Financial Services Specialists
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Representative Experience

Fintech

  • Advised 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 laws and regulations. 
  • Partnered with $50-million-dollar data analytics firm to develop and integrate regtech compliance solutions for community banks.
  • Counseled fintech start-up and regional community bank on treatment of brokered deposits and related 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. 

Blockchain and Digital Currency

  • Advised on legal and regulatory issues in initial coin offerings (ICOs) and transactions related to the sale of cryptographic tokens.
  • Advised venture capital funds on ICO investments.