Jim is the firm’s Managing Shareholder and Executive Committee Chairman. He has been an attorney with Ryley Carlock & Applewhite since 1974 and previously served on the firm’s Executive Committee, led the Corporate Practice Group, and served as the firm’s Risk Management Shareholder.
Jim’s practice focuses on business transactions and legal compliance for for-profit and non-profit businesses. He also has experience with ERISA, executive employment agreements, executive compensation programs including supplemental executive retirement plans (top-hat plans), stock option programs, phantom stock plans, deferred-compensation plans, and long-term incentive performance plans. He also helps with the formation and licensing of insurance and reinsurance companies and banks and providing counseling concerning the regulation of banks and insurance companies.
In addition, Jim’s experience includes advice concerning Securities and Exchange Commission (“SEC”) compliance for private and public companies. Jim also has counseled boards of directors for for-profit and non-profit entities, including private foundations, concerning fiduciary obligations, conflicts of interest, and tax compliance.
Jim has been recognized in Chambers USA and Best Lawyers in America® since 2005.
While in law school, Jim served as Articles Editor of the Arizona State Law Journal. Recent publications include:
"SEC Issues Proposed Rules Intended to Protect Investors and Gather Additional Information in Connection With Permitting General Solicitation," Ryley Carlock & Applewhite Client Alert, October 2013
"Self-Directed IRA's: Caution Required," Ryley Carlock & Applewhite Client Alert, July 2013
"Securities Law Update: SEC Requires Electronic Filing of Form D," Ryley Carlock & Applewhite Client Alert, March 2009
"SEC Adopts Significant Revisions to Rules 144 and 145," February 2008
"U.S. Securities Law Developments: Important and Information for Advisers to Start-ups and Small Companies to be Proposed Amendments to Forms S-3 and F-3 and Rule 144," International Lawyers Network Publications, November 2007
"State Corporate Law Comparisons of Delaware, Arizona and Nevada," International Lawyers Network Publications, November 2007
"International Financial Reporting Standards," International Lawyers Network Publications, November 2007
Selected Tax Aspects of Real Estate Transactions
Fiduciary Responsibility Under ERISA—An Update
Plan Terminations and Conversions Under ERISA
Jim is a frequent lecturer on various tax matters for the Arizona State Bar Continuing Education Programs. Other speaking engagements include:
"Securities Aspects of Real Estate Syndication," Realty Seminar Institute
Phoenix Tax Workshop
- American Bar Association
- Arizona Town Hall
- The Foundation for Senior Living, Vice Chairman
- Phoenix Art Museum Men's Art Council, Past President and 1999 Cowboy Art Sale and Exhibit, Chairman
- Phoenix Tax Workshop, past member Board of Directors
- Western Art Associates
- Western Pension and Benefits Conference, Phoenix Chapter, Past President
Jim has been recognized by Chambers USA and by Best Lawyers in America®, both since 2005.