Thomas M. Maxwell

Tom’s regularly advises on a wide range of strategic transactions for clients that include virtually all types of financial institutions, such as banks, savings associations, credit unions and mortgage companies. He has organized banks and trust companies, represented buyers and sellers in acquisition transactions, formed holding companies for depository institutions, represented financial institutions as issuers in securities offerings, structured and obtained regulatory approval for acquisitions, and represented financial institution clients in regulatory proceedings.

Tom also advises financial institution clients on a full range of regulatory matters, including issues arising under the federal Bank Secrecy Act and state and federal consumer compliance laws, such as the Real Estate Settlement Procedures Act and Truth in Lending Act. He regularly consults with representatives of state and federal banking agencies to help resolve complex regulatory matters for clients.Tom’s practice also includes advising non-financial institution clients on general securities and corporate law matters. He has acted as issuer’s and underwriter’s counsel in numerous offerings of securities, including initial public offerings and private placements. He also regularly advises publicly held companies and their directors on corporate governance issues, disclosure obligations and other matters under federal securities laws.

Additionally, Tom advises corporations, partnerships and limited liability companies in a variety of complex transactions, including mergers, acquisitions, sales of assets and secured financings.