Find Lawyers in California, United States for Financial Services Regulation Law
Practice Area Overview
Financial regulatory practices vary from firm to firm. Some law firms are limited to providing financial regulatory advice to a particular type of financial institution, such as a bank or insurance company. Others focus on bank mergers and acquisitions. Only a few have a full-scope practice consisting of financial regulatory and legislative advice; mergers and acquisitions when the target is a financial institution; capital markets transactions when the issuer is a financial institution; enforcement and other litigation when the defendant is a financial institution; and insolvency and restructuring when the insolvent party is a financial institution.
Financial regulatory and legislative advice consists of advising financial institutions on regulatory limitations and requirements related to their operations and strategy, including chartering and licensing, capital or liquidity requirements, restrictions on investments or activities, financial reporting, business conduct requirements, investor protection, consumer protection, transactions with affiliates, privacy, trading, hedging, and reporting financial crimes by customers or counterparties. It includes difficult statutory or regulatory interpretation where gaps or ambiguities in the law exist, commenting on proposed legislation or regulation, seeking clarification or regulatory changes, and advocating positions before regulatory agencies.
Mergers and acquisitions transactions consist of structuring and executing the purchase or sale of a financial institution, including obtaining all necessary regulatory approvals.
Capital markets transactions consist of structuring and executing the offer and sale of debt, equity, or hybrid securities, including compliance with any special disclosure requirements for financial institutions.
Enforcement and other litigation involve defending against an enforcement action by financial regulators, white-collar criminal defense, or otherwise defending financial institutions in litigation.
Insolvency and restructuring involves advising a financial institution, its creditors or a potential purchaser when the financial institution is in a troubled or failed condition and a regulatory agency is in charge of its reorganization or liquidation.
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Gordon Bava is a senior partner of the firm after serving for a decade as its Chief Executive and Managing Partner. Gordon’s practice focuses on mergers and acquisitions, special committee representation, private and underwritten securities offerings and general corporate representation of clients in a variety of industries. Gordon has conducted these services for public entertainment, utility and healthcare companies, local, regional and multinational financial institutions and holding...
Roland E. Brandel is a Senior Counsel in the San Francisco office of the international law firm of Morrison & Foerster. He is a member of, and served as the first chair of, the firm’s financial services practice group. He has written several books, including The Law of Electronic Fund Transfer Systems , The Community Reinvestment Act , Policies and Compliance , and Truth in Lending: A Comprehensive Guide and numerous articles on financial service topics. He has served as Chair of th...
Henry Fields has represented domestic and international financial institutions for more than 40 years. Mr. Fields advises banks in mergers and acquisitions and capital market activities, as well as private equity firms and other investors in the financial institutions sector. Mr. Fields has also represented numerous international banks on the establishment of branches, agencies, and representative offices in the United States. Mr. Fields provides financial services regulatory advice on a broa...
Tom Phelps is a renowned banking attorney who has worked with scores of financial institutions throughout the country. As a founding partner in the firm, he boasts a long and distinguished career serving banking, thrift and nonbank financial institutions. He is active in banking industry groups, including the California Bankers Association, where he previously served on the State Government Relations Committee and the Federal Government Relations Committee. Tom has been a featured speaker at ...
Erwin Shustak is the founder and Managing Partner of the Firm. He heads the Litigation and Arbitration Department, with over 40 years of extensive experience in a wide variety of complex disputes and transactions, across the country and overseas. Mr. Shustak specializes in litigations, trials, arbitrations and appeals of complex securities, financial and business disputes, with a particular emphasis in the areas of securities and financial services and regulation law. Few attorneys have the d...
As co-chair of the firm’s national consumer financial services practice , Chuck Washburn navigates the complex web of laws governing consumer financial services. Much of his work revolves around rules issued by the Consumer Financial Protection Bureau, created by the Dodd-Frank Act. In addition to proactively helping clients comply with laws, Chuck negotiates with CFPB staff attorneys and other representatives on behalf of clients who allegedly have violated compliance laws. He also int...
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