Sean C. Wagner Reflects on 10 Years of Compliance with FTI Law

Sean Wagner

In the Fintech Times article, “Looking Back at 10 Years of Compliance With FTI Law,” Sean C. Wagner discusses the ongoing changes in the regtech space and how compliance has evolved in the last decade.

Sean acknowledges the difficulties faced by regulatory compliance teams in a continually evolving landscape with inconsistent state and federal regulations and questions regarding pending regulatory changes. He advises compliance professionals to take practical steps to mitigate risk and succeed despite the challenges.

“…when dealing with regulatory requirements in multiple jurisdictions, we generally advise our clients to operationalize a single process that is sufficient to satisfy the regulatory requirements for the most restrictive regulatory provision, as opposed to having different processes for different jurisdictions,” said Sean. “This high-level approach often makes it easier to expand into new jurisdictions without changing company policies.”

The full article is available here.

Wagner Hicks Welcomes Litigation Attorney James W. Ray

James W. RayWagner Hicks PLLC is pleased to announce that litigator James W. Ray has joined the firm and will practice as a member of the Complex Commercial Litigation, Labor & Employment, and Shareholder Disputes & Derivative Litigation teams.

“James is an astute and accomplished business litigator. We are so pleased to welcome him to the firm and know he will provide our clients with tremendous value and strategic, sophisticated counsel,” said Wagner Hicks Founding Partner Benjamin Hicks.

In his practice, Ray works diligently to protect clients’ interests by providing sound advice on the most efficient ways to resolve their most pressing legal issues. He has experience representing clients in a wide variety of litigation matters, including complex commercial litigation, premises liability, products liability, employment disputes, and shareholder disputes.

Before joining Wagner Hicks, Ray practiced at a Texas-based litigation firm, where he advised clients on a broad range of litigation matters throughout Texas.

Ray earned his J.D. cum laude from Wake Forest University School of Law and his B.B.A. from the University of Oklahoma.

Wagner Hicks Welcomes Tyler B. Peacock as Partner

Tyler PeacockWagner Hicks PLLC is pleased to announce that business and employment litigator Tyler B. Peacock has joined the firm as partner. Peacock will practice as a member of the firm’s Complex Commercial Litigation, Labor & Employment, Class Action Litigation, and Healthcare teams.

“Tyler is a sharp and talented litigator, and we are very pleased to welcome him to our firm,” said Wagner Hicks Founding Partner Benjamin Hicks. “Tyler takes a proactive and tailored approach to client matters, providing the counsel and long-term perspective needed to help them not only avoid litigation but also reach their business goals. His breadth and depth will surely be an asset to our clients and significantly bolsters our bench strength.”

Peacock has nearly 10 years of experience advising clients in both foundational and highly nuanced business, employment, and healthcare law matters. He has a deep understanding of today’s ever-changing regulations and provides clients with clear, actionable counsel on what the law dictates, as well as the options likely to achieve the best results. In recognition of his legal prowess, Peacock has been consecutively selected to the Super Lawyers “Rising Stars” list since 2019 and was named to Business North Carolina’s “Legal Elite” list in 2021.

In addition to helping clients establish best practices to avoid litigation, Peacock advises clients on employment contracts, confidentiality agreements, non-competition and non-solicitation agreements, and severance agreements. When a dispute arises, Peacock is ready to advocate for his clients in state and federal courts, as well as in arbitrations, mediations, and administrative hearings before the Equal Employment Opportunity Commission and Office of Administrative Hearings. He regularly represents clients in disputes related to restrictive covenants, unfair competition, breaches of contract, discrimination, and wage and hour violations. He also advises healthcare clients on issues related to HIPAA, the federal substance abuse regulations, and subpoena compliance.

Peacock earned both his J.D. and B.A. from the University of Michigan. He is a member of the North Carolina Bar Association and Mecklenburg County Bar Association.


This story also appeared in on March 21, 2023.