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Waller

Wes Scott

Wes Scott

Partner

Waller
Tennessee, U.S.A.

tel: 901 288 1656
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Profile
Wes Scott serves as counsel to various public and private companies primarily with respect to corporate finance, regulatory compliance, mergers and acquisitions and corporate governance. Utilizing his experience and strong technical knowledge of the federal securities laws and regulations, Wes’ corporate practice involves assisting clients with:

Public equity offerings
SEC reporting compliance
Stock exchange listing compliance
Private placements
Corporate governance
Mergers and Acquisitions
General corporate matters

Bar Admissions

Tennessee

Education

J.D., magna cum laude, University of Memphis Cecil C. Humphreys School of Law, 2007
M. Accy, University of Mississippi, 2004
B. Accy, summa cum laude, University of Mississippi, 2003
Areas of Practice
Professional Career

Professional Associations

Member, AHLA
Member, American Bar Association
Business Law Section - Corporate Governance Committee
Business Law Section - Federal Regulation of Securities Committee
Member, Tennessee Bar Association


Professional Activities and Experience

Associate, Bass, Berry & Sims PLC (Memphis, TN)
Blogs

SEC Chairman Sees ICOs as Securities Offerings
Posted on November 21, 2017
Practice Group: Banking & Finance - North America

Please allow us to refer you to the blog below on the SEC Chairman’s remarks on ICO’s and Securities Offerings:

SEC Chairman Jay Clayton spoke at the PLI Annual Institute on Securities Regulation in re: The DAO and his skepticism about ICOs being a securities ...


Articles

With Insider Trading Back In The News, Is It Time to Revisit Your Insider Trading Policy?
Waller, June 2018

Recent insider trading charges are shining a renewed spotlight on the need for companies to take a fresh look at their insider trading policies. On May 31, 2018, the SEC issued a press release announcing that it has filed civil charges against an executive of a bulge bracket investment banking firm in an insider trading scheme based primarily on the “misappropriation theory” of insider trading. On the same day, the FBI and the U.S...

WSG's members are independent firms and are not affiliated in the joint practice of professional services. Each member exercises its own individual judgments on all client matters.

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