Kenneth Oh

Ken Oh is Counsel in Lucosky Brookman LLP’s Corporate & Securities Group.  Ken’s experience covers a broad range of transactional, corporate and securities matters for financial institutions, publicly-held companies, start-ups and growth stage companies, venture capitalists, investment funds, hedge funds, underwriters, broker-dealers, registered representatives, investment advisors, and entrepreneurs. 

Prior to joining the firm, he practiced as Counsel in the Business Law Group at Scarinci & Hollenbeck, LLC, where he was outside general counsel for over fourteen years in the drafting and negotiation of hundreds of commercial card lending contracts for a major international commercial cards lender with a Fortune 500 customer base, and also practiced as Senior Associate at a boutique securities and investment banking law firm, where he lead preparation of all SEC filings (10-Ks, 10-Qs, 8-Ks, proxy statements, information statements, registration statements, insider trading policies and 10b5-1 plans, Schedule 13D and 13G filings, and Forms 3, 4 and 5 beneficial ownership reports) for the firm’s reporting company clients. 

Ken has advised issuers in public offerings and private placements of equity and debt offering, including PIPE and equity line of credit financings, advised companies and investment professionals on regulatory, compliance and reporting requirements under federal and state securities laws and SRO rules, advised boards of directors on corporate governance matters, and advised clients on corporate transactions, including mergers and acquisitions, divestitures, tender and exchange offers, reverse mergers, and going public and private transactions.  Ken has also served as outside general counsel for technology, consumer product, and entertainment companies in a broad range of business matters, and has extensive experience in the negotiation and drafting of LLC operating agreements, partnership agreements, shareholder agreements, distribution and marketing agreements, licensing agreements, executive employment agreements, and equity incentive plans.  Ken also has litigation experience in business disputes, shareholder and employment matters, and securities arbitration. 

Ken received his J.D. from Fordham University School of Law, where he was a Notes and Articles Editor for the Fordham Intellectual Property, Media and Entertainment Law Journal, and his B.A. in Biology from Pomona College.  Ken is a member of the New York bar and is admitted to practice before the U.S. District Courts for the Southern District of New York and Eastern District of New York.  He is a co-author of "Securities Offerings," New York Practice Guide, Business and Commercial, Chapter 9, Matthew Bender & Co., 2006 (revision of "Public Offerings," New York Practice Guide, 1994), and "A Guide to Buying or Selling a New York Business" (Lorman Education Services, 2001).