Banking and Financial Services

Banks operate in a world fraught with regulations, pending legislation, examination, enforcement, and an endless barrage of critical issues. Our role, as corporate, securities, and regulatory counsel, is to thoroughly understand your business. We help minimize risks and maximize opportunities.

Our wealth of corporate, securities, and bank regulatory experience includes representation of both small and large banks and financial services institutions. Like all businesses though, banks and financial service institutions have a myriad of problems to solve involving employment issues, benefits programs, corporate governance practices and litigation.  We have experienced lawyers in all these areas that can aid and counsel our clientele.

In addition, we have specific and extensive experience in the unique field of banking and financial services, including,

  • Assisting with filing and compliance obligations with relevant regulatory agencies, and providing counsel concerning examinations and audits by regulatory bodies.
  • Where necessary, acting as an advocate and liaison with federal and state banking regulators and guiding our clients through the maze of regulatory problems from strategies covering subsidiaries to holding company issues.
  • Working with both de novo and existing banks, from preparing application packages to regulatory authorities, to crafting articles, bylaws, employment agreements, offering statements, intellectual property filings and stock incentive plans.
  • Structuring, negotiating, and documenting significant loan transactions, whether asset-based or cash flow lending, commercial lines of credit, acquisition funding, construction and real estate lending, SBA loans, and equipment leases.
  • Handling all phases of workouts, bankruptcies, reorganizations, foreclosures, restructurings and liquidations.
  • Conducting and working on a wide variety of commercial litigation matters, including collection actions, bankruptcy, employment issues and complex civil litigation.
  • Assisting our clients with capital raising transactions, whether private placements or public offerings of debt and equity securities, as well as leading our clients safely through the unique world of financial institution mergers and acquisitions.
  • Advising clients in connection with SEC reporting obligations, proxy statements, Sarbanes-Oxley Act requirements and other corporate governance matters.

Contact SGR to arrange a consultation.

 
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