Overview

Clients from a variety of industries turn to Kevin for guidance and counsel on a broad range of matters pertaining to securities. He has extensive experience in public and private securities offerings, broker-dealer compliance (particularly regarding resales of restricted securities), and regulatory enforcement defense with the U.S. Securities Exchange Commission (SEC), Commodity Futures Trading Commission (CFTC), and state securities regulators.

His practice includes preparing offering documents for public and private financings, preparing ongoing disclosures to stockholders and the investment community, advising broker-dealers and investment advisors, and other related securities matters.

Kevin also advises companies on corporate and transactional matters including corporate governance, structuring complex mergers and acquisitions, and coordinating international business ventures with local legal counsel, accountants, and governmental authorities.

 

Additionally, Kevin provides guidance to clients on other matters important to their businesses, ranging from business planning, structuring, entity selection and formation, and contract preparation and review, to employment issues such as preparation of employment policies, manuals, and agreements. He is seasoned in integrating securities, corporate law, and financial reporting requirements.

Experience

  • Represented a home construction industry client in a $10 million private securities offering
  • Represented a publicly traded communications industry client in a $196 million share exchange
  • Successfully represented clients in a variety of industries in SEC and state securities regulatory investigations
  • Represented a motion picture company as Utah counsel in connection with financing of the film Wind River (2016)

Honors & Recognitions

  • Utah Legal Elite, 2006-2009, 2011-2016
  • Martindale-Hubbell® AV Preeminent Rated

Professional Activities

  • Member, Utah State Bar
    • Member, Securities and Business Law Sections, 2000-Present
    • Officer, Securities Section, 2009-2013

Education

Admission

Community Involvement

  • Member, Utah Career Service Review Board, 2000-2012
    • Chair, 2009-2012
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