Moore & Van Allen Law Firm, Attorneys
Practice Areas
  • B.A., College of the Holy Cross, cum laude;
  • Phi Beta Kappa
  • J.D., Duke University; Order of the Coif;
  • Articles Editor, Duke Law Journal
  • New York
  • North Carolina
  • U.S. Supreme Court
  • U.S. Court of Appeals, Federal Circuit
  • U.S. Court of Appeals, Second Circuit
  • U.S. Court of Appeals, Fourth Circuit
  • U.S. Court of Appeals, Fifth Circuit
  • U.S. Court of Appeals, Eighth Circuit
  • U.S. Court of Appeals, Ninth Circuit
  • U.S. Court of Appeals, Eleventh Circuit
  • District Court of the District of Columbia
  • All North Carolina Federal District Courts
  • All New York Federal District Courts
100 North Tryon Street
Suite 4700
Charlotte, NC 28202-4003

James (Jim) P. McLoughlin, Jr.

Member
Overview
Representative Matters
News & Events
Publications
Professional Affiliations

Jim McLoughlin's extensive regulatory, litigation and arbitration track record includes arbitrations before numerous industry and general arbitration organizations; civil trials and appeals in various state and federal courts across the country; and criminal investigations, trials and appeals in matters from anti-terrorism to antitrust to securities fraud. He has represented clients in responding to and defending investigations by the SEC, IRS, FINRA, DOJ, FTC, CFTC, OCC, FRB, FDIC, NC Attorney General's Office, the United Kingdom FCA, the Monetary Authority of Singapore, Hong Kong Monetary Authority, Central Bank of Brazil, the Brazilian IRS and the Korean FTC, among others.

Services McLoughlin regularly provides his diverse clients include:

  • Complex business litigation
  • Securities litigation and arbitration
  • Class action litigation
  • Internal investigations
  • Criminal defense, including:
    • White collar crime
    • Grand jury matters
  • Appellate litigation

Of Note

Awards and Professional Recognition

    • Awarded the AV Preeminent™ Judicial Rating by Martindale-Hubbell, 2016
    • Best Lawyers 2012, Charlotte Litigation - Banking and Finance Lawyer of the Year
    • Included in Best Lawyers in America for Commercial Litigation, Bet the Company Litigation, Banking and Finance Litigation, Regulatory Enforcement Litigation and Securities Litigation 2009 - 2018
    • Recognized in the 2010-2018 editions of Benchmark Litigation as a "Local Litigation Star" in the areas of Appellate, Civil, Criminal, Corporate Governance, General Commercial, Healthcare, Internal Investigations & Securities  
    • Included in Chambers Partners USA in North Carolina - Litigation: General Commercial, 2006 - 2017
    • Selected for inclusion to the North Carolina Super Lawyers list in 2006 - 2017 in Business Litigation, Criminal Defense, and Securities Litigation
    • Recipient of the 2012 Sally and Bill Van Allen Public Service Award

    Seminars and Publications

    • Co-Author, “Navigating the Implied Waiver of Attorney Client Privilege After Adoption Of Federal Rule 502 of the Federal Rules of Evidence,” New York University Law School’s Annual Survey of American Law, Volume 67, Issue 4, Fall 2012
    • Author, "Deconstructing United States Sentencing Guidelines Section 3A1.4: Sentencing Failure in Cases of Financial Support for Foreign Terrorist Organizations," University of Minnesota's Law Journal entitled Law & Inequality: A Journal of Theory & Practice, Vol. 28, No. 1, Winter 2010 
    • Co-author (with John Fagg) "Evaluating and Protecting Against Risk Through A Corporate Risk Officer," Corporate Board Member Magazine, Second Quarter 2011
    • Panel presentation: Securities Industry and Financial Markets Association (SIFMA) Compliance and Legal Society-Charlotte Regional Seminar, "Hot Topics in Securities Regulatory Enforcement" (September 2012)
    • Panel presentation: The Network of Trial Law Firm, Inc.'s FINRA CLE SuperCourse, "Duties of Public Companies to Disclose SEC Investigations" (September 2012)
    • Panel presentation: Annual Dan K. Moore Program in Ethics (October 2005 and October 2012)
    • Panel presentation:  American Bar Association Southeastern White Collar Committee Securities Fraud Conference (June 2013)

    Representative Matters

    • Currently co-counsel representing the Transaction Committee of the Board of Directors of Reynolds American, Inc. in connection with the pending acquisition by British American Tobacco p.l.c. 

    • Principal regulatory counsel for a major international bank in response to the regulatory investigations in the U.S., Europe, and Asia-Pacific related to LIBOR and other reference rates.
    • Principal regulatory counsel for a major international bank in response to the regulatory investigations in the U.S., Europe, and Asia-Pacific related to foreign exchange trading.
    • Defending Royal Bank of Canada in In re Foreign Exchange Benchmark Rates Antitrust Litigation, U.S.D.C. S.D.N.Y Case No. 1:13-CV-07789-LGS.
    • Conducted a multi-jurisdictional international investigation on behalf of a client to respond to international regulatory inquiries regarding the Panama Papers. 
    • Advised independent directors of Reynolds American in connection with Reynolds American's acquisition of Lorillard.
    • Successfully represented independent directors of Reynolds American in the North Carolina Business Court and in the North Carolina Court of Appeals arising from the acquisition of Lorillard by Reynolds American obtaining a dismissal of the case against them.
    • For Rexam, Inc. lead the successful prosecution of one of the few defendants’ class actions over the the vesting of certain benefits under ERISA in US district courts in Minnesota, Ohio and California.   
    • Won a jury trial in the North Carolina Business Court on behalf of a minority shareholder claiming breach of fiduciary duty, breach of contract and theft of corporate assets.
    • Represented a national healthcare company in the defense of an anti-trust class action in Arizona arising from alleged price-fixing by hospitals in the employment of hospital staff.  
    • For many years has assisted an international bank client with the management of its litigation portfolio, including tax, civil, regulatory and labor matters in South America, particularly in Brazil and Argentina. 
    • Won an arbitration defending a client against multi-million dollar Sarbanes-Oxley and state law claims brought by a terminated trading employee who alleged he was terminated for whistle-blowing.
    • Successfully represented a client in an investigation of sales practices of placement agents in dealings with state pension officials.
    • Represented the Bank of America Corporation in connection with the investigation of that corporation's merger with Merrill Lynch by the Attorney General of North Carolina. 
    • Conducted a successful, accelerated internal investigation of possible fraud in one of a client's divisions to preserve the sale of the division.
    • Represented one of two defendants in the first anti-terrorism jury trial after the tragedy September 11.
    • Defended local leader of MS13 in multi-count racketeering case. 

    Representative Cases

    Past reported matters in which Mr. McLoughlin has participated include:

    • Blythe, et al. v. Bell, et al., N.C. Superior Court 11-cvs-933/N.C. Business Court 2012 NCBC 42
    • Mancuso v. Charles R. Schwab & Co., U.S. District Court, District of South Carolina, Docket No. 2:07-cv-03852
    • Vanguard Identification Systems, Inc. v. Bank of America Corporation, et al., U.S. Court of Appeals for the Federal Circuit, Docket No. 2010-1371
    • Cindy Johnson v. Arizona Hospital and Healthcare Association, U.S. District Court, District of Arizona, Docket No. 07-cv-01292
    • State of North Carolina Commissioner of Banks v. W.R. Starkey Mortgage, Wake County, North Carolina Superior Court, Docket No. 09-cvs-023513
    • Robert Lowinger v. FairPoint Communications, Inc., et al., U.S. District Court, Western District of North Carolina, Docket No. 3:05-cv-316
    • Rexam Inc. v. United Steel Workers of America, 2006 WL 2530304 (D. Minn. August 31, 2006)
    • Robert A. Johns v. Rexam Medical Packaging, 2005 WL 1308319 (M.D. Ga. June 1, 2005), aff’d 2006 WL 1071854 (11th cir. 2006)
    • U.S. v. Mohamad Hammoud, U.S. District Court, Western District of North Carolina, Docket No. 3:00-cr-147, and U.S. Court of Appeals for the Fourth Circuit, Docket No. 11-4164
    • Coastal Healthcare v. Schlosser, 673 So.2d U.S. App. 62 ( Fla. App. 1996)
    • Moss v. J.C. Bradford & Co., 334 N.C. 688; 436 S.E.2d 381 (N.C. S.Ct. 1993)
    • Lowder v. All Star Mills, Inc., 103 N.C. App. 479; 405 (1991) aff’d 330 N.C. 119; 409 S.E.2d 595 (1991)
    • Jeske v. Brooks, 875 F.2d 71 (4th Cir. 1989); Fed. Sec. L. Rep. (CCH) P94, 494 (1989)

    Professional Affiliations

    • Law Clerk to Hon. Eugene Gordon, Senior Judge, United States District Court, Middle District of North Carolina
    • Member, Board of Trustees, Lawyers' Committee for Civil Rights Under Law
    • Fellow of the American Bar Foundation
    • American Bar Association
    • North Carolina Bar Association
    • New York State Bar Association
    • National Association of Criminal Defense Lawyers