Skip to Main Content.

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

A smiling individual with glasses is wearing a dark suit and a blue tie with a pattern, against a light background.
James A. Giesel

Practice Group Leader

Louisville, KY

A person with short hair is smiling and wearing a light gray suit with a striped blue and yellow tie against a white background.
Alan K. MacDonald

Partner

Louisville, KY

A person wearing a dark suit, white shirt, and yellow tie smiles against a white background.
I. Bobby Majumder

Partner

Dallas, TX

A smiling woman dressed in professional attire with a black blazer and a blue top, adorned with a pearl necklace, against a plain background.
Patricia M. Plavko

Partner

West Chester, OH

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.

Related Insights

Several chess pieces are arranged on a reflective surface, with a prominent king piece in focus and a bright, abstract background.
Navigating Section 1202’s Redemption (Anti-churning) Rules

September 30, 2024 | Blogs

Section 1202 provides for a substantial exclusion of gain from federal income taxes when stockholder...

Stack of papers in front of computer
Corporate Transparency Act Reporting Deadline Approaching

September 6, 2024 | Corporate Transparency Act

Attention business owners: Under the federal Corporate Transparency Act (CTA), corporations, limited...

Kentucky state of United States flag on flagpole textile cloth fabric waving on the top sunrise mist fog
In the News:
Q&A Guide to Non-Compete Laws in Kentucky

Publication: Thomson Reuters | Practical Law

Publish Date: August 30, 2024

Authors: Thomas P. O’Brien, III

business people walking in a financial district, long exposure,click here to view more related images:
Texas Court Pulls the Plug on FTC’s Non-Compete Ban: Rule Set Aside Nationwide

August 21, 2024 | Publications

On August 20, 2024, a Texas federal court set aside the Federal Trade Commission’s (FTC) Final Rul...

Chess pieces standing on the stacked coins.
FTC and DOJ Request Information on Serial Acquisitions and Roll-Up M&A Activity

August 21, 2024 | Publications

In a rare move, the federal antitrust enforcement agencies, the Federal Trade Commission (FTC) and t...

Beautiful blurred background of an empty courtroom.
Federal Courts Divided over FTC’s Non-Compete Ban Final Rule

August 7, 2024 | Publications

Only a few weeks after a Texas federal court found the Federal Trade Commission’s (FTC) Final Rule...

Stay ahead of the law.

Subscribe to receive email updates and choose your topics.