Benjamin “Ben” Kaplan is an Associate at Freeman Mathis & Gary, LLP and is located in the Seal Beach office. Mr. Kaplan is a member of the Firm’s Commercial Litigation / Directors & Officers and Financial Services & Banking practice sections, as well as the Financial Services and Intellectual Property interdisciplinary teams. His litigation practice focuses on securities, financial services, corporate and transactional disputes.
His prior corporate and securities compliance experience includes providing strategic legal counsel on matters involving the Advisers Act of 1940, Securities Act of 1933, Investment Company Act of 1940, FINRA rules, state securities laws, business entity formation, mergers and acquisitions, real property transactions and ongoing business operations such as marketing activities.