Jephte Lanthia ESQ.,

Securities Attorney

Jephte Lanthia is the managing attorney of Lanthia Legal, a boutique law firm focusing on corporate and securities, fintech, and crypto/blockchain-related transactions. Mr. Lanthia began his legal career as an associate at a New York boutique securities law firm that advised hedge fund and private equity fund managers on structuring investment vehicles, securities offerings, broker-dealer regulation, and other compliance matters regarding the securities industry.

He has advised a broad range of clients—including startups and publicly traded companies, small exempt reporting advisers and large registered investment advisers, as well as individual investors and large institutional investors. He has significant experience in addressing complex issues relating to the Securities Act of 1933, the Securities Exchange Act of 1934, the Investment Advisers Act of 1940, the Investment Company Act of 1940, and FINRA regulations.

Mr. Lanthia has also been involved in the fintech/blockchain space since 2014 and has advised foreign and domestic entities on various regulatory compliance issues. He has advised token sellers, cryptocurrency exchanges, token marketers, crypto funds interested in trading and investing in digital assets, and other participants in the space. As a former teacher, Jephte was a mentor for Blockchain For Schools, a non-profit organization that introduces high school students to education regarding blockchain, cryptocurrency, and companies participating in the space.

Mr. Lanthia is well-versed in regulatory developments affecting the securities in regulatory developments affecting the securities industry. Most recently, he was a Special Counsel in the Office of the Advocate for Small Business Capital Formation Office at the U.S. Securities and Exchange Commission. In that capacity, he advised the Office on various proposed rules promulgated by the Commission, evaluated congressional bills introduced by the U.S. Senate Banking Committee and the U.S. House Banking Committee, and provided recommendations on the impact of the proposed rules on small businesses (including small reporting companies) and their investors, including venture capital funds and emerging fund managers.

Mr. Lanthia remains an avid follower of issues affecting the investment and securities industry and regularly attends several continuing legal education seminars to confer with his colleagues on recent regulatory developments, including enforcement actions, no-action letters, proposed and final rules, and guidance and exemption orders from the SEC, FINRA, CFTC, and FinCEN.

Mr. Lanthia has held FINRA licenses Series 7 and Series 66. He earned his B.A. from Jackson State University in 2003, a Master’s degree in Music and Jazz Pedagogy from Northern Illinois University in 2005, and a Juris Doctor from Penn State Law in 2012. In his spare time, he enjoys performing with various jazz groups and spending time with his family.