300 N. LaSalle Street
James Kaplan is a member of the firm’s Corporate Services Group. He has extensive experience in financial services, mergers and acquisitions, 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.
Education and Honors
- University of Chicago Law School (J.D., 1981)
- Harvard College (A.B., magna cum laude, 1977)
Phi Beta Kappa.
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).
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).
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).
- “Dodd-Frank Amendments To Sec 23A Are Problematic: Part 2” (with Corbin J. Morris), Law360, January 9, 2014.
- “Dodd-Frank Amendments To Sec 23A Are Problematic: Part 1” (with Corbin J. Morris), Law360, January 7, 2014.
- “Dodd-Frank and Enhanced Regulation of Interest Rate Swaps and Hedges: The Impact on the Community Banking Sector” (with Corbin J. Morris), Banking Law Journal (August 21, 2013).
- “A New Year’s Resolution for US Banks: Regarding Distressed Commercial Real Estate Assets,” (with Lawrence Uchill and Bruce Wickersham) International Finance & Treasury (January 15, 2010).
Publications, Media Quotes and Mentions:
“Advanced and emerging economies continue to grow, U.S. leads,” Medill Washington, D.C., April 8, 2014.
“Fewer New Rules, More Scrutiny Expected in 2014,” American Banker, February 3, 2014.
“Stress Testing Shouldn't Be Stressful for Smaller Banks,” American Banker, December 12, 2013.
“Financial Regulation Blitz Spawns the Regulatory Liaison Officer,” Compliance Week, October 10, 2013.
“Glass-Steagall 2.0: Senators Introduce Throwback Banking Regulation,” Compliance Week, July 23, 2013.
“DLA Piper Attorneys Travel to Guyana,” Chicago Daily Law Bulletin, August 15, 2012.
“They Love Dodd-Frank,” Crain’s Chicago Business (March 12, 2012).
“Capital One is Nearly Unscathed in Deal Victory,” American Banker (February 16, 2012).
“It's Not 2008. Financial Firms Have No Savior,” CNNMoney (November 1, 2011).
“Buyers and Sellers Clash Over Walk-Away Clauses,” American Banker (August 22, 2011).
- “Community Banks and the ‘New Normal’: Increased Regulation Compliance, Capital Rules and Stepped-Up Enforcement - How to Navigate the Road Ahead,” (with Stanley F. Orszula), Quarles & Brady Seminar, Phoenix, AZ (February 19, 2014).
- “Post-Crisis, Post-Dodd-Frank: What Bankers Need to Know About Living and Working In a Dramatically Changed Landscape,” (with Stanley F. Orszula) Quarles & Brady Seminars, Phoenix, AZ (May 22, 2013 and Chicago, September 12, 2013).
- “The Legal Landscape: A Conversation with Leading Bank Lawyers,” Illinois Bankers Association Midwest Bank Leaders Conference, Chicago (November 7, 2012).
- Panel Member, “Gideon's Promise in Nation’s False Confession Capital,” CLE Program, University of Chicago Law School, Chicago (March 7, 2013).
- “United States Regulatory Topics of Interest to Ally Financial and its GMAC affiliates in the Post-Dodd-Frank (DFA) World” (May 30, 2012).
- “Compliance Issues Regarding Derivatives Under Dodd-Frank,” FMA’s 20th Annual Securities Compliance Seminar (Co-author with Marc Horwitz) (April 27, 2011).
- “Year Two of Dodd-Frank: How is the Great Reform Going?” (with Jeffrey Hare), Illinois Bankers Association Midwest Bank Leaders Conference, Chicago (October 18, 2011).
- “Understanding the Orderly Liquidation Authority Provisions of Dodd-Frank,” The Knowledge Congress (September 27, 2011).
- “Key 2011 Legislative and Regulatory Initiatives,” and “Broker-Dealer Hot Topics,” FMA’s 20th Annual Securities Compliance Seminar (April 27, 2011).
- “The Dodd-Frank Bill: Real Reform, More of the Same, or Some of Both,” Chaired Panel Discussion at Illinois, Indiana and Wisconsin Bankers Associations’ Midwest Bank Leaders Conference (November 16, 2010).
- “Distressed Assets and Challenged Banks: Some Ideas on Navigating Through the Great Recession of 2007-?,” Illinois Bankers’ Association Midwest Bank Leaders Conference, Chicago (November 23, 2009).
- “Financial Stability Plan and the Financial Crisis,” University of Chicago Business School course lecture (with Norm Bobins), Chicago (August 11, 2009).
- “The FDIC’s Temporary Liquidity Guarantee Program,” Presentation to Illinois Bankers Association’s Midwest Bank Leaders Conference, Chicago (December 12, 2008).
- “Staying Out of the Regulatory Spotlight,” Presentation and also Led Panel at Martindale Hubbell C2C Conference, New York City (April 24, 2007).
- “Spitzerism,” Financial Services Conference of Counsel, New York City (October 5, 2006).
- “Building a Compliance Function,” (with Beth Haddock, BBH Associate Compliance Director) Marcus Evans Conference, New York City (April 11, 2006).
- “Securities and Banking Regulatory Enforcement Issues,” Financial Services Conference of Counsel, New York City (October 6, 2005).
- “Acquisition Purchase Investigations,” Presentation and also Moderated Panel at Financial Markets Association Legal/Legislative Conference, Washington, DC (October 21, 2004).
- “Acquired Risk: Legal Due Diligence in Corporate Acquisitions,” Corporate Legal Times Superconference, Chicago (June 22, 2004).