Financial Services and Banking

Successfully pursued and enforced multiple confidentiality and customer nonsolicitation agreements, along with computer tampering claims in courts in Missouri, Illinois and Iowa, against former employees of national Fortune 500 staffing firm.

Participated in the defense of former officers and directors of publicly held government support manufacturer in securities investigations by federal and state authorities.

Obtained a favorable result in a jury trial in the United States District Court for the Western District of Missouri on behalf of an international corporation that had been sued by a number of former employees for fraud, wrongful termination in violation of public policy, and a number of other tort claims. After trial, the remaining claims settled for a small fraction of the settlement demand, saving the client hundreds of thousands of dollars.

Exchange Act registration of bank holding company and subsequent going private transaction upon enactment of JOBS Act.

Won a temporary restraining order (TRO) and permanent injunction against the former employee of a publicly traded bank in a trade secret case.

Successfully resolved class actions, administrative actions and civil investigative demands brought by attorneys general and other governmental agencies against lenders and loan servicers in a variety of states including Illinois, Maryland, Massachusetts, New York and Washington.

Represented the owner of a mortgage company in its purchase of a distressed community bank in the first acquisition of its kind involving a mortgage company. In order for the purchase to occur, the client had to undergo a corporate reorganization and establish a holding company to own the mortgage company and purchase the bank. As part of the transaction, we were able to gain approval from the Federal Reserve and other bank regulators to allow the client to gradually fold its mortgage operations into the bank over time.

Defended regional broker-dealer firm in FINRA sweep related to sale of L-share variable annuities. Resolved matter with no-action and non-disclosable, non-reportable closure letter.

Serving as co-counsel to a specialty footwear retailer and its related debtor affiliates in Chapter 11 restructuring and post-bankruptcy proceedings. Client is the largest specialty family footwear retailer in the Western Hemisphere with nearly 4,400 stores across more than 30 countries.

Negotiated favorable settlement agreement on behalf broker-dealer client with U.S. Securities and Exchange Commission, including securing a waiver of disqualification from the SEC Division of Corporate Finance.

Represented a banking corporation in its acquisition by a bank holding company after two prior attempts to sell the bank had failed due to regulatory issues. The transaction involved a complicated approval process that included negotiating a consent order with the Federal Reserve. Both the consent order and sale had to be approved by the Federal Reserve Board.

Represented four securities-licensed representatives of a securities issuer in a multi-state investigation concerning registration and licensing issues. Secured agreement from involved states to not charge or seek action against the clients.

Served as outside corporate counsel for large independent broker-dealer investment adviser firm based in the Midwest. Assisted in-house counsel on registration, licensing, product approval, compliance policies, employment matters and state, federal and FINRA regulatory issues.