Ken Caldwell

Ken Caldwell is an attorney and former Texas Certified Public Accountant with over 25 years of legal, SEC compliance and corporate accounting experience in both domestic and international positions. His prior business and legal experience includes over 8 years with a Fortune 50 oil, gas and chemical company, where he concentrated on and provided oversight to internal control evaluation and Foreign Corrupt Practice Act (“FCPA”) compliance for approximately 85 worldwide companies. Mr. Caldwell subsequently became a partner in a Nevada law firm where he practiced in the areas of corporate and securities litigation, trademark and copyright protection, business entity formation, intellectual property litigation, real estate litigation, gaming and tax law.

Before joining McDowell Rice Smith & Buchanan, Mr. Caldwell served as in-house General Counsel for a software and technology company based in Delaware that licensed software and provide software-as-a-service for use in the online lending industry in the United States and the United Kingdom. In his capacity as General Counsel, he was involved in domestic and international ecommerce, ACH processing, emerging payment technology, electronic payment processing, software licensing, SaaS Agreements, specialty credit reporting, online lead generation, international tax structures, and State, Federal and United Kingdom consumer finance regulations.  Mr. Caldwell also served as in-house General Counsel for a company with diversified interests as an ACH processor, multi-location international call center, and technology development group.

In addition to the above areas, Mr. Caldwell advises clients on state and federal consumer finance laws including Federal Trade Commission (“FTC”) and Consumer Financial Protection Bureau (“CFPB”) compliance issues. Mr. Caldwell is licensed to practice law in the States of Missouri, Colorado, Nevada and Tennessee.

Ken Caldwell currently has his own practice.


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