Representative Experience
Represented a major United States commercial bank in connection with the restructuring of its United States check processing operations to meet state and Federal regulatory and operational requirements

Represented a major United States commercial bank in connection with the restructuring of its securities clearing operations to meet state and Federal regulatory and operational requirements

Represented one of the world’s largest commercial banks in connection with restructuring its United States securities processing operations to meet state and Federal regulatory and operational requirements

Represented one of the world’s largest banks establish money service businesses in key markets across the United States

Represented an international bank with headquarters in Japan in connection with structuring its broker dealer and representative office operations in New York and California

Represented the New York Office of an international bank with headquarters in the Middle East in connection with compliance with the Gramm Leach Bliley Act privacy and Financial Holding Company requirements

Represented a New York trust company subsidiary of an international bank with headquarters in Japan in connection with compliance with the requirements of the USA PATRIOT Act

Represented a New York subsidiary of an international bank with headquarters in the United Kingdom in connection with the development and launch of its global private banking website

Represented a New York insurance company with its fraud and internal controls investigation in connection with approximately $1 million of stolen and forged checks

Represented a New York trust company subsidiary of an international bank with headquarters in Japan in connection with its annual review of its nominee partnership program

Represented an international bank with headquarters in Japan in connection with its withdrawal from the United States

Represented a national bank and its broker dealer subsidiary in connection with compliance with the Gramm Leach Bliley Act requirements generally and the securities push-out provisions particularly

Represented a registered broker dealer subsidiary of an international bank with headquarters in Japan to assist with Securities and Exchange Commission and National Association of Securities Dealers compliance requirements

Represented a securities subsidiary of an international bank with headquarters in France in connection with the development and launch of its website for securities and lending activities in the Americas

Represented a private equity subsidiary of an international bank with headquarters in France in connection with structuring and obtaining regulatory approval to establish a $300,000,000 United States Private Equity Fund

Represented a New York limited liability company in connection with the establishment of a registered broker dealer with operations in 11 states of the United States

Represented the New York Branch of an international bank with headquarters in Norway in connection with its parent company merger with another international bank

Represented an international hotel chain with headquarters in Malta in connection with its application to be removed from the Specially Designated Nationals List of the United States Department of Treasury, Office of Foreign Assets Control as the result of activities involving Libya

Represented a fund management company in connection with its investment in Citigroup in connection with Citigroup’s acquisition of Associates First Capital Corporation

Represented an international bank with headquarters in South Korea in connection with the sale of its retail banking network to a bank in California

Represented an international bank with headquarters in South Korea in connection with an enforcement action involving 11 United States and state agencies

Represented an internet based company in connection with its joint venture with a leading United States bank to develop and launch a commercial transactional website in the United States

Represented an international bank with headquarters in France in connection with the acquisition of the global operations of a private banking group with headquarters in South Africa and the disposition of three United States investment banking subsidiaries

Represented a broker dealer subsidiary of an international investment bank with headquarters in Russia in connection with negotiations for clearing services with a leading United States investment bank

Represented an international investment banking group with headquarters in Russia in connection with a comprehensive review of its internal controls and compliance procedures

Represented the United States investment banking subsidiary of an international bank with headquarters in the United Kingdom in connection with a tax driven structured finance product involving the United States and the United Kingdom

Represented an international manufacturer of steel with headquarters in Russia in connection with its attempt to import steel into the United States without the United States Department of Commerce or the Office of the United States Trade Representative taking action against the manufacturer based on dumping or subsidies

Represented the New York subsidiary of an international retail company with headquarters in Italy in connection with the recovery of more than $300,000 stolen and forged checks

Represented the New York Office of an international bank with headquarters in Japan in connection with the establishment of its sweep account program

Represented the trust company subsidiary of two international banks with headquarters in Japan in connection with obtaining approvals from the Japan Financial Services Agency

Represented the trust company subsidiary of two international banks with headquarters in Japan in connection with obtaining approvals from the New York State Banking Department and the Federal Deposit Insurance Corporation related to the activities of a limited purpose trust company’s ability to engage in insured banking activities

Represented the trust company subsidiary of two international banks with headquarters in Japan in connection with obtaining approvals from the New York State Banking Department and the Federal Deposit Insurance Corporation related to the merger of three international banks with headquarters in Japan and the creation of one of the largest banking groups in the world

Represented the trust company subsidiary of two international banks with headquarters in Japan in connection with obtaining approvals from the New York State Banking Department and the Federal Deposit Insurance Corporation in connection with the use and expansion of an International Banking Facility by a limited purpose trust company

Represented the trust company subsidiary of two international banks with headquarters in Japan in connection with obtaining approvals from the New York State Banking Department and the Federal Deposit Insurance Corporation related to the purchase and sale of Fed Funds

Represented the trust company subsidiary of two international banks with headquarters in Japan in connection with obtaining approvals from the New York State Banking Department and the Federal Deposit Insurance Corporation related to the voluntary termination of its federal deposit insurance

Represented a trust company subsidiary of two international banks with headquarters in Japan in connection with obtaining approvals from the New York State Banking Department, the Federal Reserve Bank of New York and the Federal Deposit Insurance Corporation related to a Community Reinvestment Act protest filed by Inner City Press/Community on the Move to block a planned merger of the parent companies of the subsidiary with another international bank

Represented a trust company subsidiary of an international bank with headquarters in Japan in connection with an employee’s attempted sabotage of the trust company’s wire transfer, securities processing and reconciliation systems

Represented an investment bank subsidiary of an international bank with headquarters in France in connection with the management buyout of two of its registered broker dealers

Represented the New York Office of an international bank with headquarters in South Korea in connection with its application to be appeal the decision of the United States Department of Treasury, Office of Foreign Assets Control, to block one of its customers’ accounts as the result of activities involving Iran

Represented a New York corporation in connection with several significant United States Department of Treasury, Office of Foreign Assets Control issues related to engaging in transactions with Iranian owned companies

Represented a national bank in connection with structuring and obtaining regulatory approval to establish a Small Business Investment Corporation to invest in equity securities

Represented the United States operations of an international bank with headquarters in South Korea in connection with a series of Bank Secrecy Act violations related to suspicious activity reporting, wire transfers, Know Your Customers requirements, filing currency transaction reports and other policy and procedures and internal control requirements under United States, New York, California, Washington and Illinois law

Represented the New York Office of an international bank with headquarters in the United Kingdom in connection with multiple Rule 23-A issues arising out of affiliate lending transactions

Represented the New York Office of an international bank with headquarters in France in connection with the sale of its finance company subsidiary to a state chartered bank

Represented the New York Office of an international bank with headquarters in France in connection with a credit administration and underwriting review of its treasury operations

Represented a number of United States commercial banks upgrade their compliance program by identifying the key applicable state and federal banking laws and drafted appropriate compliance procedures, and assisting with the implementation of the procedures

Speaking Engagements
Speaker, "The Anatomy of a Look Back," The New York Metropolitan Chapter of the Association of Certified Anti-Money Laundering (AML) Specialists Workshop, November 5, 2007.