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James S. Rollins

James S. Rollins

Partner

One Financial Center
Suite 3500
Boston, MA 02111
T 617.217.4722
F 617.217.4710
james.rollins@nelsonmullins.com
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Jim conducts a comprehensive securities, corporate governance, and regulatory practice in which he represents investment advisers, broker-dealers, banks, investment companies, transfer agents, issuers, independent directors, and their employees before the U.S. Securities and Exchange Commission (SEC), the Financial Industry Regulatory Authority (FINRA), state regulators, state and federal courts, and others. Jim regularly advises clients on all...

Jim conducts a comprehensive securities, corporate governance, and regulatory practice in which he represents investment advisers, broker-dealers, banks, investment companies, transfer agents, issuers, independent directors, and their employees before the U.S. Securities and Exchange Commission (SEC), the Financial Industry Regulatory Authority (FINRA), state regulators, state and federal courts, and others. Jim regularly advises clients on all aspects of compliance with federal, state, and self-regulatory organization (SRO) securities and commodity regulation. He also conducts internal investigations on behalf of management and independent directors and represents clients in enforcement proceedings before the SEC, FINRA, state regulators, and the U.S. Department of Justice. In addition, Jim represents clients in private litigation in state and federal courts and arbitrations, including broker-dealers, financial services firms, and individuals relating to securities issues, as well as parties in general commercial, employment, franchise, and insurance matters. He co-chairs the White Collar Defense and Government Investigations practice group.

Jim advises on employment and licensing issues facing broker-dealers, banks, and investment advisers. He defends firms in disputes with their employees over compensation, disclosures and other issues. Additionally, his practice covers a range of industries in the drafting and enforcement of non-compete, confidentiality, and other employment-related agreements, including both the negotiation and drafting of relevant agreements and the regular enforcement in litigation of the claims of employers seeking to enforce those agreements. 

Jim routinely advises firms and individuals in connection with the acquisition and sale of broker dealers, investment advisers, and affiliated businesses, and the related structuring of the resulting businesses.

James S. Rollins

aspects of compliance with federal, state, and self-regulatory organization (SRO) securities and commodity regulation. He also conducts internal investigations on behalf of management and independent directors and represents clients in enforcement proceedings before the SEC, FINRA, state regulators, and the U.S. Department of Justice. In addition, Jim represents clients in private litigation in state and federal courts and arbitrations, including broker-dealers, financial services firms, and individuals relating to securities issues, as well as parties in general commercial, employment, franchise, and insurance matters. He co-chairs the White Collar Defense and Government Investigations practice group.

Jim advises on employment and licensing issues facing broker-dealers, banks, and investment advisers. He defends firms in disputes with their employees over compensation, disclosures and other issues. Additionally, his practice covers a range of industries in the drafting and enforcement of non-compete, confidentiality, and other employment-related agreements, including both the negotiation and drafting of relevant agreements and the regular enforcement in litigation of the claims of employers seeking to enforce those agreements. 

Jim routinely advises firms and individuals in connection with the acquisition and sale of broker dealers, investment advisers, and affiliated businesses, and the related structuring of the resulting businesses.

Experience

The 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
  • Has advised 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
  • Has advised 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
  • Has advised financial institutions and related individuals with regard to the purchase, sale, and formation of broker dealers, investment advisers, and related businesses
  • Has handled 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
The 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
  • Has advised 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
  • Has advised 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
  • Has advised financial institutions and related individuals with regard to the purchase, sale, and formation of broker dealers, investment advisers, and related businesses
  • Has handled 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

Media

Events / Speaking Engagements

Are you Ready for your Reg BI Audit?, 2021 Risk Management Conference, Independent Broker Dealer Consortium, Co-Presenter (September 13, 2021)
2019 Independent Broker Dealer Consortium Conference, Speaker (October 28, 2019)
TS Partners User Conference 2019, Speaker (October 8-10, 2019)
Considerations and strategy for broker-dealers in conducting internal investigations, 2018 IBDC Conference, Speaker (October 16, 2018)
Investment Management E&O Claims Table Top Exercise, Fall 2016 Semi-Annual Investment Advisor Risk Management Seminar, Panelist (November 30, 2016)
Visit Insights

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.

Professional Activities

  • American Bar Association Business Law Section
    • Co-Chair of the Investigations, Enforcement, and White Collar Subcommittee
    • Former 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

  • More than a decade as a member of the Board of Directors of and now an Advisory Board Member for Lawyers Without Borders, Inc.
  • More than 12 years as a member of and currently Vice Chair and Chair of the Development Committee, Board of Directors, Prisoners' Legal Services, formerly Massachusetts Correctional Legal Services
  • Princeton University Alumni Council, volunteer in several capacities for the past 30+ years, including as a regional development leader and previously for the Schools Committee and as an officer of one of its regional associations

Jim conducts a comprehensive securities, corporate governance, and regulatory practice in which he represents investment advisers, broker-dealers, banks, investment companies, transfer agents, issuers, independent directors, and their employees before the U.S. Securities and Exchange Commission (SEC), the Financial Industry Regulatory Authority (FINRA), state regulators, state and federal courts, and others. Jim regularly advises clients on all... aspects of compliance with federal, state, and self-regulatory organization (SRO) securities and commodity regulation. He also conducts internal investigations on behalf of management and independent directors and represents clients in enforcement proceedings before the SEC, FINRA, state regulators, and the U.S. Department of Justice. In addition, Jim represents clients in private litigation in state and federal courts and arbitrations, including broker-dealers, financial services firms, and individuals relating to securities issues, as well as parties in general commercial, employment, franchise, and insurance matters. He co-chairs the White Collar Defense and Government Investigations practice group.

Jim advises on employment and licensing issues facing broker-dealers, banks, and investment advisers. He defends firms in disputes with their employees over compensation, disclosures and other issues. Additionally, his practice covers a range of industries in the drafting and enforcement of non-compete, confidentiality, and other employment-related agreements, including both the negotiation and drafting of relevant agreements and the regular enforcement in litigation of the claims of employers seeking to enforce those agreements. 

Jim routinely advises firms and individuals in connection with the acquisition and sale of broker dealers, investment advisers, and affiliated businesses, and the related structuring of the resulting businesses.

Experience

The 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
  • Has advised 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
  • Has advised 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
  • Has advised financial institutions and related individuals with regard to the purchase, sale, and formation of broker dealers, investment advisers, and related businesses
  • Has handled 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

Events /
Speaking Engagements

Are you Ready for your Reg BI Audit?, 2021 Risk Management Conference, Independent Broker Dealer Consortium, Co-Presenter (September 13, 2021)
2019 Independent Broker Dealer Consortium Conference, Speaker (October 28, 2019)
TS Partners User Conference 2019, Speaker (October 8-10, 2019)
Considerations and strategy for broker-dealers in conducting internal investigations, 2018 IBDC Conference, Speaker (October 16, 2018)
Investment Management E&O Claims Table Top Exercise, Fall 2016 Semi-Annual Investment Advisor Risk Management Seminar, Panelist (November 30, 2016)
Visit Insights
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.

  • American Bar Association Business Law Section
    • Co-Chair of the Investigations, Enforcement, and White Collar Subcommittee
    • Former 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
  • More than a decade as a member of the Board of Directors of and now an Advisory Board Member for Lawyers Without Borders, Inc.
  • More than 12 years as a member of and currently Vice Chair and Chair of the Development Committee, Board of Directors, Prisoners' Legal Services, formerly Massachusetts Correctional Legal Services
  • Princeton University Alumni Council, volunteer in several capacities for the past 30+ years, including as a regional development leader and previously for the Schools Committee and as an officer of one of its regional associations