Meet Our Professionals

R. Douglas Harmon

Charlotte | 704.335.9020
Fax | 704.334.4706

Doug Harmon leads the firm’s Securities & Corporate Governance Group and its Public Company Growth & Compliance Group and co-leads the Governance, Risk & Compliance Group. With more than 30 years of experience, he represents domestic and international public and private entities in a full array of capital markets and finance, merger and acquisition, securities compliance, and corporate governance, risk, and compliance matters. The Compliance Certification Board has accredited him as an Certified Compliance & Ethics Professional (CCEP and CCEP-International)®.

Doug has worked with clients from a wide range of industries, including energy, financial services, manufacturing, retail, sports and entertainment, and technology.

He has been honored as one of Woodward/White’s The Best Lawyers in America in Securities Law since 2007 and is a member of the Energy Bar Association.

Representative Experience

  • Represented clients in all types of domestic and international capital market transactions, including high-yield, investment grade and convertible debt offerings, primary and secondary equity offerings, tender and exchange offers, acquisition financing, initial public offerings, and private placements.
  • Counseled clients on corporate finance transactions, including secured and unsecured credit facilities, commercial paper programs, debt and equity restructurings, stock repurchases, and special dividends.
  • Represented clients in mergers and acquisitions, joint ventures, spinoffs and venture capital, private equity investments, and other business combinations.
  • Advised clients on SEC and stock exchange reporting and disclosure obligations, and related compliance matters.
  • Counseled clients on all types of governance policies, procedures, and activities, including special board committee matters.
  • Developed and implemented ethics, risk, and compliance programs.
  • Implemented a $170 million at-the-market equity offering program.
  • Provided securities disclosure and compliance advice regarding the $4.5 billion merger of two public companies.
  • Led a $100 million sale of a manufacturing business to a private equity fund.
  • Led a public equity offering by a regulated entity that included a derivative forward sale component.
  • Completed a complex debt restructuring during the recent recession that included a Rule 144A/Regulation S private placement, registered exchange offer, tender offer redemption of existing debt, and bank credit facility amendment and restatement.
  • Advised the special committee of the board of directors of a distressed financial institution regarding its successful merger into another distressed financial institution.

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Honors & Awards

  • The Best Lawyers in America in Securities/Capital Markets Law, Mutual Funds Law, 2007-2021; Securities Regulation, 2011-2021
  • Martindale-Hubbell AV® Preeminent™ in Securities & Corporate Governance; Mergers; Acquisitions & Joint Ventures; Venture Capital & Emerging Companies; Corporate; Business Law; Enterprise Risk Management
  • Phi Beta Kappa