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


Louisville, KY

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


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


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

A stack of hundred-dollar bills is partially covered by a blue surgical mask.
Private Equity in Health Care: Three Takeaways Going Forward

May 10, 2024 | Publications

*This article was originally published in Reuter’s Attorney Analysis section on May 9, 2024. F...

Bank symbol with with coins stack. Concepts of the banking system, rising interest rates, inflation, deflation, and savings.
Updates to Note in Kentucky’s Overhaul of Its Financial Services Code and Regulation of Financial ...

May 2, 2024 | Publications

Kentucky House Bill 726 (the “Act”), relating to the regulation of financial institutions, was s...

Close up of a black office chair with metal details at conference table in meeting room.
FTC Final Rule Banning Non-Compete Agreements Appears Far from Final

April 30, 2024 | Publications

On April 23, 2024, the Federal Trade Commission (FTC) issued a Final Rule (the “Rule”) prohibiti...

Person analyzing the market trends on a digital screen
Guide to the Federal Income Tax Treatment of SAFEs

April 16, 2024 | Publications

The Simple Agreement for Future Equity (SAFE) was introduced in 2013 on the startup accelerator Y Co...

"Montage of an eye, binary code and people walking on a city pavement."
What Happens to Your Sensitive Data After It Is Submitted to the Government Under the Corporate Tran...

March 29, 2024 | Corporate Transparency Act

The Corporate Transparency Act (CTA)[1] is designed to combat the use of shell company structures t...

"People walking on transparent glass spiral staircase in futuristic building, unrecognizable people."
Corporate Transparency Act: Determining Beneficial Owners Based on Entity Ownership (Part III)

March 25, 2024 | Corporate Transparency Act

On January 1, 2024, the Corporate Transparency Act (CTA) became effective. This sweeping new law imp...

Stay ahead of the law.

Subscribe to receive email updates and choose your topics.