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

Overview

Financial Services Sectors

Insights & Events

Latest

Inside the Beltway - Webinar

Bankruptcy Court Dismisses Adversary Complaint Against CMS for Terminating Debtors’ Provider Status

Tax Compliance Complications After Converting a Private Fund to a Registered Fund

Conflicts of Interest (Part 4): Managed Accounts and Avoiding Prohibited Transactions

Making GRATs Great: Sophisticated Estate-Planning Strategies to Optimize Grantor Retained Annuity Trusts

The Intel Report: Quarterly National Security Briefing

Faegre Drinker Serves as Counsel for Financial Advisor to Capstone Green Energy Holdings in $112.5 Million Investment

Faegre Drinker Welcomes Finance Partner Eleni Zodiates to London, Further Strengthening Its UK Finance & Restructuring Team

Interest Rate Derivatives and Equity Derivatives

From Reactive to Prepared: Planning for Successful Examinations and Inquiries

Insights

Bankruptcy Court Dismisses Adversary Complaint Against CMS for Terminating Debtors’ Provider Status

Tax Compliance Complications After Converting a Private Fund to a Registered Fund

Conflicts of Interest (Part 4): Managed Accounts and Avoiding Prohibited Transactions

Making GRATs Great: Sophisticated Estate-Planning Strategies to Optimize Grantor Retained Annuity Trusts

The Intel Report: Quarterly National Security Briefing

How to Plan for New York's Extended Clawback for Taxable Gifts

Mechanics and Tax Treatment of Private Fund Conversions to Registered Funds

National Policy Framework for Artificial Intelligence, and Other Developments

SEC Provides Guidance for “Baby Shelf” Limited ATM Issuers

The “Baby Shelf” Requirements: A Compliance Guide for Issuers

Events

Upcoming Events

Inside the Beltway - Webinar

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

Faegre Drinker Serves as Counsel for Financial Advisor to Capstone Green Energy Holdings in $112.5 Million Investment

Faegre Drinker Welcomes Finance Partner Eleni Zodiates to London, Further Strengthening Its UK Finance & Restructuring Team

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

Related Legal Services

Experience

Our Experience

Wells Fargo Capital Markets Activities

Voya Financial, Inc. Issues $400M in Senior Notes

Surmodics Inc. Agrees to $627M Acquisition by GTCR

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 Team

Michael P. Pompeo

Michael B. Abbott

Jessica C. Abrahams

Alison M. Agnew

Daniel H. Aiken

Jessica L. Albrecht

Stephanie Albrecht

Andrew Anderson

Josh Anderson

Lynne Anne Anderson

Joseph B. Andolina

Joshua L. Andrews

Laura E. Appleby

Felipe Morais Assunção

Eric F. Au

Dina B. Awshah

Heather B. Bader

Harrison H. Baker

Brian M. Balduzzi

Libby Baney Burstein

Jamis K. Barcott

Hannah J. Barlow

Rupert HW Barnes