Financial Services

GDCR’s attorneys assist local, regional and national financial firms on a wide variety of transactional, risk management, regulatory, licensing, compliance, dispute resolution and litigation matters.

For years, our attorneys have provided sophisticated legal services to banks, broker-dealers and investment advisory firms in sales practice, recruiting, restrictive covenant, trade secret and employment matters, representing firms and their employees. Our attorneys have handled dozens of State and Federal Cases and FINRA and AAA arbitrations in dozens of states. Additionally, we have represented advisors in FINRA, SEC and CFP proceedings, as well as proceedings with securities regulators in Florida, Georgia, Massachusetts, Ohio, Texas and New York.

We have obtained defense verdicts for clients accused of trade secrets theft and breaches of their fiduciary duties and obtained multiple multi-million dollar awards on behalf of employees who have been wrongly terminated and defamed by their former employers.

Our transactional attorneys have significant experience representing banks, broker-dealers, credit unions, insurance companies and investment advisory firms in loan closings, mergers and acquisitions, fiduciary practice, employment matters, loan workouts, and general corporate and contractual issues.

Notable Client Highlights

  • Represented local de novo bank in connection with formation, capital raise and other start-up matters.

  • Represented investment advisory firm in connection with sale to publicly-traded, United Kingdom-based insurance and investment group for more than $50 million.

  • Represented RIAs across the United States in connection with sales to private equity backed roll-ups, including multiple transactions in excess of $30 million.

  • Regularly provide counsel and advice on corporate governance, employment, regulatory and compliance matters to local and regional wealth management and investment advisory firms.

  • Represent Fortune 50 financial firm nationwide in trade secret and employment litigation with other national, regional and local financial firms.

  • Represented community and regional banks, credit unions and private investors in connection with loan closings, including secured and unsecured lines of credit, real estate acquisition, development and construction loans, mezzanine loans, asset based loans, and leveraged and buyout loans.

  • Obtained FINRA arbitration award in excess of $4 million on behalf of financial advisor in U-5 defamation claim brought against former employer.

  • Obtained AAA arbitration award in excess of $3 million on behalf of minority shareholder in investment advisory firm after wrongful termination by former partners.

  • Represented mezzanine lenders in formation of investment vehicles, capital raising and making, negotiating and collecting on unsecured and unsecured loans.

  • Represented businesses and individuals in connection with restructuring and workout of more than $100 million in loans secured by residential development, commercial and industrial projects.

  • Defended regional automobile finance company in investigation by Georgia Governor’s Office of Consumer Affairs in client’s business practices with no penalties or adverse action being taken against client.

  • Served as general counsel to large, local insurance group with multiple lines of business including managing general agent, premium finance company and captive insurance provider on contractual, compliance, corporate governance, employment, financing, regulatory and tax issues.

  • Represented regional broker-dealer in acquisition of investment division from troubled bank holding company.