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 is committed to meeting the sophisticated legal needs of clients in the financial services field.


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