Kristen has more than two decades of experience guiding businesses in their financing strategies.
Her current practice centers on advising innovative companies – from startups to growth-stage – on the full range of corporate and securities matters, including securities offerings, investment vehicles, and broker-dealer, investment adviser and alternative trading system regulations.
Kristen has a particular fluency in the unique needs of cryptocurrency businesses and use of the Regulation A+ token securities offering.
Her experience as general counsel for a $20 billion financial services firm brings strong business perspective to her legal practice. She enjoys working closely with clients to accomplish their business goals, tailoring legal advice and solutions to fit each client’s operations, industry and risk profile, with a problem-solving mentality.
Securities + Financing
Kristen has advised:
- Investment advisors on SEC registration, exemptions, and compliance
- Cryptocurrency exchanges in broker-dealer registration and alternative trading system (ATS) matters
- Regulation A+ token securities offerings
- FinTech cryptocurrency trading entity on SEC and FINRA matters
- Private fund formation and offering for real estate investments
- Private equity fund formation and global offering for early-stage technology investments
- Formation of a registered Investment advisor
- eREIT formation and offering (Regulation A+)
- Private fund on cryptocurrency and token securities
- Advised on crowdfunding and crowdfunding portal matters
- Public company securities offering and proxy solicitation matters
- Mutual fund registration, prospectus preparation and regulatory compliance
- Collective investment trust formation
Technology + Retail
Kristen has represented:
- Technology clients in services contracts with Exxon-Mobil, Adidas, Jim Beam Brands, Canon Europa, Jaguar, Mitsubishi, Apple, Amazon, Panasonic, Bloomberg, Charles River and others
- Technology clients in mergers & acquisitions and other corporate transactions
- Technology agreements in private offerings, development agreements, and licensing
- Food & beverage companies in contracts, private offerings, and distribution deals
- Media companies in equity and debt offerings and licensing
Financial Services Industry
Kristen has represented:
- Financial firms in broker, service and related contracts with BNY Melon, Citibank, Fidelity, Charles Schwab, Northern Trust, SEI and others
- Advisers in client agreements with Caterpillar, Dun & Bradstreet, HSBC, MetLife, State Farm, UFCW and others
- An investment manager in $2.1 billion mutual fund by John Hancock
- Investment manager outsourcing portfolio accounting and other back office functions to BNY Mellon
- Borrower in $60 million loan from US Bank
- A public company in acquisition by another public company for $770 million
Before Fox Rothschild
Prior to joining Fox Rothschild, Kristen was a principal at Riddell Williams.
Kristen previously held the position of General Counsel and Corporate Secretary at Rainier Investment Management, an investment management and mutual fund company, where she oversaw all legal matters, served on the executive team and managed outside counsel. Before that, she was Corporate Counsel at Quantum, where she managed a wide range of legal matters for global technology company with offices throughout the United States, Europe and Asia.
Beyond Fox Rothschild
Kristen cherishes her time exploring the beautiful Pacific Northwest and beyond with her children and husband, particularly by kayak, and cheering on youth soccer and the Seattle Sounders.
Honors & Awards
- Named to Washington's “Super Lawyers Rising Stars”
- Profiled in “Top of Mind” series in Corporate Counsel magazine