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Louis D. Kern

Associate

Louis Kern advises public and private companies, investment banks, and emerging businesses in a wide variety of capital markets transactions and regulatory matters including corporate governance, mergers and acquisitions, initial public offerings, general securities compliance, and public and private financings. His practice includes helping clients navigate complex mergers and acquisitions, joint ventures, equity and debt financings, and regulatory compliance, with a particular focus on small- to mid-cap companies, investment banks, and private equity. He also advises institutional investors and fund sponsors in connection with private fund formations.

Louis counsels clients on a range of securities law matters, including compliance with federal securities laws, national stock exchange regulations, FINRA rules, and other regulatory requirements applicable to public companies, broker-dealers, and other market participants. His experience includes supporting capital raising activities involving various types of equity and equity-linked securities such as common and preferred stock, warrants, and convertible notes, advising on securities-related aspects of corporate transactions, and assisting clients in developing and maintaining compliance frameworks in highly regulated environments.

Drawing on his background in financial and securities regulation, Louis provides practical, risk-informed guidance to help clients anticipate regulatory issues, respond to financial and compliance challenges, and navigate interactions with regulators.

Prior to joining Dykema, Louis served as counsel to financial institutions, where he advised on mergers and acquisitions, banking and commercial financing, and regulatory compliance matters. He also was an Associate Principal Examiner with the Financial Industry Regulatory Authority (FINRA), where he performed complex data analysis to identify broker-dealer regulatory risk and conducted examinations of FINRA member firms to assess compliance with securities laws and regulations. This experience gives him valuable insight to provide practical solutions to a wide array of financial market participants navigating the complicated securities regulatory framework.

    • University of Michigan, J.D., 2021
    • Loyola University Chicago, B.B.A., magna cum laude, 2013

  • Bar Admissions

    • Wisconsin

    • Centro Legal, Annual Gala Planning Committee

Contact

Milwaukee414-488-7300

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