Cabaniss, Johnston, Gardner, Dumas & O’Neal LLP
2001 Park Place North, Suite 700
Birmingham, Alabama 35203-4804

Telephone: 205-716-5255
Facsimile: 205-716-5389
Email: cld@cabaniss.com 

Initial contact with this attorney by email does not create an attorney-client relationship.

Areas of Practice:

Securities

Education:

J.D., Cumberland School
     of Law, 1978

M.M.E., University of
     Montevallo, 1975
 
B.M., University of
     Montevallo, 1971

Admitted to Practice:

Alabama State Bar (1978)
U.S. Court of Appeals, Fifth
     Circuit
U. S. Court of Appeals, Eleventh
     Circuit

Carolyn L. Duncan

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.