Skip to main content

Financial Services

Sophisticated Counsel for Today’s Complex Challenges

In the current fiscal and regulatory climate, increased oversight and reporting requirements have challenged the way in which the financial services industry conducts business. Our attorneys keep their focus forward, partnering with you to overcome each new challenge while readying for the next one. We can guide you through laws and regulations, high-stakes litigation, enforcement proceedings initiated by government agencies, transactions, compliance, and other business issues in the United States and abroad.

Sign up for insights

Share Awards

Our Experience

Case Study
Mintz represented Anglo Irish Bank in a successful New York County Supreme Court action to foreclose $165 million in construction loan mortgages. The judge authorized a receiver to complete construction of the building and charge the financing of the bank to the mortgager.
Case Study
Mintz represented John Hancock Financial Network in its acquisition of certain assets of Transamerica Financial Advisors Inc. The deal grew assets under John Hancock’s broker-dealer to nearly $50 billion.
Case Study
Mintz secured an arbitration award of more than $140 million for bank and insurance bondholders following a Eurobond default. The matter against the British Virgin Islander bond issuer, the Egyptian guarantor companies, and two individual owners was found to involve fraud and misappropriations of assets.

Our Approach

Our attorneys have decades of 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 have a history of skillfully representing 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. 

We know your industry: we have unparalleled knowledge of the laws and regulations that govern your industry, and we have the team to work with you to navigate this complex maze and achieve your business objectives.

Services We Provide
  • Bondholder and trustee representation
  • Venture capital and private equity investor representation
  • Initial public offerings and follow-on debt and equity financings
  • Institutional investor class action recovery
  • Institutional investor and pension fund counsel
  • Fund and brokerage
  • Litigation and investigations
  • Corporate financings
  • Workouts and bankruptcies
​Clients We Serve
  • Investment and commercial banks
  • Futures commission merchants (FCM)
  • Venture capital and private equity funds
  • Companies accessing capital through private investments
  • Broker-dealers
  • Foreign and options exchanges
  • Insurance companies
  • Angel investors
  • Issuers of securities
  • Mutual funds
  • Pension funds
  • Underwriters
​History of Success Before US Regulators
  • Securities and Exchange Commission (SEC)
  • Financial Industry Regulator Agency (FINRA)
  • National Futures Association (NFA)
  • Federal Bureau of Investigations (FBI)
  • Commodity Futures Trading Commission (CFTC)
  • Board of Governors of the Federal Reserve System
  • Office of the Comptroller of Currency (OCC)
  • Federal Deposit Insurance Corporation (FDIC)
  • Financial Crimes Enforcement Network (FinCEN)
  • Office of Foreign Assets Control (OFAC)
  • Futures and derivative exchanges
  • State banking regulators
  • Department of Justice (DOJ)
Unparalleled Regulatory Knowledge
  • Securities Exchange Act of 1934
  • Investment Advisors Act of 1940
  • International Emergency Economic Powers Act
  • Foreign Corrupt Practices Act (FCPA)
  • Investment Company Act of 1940
  • Commodity Exchange Act
  • Bank Holding Company Act
  • Federal Reserve Act
  • National Bank Act
  • Federal Deposit Insurance Act
  • Bank Secrecy Act of 1970
  • Trading with the Enemy Act
  • Sarbanes-Oxley Act
  • Dodd-Frank Act

What Our Clients Are Saying

Meet Mintz

Our attorneys apply their knowledge of industry regulations to help you achieve your business goals.