Banking | Financial Services


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, financing and capital 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 industry team that addresses challenges from an industry perspective. Working together, the team of corporate, regulatory, finance, and restructuring 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
  • Bank 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
  • 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, including complex mezzanine structures with extensive subordination and intercreditor arrangements involving senior and subordinated debt components

Corporate Restructuring and Bankruptcy

  • Indenture trustee and bondholder representation in bond defaults
  • Representation of distressed asset purchasers
  • Representation of lenders in bankruptcy proceedings
  • Secured lender representation in loan defaults and workouts

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