FinTech, Blockchain, and Digital Assets

Digital Currency

• Represented an international non-profit organization and its founder in an investigation by the United States Attorney’s Office for the Southern District of New York (“SDNY”).  The SDNY’s investigation centered on the connection between the Charity’s founder and Alameda Research and the FTX cryptocurrency exchange founded by Sam Bankman-Fried (“SBF”). 
• Represented an online gaming platform and its founder in an ongoing Non-Public SEC investigation arising from their initial coin offering (ICO) - fully decentralized and immutable ERC-20 Token with a fixed token supply.
• As Placement Agent, represented Templum Markets, LLC, a wholly owned subsidiary of Templum Inc., in multiple transactions, including the primary equity offering to recapitalize the St. Regis Aspen Resort, resulting in what Templum believes to be the first digital security tokenization of a trophy real estate asset, and the launch of Aspen Digital Inc., a Tokenized Asset Offering (TAO) and digital Regulation D 506c security open to accredited investors, on Templum’s trading platform.
• Providing securities advice related to digital currencies and initial coin offerings
• Providing anti-money laundering advice on transactions in which a long-time client agreed with digital currency wallet companies on arrangements to accept bitcoin payments
• Providing privacy and data security advice to client which issues its own cryptocurrency
• Representing a client in all trademark and other IP issues in its acquisition of a domain name and efforts to launch a new cryptocurrency
• Providing strategic advice related to issuance of a Simple Agreement for Future Tokens (SAFT).

Blockchain

• Developing IP strategies for blockchain companies, including a distributed database technology company that leads a consortium of more than 70 of the world's biggest financial institutions in research and development of distributed ledger usage in the financial system
• Developing and negotiating data center transactions related to blockchain.
• Represented SeedInvest in its sale to Circle Internet Financial Limited
• As Placement Agent, represented Templum Markets, LLC, a wholly-owned subsidiary of Templum Inc., in multiple transactions, including the primary equity offering to recapitalize the St. Regis Aspen Resort, resulting in what Templum believes to be the first digital security tokenization of a trophy real estate asset, and the launch of Aspen Digital Inc., a Regulation D Rule 506(c) compliant Tokenized Asset Offering (TAO) open to accredited investors on Templum’s trading platform
• Investor-side representation in the $70M Series C financing of 1debit, Inc. dba Chime led by Menlo Ventures
• Represented T-REX Group, Inc. in its Series C financing led by The Westerly Group, as well as its $10M Series B financing led by Safeguard Scientifics (NYSE:SFE) and Ecosystem Integrity Fund
• Represented lender in connection with secured credit facility to financial technology company
• Represented SharesPost 100 Fund in its interval fund formation and SEC registration as an investment company and the first (and still only) registered secondary market fund; continue to represent as fund counsel
• Represented large fund company in enterprise-wide fund administration outsourcing agreement with leading provider
• Represented large financial institution in outsourcing a critical, regulatory business function to industry-leading service provider
• Provided recurring representation of major financial services institution in connection with provision of the back- and middle-office technology and business process services to broker-dealers to which the institution also provides clearing services
• Represented smartphone shopping application company in all technology transactions, including negotiation of content licenses, technology development agreements, payment processing agreements, strategic marketing arrangements, and customer agreements
• Negotiated strategic marketing and content license arrangement between major financial services company and provider of online platform for personal finance management
• Negotiated arrangements for in-licensing of technology and tools (including SaaS platforms) and consideration of privacy and security issues to establish consumer-facing online platform for mutual fund shareholder services
• Represented on-line financial stock trading platform in corporate, transactional and licensing matters, including securing IP assets and trade secrets, as well as drafting substantive multi-party sub-licensing agreements and on-line terms of use.
• Representing Shopify, a leading providing of e-commerce solutions, including customer interface, payment authentication, and point of sale systems, in several patent litigations and related inter partes reviews against allegations of infringement brought by non-practicing entities and competitor companies
• Represented Equinox Payments in two patent litigations filed by non-practicing entities alleging infringement of patents related to online payment acceptance and authentication