Our attorneys have worked with virtually every type of client in the financial services industry, including banks, mezzanine lenders, commercial finance companies, insurance companies, securities firms, investment advisory firms, investment banks, and venture capital firms. We offer practical legal guidance based on our attorneys’ significant experience and access to a broad array of resources, including the support and experience of attorneys from our Business and Finance, Real Estate, and Litigation practice areas.

We provide our financial services industry clients legal services and counseling in the areas of:

  • Mergers and acquisitions, joint ventures, and strategic alliances;
  • Lending transactions;
  • Borrower transactions and legal opinions;
  • Public finance;
  • Shareholder and partner disputes and litigation;
  • Insurance coverage counseling and litigation;
  • Restrictive covenant litigation;
  • Employment and independent contractor counseling;
  • Executive compensation;
  • Government relations;
  • Bankruptcy and workouts;
  • Marketing and public relations; and
  • Tax planning.

Examples of our attorneys’ successes in representing clients involved in financial services include:

  • Advising and counseling financial advisors and firms in connection with restrictive covenant and transition issues, and enforcing and defending restrictive covenants on their behalf.
  • Representing a start-up options trading company in the acquisition of software and related equipment in return for a net profits interest.
  • Acting as underwriter’s counsel for major investment banks in the underwriting of tax-exempt and taxable bonds. We also represent financial institutions as trustee’s counsel in revenue bond matters.
  • Representing financial institutions in commercial litigation matters, including contract disputes, lender liability claims, repurchase litigation, and contract disputes.
  • Advising lenders in financing transactions for asset and stock acquisitions, private equity investments, real estate acquisitions and development, construction loans, trade finance, and asset-based lending (including equipment, inventory. and receivables financing), as well as regarding general working capital finance.
  • Representing corporate clients in their borrowings. This work involves substantial due diligence, negotiation of the underlying documentation with financial institutions, and the preparation and delivery of legal opinions. We also often act as local counsel for borrowers in providing opinions for multi-state transactions.