Investment Banking Lawyer

Our Lawyers Advice Financial Institutions and Other Clients on All Investment Banking Matters

Attorney John W. Sellers
Investment Banking Lawyer Team Lead
Former DOJ Trial Attorney

Investment banking is a unique sector within the financial services industry. It is uniquely complex, and it is uniquely high-risk. While the financial rewards can be substantial, the risks of non-compliance are just as great. As a result, a commitment to compliance is critical, and investment banks and other participants need to ensure that they are doing everything necessary to mitigate their risk effectively.

At Oberheiden P.C., our investment banking lawyers rely on extensive corporate law and securities law experience to help our clients protect their interests before, during, and after complex financial transactions. We provide representation for corporate finance transactions, compliance, and litigation, and we approach all aspects of our practice with the same unwavering devotion to protecting our client’s interests and intellectual property, no matter the stakes. In addition to representing investment banks, we represent investors and entities seeking outside investment as well, and this breadth of practice allows our lawyers to offer deep insights focused on litigation avoidance.

Our Investment Banking Practice

Within our investment bank practice, we advise and represent clients in connection with all types of corporate, commercial, and compliance matters. We also represent clients in litigation in state and federal courts, as well as federal audits and investigations. Each senior investment banking lawyer at Oberheiden P.C. has extensive financial background in the following areas:

Advisory

Investment banker and other entities that provide advisory services must be extremely careful to ensure that they remain compliant with all pertinent laws, rules, and regulations. Advisory services are a common source of litigation; and, not only can a compliance-first approach help mitigate the risk of facing litigation, but it can also put institutions and firms in a position of strength when litigation arises.

Asset Management

Asset management services are a frequent source of litigation as well. This is another area that is subject to extensive oversight, both domestically and internationally. Our investment banking lawyers work closely with our clients to develop custom-tailored compliance and document-retention policies, and we provide training, ongoing advice, and other advisory services as necessary.

Capital Markets

Much of our investment banking practice is devoted to advising clients on matters involving the capital markets. We advise banks, investors, and other entities that are contemplating investment transactions, while also assisting with due diligence, document review, contract negotiations, and other related matters. With a team that includes not only experienced investment banking lawyers but also former federal investigative agents, we have the team and capabilities required to effectively examine and advise on transactions of all sizes.

Trading and Brokerage

We also advise clients on trading and brokerage matters, including, but not limited to, all aspects of U.S. Securities Exchange Commission (SEC), Commodity Futures Trading Commission (CFTC), and Financial Industry Regulatory Authority (FINRA) compliance. We also assist clients with private placements, initial public offerings (IPOs), and other offerings, and our lawyers are able to advise clients on exchange-related matters in the U.S. and abroad as well.

Underwriting

Underwriting and investment banking go hand-in-hand. You can’t have one without the other, and an effective underwriting practice is essential to effective risk management. We advise financial institutions and firms during the underwriting process, including providing opinions and assisting with the legal aspects of unwriting. We also advise clients that are undergoing underwriting and assist with finding creative solutions that allow our clients to move forward when necessary.

Audits and Investigations

We have extensive experience representing clients in federal audits and investigations; and, as many of our investment banking lawyers have prior experience handling these matters for the federal government, we offer deep insights into how to handle these matters effectively. Our experience includes successfully defending clients in matters involving all pertinent federal agencies, including the SEC and CFTC, among others.

Litigation

We also have extensive experience representing clients in litigation at the state and federal levels. Our lawyers handle all types of litigation arising out of investment banking transactions. As these transactions are often governed by contracts that include mandatory mediation and arbitration provisions, we have extensive experience representing clients in these proceedings as well. While we focus on settlement when it is in our clients’ best interests to do so, we have the capabilities, know-how, and experience required to handle extensive discovery and complex litigation regardless of the stakes involved.

Key Areas of Concern

Investment banking activities implicate an extraordinarily wide range of statutory and regulatory requirements and prohibitions, both in the U.S. and abroad. As a result, compliance within the investment industry presents a substantial undertaking, and a top-down commitment to compliance is essential.

With our investment banking lawyers’ experience in the public and private sectors, we are able to effectively advise financial institutions and other clients on all pertinent areas of compliance. This includes (but is not limited to):

Anti-Money Laundering (AML) compliance
Dodd-Frank Wall Street Reform and Consumer Protection Act (Dodd-Frank) compliance
Financial services industry regulatory compliance
Foreign investment (OFAC and CFIUS) compliance
Federal securities and commodities law (SEC, CFTC, and FINRA) compliance
International securities and commodities law compliance
State, federal, and international data security and privacy law compliance

Dr. Nick Oberheiden

Founder

Attorney-at-Law

Lynette S. Byrd

Former DOJ Trial Attorney

Partner

Brian J. Kuester

Former U.S. Attorney

Hon. Kevin McCarthy

55th Speaker, U.S. House of Representatives (ret.)

Government Consultant

Mike Pompeo

Of Counsel

Former U.S. Secretary of State

John W. Sellers

Former Senior DOJ Trial Attorney

Linda Julin McNamara

Federal Appeals Attorney

Nicholas B. Johnson

Former Prosecutor

Roger Bach

Former Special Agent (DOJ)

Chris J. Quick

Former Special Agent (FBI & IRS-CI)

Michael S. Koslow

Former Supervisory Special Agent (DOD-OIG)

Ray Yuen

Former Supervisory Special Agent (FBI)

Clients We Serve

Our investment banking practice includes representing not only financial institutions, but also other clients involved in all aspects of mergers, acquisitions, and capital markets transactions. This includes (but is not limited to):

Investment banks and other financial institutions
Brokerage and investment advisory firms
Accounting and consulting firms
Private equity firms, funds, and other industry clients
Partnerships and limited liability companies (LLCs)
Private and public corporations
Private and public institutions

Why Clients Choose Oberheiden P.C.

With the complexity not only of investment banking and capital markets transactions, but also the regulatory regime governing these transactions in the U.S. and abroad, effective legal representation is essential. Here are some of the top reasons why clients choose Oberheiden P.C.:

1. Deep Insights into the Legal Issues that Impact Investment Banking and Capital Markets

Our investment banking lawyers offer deep insights into the legal issues that impact investment banking and capital markets. Clients trust our lawyers to give them the strategic advice they need when they need it.

2. Extensive High-Level Experience in the Public and Private Sectors

As mentioned above, several of our investment banking lawyers have extensive high-level experience in both the public and private sectors. In the public sector, this includes working with the SEC, CFTC, and other federal agencies as U.S. Attorneys, Assistant U.S. Attorneys, and trial prosecutors at the U.S. Department of Justice (DOJ).

3. Comprehensive, Full-Service Legal Representation Tailored to Our Clients’ Needs

As a result of our insights and experience, we are able to offer comprehensive, full-service legal representation that is tailored to our clients’ needs. Whether we are engaged as transactional counsel, compliance counsel, or litigation counsel, we do what is necessary to protect our clients’ interests as efficiently and cost-effectively as possible.

FAQs: Investment Banking Law and Compliance

Which Federal Agencies Regulate the Investment Banking Industry in the United States?

Several federal agencies have a hand in regulating the investment banking industry in the United States. While the SEC and CFTC have primary oversight of the domestic securities and commodities markets, authorities such as the Office of Foreign Assets Control (OFAC) and Committee on Foreign Investment in the United States (CFIUS) will play a significant role in many transactions as well. Knowing which agencies have oversight of a transaction is essential to taking an informed approach to compliance.

What Are Some of the Most Significant Compliance Concerns for Investment Banks?

A large investment bank in the United States and abroad are subject to an extensive compliance regime at the federal and international levels. Reporting, recordkeeping, and disclosures are three of the broadest and most significant areas of concern, though this just scratches the surface of what investment banks’ executives and in-house lawyers need to know about compliance.

How Can Companies Seeking Outside Investment Benefit from Engaging an Investment Banking Lawyer?

Our investment banking lawyers offer several forms of assistance to companies seeking outside investment. From overseeing the due diligence and underwriting processes to drafting, reviewing, and negotiating contracts and taking steps to ensure that transactions do not trigger federal scrutiny after the fact, at Oberheiden P.C. we take a comprehensive approach to protecting our clients.

Do I Need a Large Law Firm for Investment Banking Compliance?

While many top law firms with investment banking practices are large law firms with thousands of lawyers and offices around the world, entities seeking legal support for investment banking transactions, compliance, and litigation don’t need to enter the world of Big Law to receive effective legal representation. At Oberheiden P.C., the boutique nature of our practice and our lawyers’ extensive experience and law school background allow us to provide the legal representation our clients need. Our senior lawyers work with our clients directly, and we practice law efficiently, focusing on keeping costs down for our clients.

Speak with an Investment Banking Lawyer at Oberheiden P.C.

If you want to know more about investment banking division, we invite you to contact the top law firm. Please call 888-680-1745 or contact us online to speak with a senior investment banking lawyer at Oberheiden P.C.