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Financial Services & Fintech

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The application of digital technology to financial services is transforming the future of finance.

Banking, financial services, fintech and insurance clients face complex challenges – from diverse economic climates and regulatory changes to the technological disruption that is reshaping our financial world. Whether navigating cutting-edge transactions, timely regulatory hurdles or high-stakes disputes, our multidisciplinary team approaches every matter as dealmakers, trusted advisors and problem solvers. 

Top-tier leveraged buyout and private equity firms, fund sponsors and fund investors, investment and merchant banks, fintech companies and other financial institutions turn to our lawyers to advise in a wide range of financing, securities and capital markets, mergers and acquisitions, private equity and other commercial transactions. By applying our depth of knowledge across disciplines, we deliver innovative solutions to our clients’ most complex legal and business needs.

Corporate: We advise on the full range of corporate and business transactions, including mergers and acquisitions, buyouts, investments, sales, joint ventures, equity financings, commercial partnerships and other strategic business deals, as well as all related Tax matters.

Digital Assets: We represent some of the largest and most significant names in the sector. With our exceptional depth of experience and comprehensive understanding of cryptocurrency, DeFi, DAOs and NFTs, we can help you navigate this complex and evolving space

Executive Compensation & Employee Benefits: We represent CEOs, CFOs, COOs, investment bankers, portfolio managers, private equity professionals, traders, analysts and other employees of financial service firms who turn to us for our commercial and practical experience in solving compensation, benefits and labor matters. We are often involved in the earliest stages of a company’s lifecycle, creating operating and partnership agreements, as well as employment, separation and restrictive covenant agreements, incentive compensation plans and ESOPs. 

Insurance Litigation: We regularly advise insurance companies on corporate and regulatory matters. We also regularly counsel insurers in insurance and reinsurance disputes involving credit risk insurance, residual value insurance, classic property and casualty insurance, business interruption losses, medical insurance and life insurance. We represent insurance company clients on a wide range of commercial and general corporate matters, including contract, employee, pension plan, shareholder and transactional matters, as well as regulatory and insurance holding company compliance matters.

Investment Funds and Advisers: Our leading private investment fund practice represents many large, well-known fund sponsors and fund investors in connection with their fund formation, capital raising, investments, compliance, registration and liquidity activities. We advise in all fund areas, including private equity, venture capital, mezzanine debt, leveraged buyout, distressed asset, hedge, funds of funds and other fund areas.

Labor & Employment: We work hand in hand with our clients’ corporate and HR teams to understand their business objectives and resolve the complex legal and employee-relations challenges they face on a daily basis. We structure and implement employment agreements, employee and HR policies, and non-compete provisions, as well as provide training regarding policies that prohibit workplace harassment and employment discrimination. In addition to mitigating employment-related risks, we effectively negotiate disputes and defend our clients’ claims in court. 

Mergers & Acquisitions: We are involved in all aspects of M&A transactions and have deep experience in structuring and implementing both national and cross-border deals. We represent all types of buyers and sellers, as well as special committees, investment banks and the lenders that finance acquisitions. Our 360-degree perspective on M&A deals gives us both a practical approach to structuring and the insights necessary to develop and implement creative solutions to new issues as they arise. 

Securities & Capital Markets: We represent securities issuers, underwriting and placing banks, secondary market participants and other parties across the spectrum of public and private capital markets transactions – from initial capitalizations and private equity rounds to IPOs and other complex public and private offerings of equity, debt and other securities, as well as heavily regulated secondary market transactions and more straightforward securities purchases and sales. We also assist a range of public companies, funds and shareholders with their ongoing public reporting. In addition, we advise companies, boards and other clients on Sarbanes-Oxley Act compliance, emerging Dodd-Frank Act issues and other legal and regulatory matters that arise from the offering, underwriting, placing and trading of securities.

Technology, Data & IP: The success of your company depends on protecting your brand and retaining customer trust. We advise on the full range of legal services relating to the acquisition, enforcement and commercialization of IP assets. We also counsel clients on the unique intellectual property issues affecting fintech companies and their transactions and data. 

Venture Capital & Private Equity: For venture capital and private equity firms, we leverage our deep experience in private investment fund formation, emerging company representation and complex transactional work. We consistently rank as one of the most active practices in the United States in the area of venture capital and private equity investments. 

Recognition

Chambers USA ranked Morrison Cohen’s Digital Assets Practice and Partner Jason Gottlieb in its FinTech Guide 2023 (USA). Both the practice and Jason, the department chair, were ranked in Band 2 under Crypto-Asset Disputes and in Band 3 under FinTech Legal: Blockchain & Cryptocurrencies.

Representative Experience

Represented HSBC Bank USA, N.A., in various financing transactions, including first and second lien financings, term loans, revolving loans and convertible loans.

Represented a portfolio company of a private equity firm in a $230 million first lien credit facility and a $50 million second lien credit facility incurred in connection with an acquisition.

Represented a private equity firm in a $120 million first lien revolving credit facility and a $50 million second lien term loan facility incurred in connection with the acquisition of a transportation and logistics company.

Represented Bank of America in various commercial lending transactions, as well as in loans to high net worth individuals.

Represented BCA Mezzanine Fund in various mezzanine lending transactions.

Represented a lead agent bank in connection with a $110 million senior secured credit facility provided to a law firm for the financing of its leasehold improvements and other general corporate and working capital requirements.

Represented North Castle Partners, a private equity fund sponsor, in numerous investments, acquisitions and dispositions.

Represented Littlejohn & Co., a private equity fund sponsor, in numerous investments, acquisitions and dispositions.

Represented JP Morgan Asset Management in numerous investments, including control investments.

Represented Credit Suisse and its portfolio companies in numerous investments and co-investments.

Represented Pegasus Capital Advisors, a private equity firm, in various investments.

Represented Evercore Capital Partners and a number of its portfolio companies in various investments.

Team Contacts

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Bruce P. Levine's headshot
Randi Mason's headshot
David P. LaGalia's headshot
Latisha V. Thompson's headshot
Keith A. Markel's headshot
G. William Haas's headshot
Darcy M. Katris's headshot

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