James (“Jim”) T. Ritt has been practicing law for over 40 years – most of it working in the securities industry. In 1985, Jim became Assistant General Counsel of J.C. Bradford & Co. in Nashville. Over the next several years he tried numerous arbitrations before a number of forums, including NASD/FINRA, NYSE, AMEX, NFA, MSRB and AAA. While at J.C. Bradford, Jim also tried several jury trials, as well as a CFTC reparations case. Jim thereafter served as General Counsel (and at times also Chief Compliance Officer) for several other securities firms including Rauscher Pierce Refsnes, Inc. in Dallas, Morgan Keegan & Company Inc. in Memphis, Sterne Agee in Birmingham and Wunderlich Securities in Memphis. In addition to trying cases and managing litigation, Jim has represented his employer and fellow employees in regulatory investigations and testimony before regulators and has also managed enforcement proceedings and regulatory cycle and “cause” examinations. During the course of his career, Jim served on both the NASD District Committee for District 5 and the NASD Fixed Income Committee. He has spoken at the SIFMA Annual Legal and Compliance Seminar and SIFMA Regional conferences on multiple occasions and at the FINRA National Conference. Jim has held the Series 4, 7, 8, 14, 24 and 63 securities licenses.
Jim is a 1976 graduate of Providence College and a 1979 graduate of John Marshall Law School. Jim is licensed to practice in Tennessee.