With the ever-changing landscape of the banking and financial services sector, clients require the industry-specific knowledge and experience to address the challenges that arise from technological advancements and new laws and regulations. Our team plays a critical role in our clients’ long-term business strategies and creates a path forward to resolve issues and complete transactions at a competitive price point.

Tarter Krinsky & Drogin’s Banking & Financial Services Practice represents banks, FinTech companies, credit unions, mortgage companies, and other entities that operate in the banking and finance sectors. 

Leveraging our broad capabilities, we offer a multifaceted approach to serving the industry’s changing needs, assisting with privacy and data management, labor and employment, litigation and dispute resolution, mergers and acquisitions, workouts restructuring, and insolvencies, commercial lending, and intellectual property protection.

Our team is comprised of service professionals with wide-spread experience serving domestic and international banking and financial services clients. Many of attorneys have sophisticated backgrounds that range from a former SEC assistant director to Fortune 500 in-house general counsel and partners at top ranked global law firms. With decades of experience, our team is knowledgeable regarding cutting-edge issues in the law and industry, and we work closely with clients to advise on a portfolio of matters.

As strategic business advisors, we collaborate with our clients to navigate the complex cross-border regulatory framework that governs business transactions. We represent global companies at all stages of development in the U.S. and in international capital markets in both equity and debt financings. We advise on a broad range of corporate transactions including joint ventures, strategic alliances, antitrust laws, capital raising, mergers and acquisitions, tax matters, securities law compliance, corporate governance issues, investment management, property management, "going private” transactions, tender offers, and alternative financing techniques such as Special Purpose Acquisition Companies (SPACs).

We provide mindful, proactive, and holistic guidance on a variety of regulatory issues, including securities regulation, consumer protection laws, regulatory filings, audits, and investigations. We handle compliance relating to the Securities Act of 1933, the Securities and Exchange Act of 1934, the Investment Advisers Act of 1940, the Investment Company Act of 1940, Dodd Frank, Sarbanes Oxley, securities exchange listing and maintenance requirements, "Blue Sky,” Uniform Commercial Code, and other federal and state corporate and commercial laws.

Harnessing our broad network, we represent public and private issuers of equity and debt securities; investors, borrowers, and lenders in secured and unsecured financing transactions; issuers, underwriters, and placement agents in public and private offerings of debt, equity, and hybrid securities; and both borrowers and lenders in asset-based financings.

Within our banking and financial services practice, our capabilities include: