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432805

Practice:

  • Financial & Fintech Advisory
  • Strategic Advisory & Government Enforcement (SAGE)
  • Fintech

Caroline Stapleton Partner

Washington, D.C.

Client-centered experiences are at the heart of Caroline’s practice. She has provided a wide variety of institutions, from fintech startups to multinational banks, with tailored, practical guidance that considers each company’s unique characteristics and strategic goals. Caroline draws on her prior experiences as an attorney at a federal prudential regulator and as the head of compliance at a consumer finance company to give clients a comprehensive picture of the legal risks and opportunities each new matter presents.

Her work on behalf of financial services providers has included:

  • Providing guidance regarding novel or complex regulatory questions, often in the context of developing new financial products and services
  • Performing compliance risk assessments of marketing, underwriting, pricing, origination, servicing and loss mitigation activities
  • Advising banks and supervised lenders with examinations by federal and state regulators, including responding to exam findings, CAMELS ratings, Matters Requiring Attention (MRA/MRIA) and enforcement referrals
  • Strategically responding to and defending enforcement actions by state and federal regulators, including the Consumer Financial Protection Bureau (CFPB), Office of the Comptroller of the Currency (OCC), Federal Deposit Insurance Corporation (FDIC), Federal Reserve Board and Department of Justice (DOJ), and, if necessary, negotiating favorable settlements
  • Developing strategies for bank partnership, state licensing and bank charter opportunities for consumer financial services providers
  • Conducting internal investigations of suspected misconduct or violations of an institution’s policies and/or regulatory requirements

In these and other representations, Caroline brings strong substantive knowledge of the key federal and state statutes and regulations governing the financial services industry. Her specific areas of focus include:

  • Fair lending and anti-discrimination laws, including the Fair Housing Act (FHA) and the Equal Credit Opportunity Act (ECOA)
  • Prohibitions on unfair, deceptive or abusive acts or practices (UDAP and UDAAP)
  • Technical regulatory compliance under federal and state laws governing loan marketing, disclosures, settlement practices, servicing and collection practices, consumer reporting and electronic payments
  • Federal preemption, including under the National Bank Act
  • Compliance management best practices and regulatory expectations, including third-party vendor and merchant oversight
  • Treatment and disclosure of confidential supervisory information (CSI)
  • State lease-to-own laws and regulations

Prior to joining Orrick, Caroline was senior counsel at Buckley LLP. She also has served as an attorney-advisor in the litigation division of the OCC, where she represented the agency in civil litigation, bank receivership preparation, employment disputes and other administrative contexts. Caroline also gained valuable in-house experience as the head of compliance and assistant general counsel of a Richmond-based consumer finance company.

Roger Davis Partner

San Francisco

Among the attributes that contributed to his Hall of Fame selection were:

  • Recognized and sought out for his ability to apply his unusually extensive and diverse experience to solve problems as they arise and develop new programs or financial structures, and for his expertise and judgment in securities laws and disclosure.
  • Dedicated to helping bring about projects and programs (whether sponsored by public entities, nonprofit corporations or for-profit enterprises) that provide a public benefit and make people’s lives better.
  • Having led the development of the housing and healthcare practices at Orrick, his recent focus has been on governmental transactions, all manner of non-profit corporations, public private partnerships (P3), portfolio sales, securitizations, energy and water efficiency programs, student, senior and workforce housing, pool programs, new financial structures and programs and applications of Public Finance Authority (created in Wisconsin to finance any type of project or program in any state or territory).
  • Some of those new financial structures and programs have included pension obligation bonds, variable rate lease financing, and, more recently, joint powers authority ownership structure (turning private activity projects or projects not generally eligible for tax-exempt financing into tax-exempt governmental purpose bonds; for example, for middle income workforce housing), and energy and other infrastructure as a service (P3, simplifying procurement, off balance sheet).
  • Responsibility for legislation crucial to the scope and operation of California public finance, including California Health Facility Financing Authority, California School Finance Authority, changes to joint power authority law that helped propel California Statewide Communities Development Authority and California Municipal Finance Authority into two of the most prolific issuers in the country, local agency refunding law, authorizations for swaps, investment agreements and other derivative products, creation of security interests, streamlining validation actions, and in several other states including Hawaii and creation of Public Finance Authority in Wisconsin.
  • Chair of Orrick’s Public finance department for several decades through 2020, during which he presided over the growth of the department from one office with 12 lawyers in San Francisco to 10 offices and over 100 lawyers and paralegals around the country, consistently ranked (for more than 2 decades now) as number one bond counsel and disclosure counsel, and within the top four underwriter counsel, for bonds issued by state and local governments throughout the United States. During this period, he also held a number of other leadership positions at Orrick, including several terms on its Executive Committee and on the Management Committee of Orrick’s wholly owned subsidiary, BLX Group, LLC (providing the public finance community with a variety of non-legal services).

In addition to his selection by The Bond Buyer for its Public Finance Hall of Fame, Roger is ranked Band 1 by Chambers, and as Acritas Star Lawyer by Acritas, as Dealmaker of the Year (twice) by American Lawyer, as “best,” “super,” “most honored,” “preeminent” or “lawyer of the year” by several other publications, and declared “the Bond King” in a cover article by California Lawyer.

740

Practice:

  • Mergers & Acquisitions
  • Patents
  • Propriété intellectuelle
  • Trademark, Copyright & Media

Bradford Breen Senior Counsel

New York

Brad also advises professional services and financial services entities and technology companies regarding U.S. and international trademark and branding matters. He also has considerable experience in business method, electronic, semiconductor and computer patent counseling.

195894

Practice:

  • Technology & Innovation Sector
  • Propriété intellectuelle
  • Cyber, Privacy & Data Innovation
  • Patents
  • Trade Secrets Litigation
  • IP Counseling & Due Diligence
  • Mass Torts & Product Liability
  • Antitrust and Competition
  • International Trade and Investment
  • White Collar, Investigations, Securities Litigation & Compliance
  • Employment Law & Litigation
  • Trademark, Copyright & Media
  • China

Xiang Wang Partner

Beijing; New York

Xiang is a Guiding Expert of the China Overseas IP Dispute Response & Guidance Center.

He also serves several consultancy roles for local regulatory authorities, including as IP Guiding Expert of Shenzhen IP Protection Center; IP Guiding Expert of Zhejiang Province IP Protection Center; IP Consultant of Technology Innovation Bureau of Nanjing Jiangbei New Area Management Committee (Jiangsu Province); Expert of IP Dispute Investigation and Appraisal of Foshan Market Supervision and Administration Bureau (Guangdong Province); Expert for Overseas IP Protection and Assistance of Foshan Intellectual Property Bureau (Guangdong Province); and Guiding Expert of Shantou Overseas IP Center and Shunde Enterprise IP Protection Center (Guangdong Province).

Dr. Wang is an arbitrator of Beijing Arbitration Commission and Beijing International Arbitration Center.

Xiang has extensive experience in assisting local and foreign-based multinational companies with all aspects of their IP rights in the U.S. and China, including IP litigation and arbitration, patent infringement, industrial espionage, trade secret misappropriation, copyright and trademark infringement, ITC Sec. 337 investigations, patent office proceedings including inter partes reviews (IPR), IP due diligence and portfolio counseling, technology export control, mass torts and product liability, securities litigation, the Foreign Corrupt Practices Act (FCPA) and other investigations and compliance. These matters have implicated a vast array of technologies, from software and electronics to renewable energy and medical devices as well as agricultural and building materials, to name just a few.

Xiang also works extensively on cybersecurity investigations and data privacy compliance matters for both Chinese and international clients.

Xiang has been particularly active in Chinese state-owned enterprises related U.S. litigation. Clients turn to his strategic and innovative advice thanks to his in-depth understanding of their business needs and political risks. Clients appreciate that he “understood the environment in the China legal system and can give nuanced advice”.

Xiang has developed the region’s premier IP practice based on his reputation as one of the few IP lawyers who has a doctorate in electrical and computer engineering, a Juris Doctor, a Chinese Certificate of Laws, and admission to practice law in New York, Indiana and before the U.S. Patent and Trademark Office. Due to its success in patent disputes in the United States and China, involving both foreign and Chinese companies, Orrick IP team was exclusively featured in a documentary film “Patent Wars” by the China Central Television (CCTV).

Xiang is highly regarded for his practical legal advice that results from more than ten years of experience at medical and electronic device businesses before becoming a lawyer. He also has received four U.S. medical-technology patents in his name.

740

Practice:

  • Technology Transactions
  • Technology Companies Group
  • Cyber, Privacy & Data Innovation
  • Technology & Innovation
  • Strategic Advisory & Government Enforcement (SAGE)

Timothy D. Greene Partner

Los Angeles; Santa Monica

Tim advises startups and venture capital firms on corporate partnerships, strategic alliances, data privacy, technology protection, and the licensing and commercialization of intellectual property and technology assets. Additionally, he counsels clients on intellectual property, technology and privacy issues in connection with financings, M&A and other corporate transactions.

With experience in managing hundreds of strategic transactions and licensing agreements each year, Tim helps clients streamline deals and navigate complex situations. His work spans various industries, including B2B and B2C SaaS, Web3/crypto, and alternative proteins, allowing him to apply best practices and innovative solutions across sectors. Tim’s extensive experience enables him to deliver tailored strategies for client engagements, ensuring deals progress smoothly, risks are minimized, and opportunities are maximized. He also represents several leading venture capital firms in their investment activities.

Tim has negotiated significant corporate partnerships, strategic alliances, and licensing arrangements with and against some of the world’s most influential companies, including retail giants, technology innovators, automotive manufacturers and major financial institutions worldwide. Tim is a former Residential Fellow for Copyright and Fair Use at Stanford Law School’s Center for Internet and Society.

431494

Practice:

  • Financial & Fintech Advisory
  • Strategic Advisory & Government Enforcement (SAGE)
  • Fintech

Clinton Rockwell Partner

Santa Monica; San Francisco

Clint previously led Orrick’s global Financial & Fintech Advisory practice, a team that delivers synthesized regulatory, enforcement and transactional advice to more than 700 fintech market participants, as well as other leading financial institutions and funds.

Since 2010, Clint has been featured as a leading advisor in Chambers USA in the area of Financial Services Regulation: Consumer Finance (Compliance). Chambers has described him as "very adept at seeing legal issues from a business perspective and very good at protecting the interests of his client … a phenomenal lawyer." He is a member of the American Bar Association Consumer Financial Services Committee, the University of London Post Graduate Law Society and the Bentham Society at University College London.

Clint was one of the original members of Buckley Kolar LLP and served as Co-Managing Partner and a member of the partner board at Buckley LLP. Prior to joining Buckley, he was with Goodwin Procter LLP in Washington, D.C.

Practice:

  • International Arbitration & Dispute Resolution
  • Contentieux complexes & Résolution des litiges
  • Mergers & Acquisitions

Martina Pfaffinger Senior Associate

Munich

She has particular experience in representing Asian clients from the automotive sector in DIS arbitration proceedings. Clients benefit from her background as corporate / M&A lawyer and her experience with shareholder disputes, management liability cases, post-M&A disputes and other contentious commercial matters. As a trained business mediator, Martina also advises clients on the extrajudicial settlement of conflicts and the avoidance of disputes at an early stage when negotiating and drafting contracts.

Prior to joining Orrick, Martina worked at the Munich office of a leading U.S. law firm and the Munich / New York City offices of a renowned German law firm.

Martina currently writes her doctoral thesis on a subject relating to management liability.

Practice:

  • International Arbitration & Dispute Resolution
  • Contentieux complexes & Résolution des litiges
  • Energy & Infrastructure

Ali Al-Khasawneh Of Counsel

Genève; Londres

Ali has acted as counsel in arbitration proceedings under the ICC, UNCITRAL, LCIA, Swiss, ICSID and DIAC rules in arbitrations seated in London, Paris, The Hague, Dubai, Madrid, Geneva, Zurich and Muscat, and governed by English, UAE, German, New York, Omani, Swiss, Saudi and Libyan laws. 

Ali serves as a member of the ICC's Commission on Arbitration & ADR and acts as arbitrator. Ali has also acted as tribunal secretary in arbitral proceedings under the ICC rules and Permanent Court of Arbitration administered arbitrations under the UNCITRAL rules.

Prior to joining Orrick, Ali was previously legal counsel at the Permanent Court of Arbitration in The Hague. Ali also worked at an investment treaty arbitration specialist law firm in Paris and at the Dubai office of a leading international law firm.

Practice:

  • Technology Companies Group
  • Technology & Innovation
  • Mergers & Acquisitions
  • Private Equity

James Badge Managing Associate

Londres

Regularly acting for early through to late-stage companies, as well as leading investors, operating within the technology and media sectors, James' practice primarily focuses on equity financings, secondary transactions, M&A, private equity and general corporate advisory work.

James was previously seconded to a leading global start-up accelerator, venture studio and early-stage investor for six months where he sat as Legal Counsel, advising some of the over 300 portfolio companies and acting on cross-border joint venture and partnership arrangements and transactions with prominent corporate investors.

Passionate about working with innovators and investors, James is motivated to provide commercially pragmatic advice and to deliver innovative solutions to aid the growth and success of his clients within the ecosystem.

Practice:

  • Finance Sector
  • Fiscalité

Peter Elias Partner

Santa Monica

He regularly assists in the tax planning and structuring of emerging companies and other transactions relevant to their formation and sale, including founder loan share purchases and secondary sales, “Up-C” IPO transactions, obtaining and optimizing “qualified small business stock” tax benefits, conversions of limited liability companies, structuring and documenting “profits interests” and other favorable equity to founders, as well as M&A, joint ventures, equity and debt financings, buyouts, divestitures, and restructurings. He has significant experience in real estate and related transactions, including structuring and tax planning for private equity investment funds, joint ventures, and like kind exchanges and other tax-advantaged exit strategies, including:

  • Tax planning and structuring for private equity and venture capital investment vehicles, including the use of parallel or alternative investment vehicles, co-investment vehicles, or other similar structures to accommodate participation by tax-exempt entities and/or non-U.S. parties.
  • Implementing tax efficient structures and exit strategies for U.S. real estate projects, joint ventures or similar vehicles, including recapitalizations, in-kind distributions, leveraged recaps, as well as like-kind exchange structures pursuant to tax code section 1031.
  • Providing advice and tax structuring for investment funds and related entities in connection with secondary market purchases of debt securities and debt instruments, including distressed debt, as well as related debt modifications, workouts, foreclosures and/or related resolutions.

Pete has spoken and written extensively in areas involving private equity, venture capital, hedge and real estate funds, real estate joint ventures and distressed debt, and private equity transactions.

Pete also is an adjunct professor at the U.C. Irvine School of Law, having created and taught classes focused on Tax Planning for Real Estate Transactions, for both JD and LLM (taxation) students.