, the highest available ranking in the areas of attorney competence and ethics.

Mr. Whiteman carefully evaluates potential cases based on their legal and factual merit, and welcomes all potential...
Robert Ughetta
Claimed Lawyer ProfileSocial Media
Robert Ughetta
Charlotte, NC Securities Law Lawyer
(704) 348-5141 227 West Trade Street
Charlotte, NC 28202
Securities and Business
Albany Law School of Union University
Rob Ughetta practices out of Cadwalader's Charlotte, NC office. Rob has extensive experience in secured lending and represents lenders in structuring and negotiating finance facilities, including repo transactions and other financings of loans, securities and other assets. He represents trustees, investments banks, fund managers, as well as other financial institutions, companies and investors in many different matters.
Amy Folk
Claimed Lawyer Profile
Amy Folk
Cary, NC Securities Law Attorney
(919) 825-1250 5000 Centregreen Way Suite 500
Cary, NC 27513
Securities and Business
Amy is one of the founding members and managing partners of BA Folk. She is a litigator with experience in a variety of practice areas including securities law, complex commercial litigation, and products liability defense.

Amy advises companies and individuals in the areas of corporate and securities law, including regulatory compliance for investment advisers, broker/dealers and securities, corporate formation, capital raising, broker-dealer and investment adviser formation and registration, securities litigation, white collar criminal defense, FINRA arbitrations, and SEC investigations, litigation, and appeals. Amy has registered investment advisers and broker dealers. She drafts private placement memoranda and subscription agreements. She provides...
Grayson S. Hale
Raleigh, NC Securities Law Attorney with 25 years of experience
(919) 590-0375 421 Fayetteville Street
Suite 530
Raleigh, NC 27601
Securities and Business
University of Arkansas School of Law and University of Arkansas
David K. Jacobs
Charlotte, NC Securities Law Attorney with 27 years of experience
(980) 215-7784 101 S. Tryon Street
Suite 3600
Charlotte, NC 28280
Securities, Business and Real Estate
University of North Carolina School of Law
Rachel Coyne
Charlotte, NC Securities Law Lawyer with 25 years of experience
(704) 331-1077 100 N Tryon St
Charlotte, NC 28202
Securities, Business and Tax
Wake Forest University
Ross Parr
Charlotte, NC Securities Law Attorney with 23 years of experience
(704) 331-4925 1 Wachovia Center
Charlotte, NC 28202
Securities and Business
Garrett Van Osdell
Charlotte, NC Securities Law Lawyer
(704) 331-7469 214 North Tryon Street
Charlotte, NC 28202
Securities and Business
University of South Carolina School of Law
Jaileah Xan Huddleston
Charlotte, North Carolina Securities Law Attorney
(704) 343-2185 201 North Tryon Street
Charlotte, NORTH CAROLINA 28202
Securities
Keith Black
Raleigh, NC Securities Law Lawyer
(440) 203-2015 Condor Ct
Raleigh, NC 27615
Securities, Antitrust, Business and Health Care
Anne Croteau
Raleigh, NC Securities Law Attorney
(919) 743-7353 4350 Lassiter at North Hills Avenue
#300
Raleigh, NC 27609
Securities and Business
Harvard Law School
John Russell
Durham, NC Securities Law Attorney
(919) 466-1117 65 TW Alexander Drive
Durham, NC 27709
Securities, Business and Health Care
Harvard Law School
Elizabeth Pate Foley
Winston-Salem, NC Securities Law Lawyer with 17 years of experience
(336) 624-8430 478 N Avalon Rd
Winston-Salem, NC 27104
Securities, Antitrust, Arbitration & Mediation and Business
University of North Carolina School of Law
David Jones
Charlotte, NC Securities Law Attorney
(704) 331-7481 214 North Tryon Street
Charlotte, NC 28202
Securities and Real Estate
Wake Forest University
Sean Jones
Charlotte, NC Securities Law Attorney
(704) 331-7406 214 North Tryon Street
Charlotte, NC 28202
Securities and Business
University of Tennessee
Neale Johnson
Greensboro, North Carolina Securities Law Lawyer with 26 years of experience
(336) 378-5319 300 N. Greene Street
Greensboro, NORTH CAROLINA 27401
Securities, Bankruptcy, Business and Real Estate
Richard William Viola
CHARLOTTE, NC Securities Law Attorney with 29 years of experience
(704) 343-2149 201 NORTH TRYON ST
P.O. BOX 31247 ( 28231 )
CHARLOTTE, NC 28202
Securities and Business
St. John's University School of Law and St. John's University School of Law
Mark Busch
Charlotte, NC Securities Law Attorney
(704) 331-7440 214 North Tryon Street
Charlotte, NC 28202
Securities
Duke University School of Law
Steven Ritchie
Charlotte, NC Securities Law Attorney
(704) 343-2177 201 N Tryon St
Charlotte, NC 28202
Securities and Business
University of North Carolina at Chapel Hill School of Law
Robert Womble
Raleigh, NC Securities Law Lawyer
(919) 743-7309 4350 Lassiter at North Hills Avenue
#300
Raleigh, NC 27609
Securities and Tax
Georgetown University Law Center and Washington and Lee University
Heath Alexander
Charlotte, NC Securities Law Attorney with 30 years of experience
(704) 331-3567 100 North Tryon Street
Charlotte, NC 28202
Securities, Business and Real Estate
Temple University
Ernest W. Reigel
Charlotte, NC Securities Law Lawyer with 41 years of experience
(704) 331-1093 100 N Tryon St
Charlotte, NC 28202
Securities, Business and International
College of William & Mary
Michael Cecka
Charlotte, NC Securities Law Attorney
(704) 444-1016 101 South Tryon Street
#4000
Charlotte, NC 28280
Securities, Business and Real Estate
Mercer University
Mark Denny
Charlotte, NC Securities Law Attorney
(704) 444-1418 101 South Tryon Street
#4000
Charlotte, NC 28280
Securities and Business
Oklahoma City University
Robert I. Kenny
Charlotte, NC Securities Law Attorney with 33 years of experience
(704) 331-1010 100 North Tryon Street
Charlotte, NC 28202
Securities and Business
University of Illinois
Robert King Jr
Charlotte, NC Securities Law Attorney with 65 years of experience
(704) 331-3547 100 North Tryon Street
Charlotte, NC 28202
Securities, Business and Family
University of North Carolina at Chapel Hill
Joseph Buonanno
Charlotte, North Carolina Securities Law Attorney with 33 years of experience
(704) 378-4750 Hunton & Williams LLP
Charlotte, NORTH CAROLINA 28280
Securities, Business and Real Estate
Robert Sullivan
Charlotte, NC Securities Law Attorney
(704) 444-1293 101 South Tryon Street
#4000
Charlotte, NC 28280
Securities, Business and Real Estate
Brooklyn Law School
Naho Kobayashi
Charlotte, NC Securities Law Attorney with 26 years of experience
(704) 338-5282 NC-2500
Charlotte, NC 28262
Securities and Business
Law: Duke University School of Law
James McLoughlin Jr
Charlotte, NC Securities Law Lawyer with 40 years of experience
(704) 331-1054 100 North Tryon Street
Charlotte, NC 28202
Securities and Business
Duke University
John Gathings Jr
Charlotte, NC Securities Law Lawyer with 34 years of experience
(704) 331-1096 100 N Tryon St
Charlotte, NC 28202
Securities and Business
Cumberland School of Law
Jason Solomon
Charlotte, NC Securities Law Attorney
(704) 444-1295 101 South Tryon Street
#4000
Charlotte, NC 28280
Securities, Business and Real Estate
Washington and Lee University
Edward Rojas
Raleigh, NC Securities Law Lawyer
(919) 755-2162 Post Office Box 831
Raleigh, NC 27602
Securities, Business and Tax
Carter Arey
Charlotte, North Carolina Securities Law Lawyer
(704) 343-2241 201 North Tryon Street
Charlotte, NORTH CAROLINA 28202
Securities, Business and Real Estate
University of North Carolina at Chapel Hill School of Law
Christopher Leon
Winston-Salem, NC Securities Law Attorney
(336) 721-3518 One West Fourth Street
Winston-Salem, NC 27101
Securities, Antitrust and Business
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