Financial Services

  • Holland & Knight represents a wide range of domestic and international companies, including financial institutions, in business transactions that involve financing.
  • We help clients navigate through new and emerging marketplace trends and regulations, and manage operational changes.
  • Our clients' interests span the scope of the United States and international financial marketplace.

Services for Businesses Seeking Financing

Despite an unprecedented economic downturn and additional banking regulations, the basic nature of business transactions has not changed. While additional regulations may complicate transactions, sophisticated financings continue to support the flow of business. The breadth of our experience provides us with an understanding and knowledge of rapidly changing market standards for various types of transactions. Accordingly, our team is particularly well suited to advise and assist clients in the following:

  • aviation finance
  • commercial lending
  • equipment financing and leasing
  • maritime transactions, bankruptcies and workouts
  • mergers and acquisitions
  • public finance, including swaps and derivatives
  • public-private partnerships
  • real estate finance
  • securitization
  • structured finance
  • tax credit transactions
  • warehousing
  • workouts, restructurings and insolvency

Services for Financial Institutions

Holland & Knight’s Financial Services Team is comprised of innovative strategists, experienced litigators and transactional attorneys with practical experience and long-term dealings in the banking and brokerage arena. We understand how our clients’ businesses work, are intimately familiar with the regulations and have perspective gained from years of experience. New regulations governing the financial services industry have created fundamental and unprecedented challenges relative to managing risk, achieving operational efficiency and addressing funding concerns.

Moreover, bank failures, convergence, consolidation and globalization have threatened the industry and continue to redefine it. With much at stake, banks, lenders, broker-dealers, and other financial institutions seek our experienced legal counsel to help them navigate through the new and emerging marketplace realities and manage the regulatory and operational changes. In addition to the services noted above, which reflect the potential needs of any business involved in a financing, we provide comprehensive, informed support for our bank, broker-dealer and financial institution clients in these additional areas:

  • art loans 
  • anti-money laundering  
  • bank regulations
  • bank failures
  • SEC, FINRA and state regulations
  • Foreign Corrupt Practices Act
  • financial investigations
  • investment management
  • foreign banks and broker-dealers expanding into the U.S.
  • U.S. banks, broker-dealers and wealth managers expanding outside the U.S.
  • trust fund management
  • data privacy and cybersecurity

Compliance Protection from Inception Through Ongoing Operation

Acknowledged as one of the first firms to organize a national practice dedicated to corporate governance issues, we work with both public and private companies in all aspects of Sarbanes-Oxley Act compliance. We help establish or refine programs, including those that address white collar crime and fraud.

International Financial Regulations

Holland & Knight guides financial services institutions through the legal intricacies of global operations. Our attorneys understand the benefits as well as the risks associated with international financial regulations. We assist clients that wish to expand their market shares by helping with structuring their international operations in a way that minimizes risks and maximizes efficiencies.

Dispute Resolution and Litigation

When legal disputes arise, Holland & Knight is a trusted partner, responsive to client needs and capable of employing creative and aggressive dispute resolution strategies to assert and protect our clients’ interests. Working with members of our Litigation and Alternative Dispute Resolution teams, we assert and protect our clients’ interests at the negotiating table as well as in the courtroom. Highlights in this area include:

  • defending clients in investigations and enforcement actions dealing with virtually every SEC and FINRA enforcement issue
  • representing clients in Department of Justice investigations
  • litigating cases involving a variety of securities on behalf of brokerage firms, mutual fund companies and other financial institutions
  • advising clients through complex antitrust, RICO and consumer fraud investigations and litigation
  • defending financial institutions in breach of fiduciary claims

Leading Lawyers on Your Side

Holland & Knight's Banking Group is consistently recognized among the leaders in the industry by national and international publications. The 2018 U.S. News – Best Lawyers® "Best Law Firms" guide placed our firm's Banking and Finance Litigation practice in its first tier nationally, as well as locally in Miami, New York and Tampa. Holland & Knight's Banking and Finance Law practice also was placed in the first tier nationally, as well as locally in Charlotte, Dallas, Jacksonville, Miami, Orlando and Tampa. In addition, Holland & Knight is top-listed in Florida in Banking and Finance Law by the 2018 Chambers USA: America's Leading Lawyers for Business guide and by The Best Lawyers in America 2018 guide.