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Oren M. Chaplin

Member | New Jersey/New York

Oren M. Chaplin focuses his practice on business and securities matters.

Oren has experience drafting merger, acquisition, and business planning documents, and handling entity formation, corporate governance, and due diligence matters. He is well versed in drafting and negotiating client referral, client services, consulting, employment, and termination agreements, as well as internal compliance and supervisory policies and procedures. In addition, Oren regularly analyzes regulatory and compliance issues related to limited offerings, investment advisers, public and private investment companies, broker-dealers, insurance product agents, and other financial industry entities under ERISA, the Investment Advisers Act of 1940, the Investment Company Act of 1940, the Securities Act of 1933, the Securities Exchangepro Act of 1934, and state Blue Sky laws.

Oren has also been involved with drafting and negotiating contracts for businesses involved in the cannabis industry, including relationship agreements among equity stakeholders, between business partners, and intercompany arrangements.  These agreements supplement his general contracting and corporate experience which includes merger, acquisition, and business planning documents, handling entity formation, corporate governance, and due diligence matters, supply and distribution agreements, referral, services, consulting, employment, and termination agreements.

Oren has represented financial firms before federal and state bureaus of securities and managed the regulatory and compliance filing process for start-up and existing financial firms. He also has experience conducting on-site compliance audits and mock regulatory examinations.

Prior to his career in private practice, Oren served as Law Clerk for the Honorable Amy Piro Chambers, P.J.S.C., Superior Court of New Jersey, from 2001 to 2002.

While in law school, Oren served as Managing Editor for the New England Law Review.  At the University of Delaware, he was a member of the Golden Key National Honor Society and the Alpha Kappa Delta Sociology and Criminal Justice Honor Society.

Articles

Publications

  • “You’re No Longer a Start-Up! Now What?” Norris McLaughlin, P.A., Bridgewater, NJ, October 10, 2018
  • “The DOL Fiduciary Rule – What It May Mean For Planners,” Financial Planning Association NY, New York, NY, May 25, 2016
  • “ERISA, Prohibited Transactions and the Role of the Fiduciary: What You Need to Know NOW,” Financial Planning Association NY, New York, NY, February 11, 2015
  • “ERISA, Prohibited Transactions and the Role of a Fiduciary – A Discussion on What Professionals, Service Providers and Fiduciaries Need to Know,” Financial Planning Association Chicago, Chicago, IL, October, 2014
  • “Regulation and the Investment Advisor,” Financial Planning Association of New York, November 9, 2011
  • “Practical and Legal Issues When Dealing With Technology Service Providers,” Grand Hyatt, Weston, Florida, February 19, 2011

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