Industries & Practices

Banking & Financial Services

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

Overview

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
  • Small loan lenders
  • Automobile financing companies
  • Settlement service providers
  • Trade associations

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.

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. For more information, please visit our Banking & Financial Services Litigation 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

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Insights & Resources
Upcoming Events
SEP
09
Speaking Engagements

When: Wednesday, September 9, 2015 at 8:00 AM to 8:00 PM

Where: Omni Dallas

Who: David K. Stein

SEP
17
Speaking Engagements

When: Thursday, September 17, 2015 at 8:00 AM to 8:00 PM

Where: Dallas Marriott City Center

Who: David K. Stein

OCT
29
Speaking Engagements

When: Thursday, October 29, 2015 at 8:00 AM to 8:00 PM

Where: The Carlton Hotel

Who: David K. Stein


People
Brian C. Begg Brian C. Begg Staff Attorney
Brian C. Begg Staff Attorney
Columbus
614.227.4829
bbegg@bricker.com
Jessica L. Branner Jessica L. Branner Associate
Jessica L. Branner Associate
Columbus
614.227.4810
jbranner@bricker.com
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 A. Flinn Victoria A. Flinn Associate
Victoria A. Flinn Associate
Columbus
614.227.2326
vflinn@bricker.com
Natalie T. Furniss Natalie T. Furniss Partner
Natalie T. Furniss Partner
Columbus
614.227.8918
nfurniss@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 Partner
Kenneth C. Johnson Partner
Columbus
614.227.2322
kjohnson@bricker.com
Pramila A. Kamath Pramila A. Kamath Associate
Pramila A. Kamath Associate
Cincinnati-Dayton
513.870.6683
pkamath@bricker.com
Kevin M. Kinross Kevin M. Kinross Partner
Kevin M. Kinross Partner
Columbus
614.227.8824
kkinross@bricker.com
Quintin F. Lindsmith Quintin F. Lindsmith Partner
Quintin F. Lindsmith Partner
Columbus
614.227.8802
qlindsmith@bricker.com
Jacqueline S. Mallett Jacqueline S. Mallett Of Counsel
Jacqueline S. Mallett Of Counsel
Columbus
614.227.4816
jmallett@bricker.com
William D. Mason William D. Mason Partner
William D. Mason Partner
Cleveland
216.523.5468
wmason@bricker.com
Luke D. Overmeyer Luke D. Overmeyer Associate
Luke D. Overmeyer Associate
Columbus
614.227.4863
lovermeyer@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
Thomas C. Washbush Thomas C. Washbush Partner
Thomas C. Washbush Partner
Columbus
614.227.7742
twashbush@bricker.com
David M. Whittaker David M. Whittaker Partner
David M. Whittaker Partner
Columbus
614.227.2355
dwhittaker@bricker.com
Products


Consumer Financial Services Mortgage Compliance Program

In the wake of the Dodd-Frank Act, financial services companies are struggling to understand the practical implications of new rules and regulations as they prepare for regulatory exams. Our comprehensive online manual is designed to help mortgage industry insiders comply with the Dodd-Frank Act and other related federal statutes and regulations. It includes legal definitions, practical compliance tips and checklists, and template policies and procedures to help evaluate and strengthen compliance management systems.