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Waller

Wes Scott

Wes Scott

Partner

Expertise

  • Corporate
  • Corporate Governance
  • Mergers & Acquisitions
  • Securities

WSG Practice Industries

Activity

Waller
Tennessee, U.S.A.

WSG Leadership

Banking & Finance Group
Member
Profile

Wes regularly assists these companies and their boards of directors and special committees with the following:

  • Public and private offerings of equity and debt securities;
  • SEC, FINRA and FDIC reporting compliance;
  • Stock exchange listing compliance;
  • Mergers and acquisitions;
  • Strategic planning and executive succession;
  • Recapitalizations and restructurings;
  • Corporate governance best practices; and
  • General corporate matters.

His recent experience related to financial institutions includes providing counsel to:

  • Multiple community banks with respect to their ongoing legal and operational needs
  • An NYSE-listed bank in a private placement of $100 million of Subordinated Notes
  • An NYSE-listed bank in public offerings of $300 million of Subordinated Notes and $172.5 million of Preferred Stock
  • An NYSE-listed bank in multiple bank acquisitions involving aggregate proceeds in excess of $650 million 
  • An NYSE-listed bank in a merger involving aggregate proceeds of approximately $50 million and a multi-branch acquisition valued at approximately $37 million
  • A NASDAQ-listed bank in connection with exit of its primary institutional investor through block trades and privately-negotiated transactions involving interrelated federal securities laws
  • An NYSE-listed bank in secondary sale of common stock involving aggregate proceeds of approximately $152 million
  • A NASDAQ-listed bank in connection with its IPO involving aggregate proceeds of approximately $45 million

His recent experience related to healthcare companies includes providing counsel to:

  • Multiple clinical trial and research companies in their sales to strategic acquirers involving aggregate proceeds of approximately $100 million
  • Numerous emerging growth medical device companies in obtaining debt and equity capital through angel investors and venture capital and private equity funds
  • A strategic acquirer in its acquisition of a behavioral health hospital involving aggregate proceeds of approximately $100 million
  • Multiple emergency medicine physician practice groups involving aggregate proceeds of approximately $325 million

Wes is a frequent contributor to Waller's Capital Markets and Securities Blog and has been published on TheCorporateCounsel.net and quoted in BankDirector.com and Accounting Today. 

Wes is recognized by Best Lawyers for Corporate Governance Law and Mergers & Acquisitions Law.

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

Corporate | Corporate Governance | Mergers & Acquisitions | Securities

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)
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...

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 ...


Waller Law Blog
Waller 

Waller Law Blog

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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