Carolyn L. Duncan

Carolyn L. Duncan


Phelps Dunbar LLP

Recognized since 2007

Birmingham, Alabama

Practice Areas

Banking and Finance Law

Corporate Compliance Law

Corporate Law

Financial Services Regulation Law

Securities / Capital Markets Law

Securities Regulation

Lawyer of the Year Badge - 2023 - Securities Regulation
Lawyer of the Year Badge - 2023 - Securities Regulation Lawyer of the Year Badge - 2021 - Securities Regulation Lawyer of the Year Badge - 2017 - Securities Regulation Lawyer of the Year Badge - 2016 - Corporate Compliance Law Lawyer of the Year Badge - 2015 - Securities / Capital Markets Law
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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.

Location

  • 2001 Park Place North, Suite 700
    Birmingham, AL 35203

Education

  • University of Montevallo, MME, graduated 1975
  • University of Montevallo, BM, graduated 1971

Bar Admissions

  • Alabama, Alabama Bar Association

Phelps Dunbar LLP
Headquarters: New Orleans, Louisiana

158 The Best Lawyers in America® awards

43 Best Lawyers: Ones to Watch in America awards

Best Law Firms Badge Full Firm Profile

Lawyer of the Year Badge - 2023 - Securities Regulation Lawyer of the Year Badge - 2021 - Securities Regulation Lawyer of the Year Badge - 2017 - Securities Regulation Lawyer of the Year Badge - 2016 - Corporate Compliance Law Lawyer of the Year Badge - 2015 - Securities / Capital Markets Law

Named "Lawyer of the Year" by Best Lawyers® for:

  • Securities Regulation, Birmingham (2023)
  • Securities Regulation, Birmingham (2021)
  • Securities Regulation, Birmingham (2017)
  • Corporate Compliance Law, Birmingham (2016)
  • Securities / Capital Markets Law, Birmingham (2015)

Recognized in The Best Lawyers in America® 2023 for work in:

  • Financial Services Regulation Law
  • Banking and Finance Law
  • Corporate Compliance Law
  • Corporate Law
  • Securities / Capital Markets Law
  • Securities Regulation

Special Focus

  • Acquisition Finance
  • Broker-Dealer
  • Capital Markets
  • Corporate
  • Corporate Governance
  • Disclosure
  • Enforcement
  • Finance
  • Investment
  • Investment Management
  • Joint Ventures
  • Mergers & Acquisitions
  • Private Equity
  • Regulatory
  • Securities

"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)

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