Counseled large fintech company during the development of an alternative small business finance product.
Conducted regulatory and compliance reviews of various small business finance customer agreements, as well as marketing, websites, customer communications, and internal policies and procedures.
Advised lender about the viability of specialized alternative small business finance product.
Provided advice to alternative small business finance companies about the legal viability of alternative business credit products.
Advised business credit counseling company regarding regulatory and litigation risk.
Counseled state-wide consumer finance trade group about draft state legislation related to consumer finance maintenance and service fees.
Advised investors and funders regarding legal risk related to the bank partnership model of lending, including risk posed by the true lender doctrine and issues related to Madden v. Midland Funding.
Provided regulatory and compliance advice to Credit Services Organizations and Credit Access Businesses.
Obtained a dismissal on the pleadings in federal court on behalf of a large broker-dealer facing claims of securities fraud, misrepresentation, breach of contract, and negligence involving the sale of a life insurance product.
Defended large broker-dealer facing multiple suitability claims before FINRA involving the sale of government bonds and closed-end government bond funds.
Defended broker-dealer facing fraud and breach of contract claims involving the purchase of a competing broker’s private client group.
Helped obtain expungement of an adverse FINRA CRD record involving claims of churning, suitability, and fraud on behalf of a registered representative.
Represented municipalities facing class action claims under 42 U.S.C. § 1983 involving contracts with private probation providers and bail practices.
Brief writer for team that obtained full summary judgment on behalf of a municipality facing a class action lawsuit involving contracts with private probation providers.
Brief writer for team that obtained the removal of all class action claims on a motion to strike on behalf of a municipality facing a class action lawsuit involving contracts with private probation providers.