Rick's Profile

Rick focuses on securities litigation, complex commercial litigation, and white-collar criminal investigations.

Rick has represented financial institutions in numerous class actions alleging violations of Sections 11 and 12 of the ’33 Act and Section 10(b) of the ’34 Act. He also has defended financial institutions in FINRA arbitrations relating to suitability, churning, and other alleged sales practice violations. In commercial litigation, he has represented life insurance companies, defense contractors, media outlets, credit card companies, consumer product manufacturers, and other companies in business disputes. Rick is experienced in conducting internal investigations and handling government investigations. In addition, he has served as interim general counsel for a regional health insurer and interim in-house counsel for a multi-national manufacturing and services company.

Rick began his legal career in New York as an associate at Rogers & Wells (now Clifford Chance) and Gibson, Dunn & Crutcher.

Rick's Accolades

  • The Best Lawyers in America© for Litigation: Banking and Finance Law and Litigation - Banking and Finance (2021-present)
  • Mid-South Super Lawyers for General Litigation (2016-present)
  • Alabama Super Lawyers® - General Litigation (2011-2015)

Rick's Affiliations and Civic Involvement

Affiliations
  • Alabama State Bar Association
  • Securities Industry and Financial Markets Association, Legal and Compliance Division
  • Law360, 2014 Securities Editorial Advisory Board
Civic Involvement
  • Legal Services Alabama, Board of Directors
  • L’Chaim Event for the Birmingham Holocaust Education Center, Host Committee
  • Children's Hospital Committee for the Future
  • Multiple Sclerosis Leadership
  • Cornell Alumni Admissions Ambassador Network
  • Junior Advisory Board of the Make-A-Wish Foundation of Metro New York, Founding Chair
  • Volunteer Center of Bergen County, New Jersey, Board Member
  • Mountain Brook Youth Sports Coach

Admissions

State Bar: Alabama, New Jersey, New York

Education
  • Duke University School of Law
    • (1996, J.D., cum laude)

  • Cornell University
    • (1993, B.A., with distinction in all subjects)

Monday, August 22, 2022

200 Maynard Attorneys Recognized in The Best Lawyers in America© 2023

Maynard is pleased to announce that 200 of the Firm’s attorneys have been recognized in the 2023 edition of The Best Lawyers in America©, including 11 who are distinguished as “Lawyer of the Year” in their respective areas of expertise and 56 of the Firm’s younger attorneys who are recognized...

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Thursday, August 19, 2021

179 Maynard Attorneys Recognized in The Best Lawyers in America© 2022

Maynard & Gale is pleased to announce that 179 of the Firm’s attorneys have been recognized in the 2022 edition of The Best Lawyers in America©, including 17 who are distinguished as “Lawyer of the Year” in their respective areas of expertise and 48 of the Firm’s younger attorneys who...

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Thursday, August 20, 2020

168 Maynard Attorneys Listed in The Best Lawyers© in America 2021

Birmingham, AL. (August 20, 2020) Maynard & Gale is pleased to announce that 168 of the Firm’s attorneys have been recognized in the 2021 edition of The Best Lawyers in America©, a peer-review guide highlighting attorneys with significant achievements in their areas of practice. With 76 practice areas listed among...

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