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.
- The Best Lawyers in America© for Litigation – Banking and Finance (2021)
- Mid-South Super Lawyers for General Litigation (2016-present)
- Alabama Super Lawyers® – General Litigation (2011-2015)
Rick's Affiliations and Civic Involvement
- Alabama State Bar Association
- Securities Industry and Financial Markets Association, Legal and Compliance Division
- Law360, 2014 Securities Editorial Advisory Board
- 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
Duke University School of Law (1996, J.D., cum laude)
Cornell University (1993, B.A., with distinction in all subjects)