Carolyn L. Duncan
Senior Partner
Public and private companies rely on Carolyn Duncan’s combination of experience and foresight to successfully help them raise capital, complete strategic transactions and comply with complex securities laws. When dealing with a merger or acquisition, Carolyn’s clients appreciate her focus on getting the deal done versus winning a deal point. She finds the transactions that succeed are the ones that are reasonable for both sides. This common-sense approach enables her to complete transactions more efficiently and with less disruption to business.
She brings a unique skill set to matters having worked early in her career as a regulator for the SEC and the Alabama Securities Commission. Carolyn’s experience includes:
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- Public and private securities offerings
- Ongoing disclosure counsel
- Proxy solicitations
- Tender offers
- Business combinations
- Restricted securities and transactions by corporate insiders
Experience
- Represented a series of private equity funds in securities regulatory compliance, including investment advisor registration.
- Successfully represented a regulated entity in an agency administrative proceeding that could have been catastrophic for the business and individuals involved.
- Guided board of directors of a financial institution in corporate governance and securities during pendency of a highly sensitive matter.
- Handled the securities and corporate governance matters involved in a sale by a private equity fund of a majority of the fund’s securities assets.
