Benjamin "Ben" Kaplan is an Associate at Freeman Mathis & Gary, LLP’s Los Angeles, Orange County office. He is a member of the Financial Services & Banking and Commercial Litigation/Directors & Officers practice areas. He is also member of the Accountant Liability and Intellectual Property interdisciplinary teams.

Mr. Kaplan's litigation practice focuses on securities, financial services, corporate, and transactional disputes. His previous corporate and security compliance work involved providing strategic and comprehensive legal counsel on issues relating to the Advisers Act of 1940, Securities Act of 1933, Investment Company Act of 1940, FINRA Rules, State Security Laws, aspects of business entity formation, mergers & acquisitions, real property transactions, and ongoing business operations, such as marketing activities.

Mr. Kaplan's practice serves a sophisticated client base across the financial services, corporate, and real estate sectors. His clientele includes investment advisers, real estate brokerages, broker-dealers, fund managers, and financial institutions navigating the Advisers Act, FINRA rules, and state securities laws—a practice enhanced by his previous experience working as in-house counsel for a financial services firm providing investment advisory and brokerage services across the Nation.

Before attending law school, Mr. Kaplan developed a deep understanding of business operations while earning his Bachelor of Arts in Business Administration with an emphasis on Marketing from California State University San Marcos. Thereafter, he worked in digital marketing and advised his clients on marketing strategy and content creation.

California

• California State Courts

• CALI Award in Legal Research and Writing 1
• Witkin Award in Criminal Law