Cases
Representative Matters: Advise Boards of Directors
management of financial institutions regarding requirements/implications of the Dodd-Frank Act
resultant regulations.
Assist public companies with their reporting obligations under the Securities Exchange Act of 1934, including annual, quarterly
periodic reports
proxy materials.
Counsel to Boards of Directors in connection with imposition of
compliance with regulatory enforcement actions, including memor
a of underst
ing, consent orders
written agreements.
Assisted financial institutions in registration with the SEC of securities for public distribution
private placements of multiple types of securities including common
preferred stock, subordinated debentures
convertible instruments.
Counsel to bank holding companies in connection with the sale of preferred securities to the U.S. Department of the Treasury under the TARP Capital Purchase Program.
Assisting clients in participation in the Small Business Lending Fund ( SBLF ).
Represented $200M publicly held community bank holding company in its affiliation with a bank holding company owned by a mutual insurance company.
Represented $1B asset Alabama financial holding company in acquisition of $100M community bank,
in acquisition of billing services company.
Represented $1.3B Indiana financial holding company in the acquisition of $50M
$200M community banks.
Assisted $900M Ohio bank holding company in acquisition of $50M Indiana community bank
branches of another Ohio-based thrift holding company.
Represented $675M Ohio bank holding company in the acquisition of $50M community bank
multiple branches from regional bank holding company.
Represented multiple national
state banks in bank holding company reorganizations
election to be taxed under Subchapter S of the Internal Revenue Code.
Represented $300M financial institution in creation
sale of complex convertible securities.
Assisted multifaceted financial institution with the acquisition of a Tennessee-chartered trust company.
Assisted nationally-chartered trust company in acquisition of trust business from a Pennsylvania chartered bank.
Represented multiple public
private financial institutions in rebuffing undesired acquisitions
proxy fights.
Have represented over 20 financial institutions, brokers, RIAs
other entities
groups in the organization of non-depository trust companies.
Represented underwriter in public offering of $30M of common stock for a public, Ohio based financial institution.
Represented $2B Iowa based financial institution in registered $30M common stock offering.
