The global economic climate, increased competition, growth of litigation and sweeping regulatory reform have created one of the most challenging markets in memory for financial services companies. To navigate these challenges, companies across the full spectrum of the financial services industry rely on Waller for counsel in regulatory matters, litigation, strategic acquisitions, financial transactions, and day-to-day operations.
Recognizing that banking and financial services clients require legal services from a variety of disciplines, Waller created a multi-disciplinary team that addresses challenges from an industry perspective. Working together, the team of corporate attorneys, litigators, and tax advisors identifies issues and new developments relevant to the industry and develops a comprehensive response to the needs of clients.
Clients benefiting from our full-service, team approach include:
- Broker-dealers
- Commercial and investment banks
- Credit unions
- Electronic payment and financial technology companies
- Holding companies
- Investment advisers
- Outside directors, institutional trustees and other fiduciaries in the financial services sector
- Securities firms
- Specialty lenders
- Trust companies
The variety of services provided to the banking and financial services industry include:
Regulation, Transactions and Finance
- Governance and board counseling
- Initial and follow-on stock offerings
- Mergers and acquisitions
- Regulatory compliance and enforcement
- Rights offerings
- SEC reporting and compliance
- TARP/CPP compliance
- Trust preferred offerings
Financial Services Litigation
- Commercial civil litigation, including class actions
- Fiduciary defense and ERISA litigation
- Internal and governmental investigations and examinations
- Probate, trust and estate litigation
- Securities fraud defense
- Shareholder derivative litigation
Commercial Finance
- Asset-based loans
- Bond and public finance transactions
- Debt, securities, high yield notes and capital market offerings
- DIP financing
- Senior secured credit facilities
- Subordinated debt and mezzanine financing
Corporate Restructuring and Bankruptcy
- Indenture trustee and bondholder representation in bond defaults
- Representation of distressed asset purchasers
- Representation of secured lenders in Chapter 11 bankruptcy matters
- Secured lender representation in loan defaults and workouts