Securities Lawyers for Kentucky

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Meet some of our Kentucky Securities Lawyers

DC L. - Securities Lawyer in Kentucky
View DC
5.0 (4)
Member Since:
May 20, 2026

DC L.

Managing Partner
Free Consultation
Nashville, Tennessee
5 Yrs Experience
Licensed in KY IN, TN
University of Louisville, Louis D. Brandeis School of Law

Darren Craig ("DC") Lamb is the Founder and Managing Partner of DCL Legal, AI, & Business Consulting, a Nashville-based law firm serving entrepreneurs, founders, and growing businesses as outside general counsel. Licensed in TN, KY, and IN, Darren previously served as lead associate at Wilson Elser (AmLaw 200), handling all litigation for a Fortune 500 e-commerce company across KY, IN, and TN, and managing complex coverage matters for a leading international insurance market. DCL Legal focuses on business litigation, commercial contracts, corporate governance, AI & technology advisory, and fractional general counsel engagements — delivering executive-level legal guidance without the cost of full-time in-house counsel.

Recent  ContractsCounsel Client  Review:
5.0

"I’m satisfied with the speediness and the attentiveness of my legal team. The documents were prepared in a timely manner. Very professional and left the door open for final review"

Garrett M. - Securities Lawyer in Kentucky
View Garrett
4.9 (10)
Member Since:
June 15, 2023

Garrett M.

Business Attorney
Free Consultation
Cincinnati, Ohio
6 Yrs Experience
Licensed in KY OH
University of Cincinnati College of Law

Attorney Garrett Mayleben's practice is focused on representing small businesses and the working people that make them profitable. He represents companies in structuring and negotiating merger, acquisition, and real estate transactions; guides emerging companies through the startup phase; and consults with business owners on corporate governance matters. Garrett also practices in employment law, copyright and trademark law, and civil litigation. Though industry agnostic, Garrett has particular experience representing medical, dental, veterinary, and chiropractic practices in various business transactions, transitions, and the structuring of related management service organizations (MSOs).

Recent  ContractsCounsel Client  Review:
4.7

"Though I found a few small mistakes that made me think he rushed a bit, he revised the agreement to be more in my favor. His expertise was well worth it."

Elisher W. - Securities Lawyer in Kentucky
View Elisher
4.2 (5)
Member Since:
May 6, 2025

Elisher W.

Attorney
Free Consultation
Newport, Kentucky
5 Yrs Experience
Licensed in KY OH
Northern Kentucky University, Salmon P. Chase College of Law

Attorney licensed in Kentucky and Ohio with four years experience in real estate transactional law (commercial and residential), litigation, construction law, and IP licensing. I have substantial experience in drafting and reviewing contracts as complex as billion dollar mining financing down to simple settlement agreements.

Recent  ContractsCounsel Client  Review:
4.7

"I appreciate all of Eli's help in reviewing my prenup and acting on my partner's behalf."

Nichole C. - Securities Lawyer in Kentucky
View Nichole
Member Since:
October 22, 2021

Nichole C.

Attorney
Kentucky
20 Yrs Experience
Licensed in KY
University of Louisville, Brandeis School of Law

Licensed attorney in KY and Federally JD, 2006 University of Louisville MBA, 2006 University of Louisville BS, 2001 Berea College Licensed Title Agent Arbitrator and Certified Mediator Business Consultant Adjunct Professor, Law and Business

Alexander C. - Securities Lawyer in Kentucky
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Member Since:
August 23, 2025

Alexander C.

CEO
Free Consultation
Tampa, Florida
6 Yrs Experience
Licensed in KY AZ, CT, DC, NY
The George Washington University Law School

I am a solo practitioner that runs my own legal practice. I am currently licensed in 16 states and I'm working to expand that reach.

Matt F. - Securities Lawyer in Kentucky
View Matt
Member Since:
October 14, 2026

Matt F.

Solo Practitioner
Free Consultation
Lexington, KY
26 Yrs Experience
Licensed in KY
University of Kentucky

Practicing attorney for over 26 years focusing on Landlord/tenant law, Probate/Estate Planning and Real Estate matters.

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Meet some of our other Securities Lawyers

Kevin A. - Securities Lawyer in Kentucky
View Kevin
5.0 (1)
Member Since:
April 11, 2024

Kevin A.

Senior Commercial Real Estate Attorney
Free Consultation
San Francisco Bay Area, California
21 Yrs Experience
Licensed in CA
University of California, Hastings College of the Law

With nearly 20 years’ experience as a seasoned commercial real estate attorney, I am highly proficient in property acquisitions, financing, sales and transfers (including renewable energy and telecommunications projects), commercial lease agreements (office, industrial, retail, and hospitality), construction and property management contracts, due diligence matters, title and survey analysis, strategic litigation oversight, and corporate and regulatory compliance (operating agreements, bylaws, shareholder agreements, NDAs, and indemnity agreements).

Recent  ContractsCounsel Client  Review:
5.0

"I hired Kevin to review a business lease and purchase agreement - he was extremely helpful and knowledgeable. 10/10, highly recommend!"

Steve H. - Securities Lawyer in Kentucky
View Steve
Member Since:
April 8, 2024

Steve H.

Managing Member
Free Consultation
Los Angeles, California
25 Yrs Experience
Licensed in CA
UC Hastings Collegue of the Law

Steve has 20+ years of IP and litigation experience, including 10+ years of experience at two of the most prestigious large U.S. law firms, Greenberg Traurig LLP, (AMLAW 10) and Sheppard Mullin LLP (AMLAW 100). Steve has been a licensed U.S. Patent and Trademark Office registered attorney and litigator since 2002. Steve’s extensive experience and interpersonal skills have given him the skills that allow him to provide his clients with the very best quality and service. Steve has successfully represented clients achieve their goals in a variety of IP, patent, trademark and trade secret disputes. He has successfully obtained many hundreds, if not over a thousand, valid and enforceable U.S. and international patents and trademarks applications for his clients over the years. As a result, he has strong, longstanding relationships with many of the Examiners at the USPTO and works with an international team of foreign associates to secure foreign rights and litigate abroad whenever needed. Many of Steve’s clients have been a client of Partners Law Group for 5+ years. More than a few have been clients for 15+ years. Steve prides himself on providing accurate results and efficiency-driven advice on complicated IP, litigation, and real estate matters in a clear and concise way; helping his clients make the best decisions possible when dealing with complex and sensitive legal matters. Steve has successfully negotiated hundreds of complicated licensing and pre-litigation IP, patent, trademark, business, real estate cases and matters for various clients large and small. Steve’s IP practice focuses on all aspects of intellectual property and covers various technical disciplines. He has extensive experience in medical devices, pharmaceuticals, internet or business methods and processes, broadband and 5G technologies, data acquisition, migration, monitoring and protection, piracy, nutritional supplements, sports and nutrition products, herbal products, pharmaceuticals, orthodontics, and surgical procedures and devices, health-related products to computer hardware and software, music, and mobile device applications, hardware and software, business methods, industrial machinery, mechanical devices to other technologies he understands and believes he can help the client achieve his or her goals.

Gordon F. - Securities Lawyer in Kentucky
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Member Since:
April 10, 2024

Gordon F.

Entertainment, Media and Intellectual Property business Affairs Counsel
Free Consultation
Los Angeles
34 Yrs Experience
Licensed in CA
Southwestern University School of Law

30+ Years counseling clients in entertainment, media and the arts and representing them in transactional, structural and strategic matters.

Eugene S. - Securities Lawyer in Kentucky
View Eugene
Member Since:
April 17, 2024

Eugene S.

Attoney
Free Consultation
Dublin, Ohio
20 Yrs Experience
Licensed in OH
University of Dayton

I have experience with the protection and monetization of intellectual property, negotiating license agreements that have earned several hundred thousand dollars in revenue, and I have negotiated multiple multi-million dollar agreements. Additionally, I have worked with various client to incorporate intellectual property strategies into their underlying business plans. I have been working remotely for over seven years and I have a home office dedicated to my work. I am available to travel to clients on an as needed basis. I enjoy working with clients in this manner because the costs are reduced, and I have the freedom to travel to my clients as needed.

Kelly C. - Securities Lawyer in Kentucky
View Kelly
Member Since:
April 11, 2024

Kelly C.

Attorney at Law
Free Consultation
Cleveland, OH
7 Yrs Experience
Licensed in OH
WMU Thomas M Cooley Law School

Hello! I'm an attorney who practices mainly landlord/tenant law (eviction, both plaintiff and defendant side); and criminal law (misdemeanor). I also work as appearance counsel to fill in at hearing when conflicts arise for other lawyers.

Song L. - Securities Lawyer in Kentucky
View Song
Member Since:
April 15, 2024

Song L.

Business and Real Estate Lawyer
Free Consultation
Minnesota
30 Yrs Experience
Licensed in MN
University of Minnesota Law School

In her professional life, Song Lo brings in a depth experience as general counsel to various companies and organizations in business and the real estate arena. Over the last 26 years, she has advised both companies and individuals in the areas of corporate investments, real estate development and contracts across multiple markets.Song has extensive experience in understanding how the law impacts companies wherever they might be in their age and stage. Important to investor and entrepreneur efforts, she has advised in the acquisition and transfer of shareholder stocks and assisted in the restructuring of private companies. Her specific areas of expertise are in corporate organization, mergers and acquisitions, employment, investments and real estate development. Specifically in real estate, Song participated in all aspects of development including pre-development and successfully gaining entitlements necessary for residential, senior housing and commercial projects. She holds experience both as legal counsel and as co-developer of real estate development projects. She was an owner and developer of senior cooperatives in Minnesota, with the LifeStyle Communities Group, promoting innovation and active living for all seniors. And, she brings all of this experience to the table at Raven Enterprise Group and RJP Development to enhance and support its services to consult and develop meaningful real estate development projects.

Securities Legal Questions and Answers

Securities

Revenue Sharing Agreement

California

Asked on Dec 2, 2021

How do you fund a restaurant?

I am looking for an attorney who can help me put together restaurant business proposal to funding to expand my restaurant branch.

Russell M.

Answered Dec 14, 2021

There is not a lot of detail here so I am going to assume you are not asking about how to get a small business loan, or you aren't interested or able to get SBA financing for what ever reason. If you have a successful restaurant concept, you might want to look into Regulation CF crowdfunding. I am aware of a number of food and beverage businesses that have leveraged their existing loyal and enthusiastic customer bases and a well executed financial and PR campaign to fund expansion sites.

Read 1 attorney answer>

Securities

Fundraising Contract

New York

Asked on May 25, 2025

Can I legally raise funds through cryptocurrency for my startup?

I am an entrepreneur looking to raise funds for my startup through an Initial Coin Offering (ICO), a form of cryptocurrency crowdfunding. However, I am unsure about the legal implications and regulations surrounding this method of fundraising. I want to ensure that I am in compliance with relevant laws and regulations to avoid any legal issues in the future.

John B.

Answered Jun 3, 2025

Raising funds through an ICO is legally possible —but only if you navigate securities laws, money‐transmission rules and (often) state “blue‐sky” requirements. Below is a roadmap to the U.S. legal framework you must consider; I’ve included statute citations and SEC guidance where relevant. 1. Determine Whether Your Token Is a “Security” Key Point: If your token meets the definition of an “investment contract” under U.S. law, it’s a security. Selling a security to U.S. investors without registration (or a valid exemption) violates the Securities Act of 1933 and the Securities Exchange Act of 1934. Conduct a “Howey analysis” for your token. Retain counsel to document why—factually and legally—you believe it’s not a security (if that’s your position). But be prepared that the SEC will likely view it as a security offering. 2. If It’s a Security, Register or Find an Exemption Choose the exemption that best fits (e.g., 506(c) if you have only accredited investors and want to market openly). File Form D for Reg D, or engage an SEC-registered crowdfunding portal for Reg CF, or go through Form 1-A for Reg A+. Each has different reporting burdens and limitations. 3. State (“Blue‐Sky”) Securities Laws Even if you rely on a federal exemption like Reg D Rule 506, most states impose their own registration or notice filings. For each state where you permit a sale, either file the required Form U-2 (for 506 offerings) or register/claim exemption. Most startups rely on the uniform notice procedure under 506 to simplify compliance. 4. Anti-Money Laundering (AML) / Know-Your-Customer (KYC) Rules Even if you structure your ICO as a non-security (which is rare), you must still comply with anti-money-laundering laws if your token is considered a “virtual currency” under FinCEN’s rules. If you accept USD (or other fiat) in exchange for tokens, register as an MSB with FinCEN, build out an AML compliance program, obtain state money-transmitter licenses where required (e.g., New York BitLicense), and integrate a robust KYC/AML vendor at token sale. I have been heavily involved in this space since 2017 - feel free to reach out John@BenemeritoLaw.com

Read 1 attorney answer>

Securities

LLC Operating Agreement

Texas

Asked on Aug 24, 2021

Can an LLC buy stocks for a fee?

I'm forming an LLC in order to manage some money investing in the stock market, (Friends and family only) I will be charging a percentage fee on the profits. Can an LLC be formed to invest in stocks and charge a performance fee? Thank you.

Forest H.

Answered Aug 25, 2021

Generally, if you are "advising others regarding investment decisions for compensation" you are regulated by the SEC as an investment advisor and subject to oversight and registration with the SEC. There are exemptions, for example, a "Family Office" is not required to register. However, all investors and owners in a Family Office must be actual family and friends would be excluded.

Read 1 attorney answer>

Securities

Private Placement Subscription Agreement

New York

Asked on Nov 10, 2024

Can you please explain the key provisions and considerations in a Private Placement Subscription Agreement?

I am in the process of investing in a private placement offering and have been asked to sign a Private Placement Subscription Agreement. While I understand that this agreement outlines the terms and conditions of my investment, I would like to have a better understanding of the key provisions and considerations that I should be aware of before signing. I want to ensure that I am fully informed about my rights, obligations, and any potential risks associated with this investment opportunity.

Danny J.

Answered Dec 26, 2024

Here are the top 5 most important provisions in a Private Placement Subscription Agreement: 1. Investment Details (number of shares/units, price, total amount) 2. Investor Representations and Warranties (accredited investor status, risk understanding, etc.) 3. Company Representations and Warranties (accuracy of information, compliance, etc.) 4. Transfer Restrictions (limitations on selling or transferring securities) 5. Use of Proceeds (how the company will use the invested funds) It's important to note that there are at least up to 12 key provisions to consider in a comprehensive Private Placement Subscription Agreement. In addition, each agreement can have unique terms that require careful consideration unique to the deal or industry it's for. The specific language used in these clauses can significantly impact your rights and obligations as an investor. Given the complexity of these agreements and the potential risks involved in private placements, it would be prudent to have a thorough legal review before signing. As an experienced securities attorney, I could: 1. Analyze the specific terms of your agreement 2. Explain how each provision may affect your investment 3. Identify any unusual or potentially unfavorable terms 4. Advise on negotiating more favorable conditions, if necessary 5. Ensure the agreement complies with relevant securities laws Would you like to discuss your specific Private Placement Subscription Agreement in more detail to ensure you're making a fully informed decision about this investment opportunity?

Read 1 attorney answer>

Securities

SAFE Note

New York

Asked on Mar 30, 2021

What is the difference between a SAFE Note and Convertible Note?

I am considering raising money and have been advised to look at these two instruments to raise money on.

Ramsey T.

Answered Mar 30, 2021

Both SAFES (Simple Agreements for Equity) and Convertible Notes "convert" into equity. The fundamental difference between the two is that SAFES have no built-in interest rate and have no "end date." Convertible Notes are debt so they have an interest rate and after a certain period of time (perhaps two years in most cases) they can be "cashed in" by the holder who can force the start-up to pay back the investor (principal plus interest). SAFES have become very accepted in the investing community at this time and I always recommend that a start-up issue SAFES (and conversely I always recommend that an investor get a convertible note).

Read 1 attorney answer>
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