Shea Hicks

Managing Counsel , Wells Fargo & Co.

 Shea Hicks is a Managing Counsel on the Regulatory Enforcement and Investigations Team providing support to Wells Fargo’s Wealth Investment Management Division.  Shea’s team handles regulatory enforcement actions, inquiries, cause exams and other interactions involving the SEC, FINRA, state securities and insurance regulatory agencies, law enforcement and other bank regulatory bodies.  His team also leads and participates in internal investigations concerning potential team member misconduct, and it provides counsel related to regulatory implications and potential disciplinary actions.  Prior to joining Wells Fargo, Shea served as a Managing Director and Senior Counsel at Morgan Keegan & Co. Inc., where he practiced for 10 years.  In that role, he served as a litigator, taking approximately 60 arbitration hearings through final hearing.  Prior to working at Morgan Keegan, he worked in private practice for two law firms, primarily working on securities litigation and regulatory matters. Shea graduated from the University of Memphis with a Bachelors of Business Administration with an emphasis in Accounting.  He received a J.D. Summa Cum Laude from Oklahoma City University, ranking 5th in his class.  He currently holds the Series 7 and 24 securities licenses and he has law licenses in Florida, Georgia, Missouri and Tennessee.