In 2008, the world as we know it changed. Increased oversight, compliance, and reporting requirements have challenged the financial services industry to find new ways of doing business. Our Financial Services Practice attorneys have the industry experience to address the challenges facing your business. Our attorneys can guide you through laws and regulations, transactions, compliance, litigation, and other business issues in the United States and globally.
We represent underwriters, venture capital firms, private equity funds, mutual funds, commercial banks, investment banks, insurance companies, and other financial investment organizations, including institutional investors, such as pension funds, universities, and corporations. We have had great success representing financial institutions, corporate officers and directors, issuers, underwriters, and auditors in high-stakes securities-related litigation, government enforcement actions, and appeals before federal and state courts and regulatory bodies. We represent scores of issuers of securities and companies accessing both debt and equity capital through public and private investment sources, including traditional, nontraditional, alternative, and cutting-edge funding sources.
Bondholder & Trustee Representation
We regularly represent bond investors and trustees in structuring and negotiating traditional and alternative bond financing structures, particularly in the tax-exempt arena.
When bonds go bad, our attorneys can assist you with distressed debt workouts. We will work with you to develop a capital recovery strategy that takes into account your credit, legal, and tax implications as a bondholder or trustee as well as the rules of the tax-exempt market. Our team includes highly experienced bond, restructuring, tax, and securities law attorneys, and we are nationally known for our work representing bondholders and trustees in troubled credits and financing structures.
If you are a public or private company, we can represent your business in the negotiation of capital raising financings to help you achieve your corporate growth goals. If you are an investor or underwriter, we can assist you in the investigation, structuring, and negotiation of your investment and underwriting engagements. Whether accessing funds through publicly traded markets or private sources, such as crowdfunding, individual or angel investors, private equity, or venture capital funds, Mintz Levin has the necessary experience and connections to help deliver the funding to meet your objectives.
Initial Public Offerings & Follow-On Debt & Equity Financings
We have extensive experience in counseling underwriters of initial public offerings and follow-on equity and debt financings and we will use that knowledge to help you close the best deal as quickly and efficiently as possible. We have worked with both broad-based, internationally recognized financial institutions as well as industry-focused financiers.
Institutional Investor Class Action Recovery
As an institutional investor, it is part of your fiduciary duty to pursue your claims in securities class actions and settlements. Mintz Levin represents institutional investors as claimants in securities class actions and SEC, NASD, and DOJ settlements throughout the United States as well as in international investor settlements. We monitor pending and settled securities class actions and other regulatory investor settlements, and will advise you on what the best course of action may be for ones where you have holdings. What’s more, our representation is protected by attorney-client privilege and attorney work product doctrine, unlike a claims processing service.
Institutional Investor & Pension Fund Counsel
Mintz Levin’s attorneys not only understand the needs of institutional and pension fund investors, but also how to do the work required to successfully close even the most sophisticated transactions, including public offerings and private placements of both equity and debt securities, and acquisitions and dispositions of enterprises and strategic alliances. Our fund management experience includes serving as purchaser’s counsel, representing a number of tax-free bond funds as lead investor in bond financings, and as counsel to independent trustees. We also provide counsel for institutional investors, such as mutual funds, private investment funds, universities, private corporations, and retirement funds for both their formation and investment needs.
Litigation & Investigations
The tangible and intangible costs of government investigations, litigation, and enforcement actions can be staggering for you and your company. And in an industry that is highly regulated and under constant scrutiny, it’s critical to have experienced counsel representing you. Our team can help you prevent compliance problems before they occur by designing and implementing comprehensive programs to detect and prevent issues before the government becomes involved. If you are the subject of a government investigation or enforcement action, we can lead the internal investigation and manage your response to governmental inquiries. Our attorneys have a successful track record representing clients in securities class actions, derivative suits, litigation, anti-money laundering matters, high-profile white collar crime cases, and SEC, FINRA, or other regulatory investigations and enforcement proceedings. We take an aggressive and cost-effective approach to defending you and will not hesitate to take a case to trial if it is necessary and in your best interest.
Fund & Brokerage Counsel
It’s good to have attorneys you can contact about any aspect of your business activities. Mintz Levin offers that kind of counsel and representation. Our clients include business development corporations, hedge funds, private equity funds, mutual funds and mutual fund managers. Our experience includes advising on product development, organization, formation, and establishment and maintenance of operating procedures as well as handling the securities, tax, and ERISA work involved at each of those stages.
Venture Capital & Private Equity Investor Representation
Whether you’re interested in making an early- or seed-stage investment or are involved in a multi-investor or mezzanine financing, Mintz Levin’s attorneys are in familiar territory when advising individual investors, venture capital and private equity funds, and pools of investors in all types of financing. If you need help with fund formation, you will benefit from the fact that we have organized multiple funds, regularly representing investors in funds, and we represent those funds in the sale of limited partnership interests and other securities to investors in the United States, Europe, Japan, and elsewhere in the Pacific Rim. We represent a number of International institutions and families in connection with their US portfolio investments and have also been active in American investments in foreign securities.
Workouts & Bankruptcies
Our lawyers will not only help you develop a capital recovery strategy, but also will vigorously implement it. With Mintz Levin, you have a multidisciplinary team of seasoned bond, restructuring, tax, and securities law attorneys who are known for representing bondholders and trustees in troubled credits and financing structures.