DANIEL B. GRAVES conducts a general practice with a focus on corporate and securities law, financial institutions law, mergers and acquisitions, business planning, minority shareholder rights, and business litigation. He represents small- to medium-sized businesses, large businesses, business owners, and shareholders concerning legal and business issues and strategies relating to their businesses, executive compensation, estate planning, and shareholder rights.
Mr. Graves has represented publicly held financial services holding companies in connection with the preparation and filing of proxy statements, tender offer materials, and periodic reports under the Securities Exchange Act of 1934 and registration statements under the Securities Act of 1933 for all types of equity, debt, and trust preferred securities offerings.
He has advised public companies and non-public financial institutions concerning corporate governance matters as a result of the enactment of the Sarbanes-Oxley Act of 2002 and otherwise. He has developed and implemented programs for compliance with “insider” reporting under Section 16 of the 1934 Act. He also has significant experience with private placements of securities and other representation of start-up enterprises, non-public financial institutions, and other businesses.
Mr. Graves served from 1991 to 2001 as Associate General Counsel to Compass Bancshares, Inc., Compass Bank, and their affiliates, which is among the top 40 U.S. bank holding companies in terms of assets, and he has approximately 12 years of experience as a Partner or Associate with three prominent Alabama-based law firms.
He also prosecuted criminal Alabama state securities law cases as a special prosecutor pursuant to appointment by the Alabama Securities Commission and the District Attorney for the Mobile, Alabama Judicial Circuit.
Mr. Graves teaches corporations and other business organizations law as an Adjunct Professor of Law.