James T. (“Jim”) Ritt has been practicing law since 1979. After a stint managing professional liability claims, including legal malpractice claims, for an insurance company and representing lawyers in defense of malpractice claims with a law firm, he joined a regional securities firm in 1985 as Assistant General Counsel. Over the next several years he tried numerous arbitrations before all manner of forums such as NASD, NYSE, AMEX, NFA, MSRB and AAA. While there, Jim also tried several jury trials as well as a CTFC reparations case. In 1991, Jim took a position as General Counsel and Chief Compliance Officer for another regional securities firm. Since then, with several stops along the way, he has served as General Counsel and, at times, has also acted as CCO, simultaneously. 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.
