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Overview
AS A TRUSTED LEGAL ADVISOR TO CLIENTS FOR THEIR TRANSACTIONAL AND CORPORATE GOVERNANCE NEEDS, KEN STRIVES TO UNDERSTAND CLIENT GOALS AND APPLY REAL-WORLD BUSINESS EXPERIENCE TO CAPITAL MARKETS, M&A AND CORPORATE TRANSACTIONS AND REGULATORY COMPLIANCE.
Ken is a member of the firm's Capital Markets, Corporate and M&A practice groups. He is also a member of the Canadian Cross-Border practice and Cannabis practice groups. He has significant experience representing clients in a variety of industries, including the mining, cannabis, energy and natural resources, technology, e-commerce, telecommunications and food industries. His practice concentrates in the areas of corporate finance, securities regulation, mergers and acquisitions and general corporate law. Ken is a leading international corporate finance attorney, who represents companies, underwriters, agents and investors.
A major portion of his practice is devoted to counseling foreign companies and institutions with respect to public and private financings, registered offerings, at-the-market offerings, Regulation A offerings, securities exchange listings and securities law compliance issues, including preparation and review of periodic reports, as well as mergers and acquisitions, takeover defense and other related issues.
Ken co-authored the U.S. Emerging Company Guide to Listing on the Canadian Securities Exchange.
Ken is also the firm's principal contact for listings on the OTCQX and OTCQB.
Education & Admissions
Seattle University School of Law (J.D., 1997), cum laude
Regent Scholar
University of Colorado at Denver (M.S., Marketing, 1993)
University of Colorado at Denver (B.S., Business Administration, 1991), magna cum laude
Admissions
- Colorado
- Washington
- Foreign Legal Consultant – Law Society of Upper Canada
Experience
Client Achievements
- BMO Capital Markets secures key funding for gold mining company
- Golden Queen Mining completes key financing
- Vista Gold equity offering provides funds to advance its Australian gold project
- Eldorado Gold buys European Goldfields to create premier gold producer
- Endeavour Silver funds growth projects through equity offering
- Nevada Copper closes $20 million bridge loan facility
- Golden Queen Mining forms joint venture to develop and operate the Soledad Mountain project
- SilverCrest Metals acquired in strategic transaction to enhance growth potential
Representative Experience
Capital Markets Experience
Mining Representations
- Eldorado Gold Corporation (NYSE;TSX): Dorsey serves as United States legal counsel to Eldorado Gold Corporation, a Canadian precious metals producer headquartered in Vancouver, BC. Eldorado Gold is a Canadian low-cost gold producer with over 20 years of experience building and operating gold mines in Europe, Asia and South America. Dorsey represented Eldorado Gold in connection with its public company registration with the United States Securities and Exchange Commission and listing on the American Stock Exchange (now, NYSE-American) in 2003, and subsequent graduation to the NYSE in 2009.
- Endeavour Silver Corp. (NYSE;TSX): Dorsey serves as United States legal counsel to Endearvour Silver Corp., a premier mid-tier silver mining company focused on the growth of its silver production, reserves and resources in Mexico. Dorsey represented Endeavour in connection with its public company registration with the United States Securities and Exchange Commission and listing on the American Stock Exchange (now, NYSE-American) in 2007, and subsequent graduation to the NYSE in 2011.
- Vista Gold Corp. (NYSE-American; TSX): Dorsey serves as United States legal counsel to Vista Gold Corp., a gold project developer headquartered in Denver, Colorado. Vista Gold’s principal asset is its flagship Mt Todd gold project in Northern Territory, Australia. Dorsey represents Vista Gold in connection with its public company filings with the United States Securities and Exchange Commission.
- Alexco Resource Corp. (NYSE-American; TSX): Dorsey serves as United States legal counsel to Alexco Resource Corp., a Canadian exploration and development company headquartered in Vancouver, BC. Dorsey represented Alexco in connection with its public company registration with the United States Securities and Exchange Commission and listing on the American Stock Exchange (now, NYSE-American).
- Entrée Gold Inc. (TSX; OTCQB): Dorsey serves as United States legal counsel to Entrée Gold Inc., a Vancouver-based mineral resource company focused on the exploration, development and acquisition of base metal projects. Dorsey represented Entrée Gold in connection with its public company registration with the United States Securities and Exchange Commission and listing on the American Stock Exchange (now, NYSE-American). In addition, Dorsey reprsented Entrée Gold in connection with the spin-off of Mason Resources Corp., which was acquired by Hudbay Minerals.
- Timberline Resources Corp. (OTCQB): Dorsey serves as legal counsel to Timberline Resources Corp., a gold exploration and development company focused in Nevada. Dorsey represented Timberline in connection with its public company registration with the United States Securities and Exchange Commission and listing on the OTCQB.
- Corvus Gold Inc. (TSX; OTCQX): Dorsey serves as legal counsel to Corvus Gold Inc., a leading exploration and development company with the ultimate goal of becoming a non-operating gold producer with significant carried interest and royalty exposure. Dorsey assisted Corvus in connection with its registration with the United States Securities and Exchange Commission and listing on the OTCQX.
- SilverCrest Metals Inc. (NYSE-American; TSX): Dorsey serves as United States legal counsel to SilverCrest Metals Inc. Dorsey represented Silvercrest in connection with its public company registration with the United States Securities and Exchange Commission and listing on the NYSE-American.
- Contact Gold Corp. (TSXV): Dorsey serves as United States legal counsel to Contact Gold Corp.
- Oncolytics Biotech, Inc. (TSX; OTCQB): Dorsey serves as United States legal counsel to Oncolytics Biotech, Inc., a clinical-stage oncology company focused on the development of oncolytic viruses for use as cancer therapeutics in some of the most prevalent forms of the disease. Dorsey represented Oncolytics in connection with its public company registration with the United States Securities and Exchange Commission and listing on NASDAQ.
Cannabis Representations
- DionyMed Brands Inc. (CSE): Dorsey serves as United States counsel to DionyMed Brands Inc. Dorsey assisted DionyMed in connection with its “go public” transaction on the Canadian Securities Exchange.
- TILT Holdings (CSE): Dorsey served as United States counsel to Sante Veritas Holdings in connection with its business combination that formed TILT Holdings and listing on the Canadian Securities Exchange. Dorsey represented TILT Holdings in connection with its listing on the OTCQX.
- Green Peak Innovations (CSE): Dorsey advised Green Peak Innovations on United States securities and tax law matters in connection with its “go public” transaction on the Canadian Securities Exchange.
- Plus Products (CSE): Dorsey advised Plus Products on United States securities and tax law matters in connection with its “go public” transaction on the Canadian Securities Exchange.
- C21 Investments (CSE): Dorsey advises C21 Investments on United States securities and tax law matters in connection.
- Vibe Bioscience (CSE): Dorsey advised Vibe Biosciences on United States securities and tax law matters in connection with its “go public” transaction on the Canadian Securities Exchange.
- Canadian Securities Exchange: Dorsey authored the U.S. Emerging Company Guide to Listing on the Canadian Securities Exchange.
Mergers and Acquisitions
- Sante Veritas Holdings. Counsel to Sante Veritas Holdings in connection with its business combination that formed TILT Holdings and listing on the Canadian Securities Exchange in 2018.
- Green Peak Innovations (CSE): Dorsey advised Green Peak Innovations on United States securities and tax law matters in connection with its reverse take-over “go public” transaction on the Canadian Securities Exchange in 2019.
- DionyMed Brands Inc. (CSE): Dorsey advised DionyMed Brands Inc. in connection with its reverse take-over “go public” transaction on the Canadian Securities Exchange in 2018.
- Vibe Bioscience (CSE): Dorsey advised Vibe Biosciences on United States securities and tax law matters in connection with its reverse take over “go public” transaction on the Canadian Securities Exchange in 2019.
- Mason Resources. Counsel to Mason Resources in connection with acquisition by Hudbay Minerals in 2018.
- Exeter Resources. Counsel to Exeter Resources in connection with acquisition by Goldcorp in 2017.
- SilverCrest Mines Inc. Counsel to SilverCrest Mines Inc. in connection with acquisition by First Majestic Resource Corp. in 2015.
- JDL Gold Corp.: Counsel to JDL Gold Corp. (formerly known as Lowell Copper Ltd.) in connection with business combination by the Lowell, Anthem United Inc. and Gold Mountain Mining Corporation to create JDL Gold Corp., a new diversified gold and copper production and development company in 2016.
News & Resources
Articles
December 12, 2017
December 2017
November 28, 2017
April 18, 2017
April 17, 2017
June 26, 2015
September 10, 2013
December 14, 2011
“OTCQX Listing Guide for Canadian Issuers” (co-authors, Kenneth Sam, Christopher Doerksen and Jason Brenkert) published by OTC Markets
October 2010
"Cross Border Legal and Tax Considerations for U.S. Issuers" published by TMX Group
2009
Summer 2008
Spring 2008
News & Press Mentions
October 3, 2019
July 29, 2019
April 25, 2019
August 15, 2018
June 20, 2018
May 7, 2018
March 26, 2018
August 22, 2017
August 15, 2017
May 30, 2017
March 16, 2017
August 22, 2016
August 15, 2016
April 18, 2016
March 14, 2016
January 28, 2016
Select Presentations
- 2018 Corporate Finance Training, NASAA (2018)
- U.S. Cannabis Companies Going Public in Canada, Canadian Bar Association (2018)
- 2017 CSE Investor Luncheon: Raising Capital in the US using Reg A+ (March 2017)
- 2017 SME Annual Conference & Expo and CMA 119th National Western Mining Conference - Finally, A Modern Industry Guide 7: The SEC Proposes New Property Disclosure Requirements for Mining Registrants (March 2017)
- 2016 Take Stock - Alberta: Regulation A+ Seminar (November 2016)
- Webinar Playback: Regulation A+: New Financing Opportunities for the U.S. Markets (June 2015)
- Regulation A+: New Financing Opportunities for the Canadian Markets (May 2015)
- Fundamentals of U.S. Securities Law: What Canadian Lawyers Need to Know, Osgoode Hall Law School of York University (March 2015)
- OTCQX Listing Workshop for Canadian Issuers Webinar (2014)
- Mining in Difficult Markets Webinar (2013)
- JOBS Act What You Need to Know Now Seminar in Toronto (May 2012)
- OTCQX Listing Workshop for Canadian Issuers in Toronto (February 2011); Vancouver (May 2011); Montreal (June 2011); Calgary (November 2011)
- Reverse Merger Conference Speaker – RTO Public Transactions in Canada (Toronto) (June 2010)
- TMX Group in-house Legal and Listing Presentation (June 2010)
- 2009 TSX Group U.S. Road Show (Los Angeles, Phoenix)
- Toronto Stock Exchange and TSX Venture Exchange Minneapolis Road Show (November 2009)
- TSX Going Public Webinar – TSX Group (May 2009)
- Raising Capital in Uncertain Times – TiE Rockies (January 2009)
- 2008 TSX Group U.S. Road Show, Panel Participant (Denver, Houston, Phoenix)
- Global IPO Trends, PLI – Bowne Securities Law Update – Denver, CO (October 2007)
- 2007 TSX Group U.S. Road Show, Panel Participant (Denver – June 2007; Phoenix – October 2007; Chicago – November 2007)
- American Stock Exchange Listing and Continued Listing Compliance, Dorsey & Whitney LLP and AMEX Vancouver, BC (June 2007)
- U.S. Securities Law Compliance for Foreign Broker-Dealers, Dorsey & Whitney LLP Vancouver, BC (June 2007)
- Art of the Deal, Silicon-Flat Irons panel participant (April 2007)
- Power of Angel Investing, Colorado Office of Economic Development and International Trade (January 2007)
- Panel Moderator – Intellectual Property Due Diligence, BioWest 2006 (August 2006)
- BioWest 2006 Conference (August 2006)
- Raising Money Legally, Rockies Venture Club – 18th Annual Colorado Capital Conference (June 2006)
- U.S. Securities Laws Going Public Workshop for Foreign Issuers, Alberta Institute of Chartered Accountants (March 2006)
- Listing on the American Stock Exchange, Dorsey & Whitney LLP and AMEX Vancouver Presentation (October 2005)
- Overview of U.S. Securities Laws, Institute of Chartered Accountants British Columbia (February 2005)
- Going Public in the United States, Alberta Institute of Chartered Accountants (February 2005)
- Employment Matters for Public Companies, Dorsey & Whitney LLP (March 2005)
- Mergers & Acquisitions: Leading Players – Leading Deals (April 2005)
Industries & Practices
Blockchain & Digital Assets
Explore This Practice View client achievements related to this practice View resources related to this practiceCorporate Governance & Compliance
Explore This Practice View client achievements related to this practice View resources related to this practiceEnergy & Natural Resources
Explore This Practice View client achievements related to this practice View resources related to this practice- Blockchain & Digital Assets
- Canada
- Cannabis
- Capital Markets
- Corporate Governance & Compliance
- Energy & Natural Resources
- Mergers & Acquisitions
- Mining
- Oil & Gas
- Technology Commerce
Professional & Civic
Professional Achievements
- Washington State Bar Association Member, Business and Corporate Law Sections
- Washington Asian Bar Association
- Colorado Bar Association
Community Involvement
- Asian Pacific American Bar Association Colorado: Board Member (2008, 2009)
- Organization of Chinese Americans, Washington Chapter: Board Member, Secretary and Corporate and Finance Committee Chair (2004, 2005)
Accolades
- Listed in Best Lawyers in America©, 2013-2020
- Listed as a Colorado Super Lawyer, 2012-2018
- Listed in Best Lawyers in Canada, 2016-2018 and 2020
- IFLR1000 Highly Regarded – State, 2019
- Recognized by Global Law Experts as “Corporate Finance Law Firm of the Year in Canada – 2016”
- Recognized as Leading Corporate and M&A Advisor by Chambers USA (2009-2010 and 2017-2019)
- Washington Law & Politics - Rising Star, 2006
