Kimberly A. Prior
Partner
Co-Chair, Digital Assets
Kimberly is a leading financial services regulatory attorney, advising financial institutions and other businesses with respect to legal, regulatory, and corporate matters. She has extensive experience advising clients in the distributed ledger, blockchain, and digital assets sector.
Key Matters
Some of the experience represented below may have been handled at a previous firm.
Kimberly’s representative experience includes:
Financial Regulatory & Enforcement Matters
- Represented a broker-dealer affiliate of a multinational financial institution in Financial Industry Regulatory Authority (FINRA) Continuing Membership Application process related to business reorganization.
- Advised an investor group on acquisition of broker-dealer.
- Represented a national bank in the acquisition of a payday lending company.
- Advised an investor group on investments in private investment funds.
- Represented a broker-dealer affiliate of a financial institution in FINRA Continuing Application process related to acquisition.
- Represented a Florida bank in connection with sale to investor group.
- Advised an online lending companies regarding federal and state licensure and regulatory obligations.
- Represented a broker-dealer affiliate of a multinational financial institution in a FINRA investigation and enforcement action pertaining to the FINRA anti-money laundering rules.
- Represented an affiliate of a multinational financial institution in parallel Securities and Exchange Commission (SEC) and FINRA investigations and enforcement proceedings pertaining to the promotion of a financial product.
- Represented an investment adviser in an SEC enforcement action regarding custody of client funds.
- Represented a securities issuer in a Florida Office of Financial Regulation (FOFR) investigation relating to securities offerings.
Blockchain Experience
- Advised a United States cryptocurrency exchange in connection with a government investigation regarding anti-money laundering policies and procedures.
- Advised a European cryptocurrency exchange concerning whether certain digital assets are regarded as securities under United States law.
- Advises private funds holding digital assets or investing in digital asset businesses.
- Advised issuers of digital assets with respect to regulatory obligations and prepared offering documents.
- Advised a cryptocurrency exchange interacting with many state regulators to determine whether licenses are required for purposes of contemplated business activities.
- Advised large institutional financial institutions regarding implementation of blockchain technology.
- Advised an issuer regarding their development and offering of non-fungible tokens (NFTs).
- Advised a real estate development company concerning its acceptance of cryptocurrency.
- Advised a real estate developer regarding its issuance of tokens backed by real estate.
- Represented an investor acquiring a cryptocurrency tax reporting company.