Nixon Peabody LLP

  • People
  • Capabilities
  • Insights
  • About

Trending Topics

    • People
    • Capabilities
    • Insights
    • About
    • Locations
    • Events
    • Careers
    • Alumni

    Practices

    View All

    • Affordable Housing
    • Community Development Finance
    • Corporate & Finance
    • Cybersecurity & Privacy
    • Environmental
    • Franchising & Distribution
    • Government Investigations & White Collar Defense
    • Healthcare
    • Intellectual Property
    • International Services
    • Labor & Employment
    • Litigation
    • Private Wealth & Advisory
    • Project Finance
    • Public Finance
    • Real Estate
    • Regulatory & Government Relations

    Industries

    View All

    • Cannabis
    • Consumer
    • Energy
    • Entertainment
    • Financial Services
    • Healthcare
    • Higher Education
    • Infrastructure
    • Manufacturing
    • Non Profit
    • Real Estate
    • Technology

    Value-Added Services

    View All

    • Alternative Fee Arrangements

      Developing innovative pricing structures and alternative fee agreement models that deliver additional value for our clients.

    • Continuing Education

      Advancing professional knowledge and offering credits for attorneys, staff and other professionals.

    • Crisis Advisory

      Helping clients respond correctly when a crisis occurs.

    • DEI Strategic Services

      Providing our clients with legal, strategic, and practical advice to make transformational changes in their organizations.

    • eDiscovery

      Leveraging law and technology to deliver sound solutions.

    • Global Services

      Delivering seamless service through partnerships across the globe.

    • Innovation

      Leveraging leading-edge technology to guide change and create seamless, collaborative experiences for clients and attorneys.

    • IPED

      Industry-leading conferences focused on affordable housing, tax credits, and more.

    • Legal Project Management

      Providing actionable information to support strategic decision-making.

    • Legally Green

      Teaming with clients to advance sustainable projects, mitigate the effects of climate change, and protect our planet.

    • Nixon Peabody Trust Company

      Offering a range of investment management and fiduciary services.

    • NP Capital Connector

      Bringing together companies and investors for tomorrow’s new deals.

    • NP Second Opinion

      Offering fresh insights on cases that are delayed, over budget, or off-target from the desired resolution.

    • NP Trial

      Courtroom-ready lawyers who can resolve disputes early on clients’ terms or prevail at trial before a judge or jury.

    • Social Impact

      Creating positive impact in our communities through increasing equity, access, and opportunity.

    1. Home
    2. Capabilities
    3. Industries
    4. Financial ServicesIndustries

    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

    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 multi-billion-dollar disputes involving residential mortgage-backed securities (RMBS)

    Recognition

    • Nixon Peabody has been named a Tier 1 firm in Boston for Banking and Finance Law and Bankruptcy and Creditor Debtor Rights / Insolvency and Reorganization Law, and in Rochester for Litigation - Banking & Finance by U.S. News – Best Lawyers® “Best Law Firms” in 2023.

    Focus Areas

    • Banking & Finance

    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:617.345.6081
      • cng@nixonpeabody.com
      Catherine Ng
    • Robert A. Drobnak

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

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

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

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

      Partner
      • Chicago
      • Office:312.977.4148
      • jtscarborough@nixonpeabody.com
      Joshua T. Scarborough
    See full team

    Insights And Happenings

    • Press Release

      Former senior DOJ official expands Nixon Peabody’s Government Investigations & White-Collar Defense practice on the West Coast

      Jan 3, 2023
    • Press Release

      Nixon Peabody adds transactional attorney and former general counsel to Corporate practice

      Nov 7, 2022
    • Alert

      What happens in the event of the insolvency of a cryptocurrency business conducted through a “bank”?

      June 10, 2022

    Subscribe to stay informed of the latest legal news, alerts, and business trends.Subscribe

    • People
    • Capabilities
    • Insights
    • About
    • Locations
    • Events
    • Careers
    • Alumni
    • © 2023 Nixon Peabody. All rights reserved
    • Privacy Policy
    • Terms of Use
    • Statement of Client Rights
    • Supplier Diversity Program
    • Nixon Peabody International LLC
    • PAL