David Kaplan, Esq., ll.m.
David Kaplan, Esq., LL.M. has over 19 years’ experience in securities, business, and corporate law specializing in M&A, business transactions, taxation, securities, and capital markets. David is the founding member and manager of the boutique law firm Kaplan & Associates LLC.
David assists his entrepreneurial clients overcome unique legal and regulatory challenges of every aspect of securities, taxation, and intellectual property by advising on transactions in the changing legal landscape.
Prior to founding Kaplan & Associates LLC, David was the President, General Counsel, and Chief Compliance Officer of Allonhill, LLC. David brought concentrated expertise in securitizations, taxation, business transactions, financial and regulatory compliance, and securities. David had executive responsibility for the company’s legal, compliance, operations, and human resources functions, and ultimately successfully negotiated for its profitable sale to a NYSE-listed firm.
Prior to Allonhill, David worked at Braddock Financial Corporation, a registered investment adviser, hedge fund manager, private equity, and venture capital firm. Before that he was an associate in the New York City office of the international law firm Sidley Austin LLP where he was engaged in securitizations and structured finance transactions, including RMBS and CMBS transactions, collateralizations, legal and tax aspects of REITs, and loan and structured finance transactions. David previously worked as an associate in the restructuring group in the New York City office of Cadwalader Wickersham & Taft LLP where he participated in numerous equity IPOs, bond issuances, restructurings, reorganizations, and mergers and acquisitions.
David obtained his BA from New York University and his JD from Delaware Law School where he graduated with academic honors from Phi Delta Phi Honor Society and Moot Court Honor Society, and served as Articles Editor of the Law Review. He also earned an LL.M. in taxation law from the University of Denver Graduate Tax Law Program and is admitted to the Bar of the State New York, the Bar of the State Colorado, the Second Circuit, the Tenth Circuit, the United States Tax Court, and the Supreme Court of the United States.
AMy Swerdlow, Esq.
Amy obtained her BA from Carleton College and her JD from George Washington University Law School where she graduated with honors and served as Articles Editor of the Federal Circuit Bar Journal. Amy is admitted to the Bar of the State of Colorado.
During law school, Amy worked as a summer associate in the general counsel of PPL Corporation, an electric utilities company that provides services in Pennsylvania, Kentucky, and the UK, and assisted counsel with a number of legal and regulatory issues typically encountered by a highly regulated corporation. Prior to PPL Corporation, Amy interned at the Senate Judiciary Committee in Senator Al Franken’s office, where she drafted memoranda for the Senator’s use in Committee hearings.
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