Joseph D. Carney & Associates, LLC
Building Long-Term Relationships With Businesses And Investors

Joseph D. Carney

Joseph D. Carney

Managing Partner since 1987
Westlake, Ohio
(440) 249-0850
(866) 270-1221

Highly Experienced Attorney with a broad spectrum of legal expertise and extensive record of accomplishment of success in Securities, Corporate, Business, Real Estate Law and Agricultural law. Strengths include specialized knowledge of capital formation for issuers under all formats, private placements, all Rule 506 offerings; intrastate offerings; SEC Reg A offerings; registered public offerings (IPO, follow on, secondary) for any and all participants, issuers, officers, directors, major owners, broker dealers or other involved in raising capital; in addition handles issues for broker-dealers, investment managers, investment companies, mutual funds, insurance securities (variable life and variable annuities), investment advisers and securities matters concerning entrepreneurial ventures, venture capital, private equity, publicly held companies (going public, period reports, registration statements, going private, holdings reports, proxies, etc.) broker-dealers and underwriters, including registered and unregistered associated personnel, officers, and directors of these entities, tax exempt organizations including financing, prohibited transactions, formation and winding up of same. Additional qualifications include accounting investigations and related securities investigations and litigation, and insurance regulation and law particularly as to how insurance and insurance securities relate to securities registered personnel, formation of insurance agencies, licensing of personnel, life settlements, life settlements involving insurance securities, etc. Corporate Law skills in M & A, Financing Related Transactions. Non-Profits (Birth to Closure); Vineyard and Winery law and farm business law. Extensive Real Estate Skills as counsel and as owner, in the acquisition, development, construction, redevelopment, rehabilitation of real estate of multiple types. Proven analytical, communication, negotiation, and presentation skills. Extensive Investigation, Litigation, Mediation, Arbitration and Alternative Resolution Dispute Skills. Extensive experience in responding to examinations and investigations, on the record testimony, Wells Submissions, and proceeding brought by the SEC, FINRA, state securities authorities. Experience with FINRA, AAA arbitrations in Ohio and other states; litigation in courts in Ohio, state and federal (USDC NDOH; USDO SDOH) and other federal courts such as USDC SDNY(pro hac); USDC District of Nevada (pro hac); USDC Minnesota (pro hac), USDC EDMichigan (admitted).

Areas of Practice

  • Administrative Law
  • Agriculture Law
  • Business Organizations
  • Litigation & Appeals
  • Mergers, Acquisitions & Divestitures
  • Securities Law

Bar Admissions

  • Ohio, 1977
  • District of Columbia, 1980
  • U.S. District Court Northern District of Ohio, 1984
  • U.S. Court of Appeals 6th Circuit, 1984
  • U.S. Supreme Court, 1989
  • U.S. District Court Southern District of Ohio
  • U.S. District Court Eastern District of Michigan


  • Georgetown University Law Center, Washington, District of Columbia
    • LL.M.Sec., Master of Law(s) Securities Regulation - 1983
  • Case Western Reserve University Law School, Cleveland, Ohio
    • J.D. - 1977
  • Boston University, Boston, Massachusetts
    • M.S. - 1977
  • Boston University, Boston, Massachusetts
    • B.A. cum laude - 1974

Published Works

  • Crowdfunding, Where’s the Crowd When You Need One?, Cleveland Metropolitan Bar Association Journal, June, 2013


  • Cybersecurity and Tax Exempt Organizations, Prepared for NBI, Tax Exempt Organization , 2017 - Present
  • Presentations on Corporate Governance; Unrelated Business Taxable Income; Form 990 Compliance Points and Disclosure Considerations; Restructuring and Termination Exempt Organizations, Prepared for NBI, Tax Exempt Organizations , 2015 - Present
  • Top Mistakes Made During an Acquisition and How to Avoid Them, Outline for NBI Program, Akron, OH on Mergers & Acquisitions, 2015 - Present
  • Aspects of Commercial Real Estate Financing in Oho, Prepared for NBI or Lorman, Commercial Real Estate Financing Program, 2008 - Present
  • An Introduction to Exchanges and Essential Elements of a 1031 Transaction, for NBI or Lorman Program on 1031 Real Estate Tax Free Exchanges, 2005 - Present
  • Legislative Attention to a Definition of Insider Trading, Compilation of legislative resource materials compiled for the 17th Securities Law Institute, Cleveland Bar Association, 1988 - Present

Professional Associations and Memberships

  • Ohio Division of Securities, Licensing Advisory Committee, 1988 - Present
  • Ohio Division of Securities, Co-Chairman, Enforcement Advisory Committee, 1990 - 1992
  • American Bar Association, Member
  • Ohio State Bar Association, Member
  • Federal Bar Association, Past Executive Committee
  • Federal Bar Association, Past Director, Secretary, Deputy Chair and Chair
  • Cleveland Bar Association and Cleveland Metropolitan Bar Association , Chairperson, Vice Chairperson, Secretary and Treasurer, Section of Securities Law, repeating as Vice Chairperson and Chairperson of Securities Law Section (2008-2012), 1984 - Present

Past Employment Positions

  • U.S. Securities and Exchange Commission, Special Counsel
  • Calfree, Halter & Griswold, Cleveland, Partner

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