Financial Products & Services

We represent clients in establishing, acquiring, and operating new lines of business and product offerings, including securities underwriting and dealing; brokerage; investment advice; investment funds; IRA, retirement account and pension servicing; sweep and other deposit products; lending, credit, debit, and other card operations; funds and other money transmission; fiduciary and investment management activities; insurance; and leasing.

  • Broker-Dealer and Investment Advisers. We represent broker-dealers and investment advisers on regulatory matters related to their creation, expansion, services, and operations.
  • Private Investment Funds. We represent clients in the creation, operation, and offering of private investment funds, in establishing and structuring the management companies that operate private equity and venture capital funds, and in connection with portfolio investment transactions by the funds. We advise clients on new fund development and structuring, required documentation, and compliance with state and federal securities and banking laws including the Volcker Rule. We are also familiar with issues relating to specialized investment funds, such as SBICs, business development companies, collective investment funds, and employee securities companies.
  • Private Banking. Drawing on the resources of our trust and estates, ERISA, and tax attorneys, our financial services team also represents clients in the bank and securities regulatory and fiduciary law aspects of operating a trust department, trust company or family office.
  • Special Purpose Institutions. Our lawyers have helped create special purpose institutions designed to take advantage of favorable regulatory treatment and exploit niche markets. For example, we assist clients in establishing non-depository banks and thrifts created to offer trust services on a nationwide basis, as well as credit card and other limited purpose institutions. In addition, we have established limited purpose entities in order to facilitate the orderly liquidation of numerous financial institutions.
  • Credit Card/Debit Card/Stored Value and Payments Systems. We assist clients in the card area with litigation, product development, and regulatory policy, and in negotiations of their processing, co-branding, and other agreements. Our clients include representatives of all parts of the credit and debit card industry, including one of the major credit card associations, card issuers, diversified financial services companies offering card products, merchant processors, merchants, and ATM and POS operators. We represent clients that operate other types of payment systems, as well. Clients in this area include funds and other money transmitting companies, a major government-sponsored enterprise, and merchants in a variety of online businesses.
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