Shea Hicks

Background

About Shea Hicks

Shea Hicks represents broker-dealers, investment advisors, banks and financial industry professionals in regulatory enforcement matters and litigation/arbitration. Shea defends against potential and actual charges initiated by financial regulatory authorities. Shea also conducts internal investigations for the purpose of identifying potential misconduct and control breakdowns and so that he can properly advise his clients as to legal issues, the strengths and weaknesses of a company's control environment and recommended enhancements. Representative litigation/arbitration matters include disputes involving alleged sales practice violations, fraud, employment matters (including raiding and recruiting disputes, wrongful termination claims, defamation, and promissory note recovery), customer debt collection, real estate, lease and contract disputes. Shea's employment history includes previously serving as Managing Counsel for the Litigation, Regulatory Enforcement and Investigations team within Wells Fargo’s Wealth and Investment Management Division. In that role, Shea served as first chair, or managed a team of others, in defending complex regulatory enforcement matters and litigation, conducting internal investigations, and providing reliable and relatable advice to senior-level executives. Before taking that role, Shea served as a Managing Director and Senior Litigation Counsel for Morgan Keegan & Co, Inc, which was acquired by Raymond James & Associates. In that role, he served as first chair in securities arbitrations and tried over 75 contested matters to award and settled many more. In the wake of the 2009 financial crisis, Shea also assisted in the management and supervision of six law firms defending approximately 1,750 arbitrations, three regulatory actions and six class actions, all related to investor losses sustained in the RMK Bond Funds. Shea holds law licenses in MO, FL, GA and TN, he has an accounting background, and was formerly registered through FINRA with a Series 7 and 24 licenses (which expired in January of 2023 - two years after his employment with Wells Fargo ended). Outside of work, Shea is a proud and loving husband, father of three active young boys and an adorable girl, and he enjoys whatever free time he can find playing sports, hunting, fishing, cooking, traveling, making his wife laugh, and watching their children grow.