James has substantial experience representing clients in public offerings, mergers and acquisitions, strategic corporate planning, private placements, periodic reporting by public companies, corporate governance, investment adviser compliance, and other matters in the general corporate law field. He has counseled the firmโs clients in a variety of industries, including health care, banking and finance, energy and natural resources, and food service. He serves as the firmโs Business Combinations and Capital Transactions Practice Group Leader. James has been a frequent speaker and author on securities law matters, corporate governance, and general corporate law issues.
Harvard Law School, J.D., 1985,ย cum laude
Harvard Environmental Law Review, Editor-in-Chief
Yale University, B.A., 1982,ย magna cum laude
Judicial Clerk to the Honorable Boyce F. Martin, Jr., U.S. Court of Appeals for the Sixth Circuit, 1985-1986
Chambers USA, Corporate/M&A, 2008-2023
The Best Lawyers in Americaยฎ: Banking and Finance Law, 2006-2024, “Lawyer of the Year,” 2015, 2024; Corporate Governance Law, 2015-2024,”Lawyer of the Year,” 2018, 2020; Corporate Law, 2010-2024,”Lawyer of the Year,” 2011, 2024; Securities/Capital Markets Law, 2009-2024, “Lawyer of the Year,” 2014, 2019, 2022; Securities Regulation, 2011-2024; Private Funds/Hedge Funds Law, 2017-2024
Selected for inclusion inย Kentucky Super Lawyersยฎ, 2007-2020, 2022
AVยฎ Rated,ย Martindale-Hubbellยฎ
American Bar Association
Kentucky Bar Association
Louisville Bar Association
Louisville Bar Association, former member Board of Directorsย andย Business Law Section, Chair
Louisville Bar Foundation, Past President
UK-CLE Planning Committee for Midwest/Midsouth Securities Law Conference
Greater Louisville Inc., Finance Committee, Board of Directors
City Council of Indian Hills, Member
Cabbage Patch Settlement House, Finance Committee
Yale Club of Kentucky
Highland Presbyterian Church Elder
February 1, 2024 | Publications
On January 24, 2024, the Securities and Exchange Commission (SEC) adopted final rules related to spe...
October 16, 2020 | Publications
The Securities and Exchange Commission (SEC) adopted final amendments to the definition of โaccred...
March 20, 2020 | Coronavirus Response Team
As proxy and annual shareholder meeting season come into full swing, public companies must be mindfu...
January 6, 2020 | Publications
Employers are required to annually report to the IRS all Incentive Stock Option (ISO) exercises and ...
August 30, 2018 | Publications
Equity compensation (including options to purchase stock or LLC units, restricted stock or units, an...