Kevin Timken Photo

Kevin C. Timken

Partner
Co-Leader, Securities & Capital Markets

Overview

Clients from a variety of industries turn to Kevin for guidance and counsel on a broad range of matters pertaining to securities, focusing on compliance with rules issued by the U.S. Securities and Exchange Commission (SEC), the Commodity Futures Trading Commission (CFTC), the Financial Industry Regulatory Authority (FINRA), the Municipal Securities Rulemaking Board (MSRB) and state securities regulators. He has extensive experience in public and private securities offerings, broker-dealer compliance (particularly regarding resales of restricted securities under Rule 144 and otherwise), and regulatory enforcement defense with the SEC, CFTC, FINRA, 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 environmental, social and governance (ESG) matters, 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, including business planning, structuring, entity selection and formation, and contract preparation and review. He is seasoned in integrating securities, corporate law, and financial reporting requirements.

Experience

  • Represented a public company providing financial market education and technology, in a financing transaction that included a $650,000 stock sale, $5 million equity line, and an S-1 registration statement for resale of all the securities declared effective by the SEC.
  • Represented the founders of a $20.0 million real estate investment fund.
  • 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, Securities Law, Utah Business magazine, 2006-2009, 2011-2016, 2018-Present
  • 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

Bar Admission

Community Involvement

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

Education

Bar Admission

Community Involvement

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