Carolyn L. Duncan - Cabaniss, Johnston, Gardner, Dumas & O

Carolyn L. Duncan

Listed in Best Lawyers since 2007

Carolyn Duncan’s practice is concentrated in securities issuance and compliance matters. Experienced in a wide variety of public and private securities work, she represents issuers, underwriters, and other parties in numerous facets of this area of law, including public and private offerings of securities, registration and continuous disclosure matters, proxy solicitations, tender offers, business combinations, restricted securities and transactions by corporate insiders. She represents securities broker-dealer firms, banks, mutual funds, fund managers and investment advisors in connection with state and federal securities law matters and NASD, NYSE, MSRB and other regulatory and self-regulatory organization compliance.

Ms. Duncan has served since 1991 as the Alabama State Liaison to the American Bar Association State Regulation of Securities Committee, and has been involved, either as the primary drafter or as a member of the Alabama Law Institute’s Securities Committees, in every significant revision to the Alabama Securities Act since 1978. She has been an elected member of the Alabama Law Institute since 1992. A member of the Alabama and Birmingham Bars, she is admitted to practice in the Fifth and Eleventh Circuits. She is also a frequent speaker and lecturer on securities law. Ms. Duncan was recently selected to Membership of the Alabama Law Institute to write and review legislative bills for the State of Alabama, for the term ending in 2016.

University of MontevalloUniversity of MontevalloCumberland School of Law of Samford UniversityJ.D. 1978

Client Comments

"Ms. Duncan has done the securities work for all of my companies since 1987. Since her move to Cabaniss Johnston, she has also provided legal services on financial structuring and general corporate and business matters. I find her level of expertise to be of the highest standard and value her advice on all matters related to business transactions."

-Edward Lasseter
PetroNova, LLC

Office Location

2001 Park Place North, Suite 700
P.O. Box 830612
Birmingham, AL 35283-0612
United States

Lawyer of the Year Awards

2017 Lawyer of the Year in Securities Regulation of the Birmingham Metro Area2016 Lawyer of the Year in Corporate Compliance Law of the Birmingham Metro Area2015 Lawyer of the Year in Securities / Capital Markets Law of the Birmingham Metro Area
Carolyn L. Duncan has earned a Lawyer of the Year award for 2017!Carolyn L. Duncan has earned a Lawyer of the Year award for 2016!Carolyn L. Duncan has earned a Lawyer of the Year award for 2015!

Practice Areas

Banking and Finance Law (Acquisition Finance, Corporate Governance, Finance, Investment, Investment Management, Joint Ventures, Mergers & Acquisitions, Private Equity, Regulatory, Securities)
Corporate Compliance Law
Financial Services Regulation Law
Securities / Capital Markets Law (Broker-Dealer, Capital Markets, Corporate, Disclosure, Enforcement, Mergers & Acquisitions, Private Equity, Regulatory)
Securities Regulation

Other Information

Gender: Female