James P. McCrocklin

James P. McCrocklin

Louisville, Kentucky

The McCrocklin family settled in Kentucky before it became a Commonwealth. Jim McCrocklin was born
and raised in Louisville and graduated from Westport High School. He attended the University of Kentucky and
graduated with a B.S. in Accounting He then attended Law School at the University of Louisville and
graduated Cum Laude in 1980. Jim began his professional career at the firm of Hebel Kleinschmidt &
McCrocklin, a firm that concentrated in real estate practice. Jim also served as a part-time Assistant
Jefferson County Attorney from 1980 to 2000, acting as Chief Prosecutor in their Child Support Division
Jim, Judge James M. Shake, and L. Gregory Yopp formed the firm of McCrocklin, Shake & Yopp, which engaged in the general practice of law, until Judge Shake was elected to the Bench, then the firm continued as
McCrocklin & Yopp. In 2000, Jim affiliated with the firm of Stallings & Stallings, working closely with
Robert G. Stallings until his death. Jim was invited to join the firm of Mosley, Sauer, Townes & Watkins as
Of Counsel and served with that firm from 2008 through 2018. Jim was invited to join the firm of Valenti
Hanley PLLC and has taken a position as Of Counsel with that firm.

Jim, throughout his career, has had an interest in securities litigation. This likely stems from the
fact that his father was an attorney by education and a stockbroker by avocation. In June of 1987, the
United States Supreme Court approved the enforceability of arbitration agreements between customers and
brokerage firms, in the case of Shearson/American Express v. McMahon, 482 U.S. 220 (1987), Jim became one of the early arbitrators appointed by the National Association of Securities Dealers (NASD), now FINRA, by his
appointment as an arbitrator in 1989. He is chairman qualified by both NASD and FINRA. Since 1989 Jim has
been involved in hundreds of security disputes, both as an arbitrator and as an attorney on behalf of customers. Jim has represented customers in securities disputes in State and Federal courts, as well as in NASD and FINRA arbitrations. Jim continues to focus his practice on securities litigation and enjoys the challenges these cases present.

Jim has recovered on behalf of injured investors millions of dollars in cases against the following firms: Merrill Lynch; J.C. Bradford & Co.; J.J.B. Hilliard, W.L. Lyons, LLC; PNC Securities; Auerbach, Pollack and Richardson; Fifth Third Bank Securities, Inc.; LCP Capital Corporation; UBS Financial Services, Inc.; PaineWebber, Inc.; Wells Fargo Advisors, LLC; Raymond James; Morgan Keegan & Company, Inc.; Ameriprise Financial Services, Inc.; Midland National Insurance Company; Sterne, Agee & Leach; Bryon N. Milby, CPA; Jonathan N. Leber; Tembion Capital Management, LLC; Allianz Life Insurance Company of North America; Smith Barney; Sterling Financial Group, Ltd.; Advest, Inc.; Citi Group Global Markets, Inc.; Sand Brothers and Company, Limited; U.S. Bank Corp Investments, Inc.; Prudential Securities, Inc.

Jim and his wife, sandy, enjoy time at their homes in both Kentucky and Florida, and enjoy
entertaining their grandchildren, boating, playing billiards, and entertaining friends.

Areas of Practice

  • 50% Securities Arbitration Litigation
  • 25% Business Litigation

Litigation Percentage

  • 65% of Practice Devoted to Litigation

Bar Admissions

  • Kentucky, 1980
  • Indiana, 1995


  • University of Louisville School of Law, Louisville, Kentucky
    • J.D. cum laude - 1980
    • Honors: Dean's List
  • University of Kentucky, Lexington, KY
    • B.S. - 1976
    • Honors: Dean's List
    • Major: Accounting


  • Securities Arbitration, Louisville Bar Assn.
  • Child Support Enforcement, Louisville Bar Assn.

Honors and Awards

  • Kentucky Top Lawyers, 2014 - 2015
  • AV Rated Martindale-Hubbell
  • Kentucky Bar Association CLE Award, 2002 - 2003
  • Kentucky Bar Association CLE Award

Professional Associations and Memberships

  • Public Investor Bar Association, Member, 2012 - 2014
  • FINRA Arbitrator, Public Arbitrator/ Chairman, 1989 - Present

Past Employment Positions

  • Jefferson County Attorney's Office, Assistant Jefferson Co. Atty., 1980 - 2000
  • Kentucky Air National Guard, SSGT (Honorable Discharge), 1971 - 1980

Pro Bono Activities

  • President, Harbor Watch Condo Assoc., Tierra Verde, FL , 2015 - Present


  • Kappa Sigma