Financial Services
Guiding financial services businesses through complexity & growth
In the fast-paced and highly regulated financial services industry, navigating legal, regulatory and operational challenges is critical to success. We partner with financial institutions of all sizes — from global banking and wealth management firms to fintech start-ups and local credit unions — to help them stay compliant, resolve disputes and achieve their strategic goals in an increasingly competitive market.
Our team has decades of experience providing transactional, regulatory and litigation support tailored to the unique needs of financial services businesses. Clients turn to us for practical solutions and insightful counsel, whether they’re structuring a merger, ensuring regulatory compliance or addressing complex litigation.
Our attorneys have represented major brokerage houses, institutional trading firms, FINRA and NYSE member firms, niche market brokerages, investment advisory firms and non-bank lenders, including mortgage companies, life insurance providers and pension plans.
We offer a broad spectrum of services to meet the diverse needs of our financial services clients, including:
- Capital formation/securities
- Corporate governance
- Debt restructuring and workouts
- Director representation and defense advocacy
- Employment and labor relations
- Executive compensation and employee benefit plans
- FDIC-assisted transactions
- Lending
- Litigation and dispute resolution
- Merger and branch acquisition
- New bank organization
- Real estate matters
- Regulatory compliance
- Secondary market activities/residential mortgages
- Strategic planning
- Tax-advantaged financing
- Taxation
- Troubled institutions and 363 sales
Our attorneys understand the complexities of the financial services sector and offer access to expertise in complementary areas such as creditors’ rights and bankruptcy, corporate finance, real estate, environmental and litigation. This breadth of experience allows us to deliver tailored, integrated solutions that enable our financial institutions to thrive in this ever-changing sector.
