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Financial Services
Overview
As a stakeholder in the financial services sector, you navigate a competitive and ever-changing regulatory and economic environment. Our cross-functional team serves the financial services sector by providing transactional, regulatory, litigation, advocacy, and consulting services. We deliver cutting-edge counsel along with practical advice to help you anticipate and manage changes, driving your business forward. We represent many of the world’s leading financial institutions, insurance companies, securities firms, investment funds, asset managers, and other finance companies, and our international presence allows us to provide seamless service in financial centers around the globe.
We bring an insider’s perspective to the financial services sector. Our attorneys have served as SEC officials, state and federal regulators, and state and federal prosecutors. Our D.C.-based consultants maintain strong relationships with key federal officials in Congress and at the Federal Reserve, US Treasury, Federal Deposit Insurance Corporation (FDIC), Department of Labor (DOL), National Association of Insurance Commissioners (NAIC), Consumer Financial Protection Board (CFPB), and other agencies and governing bodies.
Our institutional knowledge enables us to anticipate challenges and tackle them head-on so you can focus on your day-to-day needs. With more than 100 years of experience supporting the financial services sector, we partner and collaborate with you, evolving alongside the sector to advance your goals and address your most pressing challenges.
Financial Services Segments
Insights & Events
Latest
Interest Rate Derivatives and Equity Derivatives
SEC Provides Guidance for “Baby Shelf” Limited ATM Issuers
The “Baby Shelf” Requirements: A Compliance Guide for Issuers
From Reactive to Prepared: Planning for Successful Examinations and Inquiries
SIFMA C&L Society Honors Sandra Grannum With 2026 Inclusion & Engagement Award
Brad Campbell Discusses Federal Court Striking Down DOL Fiduciary Rule With Financial Advisoron
Heather Bader Comments on DOL’s Guidance for Locating Missing Participants in PLANSPONSOR
Qualified Charitable Distributions Might Be Donors’ and Charities’ Quality Giving Vehicle
Scott Kosnoff Provides Insight on NAIC’s AI Governance Pilot Program for Law360 Insurance Authority Q&A Feature
Jessica Natali Honored With Temple Law’s 2026 Women’s Law Caucus Leadership Award
Insights
SEC Provides Guidance for “Baby Shelf” Limited ATM Issuers
The “Baby Shelf” Requirements: A Compliance Guide for Issuers
Brad Campbell Discusses Federal Court Striking Down DOL Fiduciary Rule With Financial Advisoron
Heather Bader Comments on DOL’s Guidance for Locating Missing Participants in PLANSPONSOR
Qualified Charitable Distributions Might Be Donors’ and Charities’ Quality Giving Vehicle
Scott Kosnoff Provides Insight on NAIC’s AI Governance Pilot Program for Law360 Insurance Authority Q&A Feature
Property Tax Exposure in the Commercial Real Estate Distress Cycle
SEC’s Division of Investment Management Publishes Four FAQs Related to the Adoption of Rule 12d1-4 for Fund of Funds Arrangements
FDA Finalizes Rule Requiring 12-Digit National Drug Code (NDC)
Fifth Circuit Decision Undermines IRS Position on Self-Employment Tax
Events
Past Events
Interest Rate Derivatives and Equity Derivatives
From Reactive to Prepared: Planning for Successful Examinations and Inquiries
ISDA Masterclass: Derivatives Documentation
Key Legal and Regulatory Issues for Private Client Firms
Retail Alternative Investment Products: Gearing up for New Allocations
News
SIFMA C&L Society Honors Sandra Grannum With 2026 Inclusion & Engagement Award
Jessica Natali Honored With Temple Law’s 2026 Women’s Law Caucus Leadership Award
Faegre Drinker Advises The RBB Fund in Groundbreaking Dual Share Class Structure
Faegre Drinker Practices and Attorneys Ranked Among Leaders in Chambers Global Guide 2026
Faegre Drinker Advises SunOpta, Inc. In Sale Transaction
Helen Tuttle Named a 2026 NJBIZ Leaders in Law Honoree
Faegre Drinker Advises Real Housewife & Fashion Icon Rachel Zoe on Major Gordon Brothers Partnership
Alexi Rouhani Joins Faegre Drinker’s Minneapolis Real Estate Group
Faegre Drinker Announces 2026 Leadership Transitions
Faegre Drinker Attorneys Recognized in 2025 Lexology Index Reports
Related Legal Services
Experience
Our Experience
Voya Financial, Inc. Issues $400M in Senior Notes
Surmodics Inc. Agrees to $627M Acquisition by GTCR
Wells Fargo Capital Markets Activities
Roth Capital Partners is Placement Agent in $4.5M Offering and $16M Private Placement
Karat Packaging Stockholders Complete $20M Underwritten Secondary Offering
Argentem Creek Partners Obtains Complete Dismissal of $500 Million Lawsuit
Meet The Team
Meet The Full Financial Services Team
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Felipe Morais Assunção
Foreign Legal Fellow -
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Tricia A. Beckmann
Principal - Faegre Drinker Consulting -
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Mark M. Brown
Senior Benefits & Executive Compensation Attorney -
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Megan M. Farooqui
Senior Business Litigation Attorney -
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Andrew C. Kassner
Partner and Chair Emeritus -
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Eli Levy
Associate (US) / Foreign Registered Lawyer (UK) -
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Judith E. Reich
Executive Partner -
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Lawrence J. Stern
Director of Insurance & Financial Services - Faegre Drinker Consulting -
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Christine Ann Werner
Senior Insurance Attorney -
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