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Corporate and Regulatory

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Offering prompt, high quality, cost-effective legal services and industry insight in a wide variety of regulatory, transactional, lending, financing and investment areas.

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Practice Overview

Overview

We help financial services businesses and their owners with legal challenges arising from transactions occurring throughout the course of business, from initial formation to acquisition and sale transactions. Our team-based approach allows us to provide prompt, high quality, cost-effective legal services and industry insight for regulatory, transactional and corporate matters.

Clients include all sizes of national and state chartered banks providing commercial and investment services; thrifts and savings banks; bank holding companies, affiliates and their subsidiaries; independent and captive finance companies; mortgage companies; finance companies; trust companies; public and private investment funds; credit unions, wealth management companies; non-traditional lenders; and vendors providing goods and services to the industry.

Our services include:

  • Capital Raising. We navigate clients through the complex requirements of both securities and banking laws in raising capital. This includes private and public offerings, debt offerings, shelf offerings and providing regulatory advice regarding legal requirements.
  • Corporate Support. We advise clients on the formation and maintenance of corporate organizational structures, and oversee all related contracts and documentation. We developed the Bank Directors Toolkit, a secure online site for financial institution directors to access company data, board packages, legal forms and regulatory issuances. We also provide training, data storage and material management.
  • Mergers and Acquisitions. Our Firm is consistently listed by SNL Securities as one of the leading law firms in the United States in mergers and acquisitions activity. We advise clients on acquisitions; help with merger, stock and asset purchases; and oversee post-closing transitional matters.
  • Regulatory and Compliance. We represent our clients' interests before the various local, state and federal administrative and regulatory agencies, and guide them through creating new businesses in the financial services industry. We help clients in FDIC receivership situations, and have formed many subsidiaries for institutions to expand into other areas of the industry.
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