Public Companies

Our team assists clients with offerings of equity and debt securities, public reporting and compliance with all related SEC regulations as well as the national stock exchange rules. Our roles range from being counsel on all securities and transactional matters for some clients, to working collaboratively with in-house legal departments, to serving as special counsel to boards of directors and board committees.

We have significant experience handling SEC filings, earnings releases and additional investor relations communications for equity offerings, private placements of securities, “angel” financings and venture capital deals. We also provide strategic direction on the development of corporate policies, board committee charters, governance materials, and executive compensation arrangements and disclosures.

Key Contacts

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James A. Giesel

Practice Group Leader

Louisville, KY

502.568.0307

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Alan K. MacDonald

Partner

Louisville, KY

502.568.0277

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I. Bobby Majumder

Partner

Dallas, TX

214.580.5848

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Patricia M. Plavko

Partner

West Chester, OH

513.870.8297

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Working strategically on your behalf.

Whenever state and federal securities laws are in play, we work closely with clients to develop appropriate compliance solutions, along with effective strategies for responding to SEC inquiries and other enforcement actions.