R. Douglas Harmon
R. Douglas Harmon

R. Douglas Harmon


“The personal and professional trust that exists with our clients enables us to serve as business advisors, rather than securities law technicians.”


Doug Harmon heads the Firm’s Securities & Corporate Governance Group. With more than 30 years of experience, he represents domestic and international public and private entities in a full array of securities and corporate governance matters. Mr. Harmon’s practice also includes executive compensation, risk management, mergers and acquisitions and general corporate matters. He has worked with clients from a wide range of industries, including energy, financial services, manufacturing, retail, sports and entertainment and technology.

Mr. Harmon has been honored as one of Woodward/White’s The Best Lawyers in America in Securities Law since 2007.

Experience Highlights

  • Advises organizations on the ever-changing corporate governance landscape in a manner that best suits their unique business goals and corporate culture
  • Counsels public company executives and directors regarding sensitive disclosure issues, including SEC compliance and reporting and shareholder interactions
  • Provides experienced, practical advice regarding all types of corporate financings, 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
  • Leads a variety of corporate transactions, such as mergers and acquisitions, joint ventures, spinoffs and venture capital and private equity investments
  • Assists with the development and implementation of ethics and compliance programs tailored to the particular business needs and risks of an organization

Representative Matters

  • 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
  • Advised a national financial institution on securities registration and compliance matters in connection with a series of more than ten consolidation acquisitions
  • Co-developed a proprietary road map to assist companies with the design and implementation of effective enterprise risk management policies and processes


  • Woodward/White's The Best Lawyers in America in Securities Law, 2007-2014; Mutual Funds Law, 2012-2014
  • Phi Beta Kappa


Author, Doug’s Note, a blog of the Securities & Corporate Governance Group, Parker Poe Adams & Bernstein, 2013-present



Author, Doug’s Note, a blog of the Securities & Corporate Governance Group, Parker Poe Adams & Bernstein, 2013-present

  • Charlotte


    Three Wells Fargo Center
    401 South Tryon Street
    Suite 3000
    Charlotte, NC 28202

    t 704.335.9020

    f 704.335.4485

Practices & Industries


  • Duke University
    JD, 1983
  • Tulane University
    BA, summa cum laude, 1980


  • North Carolina, 1983