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Employee Ownership for Attorneys: Legal Strategies and Structures 1 Credit 1 Credit

Jul 15, 2025, 02:30 PM EDT

Employee Ownership for Attorneys: Legal Strategies and Structures 1 Credit 1 Credit

  • Published on

    December, 1969

  • Subject Area

    Specialized Knowledge

Learning mode

Live Webinar
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Jul 15, 2025, 02:30 PM EDT

Learning Objectives

  • Discuss the background and legal considerations for EO transitions.
  • Identify the main forms of broad-based employee ownership structures.
  • Analyze strengths and challenges across different EO models.
  • Explain ESOP governance and administrative requirements.
  • Differentiate transition strategies based on client-specific goals.

Course Overview

Employee ownership is rapidly becoming a powerful tool in business succession planning—especially with a wave of baby boomer business owners preparing to exit. But how can attorneys support these transitions while preserving client legacies and ensuring legal compliance? This CPE course is designed to help legal professionals navigate the rising demand for employee ownership (EO) solutions, equipping them to become trusted advisors in these high-impact deals.

Attorneys will explore the legal, financial, and strategic frameworks behind EO models like Employee Stock Ownership Plans (ESOPs), Worker Cooperatives, and Employee Ownership Trusts (EOTs). They’ll examine real-world scenarios, analyze governance structures, and consider post-sale responsibilities to help clients maximize value, protect mission, and maintain continuity. From regulatory nuances to tax deferral strategies like Section 1042, this module offers a deep dive into the core legal tools required in EO transitions.

Major Topics:

  • Structuring Employee Ownership Plans
  • Legal Highlights and Risks
  • Governance and Fiduciary Duties
  • Tax Deferral Opportunities
  • Post-Sale Compliance Strategies

By the end of this CPE course, attorneys will be better equipped to support succession-focused clients with strategic and practical EO solutions that preserve value and mission for the long term.

On Demand Credits for All Qualifications

Live Webinar Credits for All Qualifications

License details Credits Status
Specialized Knowledge for Certified Public Accountants (CPA-US) 1 CPE Approved
HR Business for Professional in Human Resources (PHR) (Approval No. 711339) (Valid upto : Nov 30, 2025) 1 RCH Approved
HR Business for Senior Professional in Human Resources (SPHR) (Approval No. 711339) (Valid upto : Nov 30, 2025) 1 RCH Approved
Specialized Knowledge for Delaware Licensed Public Accountant (DE-LPA) 1 CPE Eligible
Business Acumen for SHRM-Certified Professional (SHRM-CP) (Approval No. 26-KJHTW) (Valid upto : Dec 31, 2026) 1 PDC Approved
HR Business for Associate Professional in Human Resources - International (aPHRi) (Approval No. 711339) (Valid upto : Nov 30, 2025) 1 RCH Approved
HR Business for Senior Professional in Human Resources - International (SPHRi) (Approval No. 711339) (Valid upto : Nov 30, 2025) 1 RCH Approved
HR Business for Professional in Human Resources - International (PHRi) (Approval No. 711339) (Valid upto : Nov 30, 2025) 1 RCH Approved
HR Business for Global Professional in Human Resources (GPHR) (Approval No. 711339) (Valid upto : Nov 30, 2025) 1 RCH Approved
Business Acumen for SHRM-Senior Certified Professional (SHRM-SCP) (Approval No. 26-KJHTW) (Valid upto : Dec 31, 2026) 1 PDC Approved
Specialized Knowledge for Iowa Licensed Public Accountant (IA-LPA) 1 CPE Eligible
Specialized Knowledge for Maine Licensed Public Accountant (ME-LPA) 1 CPE Eligible
HR Business for Associate Professional in Human Resources (aPHR) (Approval No. 711339) (Valid upto : Nov 30, 2025) 1 RCH Approved
HR Business for Professional in Human Resources - California (PHRca) (Approval No. 711339) (Valid upto : Nov 30, 2025) 1 RCH Approved
License details Credits Status
Specialized Knowledge for Certified Public Accountants (CPA-US) 1 CPE Approved
HR Business for Professional in Human Resources (PHR) (Approval No. 711339) (Valid upto : Nov 30, 2025) 1 RCH Approved
HR Business for Senior Professional in Human Resources (SPHR) (Approval No. 711339) (Valid upto : Nov 30, 2025) 1 RCH Approved
Specialized Knowledge for Delaware Licensed Public Accountant (DE-LPA) 1 CPE Eligible
Business Acumen for SHRM-Certified Professional (SHRM-CP) (Approval No. 26-KJHTW) (Valid upto : Dec 31, 2026) 1 PDC Approved
HR Business for Associate Professional in Human Resources - International (aPHRi) (Approval No. 711339) (Valid upto : Nov 30, 2025) 1 RCH Approved
HR Business for Senior Professional in Human Resources - International (SPHRi) (Approval No. 711339) (Valid upto : Nov 30, 2025) 1 RCH Approved
HR Business for Professional in Human Resources - International (PHRi) (Approval No. 711339) (Valid upto : Nov 30, 2025) 1 RCH Approved
HR Business for Global Professional in Human Resources (GPHR) (Approval No. 711339) (Valid upto : Nov 30, 2025) 1 RCH Approved
Business Acumen for SHRM-Senior Certified Professional (SHRM-SCP) (Approval No. 26-KJHTW) (Valid upto : Dec 31, 2026) 1 PDC Approved
Specialized Knowledge for Iowa Licensed Public Accountant (IA-LPA) 1 CPE Eligible
Specialized Knowledge for Maine Licensed Public Accountant (ME-LPA) 1 CPE Eligible
HR Business for Associate Professional in Human Resources (aPHR) (Approval No. 711339) (Valid upto : Nov 30, 2025) 1 RCH Approved
HR Business for Professional in Human Resources - California (PHRca) (Approval No. 711339) (Valid upto : Nov 30, 2025) 1 RCH Approved

Additional Information

Credit

1

Course Level

Basic

Instructional Method

QAS Self Study

Group Internet Based

Pre-requisites

None

Advance Preparation

None

NASBA APPROVED

MY-CPE LLC, 1600 Highway 6 south, suite 250, sugar land, TX, 77478

MY-CPE LLC is registered with the National Association of State Boards of Accountancy (NASBA) as a sponsor of continuing professional education on the National Registry of CPE Sponsors. State boards of accountancy have final authority on the acceptance of individual courses for CPE credit. Complaints regarding registered sponsors may be submitted to the National Registry of CPE Sponsors through its website: www.nasbaregistry.com.

HRCI APPROVED

MY-CPE LLC, 1600 Highway 6 south, suite 250, sugar land, TX, 77478

MY-CPE LLC is approved by the HR Certification Institute (HRCI) (Provider Number – 714694) to offer Recertification Credit Hours for the HRCI Certification Program, including aPHR, PHR, SPHR, GPHR, PHRca, PHRi, SPHRi, and aPHRi. For more information about HRCI certification or recertification, please visit www.hrci.org.

SHRM APPROVED

MY-CPE LLC, 1600 Highway 6 south, suite 250, sugar land, TX, 77478

MY-CPE LLC, is approved (Provider Number – RP5359)  by the Society for Human Resource Management (SHRM) to offer Professional Development Credits (PDCs) for the SHRM Certification Program (SHRM-CP or SHRM-SCP). For more information about SHRM certification or recertification, please visit www.shrmcertification.org.

About Instructor

Brett Heeger

Brett Heeger

Partner, Gundzik Gundzik Heeger LLP

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Brett Heeger focuses on transactional corporate and securities matters with a passion for community economic development and social enterprise. He supports a wide range of client companies, leveraging legal tools to support all of their goals: from profit and growth, to impact and inclusion. Brett’s clients come from a range of industries, from food and tech, to real estate, consulting, and financial services.

Brett has substantial experience leading clients through the process of planning for and bringing investment into their companies. From designing and managing friends and family rounds, direct public offerings (DPOs), navigating Regulation A+ and public company compliance, to negotiating venture investments and exit opportunities, Brett prides himself on his ability to work with clients to find the right investment tools and opportunities to position their business for success.

Brett also leads the firm's social enterprise and worker-owned cooperative efforts in Southern California. He has represented multiple cooperatives and members, and regularly presents and advises on legal matters for new and existing co-ops and social-impact minded businesses in Los Angeles. In law school, he co-founded the Community Enterprise Project, a clinical program where students engage in transactional law projects in support of under-served communities across Boston. From 2012 – 2014, Brett led projects and case teams in areas such as not-for-profit organization governance, food truck permitting and development, and urban agriculture.

Brett lives in Los Angeles with his partner, their three children, and their mostly good dog.

Alexandra Devendra

Alexandra Devendra

Owner/Attorney, Aligned Law | Certified B Corp

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As founder of Aligned Law in Portland, I provide strategic legal counsel to purpose-driven companies across California, Oregon, and Washington, focusing on lower middle market businesses with revenues from $5 to $50 million. My heart-centered, tailored approach supports enterprises committed to both financial success and positive social impact, including cooperatives, benefit corporations, and mission-driven organizations.


At Aligned Law, I partner with businesses ready to scale, offering expert guidance to manage growth, ensure compliance, and safeguard your vision. If you seek a legal advisor who shares your values and is dedicated to your success, let’s connect to achieve your goals together.

Stacey Smith

Stacey Smith

Vice President (VP), Project Equity

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Stacey has spent most of her career helping businesses examine their impact and aligning it with their values. She started as a CPA with Arthur Andersen, then moved into strategy and organizational development. Seeking to devote her financial expertise to social and environmental issues, she was an early mover in the field of sustainability and corporate responsibility in the US. She joined Business for Social Responsibility in 2001 to build their business consulting practice and spent the next decade guiding Fortune 500 companies to address their negative impacts. Recently, Stacey began consulting to nonprofits and foundations to strengthen their strategy, management, and governance practices. Through her work with the Public Equity Group and her own independent practice, she explored the structural barriers to wealth and other drivers of generational poverty. 

At Project Equity she is helping grow our team of professionals to accelerate the adoption of employee ownership as a key to building wealth and high-quality careers in communities. In addition to having been a licensed CPA, Stacey has a degree in Business Administration from the University of Vermont and has done coursework in International Business Studies at the University of Copenhagen. When she is not working, you can find her hiking the Bay Area hills, indulging in the restaurant scene, and playing with her family.

On Demand FAQs

What is Self Study (QAS)?

Self Study QAS (Quality Assurance Service) is a NASBA and other regulatory bodies approved program designed for Professionals to complete their Continuing Professional Education credits through self-paced, interactive courses that meet the highest standards of quality and compliance. We are approved by NASBA, IRS, CFP Board, HRCI, SHRM, Payroll Org, FP Canada, and 25+ other regulatory bodies.

How do I earn CPE credits through self-study?

To earn CPE credits, you must complete the self-study course, pass the required assessments, and submit the necessary documentation. Credits are awarded based on the completion of course hours and successfully passing the assessments.

Are the self-study courses approved by NASBA and other regulatory bodies?

Yes, all our self-study courses are approved by NASBA, IRS, CFP Board, HRCI, SHRM, Payroll Org, FP Canada, and 25+ other regulatory bodies, ensuring they meet the rigorous standards for quality and educational content set by these organizations.

What are the requirements to maintain compliance with self-study courses?

To maintain compliance, you must follow the guidelines set by NASBA and other regulatory bodies, which include completing the course within the specified timeframe, passing the assessments, and keeping accurate records of your learning activities.

How can I access my course completion certificates?

After successfully completing a self-study course and passing the assessments, you can access and download your course completion certificates from your account dashboard on our platform. These certificates are recognized by NASBA, IRS, CFP Board, HRCI, SHRM, Payroll Org, FP Canada, and 25+ other regulatory bodies for compliance and reporting purposes.

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We issue instant credit certificates, ensuring they are valid for presentation to governing bodies. Typically, we report IRS, CTEC, CFP, IDFP, IWI, VBOA Ethics credits within 7 days – the fastest in the industry.

Live Webinar FAQs

What is a Live Webinar Group Internet-Based Credit?

A Live Webinar Group Internet-Based Credit is an interactive, real-time online seminar where professionals can earn Continuing Education credits by participating in live sessions led by experts in various fields. These sessions meet the standards set by NASBA, IRS, CFP Board, HRCI, SHRM, Payroll Org, FP Canada, and 25+ other regulatory bodies.

How do I earn credits through live webinars?

To earn credits, you must attend the entire live webinar, actively participate in any polls or questions, and complete any required evaluations or assessments. Credits are awarded based on your attendance and participation in the live session.

Are the live webinars approved by NASBA and other regulatory bodies?

Yes, all our live webinars are approved by NASBA, IRS, CFP Board, HRCI, SHRM, Payroll Org, FP Canada, and 25+ other regulatory bodies, ensuring they meet the high standards for quality, interactivity, and educational content set by these organizations.

What are the requirements to maintain compliance with live webinar courses?

To maintain compliance, you must adhere to the guidelines set by NASBA and other regulatory bodies, which include attending the full duration of the webinar, participating in interactive elements, and completing any post-webinar evaluations or assessments.

How can I access my webinar completion certificates?

After successfully attending a live webinar and fulfilling all participation requirements, you can access and download your completion certificates from your account dashboard on our platform. These certificates are recognized by NASBA, IRS, CFP Board, HRCI, SHRM, Payroll Org, FP Canada, and 25+ other regulatory bodies for compliance and reporting purposes.

How are credits reported to governing bodies?

We issue instant credit certificates, ensuring they are valid for presentation to governing bodies. Typically, we report IRS, CTEC, CFP, IDFP, IWI, VBOA Ethics credits within 7 days – the fastest in the industry.

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