Representative Experience
  • Strategic Business Planning
    • Strategic planning for financial institutions, including capital planning, and overall business strategy.

      Structuring and raising equity and debt through public or private offerings.

      Structure changes and expansionary activities such as de novo formations, trust company formations, charter conversions, holding company formations, expansion of existing lines of business (trust, insurance, securities and non-banking activities).

  • Acquisitions Transactions
    • Advises clients on all matters related to the acquisition or sale of existing financial institutions and their non-bank subsidiaries and the acquisition, sale, establishment and relocation of branch offices.

      Mergers and acquisitions of banks with nonbank entities, such as mortgage companies, credit unions, fintechs, and investments in banks by third parties, such as platform acquisitions.

  • Corporate Governance
    • Advises boards of directors in connection with corporate governance, shareholder activism, and other fiduciary duty matters.

      Management and succession planning, incentive compensation, corporate succession matters and board advisory services.

      Shareholder matters including share repurchases/tender offers, responses to activist investors and related corporate governance planning.

  • Regulatory Compliance
    • Advises clients on a broad variety of bank regulatory and compliance matters, including consumer compliance, third-party risk, compliance management systems, incentive compensation, high-risk customers, transactions with affiliates and other regulatory and compliance matters.

      Responds to formal and informal administrative actions and supervisory issues.

      Advises banks and fintechs on risk management and compliance, including implementation of tailored compliance management systems.

  • Lending Transactions
    • Represents commercial banks, asset-based lenders and other financial enterprises in connection with secured and unsecured credit facilities, ranging from documentation and negotiation of single lender loan transactions to the structure of complex international multi-party syndicated transactions.

      Advises clients on many types of debt financings (including acquisition financings, financings involving specialized industries, leverage recapitalizations, workouts and debtor-in-possession financings) and security of various kinds of personal and real property.

  • Employee Compensation
    • Advises clients on the design, implementation and administration of non-qualified retirement and compensation arrangements, including Code section 409A arrangements.

      Advises on ERISA matters, tax and corporate law requirements and the impact of M&A transactions on employee compensation, including Code section 280G matters.

      Assists on ESOP transactions for public and private companies to infuse equity, manage corporate succession and restructure corporate groups.