Kevin Roggow

Member

Recent Publication:

SEC Finds 10b5-1 Trading Plan was Misused, Charges Tech Company Executives with Insider Trading [Alert]

The SEC found that tech company executives' 10b5-1 plan did not shield them from insider trading liability.

Kevin focuses his practice in the areas of capital markets and securities, compliance, and corporate governance. Kevin represents issuers and investment banks in a broad range of public and private capital markets transactions, including investment grade and high-yield debt offerings, equity offerings, acquisition financings, cross-border securities offerings, and liability management transactions. In addition, he advises companies on corporate governance, securities compliance, periodic and current filings with the Securities and Exchange Commission, annual meeting and proxy matters, investor relations, compliance with stock exchange listing standards, and general corporate matters.

Kevin has advised clients in a wide range of industries, including technology, financial services, consumer products, mining, oil and gas, media and telecommunications, energy, and general industrials.

From 2021 through 2022, Kevin was a director and assistant general counsel for a publicly traded company where he advised executive management and the board of directors on corporate governance, public reporting, stock exchange compliance, investor relations, stock administration, and other matters. Prior to that, Kevin was a counsel at an international law firm where he focused on capital markets transactions, corporate governance, mergers and acquisitions, and other corporate financing transactions.

Kevin earned his bachelor's degree, magna cum laude, from Syracuse University. Kevin earned his MBA from Syracuse University, Martin J. Whitman School of Management, and his law degree, magna cum laude, from Syracuse University, College of Law.

Experience

Publications

SEC Finds 10b5-1 Trading Plan was Misused, Charges Tech Company Executives with Insider Trading [Alert]

September 29, 2022

The SEC found that tech company executives' 10b5-1 plan did not shield them from insider trading liability.

Court of Appeals Hears Arguments in Nasdaq’s Board Diversity Rules Case

September 13, 2022

The Fifth Circuit Court of Appeals heard oral arguments in a case against the SEC seeking to invalidate Nasdaq’s board diversity rule.

SEC Adopts Pay vs. Performance Disclosure Rules [Alert]

August 30, 2022

The SEC recently adopted final disclosure rules implementing the pay vs. performance requirement of the Dodd-Frank Act for public companies.

Events & Seminars

Past Events

Listed Issuer Financing Exemption Information Session

November 08, 2022 - Vancouver, BC

Education

  • Syracuse University, J.D., magna cum laude, 2005
  • Syracuse University, M.B.A., 2005
  • Syracuse University, B.A., magna cum laude, 2001
  • New York