Financial Services

The deep experience of our lawyers both as in-house and outside counsel at a wide range of financial institutions and regulatory agencies enables us to provide insightful legal advice informed by a comprehensive understanding of our clients businesses.

Our clients include banks, commercial lenders, borrowers, investment advisors, hedge funds, private equity funds, real estate funds and other financial institutions. Our attorneys also have extensive experience in mortgage-backed and asset-backed securities and are experts in all federal securities laws and regulations.

Because of the depth of our financial services group and the firm as a whole, we are able to bring together teams of attorneys who are leading practitioners in their fields to handle the array of needs financial services clients may have, including litigation, bankruptcies and workouts, corporate compliance and white collar criminal defense, broker-dealer representation, hedge fund and investment advisor act matters, mutual fund regulation, private equity and venture capital fund formation and transactional representation, private offering memoranda, investment documentation, registration statements, and securities and corporate finance work, in the US and internationally.

Whatever the size and scope of the engagement, Butzel Long is committed to meeting the sophisticated legal needs of clients in the financial services field.

MORE ATTORNEYS
  • Closed on Series D venture capital financing
  • Organized private equity and venture capital funds
  • Acted as issuer’s counsel for public debt offering for a financial services firm.
  • Assisted venture capital firm with Series A Preferred Stock investment in new start-up company together with organizational work
  • Acted as issuer’s counsel for the initial public offering of software company.
  • Represented a machinery company in a sale to an ESOP and related commercial financing
  • Represented infrastructure investment fund in proposals to acquire port facilities.
  • Organized hedge funds including hedge fund of funds
  • Assisted a rubber hosing company with the disposition of operations in Canada and the U.S.
  • Representation of public company in connection with SEC investigation.
  • Preparation of numerous dividend reinvestment and share repurchase plans for public companies including all required filings with SEC.
  • Representation of calling card company in adversary proceeding arising out of WorldCom bankruptcy proceedings
  • Created loan/financing structure for capital acquisition and industrial expansion for Canadian and U.S. structure and operations
  • Representation of investment adviser for formation of hedge fund of funds.
  • Represented publicly-held utility holding company in proposed $3 billion acquisition by private equity investors.
  • Assisted with purchase and sale of investment advisory businesses
  • Counsel for public companies in manufacturing, bio-medical, technology and real estate industries in going private transactions including all filings with SEC.
  • Defense of foreign bank in “clawback” litigation commenced by Fairfield Sentry, significant “feeder fund” to Bernard L. Madoff Investment Securities.
  • Filed amicus curiae brief with the U.S. Supreme Court on behalf of 13 state-specific mutual-bond funds, addressing the issue of whether income-tax exemption for interest income from in-state municipal bonds violates the Constitution's Commerce Clause
  • Acted as issuer’s counsel for initial public offering and follow on offering for real estate investment trust.
  • Provided regulatory advice for fee structures, advertising activities and other operations matters
  • 3rd tranche of Series B Preferred Stock Venture Capital Financing
  • Assisted a pharmaceuticals company in several rounds of venture capital financing
  • Representation of technology company in Series A and Series B venture capital financings, including due diligence, bridge financing, investor documentation, employment agreements, etc.
  • Acted as counsel for issuers and for participating broker-dealer firms in many private securities offerings pursuant to SEC Regulation D, Regulation S and various state exemptions.
  • Registered equity offering for publicly traded real estate trust
  • Assisted with preparation of investment management agreements, solicitor agreements and other agreements relating to investment advisory business
  • Creation of novel China oriented mutual fund
  • Successfully closed a complex, $50 million private equity financing including a reincorporation merger and a myriad of difficult pre-closing transactions
  • Represented Santa Rosa Consulting in its $25 million equity capitalization by private equity investors
  • Assisted defense subcontractor in disposition to an affiliate of a foreign contractor
  • Registration of federal only and state investment advisers including assistance with FINRA and state filings, preparation of compliance manuals, privacy policies and compliance procedures
  • Advised the special committee of the board of directors of a building products company in a management-led acquisition
  • Representation of health services company in reverse merger with a public company as means of going public.
  • Recapitalization transaction with a private equity investor for an IT consulting company
  • Representation of broker-dealer firm in SEC receivership proceedings under SIPC resulting from net capital violations.