Industries & Practices

Banking & Financial Services

Partnering with financial services companies nationwide to develop legal, regulatory and compliance strategies that position our clients to achieve their goals.

Overview

With deep experience and a sizeable team, we counsel financial services companies in nearly all legal issues so they can build sound strategies to address rapidly evolving legal, regulatory and compliance challenges. From multi-national banks to local credit unions and community banks, and from loan originators and servicers to their service providers, our clients rely on our deep understanding of their markets, business issues, liabilities, risks and opportunities to help them make proactive and informed decisions. Our cost-effective approach to providing legal services and proven track record of success make us a valuable partner in this complex and highly-regulated industry. 


Regulatory & Compliance

We work with financial institutions to address ever-evolving regulatory and compliance challenges, and we defend our clients in regulatory enforcement actions throughout the country. Whether guiding clients in the development of compliance protocols, auditing policies and procedures, or preparing for or defending a regulatory examination, we have in-depth knowledge of both state and federal requirements and enforcement trends. 


Litigation

Our seasoned attorneys are experienced in facing complex litigation matters nationwide. From class actions and consumer claims to intercreditor issues and vendor disputes, our deep bench of litigators takes a multidisciplinary approach to representing financial services clients. Building agile and collaborative teams allows us to effectively devise defense strategies that align with our clients’ business goals and desired outcomes, while maximizing their resources. Our experience demonstrates our skill in achieving quick resolutions, as well as our ability to manage high-profile and complex matters. 


Commercial Lending

We maintain a sophisticated, high-volume commercial lending practice. Understanding the complex documentation and procedural requirements, our team is skilled in handling a variety of loan types and capital transactions. We take a solution-based approach to the loan documentation and closing process that is supported by our deep understanding of our clients’ businesses and customers.

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.

Experience

  • 1
  • 2
  • 3
  • 4
  • 5
Insights & Resources
People
Drew H. Campbell Drew H. Campbell Partner
Drew H. Campbell Partner
Columbus
614.227.2319
dcampbell@bricker.com
Robert T. Castor Robert T. Castor Partner
Robert T. Castor Partner
Columbus
614.227.4871
rcastor@bricker.com
David K. Conrad David K. Conrad Partner
David K. Conrad Partner
Columbus
614.227.2304
dconrad@bricker.com
Victoria Flinn McCurdy Victoria Flinn McCurdy Partner
Victoria Flinn McCurdy Partner
Columbus
614.227.2326
vflinnmccurdy@bricker.com
Daniel C. Gibson Daniel C. Gibson Partner
Daniel C. Gibson Partner
Columbus
614.227.2324
dgibson@bricker.com
Katherine Spies Giumenti Katherine Spies Giumenti Partner
Katherine Spies Giumenti Partner
Columbus
614.227.8825
kgiumenti@bricker.com
Ali I. Haque Ali I. Haque Associate
Ali I. Haque Associate
Columbus
614.227.2359
ahaque@bricker.com
Kara H. Herrnstein Kara H. Herrnstein Associate
Kara H. Herrnstein Associate
Columbus
614.227.4908
kherrnstein@bricker.com
Stephen Intihar Stephen Intihar Partner
Stephen Intihar Partner
Columbus
614.227.2376
sintihar@bricker.com
Kenneth C. Johnson Kenneth C. Johnson Of Counsel
Kenneth C. Johnson Of Counsel
Columbus
614.227.2322
kjohnson@bricker.com
Gordon W. Johnston Gordon W. Johnston Of Counsel
Gordon W. Johnston Of Counsel
Columbus
614.227.2381
gjohnston@bricker.com
Quintin F. Lindsmith Quintin F. Lindsmith Partner
Quintin F. Lindsmith Partner
Columbus
614.227.8802
qlindsmith@bricker.com
William D. Mason William D. Mason Partner
William D. Mason Partner
Cleveland
216.523.5468
wmason@bricker.com
Nelson M. Reid Nelson M. Reid Partner
Nelson M. Reid Partner
Columbus
614.227.8812
nreid@bricker.com
Justin Ristau Justin Ristau Partner
Justin Ristau Partner
Columbus
614.227.4857
jristau@bricker.com
Anne Marie Sferra Anne Marie Sferra Partner
Anne Marie Sferra Partner
Columbus
614.227.2394
asferra@bricker.com
Sommer L. Sheely Sommer L. Sheely Partner
Sommer L. Sheely Partner
Columbus
614.227.8870
ssheely@bricker.com
Christopher N. Slagle Christopher N. Slagle Partner
Christopher N. Slagle Partner
Columbus
614.227.8826
cslagle@bricker.com
David K. Stein David K. Stein Of Counsel
David K. Stein Of Counsel
Columbus
614.227.7740
dstein@bricker.com
Christopher N. Swank Christopher N. Swank Partner
Christopher N. Swank Partner
Columbus
614.227.4895
cswank@bricker.com
Kurtis A. Tunnell Kurtis A. Tunnell Managing Partner
Kurtis A. Tunnell Managing Partner
Columbus
614.227.8837
ktunnell@bricker.com