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Meet Our Professionals

R. Douglas Harmon

Partner
Charlotte | 704.335.9020
Fax | 704.334.4706

Doug Harmon leads the firm’s Securities & Corporate Governance Group and its Governance, Risk & Compliance Group. Doug represents domestic and international public and private entities in a full array of capital markets and finance, securities compliance, commercial contract, merger and acquisition, and 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, life sciences, manufacturing, retail, sports and entertainment, and technology.

He has been honored as one of The Best Lawyers in America®  in securities law since 2007. 

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.
  • 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.
  • Organized and implemented commercial contract review and management programs for domestic and multinational clients. 
  • Developed and implemented ethics, risk, and compliance programs.
  • Represented clients in mergers and acquisitions, joint ventures, spinoffs and venture capital, private equity investments, and other business combinations.
  • 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 that included a derivative forward sale component.
  • Completed a complex debt restructuring 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