Financial Services

Perhaps the most valuable currency in Financial Services is trusted advice. That’s why clients come to you and why Financial Services institutions—from banks to investment advisers to insurance companies—come to us.

The advice we’ve been offering to our clients for decades is borne of deep experience and a thorough understanding of the complex financial landscape. At Woods Oviatt Gilman, we provide sound counsel and unparalleled representation to help you achieve your objectives while navigating complex, continually evolving regulations.

From helping a community bank in raising capital to an investment adviser launching a new fund to assuring the seamless sale of an investment firm, our diverse set of attorneys offers comprehensive legal services, keen insights, uncommon responsiveness, and reasoned judgment. The highest-quality partnerships help firms comply with regulatory requirements, perform ongoing transactions and operations, grow, find the next generation of ownership, and ultimately achieve their individual goals.

To find out more about our Financial Services team and its offerings, contact Gregory W. Gribben.

Examples of Representative Matters:

  • Represented multiple bank and bank holding company issuers with investment transactions to increase regulatory capital using different types of funding instruments, including common and preferred equity and subordinated debt.
  • Numerous merger and acquisition transactions as counsel to both buyers and sellers of registered investment adviser firms and individual financial advisory practices.
  • Public stock for stock merger of bank holding companies as counsel to acquirer.
  • Represented multi-million dollar not-for-profit group with holding company restructuring.
  • Launch of over $300 million of private investment funds as counsel to sponsors.
  • Counsel to national and state-chartered banks in acquisitions and launches of financial service subsidiaries.
  • Counsel to issuer bank holding company in multi-million dollar SEC qualified Regulation A common stock offering.
  • Represented federal savings bank in state charter conversion.
  • Represented savings and loan holding company in "going dark" transition and SEC deregistration.
  • Represented endowment with private equity and venture capital fund investment totaling over $240 million.