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Shanahan Law Group Transitions to Nelson Mullins
James S. Rollins
Partner
One Financial Center
35th Floor
Boston, MA 02111
35th Floor
Boston, MA 02111
james.rollins@nelsonmullins.com
James Rollins is a partner in Nelson Mullins Riley & Scarborough's Boston office.
James Rollins is a partner in Nelson Mullins Riley & Scarborough's Boston office.
Experience
Following is a selected sampling of matters and is provided for informational purposes only. Past success does not indicate the likelihood of success in any future matter.
- Experience in securities litigation focusing his practice on the representation of financial institutions (including broker dealers, investment management firms, hedge funds, and banks) in securities regulatory and enforcement defense; and in disputes arising with principals, investors, and employees
- Advises financial institutions, including broker dealers, investment advisers, business development companies, and other investment management and related firms and affiliated individuals with regard to Federal, state and industry regulatory requirements, and related compliance standards
- Advises financial institutions, including broker dealers, investment advisers, business development companies, and related firms with regard to structuring of their operations to align with regulatory requirements
- Advises financial institutions and related individuals with regard to the purchase, sale, and formation of broker dealers, investment advisers, and related businesses
- Handles general commercial litigation, creditors' rights and bankruptcy, and intellectual property matters, as well as First Amendment and related issues in which he represents publishers, broadcasters, and individuals
- Served as a national coordinating counsel for a New York-based broker dealer in connection with multimillion-dollar fraud claims arising from research analyst's work brought through more than 100 arbitrations and tried or otherwise resolved many as lead counsel
- Defended a Boston-based insurer, its affiliated broker dealer, and its registered principals in a month-long NASD arbitration in which a former senior registered representative claimed wrongful discharge and related fraud following discovery of his operation of an unregistered investment bank; and after a full hearing, the panel dismissed the $42 million claim and recommended its expungement from the principals' records
- Represented a Boston-based investment management firm in claims brought by the SEC and several state regulatory authorities arising from alleged improper market-timing by some of the firm's customers and alleged related deficiencies in the firm's fund disclosures
- Represented a UK software company in AAA arbitration, prosecuting its contract and related IP claims against a U.S. firm
- Prosecuted contested bankruptcy matters in several jurisdictions on behalf of secured creditors to resolve terms in Chapter 11 plans, deny debtors' use of collateral, recover collateral for creditors and deny individual debtors' discharges based upon fraud
- Counseled several financial institutions on their employment policies and practices and handled related employee claims through hearings and trials before agencies and in courts as well as through private arbitration
- Represented several newspapers in a case that recognized their right to seek and obtain publicly filed case records in sex abuse cases after those cases were settled
- Represented a bank in a case that overturned the Connecticut Banking Commissioner's prohibition of ATM use fees
Education
- University of Virginia School of Law, JD (1989)
- Princeton University, AB, cum laude (1984)
Admissions
- Connecticut
- Massachusetts
- U.S. District Court for the District of Connecticut
Practice Areas
Industries
Following is a selected sampling of matters and is provided for informational purposes only. Past success does not indicate the likelihood of success in any future matter.
- Experience in securities litigation focusing his practice on the representation of financial institutions (including broker dealers, investment management firms, hedge funds, and banks) in securities regulatory and enforcement defense; and in disputes arising with principals, investors, and employees
- Advises financial institutions, including broker dealers, investment advisers, business development companies, and other investment management and related firms and affiliated individuals with regard to Federal, state and industry regulatory requirements, and related compliance standards
- Advises financial institutions, including broker dealers, investment advisers, business development companies, and related firms with regard to structuring of their operations to align with regulatory requirements
- Advises financial institutions and related individuals with regard to the purchase, sale, and formation of broker dealers, investment advisers, and related businesses
- Handles general commercial litigation, creditors' rights and bankruptcy, and intellectual property matters, as well as First Amendment and related issues in which he represents publishers, broadcasters, and individuals
- Served as a national coordinating counsel for a New York-based broker dealer in connection with multimillion-dollar fraud claims arising from research analyst's work brought through more than 100 arbitrations and tried or otherwise resolved many as lead counsel
- Defended a Boston-based insurer, its affiliated broker dealer, and its registered principals in a month-long NASD arbitration in which a former senior registered representative claimed wrongful discharge and related fraud following discovery of his operation of an unregistered investment bank; and after a full hearing, the panel dismissed the $42 million claim and recommended its expungement from the principals' records
- Represented a Boston-based investment management firm in claims brought by the SEC and several state regulatory authorities arising from alleged improper market-timing by some of the firm's customers and alleged related deficiencies in the firm's fund disclosures
- Represented a UK software company in AAA arbitration, prosecuting its contract and related IP claims against a U.S. firm
- Prosecuted contested bankruptcy matters in several jurisdictions on behalf of secured creditors to resolve terms in Chapter 11 plans, deny debtors' use of collateral, recover collateral for creditors and deny individual debtors' discharges based upon fraud
- Counseled several financial institutions on their employment policies and practices and handled related employee claims through hearings and trials before agencies and in courts as well as through private arbitration
- Represented several newspapers in a case that recognized their right to seek and obtain publicly filed case records in sex abuse cases after those cases were settled
- Represented a bank in a case that overturned the Connecticut Banking Commissioner's prohibition of ATM use fees
Articles & Speeches
Recognitions
The bar rules of some states require that the standards for an attorney’s inclusion in certain public accolades or recognitions be provided. When such accolades or recognitions are listed, a hyperlink is provided that leads to a description of the respective selection methodology.
- Adams Pro Bono Publico Award, Massachusetts Supreme Judicial Court (2020)
Professional Activities
- American Bar Association Business Law Section
- Co-chair, Securities Litigation Subcommittee of the Business and Commercial Litigation Committee
- Securities Industry and Financial Markets Association's Compliance and Legal Division
- American Society of International Law
- Member, Business Law, International Law and Practice, Labor and Employment Law and Litigation Sections, and Communication Law Forum, American Bar Association
Community
- Advisory Board Member, Lawyers Without Borders, Inc.
- Vice Chair, Board of Directors, Prisoners' Legal Services
- Princeton University Alumni Council
James Rollins is a partner in Nelson Mullins Riley & Scarborough's Boston office.
Experience
Following is a selected sampling of matters and is provided for informational purposes only. Past success does not indicate the likelihood of success in any future matter.- Experience in securities litigation focusing his practice on the representation of financial institutions (including broker dealers, investment management firms, hedge funds, and banks) in securities regulatory and enforcement defense; and in disputes arising with principals, investors, and employees
- Advises financial institutions, including broker dealers, investment advisers, business development companies, and other investment management and related firms and affiliated individuals with regard to Federal, state and industry regulatory requirements, and related compliance standards
- Advises financial institutions, including broker dealers, investment advisers, business development companies, and related firms with regard to structuring of their operations to align with regulatory requirements
- Advises financial institutions and related individuals with regard to the purchase, sale, and formation of broker dealers, investment advisers, and related businesses
- Handles general commercial litigation, creditors' rights and bankruptcy, and intellectual property matters, as well as First Amendment and related issues in which he represents publishers, broadcasters, and individuals
- Served as a national coordinating counsel for a New York-based broker dealer in connection with multimillion-dollar fraud claims arising from research analyst's work brought through more than 100 arbitrations and tried or otherwise resolved many as lead counsel
- Defended a Boston-based insurer, its affiliated broker dealer, and its registered principals in a month-long NASD arbitration in which a former senior registered representative claimed wrongful discharge and related fraud following discovery of his operation of an unregistered investment bank; and after a full hearing, the panel dismissed the $42 million claim and recommended its expungement from the principals' records
- Represented a Boston-based investment management firm in claims brought by the SEC and several state regulatory authorities arising from alleged improper market-timing by some of the firm's customers and alleged related deficiencies in the firm's fund disclosures
- Represented a UK software company in AAA arbitration, prosecuting its contract and related IP claims against a U.S. firm
- Prosecuted contested bankruptcy matters in several jurisdictions on behalf of secured creditors to resolve terms in Chapter 11 plans, deny debtors' use of collateral, recover collateral for creditors and deny individual debtors' discharges based upon fraud
- Counseled several financial institutions on their employment policies and practices and handled related employee claims through hearings and trials before agencies and in courts as well as through private arbitration
- Represented several newspapers in a case that recognized their right to seek and obtain publicly filed case records in sex abuse cases after those cases were settled
- Represented a bank in a case that overturned the Connecticut Banking Commissioner's prohibition of ATM use fees
Education
- University of Virginia School of Law, JD (1989)
- Princeton University, AB, cum laude (1984)
Admissions
- Connecticut
- Massachusetts
- U.S. District Court for the District of Connecticut
Practice Areas
- Bankruptcy & Insolvency Related Litigation
- Broker Dealers & Investment Management Litigation
- Commercial Litigation & Business Torts
- Corporate Governance
- Employment & Labor
- Securities & Enforcement
- White Collar Defense & Government Investigations
Industries
The bar rules of some states require that the standards for an attorney's inclusion in certain public accolades or recognitions be provided. When such accolades or recognitions are listed, a hyperlink is provided that leads to a description of the respective selection methodology.
- Adams Pro Bono Publico Award, Massachusetts Supreme Judicial Court (2020)
- American Bar Association Business Law Section
- Co-chair, Securities Litigation Subcommittee of the Business and Commercial Litigation Committee
- Securities Industry and Financial Markets Association's Compliance and Legal Division
- American Society of International Law
- Member, Business Law, International Law and Practice, Labor and Employment Law and Litigation Sections, and Communication Law Forum, American Bar Association
- Advisory Board Member, Lawyers Without Borders, Inc.
- Vice Chair, Board of Directors, Prisoners' Legal Services
- Princeton University Alumni Council
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