James I. Kaplan, Partner


James Kaplan is a member of the firm’s Business Law Practice Group. He has extensive experience in financial services, mergers and acquisitions, and transactional and regulatory matters, as well as banking, compliance, data privacy and information security, financial services litigation, and shareholder and governance matters.

Mr. Kaplan's regulatory experience covers major banking and financial services statutes and applicable regulations in the United States as well as other major foreign jurisdictions. His transactional experience includes work for clients in banking, trust, custody, securities, asset management, brokerage, and public and private offerings. Mr. Kaplan is nationally recognized and well respected for his knowledge of legal matters touching modern financial institutions, basic and complex, large and small. Mr. Kaplan's clients have included work for global, regional, and large community banks, as well as Fortune 500 companies, including those that are major service providers to banks.

Mr. Kaplan has counseled boards of directors and other governing bodies of companies on banking and financial services issues, including transactions, litigation, securities disclosure, and regulatory matters. He has advised numerous buyers and sellers in corporate acquisitions, particularly in the financial services and banking sectors and also has advised clients regarding associated regulatory matters.

Legal Services

Education and Honors

  • University of Chicago Law School (J.D., 1981)
  • Harvard University (A.B., magna cum laude, 1977)
    • Phi Beta Kappa

Bar Admissions

  • Illinois
  • New York

Professional and Civic Activities

  • American Bar Association (Member)
  • Chicago Bar Association (Member)
  • New York State Bar Association (Member)
  • New York City Bar Association (Member)
  • Clerkship, Judge Milton I. Shadur, United States District Court, Northern District of Illinois (1981–1982)
  • University of Chicago Law School Visiting Committee (Member)
  • American Jewish Committee, Regional Board Member and Vice President
  • University of Chicago Law School Public Interest Advisory Board
  • Northwestern Law School Bluhm Legal Clinic Center on Wrongful Convictions (Advisory Board Member)
  • MFY, Inc. (Board Member – MFY provides legal services to poor and elderly in New York City)

Professional Recognition

  • Martindale-Hubbell AV® Peer Review Rated
  • 2011 Jane Beber Abramson Award for extraordinary dedication to pursuing justice for the wrongfully convicted (presented by Northwestern Law School Clinic Center on Wrongful Convictions, December 15, 2011)