Samuel E. Whitley

Samuel E. Whitley

Attorney Profile

Top Rated Securities & Corporate Finance Attorney in Houston, TX

Whitley LLP Attorneys at Law
 | 11757 Katy Freeway, Suite 1300
Houston, TX 77079
Phone: 281-206-0432
Fax: 866-512-7794
Selected To Rising Stars: 2012 - 2016
Licensed Since: 2001
Practice Areas:
  • Securities & Corporate Finance (50%),
  • Business/Corporate (50%)
Languages Spoken:
  • English,
  • Spanish
    Attorney Profile

    Samuel E. Whitley is the corporate and securities law partner of Whitley LLP Attorneys at Law.

    Mr. Whitley represents public and private companies in securities offerings, securities compliance, corporate governance, and corporate transactions (including mergers and acquisitions, joint ventures, and restructurings). Mr. Whitley also serves as outside general counsel to several publicly traded companies. He also represents several private investment funds (venture capital, private equity, and hedge funds). As a result, he often works with senior management to create innovative solutions in a wide variety of business scenarios.

    Mr. Whitley routinely handles the following types of matters:

    • Preparation of registration statements filed with the United States Securities and Exchange Commission for initial public offerings (IPOs) and secondary securities offerings
    • Preparation of private offering memoranda for private securities offerings
    • Preparation of annual, quarterly, and current reports with the SEC
    • Preparation of proxy statements and information statements with the SEC
    • General securities law advice and compliance, including compliance with the Sarbanes-Oxley Act and Dodd-Frank Act
    • Corporate transactions and restructurings
    • Formation of private investment funds (hedge funds, private equity funds, and venture capital funds)
    • Negotiation of complex equity and debt financings
    • Recapitalization of private equity fund investments in portfolio companies
    • Advising fund advisers and investor groups on investment adviser registration, Investment Company Act compliance, and Advisers Act compliance
    • Advising sponsors of business development companies on Investment Company Act compliance and Advisers Act compliance
    • Advising boards of directors on corporate governance matters, such as buyouts (including management buyouts), establishment and ongoing management of subsidiaries, and executive retention and compensation matters
    • General counsel (review of operational and financing agreements, preparation of employment agreements, and managing internal and SEC investigations)

    Mr. Whitley has the expertise of a corporate finance specialist and the all-encompassing insight of a general counsel. As a result, he often serves as general counsel to his clients. In this role, he works with senior management to grow their businesses, manage negotiations and relations with investors, suppliers, and employees, and resolve business and legal issues. Mr. Whitley has worked with companies worldwide in the technology, energy, real estate development, manufacturing, financial services, and private equity industries.



    About Samuel Whitley

    Admitted: 2001, Texas

    Professional Webpage:


    • Won IBA Real Estate Section Scholarship for paper analyzing the securitization regimes of several countries., Scholar, Real Estate Section, International Bar Association, 2007

    Scholarly Lectures/Writings:

    • Delivered speech regarding newly proposed SEC regulations governing crowdfunding. , Keynote Speaker, Texas Crowdfunding & Social Media Conference, 2014
    • Author of chapter regarding going public in the eBook Straight From the Top: Lessons from Leading Corporate Lawyers., Author, Going Public: The Right Strategy For Your Company?, 2013
    • Educated businessmen in El Salvador regarding ways to enter the U.S. market (joint venture, distributorship, etc.) and legal issues to consider (intellectual property, litigation, securities laws, etc.)., Speaker, Taking Advantage of CAFTA: Doing Business in the United States, ANEP/International Commerce Associates, Inc., 2005
    • Co-author of article in Texas Lawyer regarding developments in banking law in 2002., Co-Author, More of the Same: Banking Law Developments in 2002, Banking, 2002


    Industry Groups

    • Energy
    • Financial Services
    • Manufacturing
    • Private Equity
    • Real Estate Development
    • Technology
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    Office Location for Samuel E. Whitley

    11757 Katy Freeway
    Suite 1300
    Houston, TX 77079

    Samuel E. Whitley:

    Last Updated: 12/27/2020

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