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J. David Smith, Jr.

Counsel to the Firm, Lexington

David rejoined Stoll Keenon Ogden’s Lexington office as Counsel to the Firm in 2018, following a two-and-a-half-year hiatus to serve as President of United Bank & Capital Trust Company. Before this time, his entire career was spent with SKO, and this includes four years as Managing Partner.

In his current role at the firm, David concentrates primarily on Banking and Business Services, Public Finance, Mergers & Acquisitions and Securities & Corporate Governance. He works with clients throughout Kentucky, ranging from financial institutions to franchised auto dealers.

For his many legal accomplishments over the course of his career, David has been honored as a “Leading Lawyer for Business” by Chambers USA, among other distinctions. He is listed in the Bond Buyer’s Municipal Marketplace (“Red Book”) as a nationally recognized bond counsel.

Public Finance: Well versed in Federal and Kentucky tax and securities laws, David helps clients navigate the complexities of financings to support the construction and improvement of public facilities.

Banking Law: For financial institutions, David provides a wide range of services, from assistance with securities offerings to representation in mergers and acquisitions.

Business Services: Drawing on his substantial experience of both legal practitioner and branch president, David represents corporate clients across a span of business activities, including the review and analysis of securities and financial transactions.

Mergers & Acquisitions: David advises businesses on how to best structure transactions to deal with regulatory, tax, contractual or other concerns. He also provides counsel on asset collections, stock purchases, mergers and spin-offs.

Securities & Corporate Governance: David provides services ranging from the evaluation and preparation of equity offerings to guidance on securities law compliance.

Equine Transactional: Building on a long-standing SKO tradition, David assists race tracks and other entities with financial and general business needs, including the development of contracts for the purchase, sale and syndication of horses.

Auto Dealer Services: David provides counsel to franchised automotive dealers on a wide variety of tax, regulatory and transactional matters. He understands the complex nature of their businesses and works to help minimize their liability.

Education
University of Kentucky College of Law
1982, J.D., Order of the Coif
Georgetown College
1979, B.A., summa cum laude
Admissions
Kentucky

Recognition

  • AV Preeminent® Peer Review Rated by Martindale-Hubbell®
  • Best Lawyers in America®
  • Kentucky Super Lawyer, Mergers & Acquisitions
  • Chambers USA, Leading Lawyer for Business, Corporate/M&A, 2014
  • Louisville Magazine Top Lawyer, Banking Law, 2012-2014
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Affiliations

  • Fayette County Bar Association
  • Kentucky Bar Association
  • American Bar Association
  • LexArts, Chairman of the Board
  • Fund for the Arts, Board of Directors
  • Louisville Ballet, Board of Directors
  • Lexington Public Library Foundation, Board of Directors
  • Paris-Bourbon County YMCA, Board of Directors, President
  • Commerce Lexington, Board of Directors
  • Kentucky Historical Society Foundation, Board of Directors, President
  • Delta Dental, Board of Directors, President
  • World Trade Center Kentucky, Board of Directors
  • Keeneland Association Inc., Board of Directors
  • Creosalus Inc., Board of Directors
  • Lovejoy Industries, Inc., Board of Directors
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Work Highlights

Representation of Financial Institutions in Enforcement Actions

Representation of financial institution clients in negotiating with regulatory authorities about proposed enforcement actions, including formal cease and desist and consent orders, informal memoranda of understanding and civil money penalties. Advising financial institutions regarding compliance with enforcement actions and regulatory compliance matters.

Public Finance

Served over the years as bond counsel, issuer’s counsel and underwriter’s counsel in various tax-exempt and taxable financings.

Public Tender Offer

Representation of public issuer in a “Dutch Auction” self-tender offer for approximately $17 million in a NASDAQ listed common stock.

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