Industries & Practices

Banking & Financial Services

A passionate and experienced team providing legal, regulatory and compliance solutions to banks, lenders and financial services companies nationwide.


In today’s uncertain economy, financial institutions of all sizes need sound strategies to address rapidly evolving legal, regulatory and compliance challenges. From traditional corporate, regulatory, litigation and transactional issues to new opportunities created by industry advancements, financial services providers throughout the U.S. look to us for experienced counsel and innovative solutions.

Our attorneys have hands-on experience in all legal matters impacting banks and financial services companies. We help clients with corporate governance issues, regulatory compliance and enforcement proceedings, commercial and fiduciary litigation, and a variety of lending and real estate matters. We are known for our unique industry experience, responsiveness and our ability to provide credible, pragmatic and professional advice to a diverse group of industry participants.

Types of clients we represent:

  • Banks and financial institutions
  • Commercial and residential mortgage lenders
  • Consumer finance companies
  • Credit unions
  • Collateral lenders
  • Automobile financing companies
  • Settlement service providers

Related Industries & Practices

Areas of Focus

A rapidly changing legislative environment and unprecedented regulatory oversight have brought about the need for updated methodologies, policies and procedures for all financial institutions — from community banks to international operations. We help clients develop and implement strategies to address evolving challenges, including compliance management systems, cybersecurity risk management, CFPB examinations, enforcement actions, HUD investigations, whistleblower audits, model policies and procedures, social media and advertising compliance, and more. For more information, please visit our Financial Services Regulatory & Compliance page.

Banking & Financial Services Litigation

Bricker & Eckler defends financial institutions of all sizes in a variety of litigation proceedings, including consumer finance litigation, CFPB and other regulatory enforcement actions, bankruptcy proceedings, residential contested foreclosures, class actions and litigation management across multiple jurisdictions. Our clients look to us for strategic and focused counsel when facing federal and state statutory causes of action, as well as common law claims. Recognizing and understanding the interface between consumer financial services litigation and bankruptcy claims, we often collaborate with our bankruptcy attorneys to maximize the defenses and litigation options available to clients. Visit our Banking & Financial Services Litigation page and our Class Action Defense page.

Securities Litigation & FINRA Arbitration

Our attorneys represent broker-dealers, registered representatives and financial institutions in a broad range of customer and industry disputes, including litigation in state and federal courts throughout Ohio and arbitrations across the country before the Financial Industry Regulatory Authority (FINRA). These services are particularly valuable for FINRA member companies that are engaged in the sale of regulated products. We also represent broker-dealers and insurers of securities in administrative and enforcement proceedings and advocate the interests of insurers on important policy issues.

Real Estate Finance

Well-versed in the complex documentation and administration of real estate transactions, our team is skilled in handling a variety of loan types and capital financings. We represent lenders of all sizes in connection with construction and permanent loans, state and federal historic tax credit projects, and a variety of general commercial real estate financing transactions, taking a solution-based approach to the loan documentation and closing process. Visit our Real Estate practice.

Commercial Finance

We maintain a sophisticated, high-volume commercial lending practice, representing numerous commercial lenders throughout the U.S. Our attorneys focus on the representation of financial institutions and other lenders in commercial lending and structured finance transactions, including asset-based credit facilities, second lien and mezzanine facilities, loan syndications, tax credit bridge financing, real estate secured facilities and more. Our deep understanding of the lending business and our commitment to the goals and objectives of our clients allows us to provide practical, business-minded counsel throughout each stage of the transaction.

Creditors' Rights & Bankruptcy

Often representing creditors of a troubled businesses, we use a multidisciplinary approach to solve clients’ problems both quickly and cost-effectively. We regularly represent lenders in all sorts of debt restructures and workouts. Our team uses refined negotiation skills and vast transactional knowledge to design customized solutions that address the unique goals of each client. Visit our Creditors' Rights & Bankruptcy practice.

Government Relations

Our skilled Government Relations team connects banks, lenders and financial services companies to the legislative, administrative and regulatory opportunities that support their goals. Our attorneys use firsthand knowledge of complex election, ethics, lobbying and contracting law to build productive relationships with officials and advocate on behalf of clients’ public policy interests. Visit our Government Relations practice.


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Insights & Resources
Drew H. Campbell Drew H. Campbell Partner
Drew H. Campbell Partner
Robert T. Castor Robert T. Castor Partner
Robert T. Castor Partner
David K. Conrad David K. Conrad Partner
David K. Conrad Partner
Victoria Flinn McCurdy Victoria Flinn McCurdy Partner
Victoria Flinn McCurdy Partner
Daniel C. Gibson Daniel C. Gibson Partner
Daniel C. Gibson Partner
Katherine Spies Giumenti Katherine Spies Giumenti Partner
Katherine Spies Giumenti Partner
Ali I. Haque Ali I. Haque Associate
Ali I. Haque Associate
Kara H. Herrnstein Kara H. Herrnstein Associate
Kara H. Herrnstein Associate
Stephen Intihar Stephen Intihar Partner
Stephen Intihar Partner
Kenneth C. Johnson Kenneth C. Johnson Of Counsel
Kenneth C. Johnson Of Counsel
Gordon W. Johnston Gordon W. Johnston Of Counsel
Gordon W. Johnston Of Counsel
Quintin F. Lindsmith Quintin F. Lindsmith Partner
Quintin F. Lindsmith Partner
William D. Mason William D. Mason Partner
William D. Mason Partner
Nelson M. Reid Nelson M. Reid Partner
Nelson M. Reid Partner
Justin Ristau Justin Ristau Partner
Justin Ristau Partner
Anne Marie Sferra Anne Marie Sferra Partner
Anne Marie Sferra Partner
Sommer L. Sheely Sommer L. Sheely Partner
Sommer L. Sheely Partner
Christopher N. Slagle Christopher N. Slagle Partner
Christopher N. Slagle Partner
David K. Stein David K. Stein Of Counsel
David K. Stein Of Counsel
Christopher N. Swank Christopher N. Swank Partner
Christopher N. Swank Partner
Kurtis A. Tunnell Kurtis A. Tunnell Managing Partner
Kurtis A. Tunnell Managing Partner