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    4. Financial Services

      Industries

    Financial Services

    Increased regulatory scrutiny will continue to define financial services. Nixon Peabody helps financial institutions manage their toughest challenges.

    /Overview

    Financial institutions are navigating an ever-changing landscape, balancing the need to service their customers and expand their businesses with the realities of increased pressures from regulators. Nixon Peabody’s Financial Services team is distinguished by its broad range of capabilities, solid understanding of our clients’ objectives, and practical approach to addressing challenges.

    We help a range of market participants manage this complexity, including banks, investment houses, lenders, finance companies, real estate companies, brokers-dealers, hedge funds, private equity, cryptocurrency and blockchain technology companies, and more.

    From complex financing to regulatory issues to litigation matters, we have the right team to help you solve the toughest challenges, protect your right to operate, and ensure your business thrives.

    /Representative Experience

    • Securities Fraud Defendants: Successfully defended nine pairs of Cayman Island- and Delaware-based issuer/co-issuer defendants in a $100 million securities fraud case involving the sale of CDOs, resulting in a complete dismissal of the case.
    • Investment Banker: Obtained summary judgment in federal court against the SEC in favor of investment banker accused of violating securities laws. The case was dismissed in its entirety and our client was completely vindicated.
    • Hedge Fund & Key Operators: Represented hedge fund, its manager, and trader in connection with SEC investigation for insider trading concerning a trade made in the hours preceding a takeover announcement. Successfully obtained termination notice following written and oral testimony six months after the investigation was opened.
    • Private Equity Fund: Secured favorable settlement for the fund in related parties’ dispute with investor over control of the target company.
    • British Virgin Island–based hedge fund: Advising the fund in a $50 million preference and clawback action brought by the Madoff trustee, in one of the first sales of Madoff-tied SIPA claims to a third party.
    • National Bank: Defended the bank against a $15 million lender liability action involving allegations of fraud, misrepresentation, and civil RICO claims arising from a failed flight school.
    • Key RMBS Player: Representing an influential individual in the residential mortgage-backed securities industry in actions brought by institutional investors who seek billions of dollars in rescission against issuers, sponsors, and underwriters.
    • Digital Currency Operations: Counselling multiple cryptocurrency and blockchain technology companies in internal and SEC investigations.
    • Fund Investors: Providing guidance for numerous European investors in a valuation dispute with an offshore affiliate of a US-based hedge fund.
    • International Financial Services Company: Advising a financial services company in several multibillion-dollar disputes involving residential mortgage-backed securities (RMBS).

    /Recognition

    • Nixon Peabody has been named a Tier 1 National firm for Banking and Finance Law in the 2025 edition of Best Law Firms®.

    /Focus Areas

    • Banking & Finance
    Steven Hanton - Global Finance attorney - Nixon Peabody LLP
    The financial services sector continues to evolve. Fluctuating deal flow across industries and financial products, regulatory changes, and the transition away from LIBOR are setting the stage for fast changes in the market.

    Steven HantonPartner, Global Finance

    Our Team

    See Full Team
    • Catherine Ng

      Partner, Practice Group Co-Leader, Global Finance
      • Boston
      • Office:+1 617.345.6081
      • cng@nixonpeabody.com
      Catherine Ng
    • Robert A. Drobnak

      Partner / Practice Group Co-leader, Global Finance
      • Chicago
      • Office:+1 312.977.4348
      • radrobnak@nixonpeabody.com
      Robert A. Drobnak
    • Daniel P. Strzalka

      Partner
      • Chicago
      • Office:+1 312.977.4341
      • dpstrzalka@nixonpeabody.com
      Daniel P. Strzalka
    • Amelia M. Charamba

      Partner, Global Finance, Corporate Trust, Leveraged Finance
      • Boston
      • Office:+1 617.345.1041
      • acharamba@nixonpeabody.com
      Amelia M. Charamba
    • Martha M. Anderson

      Partner
      • New York City
      • Office:+1 716.853.8105
      • manderson@nixonpeabody.com
      Martha M. Anderson
    • Joshua T. Scarborough

      Partner
      • Chicago
      • Office:+1 312.977.4148
      • jtscarborough@nixonpeabody.com
      Joshua T. Scarborough
    See Full Team

    Insights And Happenings

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    • Alert

      Joint agencies rescind 2023 final CRA rules

      April 16, 2025
    • Alert

      SEC provides guidance on accredited investor verification in General Solicitation Securities offerings

      April 2, 2025
    • Alert

      EDGAR Next — What is it and what you need to know

      March 24, 2025
    View All

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