North Carolina Securities Lawyers

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Patrick J. Zichterman
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Patrick J. Zichterman

Securities Law Lawyer

Patrick Zichterman, an associate attorney with Parker MacIntyre’s Regulatory Practice Group, represents individuals, broker-dealers, and investment advisers in compliance, regulatory, and enforcement matters. He... Read More »
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J. Steven Parker
PREMIUM
J. Steven Parker

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 »
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James Penry
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James Penry
Raleigh, NC Securities Law Lawyer with 41 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.
John Price
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John Price
Durham, NC Securities Law Attorney with 48 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...
Andrew Whiteman
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Andrew Whiteman
Raleigh, NC Securities Law Attorney with 40 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...
Neil Riemann
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Neil Riemann
Raleigh, NC Securities Law Lawyer with 28 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
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Daniel Watts
Raleigh, NC Securities Law Attorney with 5 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...
Robert Ughetta
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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.
Daphne Tippens Chisolm
Claimed Lawyer Profile
Daphne Tippens Chisolm
Charlotte, NC Securities Law Attorney with 24 years of experience
(704) 806-2387 11508 H-236 Providence Road
Charlotte, NC 28277
Securities, Arbitration & Mediation, Bankruptcy and Business
Harvard Law School
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...
Stephen Rhyne
Charlotte, NC Securities Law Lawyer
(704) 331-7441 214 North Tryon Street
Charlotte, NC 28202
Securities and Business
George Washington University
Whitney Goodwin Bouknight
Charlotte, NC Securities Law Lawyer
(704) 331-7570 214 North Tryon Street
Charlotte, NC 28202
Securities and Business
Washington and Lee University School of Law
Paul G. Murphy
Charlotte, NC Securities Law Attorney with 29 years of experience
100 N Tryon St
Ste 4700
Charlotte, NC 28202
Securities and Business
University of North Carolina at Chapel Hill
James Earle
Charlotte, NC Securities Law Lawyer
(704) 331-7530 214 North Tryon Street
Charlotte, NC 28202
Securities, Business and Employment
Stanford Law School
Rakesh Gopalan
Charlotte, NC Securities Law Attorney with 14 years of experience
(704) 343-2275 201 North Tryon Street
Suite 3000
Charlotte, NC 28202
Securities
Colleen K. Heibeck
Charlotte, NC Securities Law Attorney with 18 years of experience
(704) 444-1128 101 South Tryon Street
#4000
Charlotte, NC 28280
Securities, Business, Real Estate and Tax
Michigan State University College of Law
III Daniel
Raleigh, NC Securities Law Lawyer
(919) 743-7335 4350 Lassiter at North Hills Avenue
#300
Raleigh, NC 27609
Securities
Loyola University of Chicago School of Law
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
Alexander Watson
Charlotte, NC Securities Law Lawyer
(704) 331-7482 214 North Tryon Street
Charlotte, NC 28202
Securities and Business
University of North Carolina
Kristin Manzano
Charlotte, NC Securities Law Lawyer
(704) 444-1332 101 South Tryon Street
#4000
Charlotte, NC 28280
Securities and Business
Tulane University
Patrick Rogers
Charlotte, NC Securities Law Lawyer
(704) 331-7502 214 North Tryon Street
Charlotte, NC 28202
Securities and Business
Vanderbilt Law School
Naho Kobayashi
Charlotte, NC Securities Law Attorney with 23 years of experience
(704) 338-5282 NC-2500
Charlotte, NC 28262
Securities and Business
Law: Duke University School of Law
Patricia F. Hosmer
Charlotte, NC Securities Law Attorney with 26 years of experience
(704) 343-2000 201 North Tryon Street
Suite 3000
Charlotte, NC 28202
Securities, Business and Energy
University of North Carolina School of Law
III Norfleet
Charlotte, NC Securities Law Attorney
(704) 331-7442 214 North Tryon Street
Charlotte, NC 28202
Securities and Business
University of Virginia School of Law
David Jonson
Raleigh, NC Securities Law Lawyer
(919) 743-7308 4350 Lassiter at North Hills Avenue
#300
Raleigh, NC 27609
Securities and Arbitration & Mediation
University of South Carolina
Larry Dagenhart
Charlotte, North Carolina Securities Law Lawyer
(704) 343-2010 201 North Tryon Street
Charlotte, NORTH CAROLINA 28202
Securities and Business
New York University Law School
Marcus Lee
Charlotte, NC Securities Law Attorney with 23 years of experience
(704) 331-1066 100 N Tryon St
Charlotte, NC 28202
Securities, Business and IP
Wake Forest University
Kathy Pilkington
Charlotte, North Carolina Securities Law Attorney
(704) 343-2112 201 North Tryon Street
Charlotte, NORTH CAROLINA 28202
Securities and Real Estate
University of North Carolina at Chapel Hill School of Law
Rachel Coyne
Charlotte, NC Securities Law Lawyer with 22 years of experience
(704) 331-1077 100 N Tryon St
Charlotte, NC 28202
Securities, Business and Tax
Wake Forest University
John Fagg Jr
Charlotte, NC Securities Law Attorney with 19 years of experience
(704) 331-3622 100 North Tryon Street
Charlotte, NC 28202
Securities, Business, Construction and Environmental
Wake Forest University
IV Dumont Clarke
Charlotte, NC Securities Law Attorney with 43 years of experience
(704) 331-1051 100 N Tryon St
Charlotte, NC 28202
Securities and Business
University of North Carolina at Chapel Hill
Gene Jones
Durham, NC Securities Law Attorney
(919) 484-2392 2530 Meridian Pkwy
Durham, NC 27713
Securities and Business
Scott M. Tyler
Charlotte, NC Securities Law Attorney with 25 years of experience
(704) 331-2463 100 N Tryon St
Ste. 4700
Charlotte, NC 28202
Securities, Bankruptcy, Business and Construction
Duke University
Matthew Cunningham
Raleigh, North Carolina Securities Law Attorney with 21 years of experience
(919) 755-8703 Two Hannover Square
Raleigh, NORTH CAROLINA 27601
Securities, Antitrust, Business and Communications
Trent Lindsay
Charlotte, NC Securities Law Attorney with 17 years of experience
(704) 331-3615 100 North Tryon Street
Charlotte, NC 28202
Securities and Business
University of North Carolina
Hal Levinson
Charlotte, NC Securities Law Attorney with 39 years of experience
(704) 331-1050 100 N Tryon St
Charlotte, NC 28202
Securities, Business and Family
University of Michigan
Patrick Ridinger
Charlotte, NC Securities Law Attorney
(704) 331-7548 214 North Tryon Street
Charlotte, NC 28202
Securities and Real Estate
University of South Carolina School of Law
W. B. (Ben) Hawfield Jr.
Charlotte, NC Securities Law Lawyer with 49 years of experience
(704) 331-1035 100 North Tryon Street
Charlotte, NC 28202
Securities, Bankruptcy and Business
Stanford University
John McIntosh
Charlotte, NC Securities Law Lawyer with 42 years of experience
(704) 331-1062 100 North Tryon Street
Charlotte, NC 28202
Securities, Business and International
University of North Carolina at Chapel Hill
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
Elizabeth Pate Foley
Winston-Salem, NC Securities Law Lawyer with 14 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
Todd Burbank
Charlotte, NC Securities Law Attorney
(704) 343-2203 201 N Tryon St
Charlotte, NC 28202
Securities, Construction and Real Estate
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