Banking and Financial Institutions - Securities

Barnes & Thornburg attorneys regularly serve as securities counsel for our financial institution clients, assisting them with all of their ongoing disclosure and reporting requirements with the SEC (e.g., Forms 10-K, Forms 10-Q, Proxy Statements, and Shareholder Annual Reports) and the unique disclosure issues affecting financial institutions (such as compliance with capital requirements). We have assisted our publicly traded clients in their acquisitions of public and private institutions, branches, asset portfolios and nonbank entities. We also assist our clients in capital formation transactions and have formed bank holding companies and de novo banks. Our bank financing experience includes registered securities offerings on behalf of these clients, including public offerings of preferred and common stock and subordinated debt, private placements and securitized asset financings, including securitized credit card receivables financings and automobile loan securitizations.

Attorneys at Barnes & Thornburg also have extensive experience representing investment adviser affiliates/agents of banks in both regulatory matters (state, federal and SROs) and private litigation and arbitration. Our attorneys have significant experience representing participants in the securities industry, including broker-dealers and have provided general corporate, securities and regulatory legal services to these entities.