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Paralegals Role in Securities Law


Comply with security law requirements and avoid serious legal liability issues.

This topic will review and discuss how paralegals can assist the lawyer in providing effective legal services. The focus is on the securities laws (both state and federal), which are a complicated set of laws, rules, and regulations which typically require lengthy and complicated public documents. The failure to comply with their requirements can lead to serious legal liability issues. This information will assist paralegals who seek to assist counsel in providing effective service for the benefit of clients.



Michael D. Waters

Michael D. Waters

Jones Walker LLP

  • Partner in the Birmingham, Alabama office of Jones Walker LLP
  • Practiced in the corporate and securities area, primarily for financial institutions, for more than 35 years, representing banks, bank holding companies, and other financial entities in acquisitions, capital raising transactions, SEC and shareholder issues, new bank formations, and board fiduciary duty issues
  • Advised buyers and sellers in approximately 110 bank mergers and acquisitions, ranging from small community banks to the acquisition of a $34 billion holding company
  • Recognized in Chambers USA, banking, and finance annually since 2013
  • Recognized by Alabama Super Lawyers annually since 2008 for work in the banking and securities & corporate finance area
  • Named by Best Lawyers in America annually since 1995 for work in the area of banking and finance law, corporate law, and financial services regulation law
  • J.D. degree, University of Alabama School of Law; M.A. degree, Rhodes Scholar, Oxford University; B.A. degree, Duke University

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