Robert Kaplan is a litigation partner and a member of the firm’s White Collar & Regulatory Defense Group based in the firm’s Washington, ...
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- Riversource, an affiliate of Ameriprise, in responding to and settling an investigation from the SEC’s Division of Enforcement.
- Pacific Investment Management Company in a settlement with the SEC relating to the launch of an exchange traded fund.
- Oaktree in its settlement with the SEC relating to alleged violations of the pay-to-play provisions of the federal securities laws.
- KKR in its settlement with the SEC relating to the allocation of broken deal expenses between its investment funds.
- A private equity firm in an SEC investigation focused on the sale of portfolio assets between a fund and another managed account.
- A private equity firm in an SEC investigation of the allocation of certain litigation-related expenses between commonly managed funds.
- A principal of a hedge fund manager in an SEC trading investigation.
- A hedge fund manager in an SEC investigation of dealer interposed-cross trades of fixed income products.
- A hedge fund manager and principal in an SEC investigation into representations concerning investment strategy disclosures.
- A fund-of-fund platform in due diligence of an asset manager in the acquisition of a minority stake in an investigation.
- A family office of the principal of a large private equity firm in negotiating a compliance governance framework between the family office and the firm.
- Regular advice to hedge fund and private equity sponsors in SEC examinations.
- A registered investment company in an SEC investigation of alleged dealer-interposed cross-trades.
- Ameriprise Financial Services, in its SEC settlement of alleged performance marketing violations related to the use of F-Squared investment strategies.
- Lyxor Asset Management, in its settlement with the SEC over the alleged non-disclosure of a conflict of interest.
- A large retail investment adviser, in its settlement arising from the SEC’s Share Class Selection Disclosure Initiative.
- A large retail investment adviser in an SEC investigation of marketing support arrangement fees.
- A hedge fund manager in an investigation by a foreign regulator into market abuse and insider dealing.
- A hedge fund manager in an SEC investigation related to the valuation of structured products.
- A hedge fund manager in an SEC insider trading investigation.
- A large retail investment adviser in an investigation of the use of proprietary products in discretionary investment programs.
- New York University School of Law, 1992, J.D.
- Columbia University, 1989, A.B.