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Practice Areas :
Business
:
Banking and Financial Institutions
General
The Patton Boggs Banking and Financial Institutions group is nationally recognized as a premier provider of legal representation to financial sector businesses located both in the United States and internationally. We specialize in the representation of financial institutions and financial intermediaries, including commercial banks, savings institutions, bank and thrift holding companies, mortgage companies, REITs, broker-dealers, investment advisors and specialty finance companies.
A key focus of our practice is counseling and assistance on matters related to banking finance and regulation. Our attorneys regularly advise clients on the full scope of issues encountered in dealings with, and applications pending before, the Federal Reserve, the Federal Deposit Insurance Corporation (FDIC), the Office of the Comptroller of the Currency (OCC), the Office of Thrift Supervision (OTS), as well as state agencies governing financial services. Our assistance in this area extends to counsel during official investigations or enforcement actions and failing bank matters. Several members of the group have joined the firm from senior positions in these regulatory agencies, bringing an “insider’s perspective” to client concerns and issues.
We also represent financial service companies with regulatory issues related to formation, product offerings, governance and complex transactions. Our team counsels and assists financial sector firms with respect to securities reporting requirements, executive compensation and employee benefits, and corporate governance regulation.
Public and Private Offerings
We also represent financial institution issuers and underwriters in connection with initial and secondary public offerings, including offerings by both issuers and selling security holders. The group has extensive experience involving offerings of common stock, preferred stock (including convertible preferred stock, market auction preferred stock and preferred stock with floating dividend rates), high-yield debt securities, trust preferred stock, convertible debt securities, units consisting of common stock and warrants or debentures and warrants, and other securities.
Mergers and Acquisitions
Our attorneys have extensive experience representing acquiring companies and target companies in public mergers, tender offers and asset sale transactions involving both cash and stock consideration. Our experience includes auction transactions, ‘friendly’ transactions and hostile transactions. Typically, our involvement commences with the earliest stages of a party’s involvement, and continues through due diligence, definitive agreement negotiation, SEC, anti-trust and regulatory review (if applicable) and finally, closing.
The group also represents issuers and placement agents in private offerings involving the types of securities described above and in offerings under Regulation S and Rule 144A.
Reporting Companies
Patton Boggs represents public companies in connection with the preparation and filing of annual, quarterly and interim reports with the Securities and Exchange Commission (SEC), responding to shareholder proposals, preparation and filing of proxy statements and information statements, disclosure of material developments and “negative news,” establishment and conduct of stock option, restricted stock and stock repurchase plans and programs, and compliance with beneficial ownership reporting and short swing profit rules and other obligations as well as listing on the New York Stock Exchange, NASDAQ, American Stock Exchange and other markets. Several members of the group have joined the firm from senior positions within the SEC.
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