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James I. Kaplan

Partner
Chair, Midwest Banking Practice

jim.kaplan@dlapiper.com

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203 North LaSalle Street, Suite 1900
Chicago, Illinois 60601-1293
United States
T: +1 312 368 7027 F: +1 312 630 2795

James I. Kaplan is the chair of DLA Piper's Midwest Banking practice. He has extensive experience in financial services regulatory matters, as well as banking, compliance, securities and shareholder disputes and other shareholder matters.

Mr. Kaplan's regulatory experience covers all major statutes and applicable regulations in the United States as well as other major foreign jurisdictions. His transactional experience includes banking, trust, securities, asset management, brokerage and public and private offerings. He is also well acquainted with both the Advisors Act and the Investment Company Act, having counseled both registered investment advisors and mutual funds in his career. 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 has counseled numerous boards of directors and other governing bodies of companies on various matters, involving banking and financial services issues, including securities disclosure and regulatory matters.

Most recently, Mr. Kaplan was the first General Counsel in the long and legendary history of Brown Brothers Harriman & Co., the New York-based private bank. Mr. Kaplan has been a banking and bank regulatory lawyer for more than 20 years and also specializes in merger and acquisition and private equity transactions involving financial services companies.

Following his first General Counsel stint at Cole Taylor Bank in Chicago, Mr. Kaplan became Associate General Counsel at The Northern Trust Company in Chicago, where his duties included serving as senior in-house regulatory, acquisitions and divestiture lawyer from 1998 to 2004. During his four years at Brown Brothers, ending in 2008, he continued his senior M&A role and also expanded into M&A advisory activity and private equity and mezzanine fund matters, as well as managing all other legal matters and counseling senior management for a large, complex and global financial institution.

Admissions

Illinois
New York

Memberships

American Bar Association
Chicago Bar Association
New York Bar Association

Publications

"Compliance Issues Regarding Derivatives Under Dodd-Frank," FMA's 20th Annual Securities Compliance Seminar (Co-author with Marc Horwitz)(April 27, 2011)
"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)

Seminars

"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)
"Who is Driving the Work‑out Bus?" DLA Piper CLE Conference for In‑house Counsel, Chicago (April 30, 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)