Financial Services Specialists
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Representative Experience

Fintech

  • Advised a Fintech lender on a multi-million-dollar loan origination partnership with a regional community bank.
  • Structured joint venture involving a Fintech lender, data analytics firm, and software-IoT development company.
  • Developed and implemented policies and procedures for an early-stage loan aggregator consistent with anti-money laundering requirements and consumer financial protection regulations. 
  • Partnered with a $50-million-dollar data analytics firm to develop and integrate Regtech compliance solutions for commercial banks.
  • Counseled a Fintech start-up on treatment of brokered deposits and FDIC deposit regulations.
  • Advised multiple Fintechs on implementation of enterprise-level risk management programs and compliance management systems (CMS) for Unfair, Deceptive, and Abusive Acts and Practices (UDAAPs).

Bank Regulation

  • Performed transactional due diligence on behalf of a financial holding company investing in a technology company.  
  • Advised a bank holding company in its acquisition of a $30 million-dollar depository institution, and assisted in filing regulatory applications with state and federal regulators. 
  • Advised a foreign-based banking organization in drafting its U.S. resolution plan and developing recovery and restructuring strategies.
  • Advised a regional bank on state and federal regulatory issues regarding deposit access devices, including automated clearing house (ACH) and wire transfer, and the development of agreements regarding such devices.

Blockchain and Digital Currency

  • Provided strategic advice to venture capital funds investing in initial coin offerings (ICOs).
  • Advised a U.S. retailer on financial regulatory and contractual issues in digital currency retail acceptance.