Overview

Corporate financing through private offerings triggers complex disclosure and reporting requirements and exposes both the corporation and its financiers to potential regulatory trouble or litigation. McBrayer provides comprehensive counsel and representation in corporate and securities law to protect clients at all stages of financing transactions.

Our law firm represents local, regional and national banks, private equity groups, and other financial service entities throughout Kentucky and surrounding states. We serve as general counsel to many financial institutions in banking, lending and finance law, and we are also retained specifically for our capabilities with capital raising, SEC registration, regulatory compliance and defense against claims.

SEC Compliance and Securities Litigation Lawyers

Our corporate and securities attorneys can advise on every aspect of underwriting and issuing bank securities and private offerings, including private placement of securities, private offerings of debt, asset-based securities transactions, commercial paper and other unsecured debt instruments, corporate debt restructurings, and securities matters relating to tender offers or mergers and acquisitions.

We extend advice and legal advocacy regarding:

• Structuring of equity and debt financing
• Securities registration and Regulation D exemptions
• Prohibited practices or conflicts of interest
• Compliance with specific federal and state regulations
• Representation in SEC investigations
• Defense against claims of fraud or misrepresentation in the offering of security or debt instruments

Our lawyers provide the due diligence and proactive recommendations at the front end of financing transactions to avoid undue scrutiny of regulators or prevent lawsuits from shareholders and investors. When disputes or investigations do arise, we can respond swiftly to put out those fires or position clients for an efficient and favorable resolution.

Kentucky Securities Law and Corporate Finance Attorneys

The McBrayer team is familiar with all types of securities at all phases of corporate growth and development, including seed money, angel investment, venture capital and mezzanine financing. Our attorneys are also well versed in the applicable laws and regulations to navigate clients to a timely and fully compliant closing.

With law offices in Lexington and Louisville and a government relations office in Frankfort, we serve banks and financial institutions throughout Kentucky and beyond.