Law, Put to practice.

Securities & Corporate Governance

Our Securities & Corporate Governance practice represents clients in industries, simple and complex, including financial services, consumer goods, energy, equine, healthcare, waste management, pharmaceutical, and technology. Regardless of the issues our clients face, success is our mission, and we bring a wealth of experience and dedication to our work.

Our Securities experience includes:

  • Capital raises in private placements and other exempt offerings
  • SEC registered public offerings of debt and equity securities
  • ’34 Act securities law compliance for public companies, including periodic reporting companies
  • Proxy solicitations
  • Stock as a consideration in acquisitions, both privately issued and publicly registered
  • Representation of issuers and investors in venture capital and angel financings
  • Registration rights agreements
  • Section 16 Reporting
  • Tender offers
  • Stock splits
  • Investment advisor registration and compliance

Our Corporate Governance experience includes:

  • Representation of start-ups from formation through initial capital raises
  • Preparation and negotiation of limited liability company agreements, stockholder agreements, other buy-sell agreements, and investor rights agreements
  • Negotiation of rights for preferred and minority investors
  • Advice to boards of directors on fiduciary duties and other governance obligations
  • Prosecution and defense of dissenters’ rights actions
  • Negotiation of employment agreements
  • Preparation of and advisement on the implementation of incentive compensation plans
  • Internal corporate investigations
  • Compliance with stock exchange rules
  • Cash-out mergers of minority owners
  • Subchapter S conversions
Contact one of our Securities Attorneys today.

We appreciate your interest in Stoll Keenon Ogden. If you are not a current client, do not include any confidential or secret information in your email. SKO may not have a duty or legal obligation to keep confidential any information that you provide to us (in person or electronically) until you become a client of the firm.

For your own protection, please do not send any information specific to your legal needs until you obtain approval from an SKO Attorney.

Explore Further: Related News

August 17, 2023
LOUISVILLE, KY. – Stoll Keenon Ogden PLLC (SKO) is pleased to announce that 11 of its attorneys have been named “Lawyer of the Year” in The Best Lawyers in America® 2024 edition. In addition to individual Best Lawyers’ recognitions, Best Lawyers® also awards a “Lawyer of the Year” accolade to individual lawyers who received the highest overall peer […]
May 6, 2020
May 6, 2020 By Allison Donovan Member, Stoll Keenon Ogden PLLC (859) 231-3098 Thomas E. Rutledge Member, Stoll Keenon Ogden PLLC (502) 560-4258 Generally speaking, every corporation is required to hold annual meetings of the shareholders to elect directors, and the board of directors then needs to meet to elect officers. The date […]
February 15, 2018
Published in University of Louisville Law Review Vol. 56:55 Kentucky did not see significant changes to its business entity laws in 2017, but it did see a series of changes that incrementally addressed existing ambiguities, provided additional clarity, and created additional capabilities. Specifically, one bill addressed a number of technical points across the range of […]