Kimberly A. Prior
Partner
Co-Chair, Digital Assets
Kimberly Prior es una abogada especializada en regulación de servicios financieros que asesora a entidades financieras y otras empresas en asuntos jurídicos, regulatorios y corporativos. Cuenta con amplia experiencia asesorando a clientes del sector de libros de contabilidad distribuidos, blockchain y activos digitales.
Cuestiones clave
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.