Jacob Prudhomme

Expertise

Jake is a commercial and financial services lawyer who advises entrepreneurs across a broad range of industries, from privately held regional companies to leading digital-asset firms operating in regulated markets. His work spans operational matters, contracts, transactions, disputes, and regulatory issues. A former SEC Senior Counsel, Jake also serves as a specialist adviser to broker-dealers, investment advisers, banks, and trading platforms.

Jake brings more than twenty years of experience across government, capital markets, and consulting. During his time at the US Securities and Exchange Commission, he worked on market-structure oversight, broker-dealer and investment-adviser examinations, and various trading-related reviews. He later held senior advisory roles at S&P Global Ratings and Freddie Mac, and advised at Director level within KPMG’s Financial Services practice. Jake combines deep regulatory insight with commercial judgment, assisting clients as they respond to examinations, address remediation demands, manage enforcement exposure, and resolve supervisory issues.

Jake has extensive experience with broker-dealer and investment-adviser regulatory obligations, ranging from entity formation and compliance program development through to regulatory remediation, custody, and capital-markets trading issues. Additionally, he has extensive experience in cybersecurity and data protection, digital assets, AML/KYC, and emerging market-structure and technology developments in the crypto space.

Jake also maintains an advisory practice suited for privately held and early-stage companies, providing fractional general-counsel support across commercial contracting, operational planning, transactions, and disputes.