Financial & Banking Attorneys

Build a secure future strategically through deep industry insight

Request a Consultation Financial Services

Fueling Innovation with Strategic Legal Guidance

Managing complex transactions and navigating regulatory challenges calls for advanced legal support that includes expertise in structuring deals, regulatory compliance, and risk management.

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From navigating complex regulatory landscapes and ensuring compliance to facilitating critical transactions and mitigating risk, the experienced Petersen Landis team offers the insightful support you need to thrive in today’s evolving financial environment.

Legal Services for Financial Organizations

Regulatory Compliance & Licensing
Operate effectively in heavily regulated environments
- Ensuring compliance with SEC, FINRA, and other federal and state regulations
- Obtaining and maintaining licenses for financial service activities
- Advising on anti-money laundering (AML) and know-your-customer (KYC) compliance
- Drafting and reviewing compliance policies and procedures

Mergers, Acquisitions & Capital Markets
Navigate significant transactions and market opportunities
- Structuring mergers, acquisitions, and divestitures of financial entities
- Advising on private equity and venture capital transactions
- Drafting and negotiating capital markets agreements
- Conducting due diligence for acquisitions or investments

Contracts & Risk Management
Ensure sound agreements and risk mitigation strategies
- Drafting and negotiating service-level agreements and vendor contracts
- Advising on outsourcing agreements for critical financial operations
- Structuring agreements to address operational, credit, and legal risks
- Supporting firms in resolving disputes related to financial products and services

Case Studies

Petersen Landis is committed to protecting clients and securing assets in complex transactions, as demonstrated by these recent results.

Joint Venture Structure

A long-time client established a successful joint venture structure centered on intellectual property that was developed for proprietary household product parts.

Timely Dealmaking

A manufacturer that received an acquisition proposal from a private equity fund completed the deal within the 75-day timeframe specified by the Letter of Intent.

Effective Offers

A client who wished to purchase a large medical services company leveraged a superior Letter of Intent that enticed the seller to consummate the transaction.

Note: These examples do not guarantee results in similar cases, as explained in the disclaimer below.

Testimonials

“The Law Offices of Jeffrey T. Petersen has been a valuable partner in helping our company prosper over the past decade. From business agreements to internal corporate guidance to risk mitigation, the attorneys there have provided practical advice and gotten tasks done efficiently. They are a go-to resource for legal matters, and understand how to assist companies in dynamic markets.”

Mike SawantPresident – Market Ready, Inc.

“Jeff Petersen and his team have been working with our sports hospitality company for several years as corporate counsel, and they’ve been great to work with since day one. Our customer and other contracts are handled quickly and efficiently, and we value Jeff’s insight on larger strategic matters, such as acquisitions and strategic partnerships. I recommend the firm highly to anyone needing experienced business attorneys.”

Alex PramenkoPresident – VIP Sports Marketing, Inc.

“The Law Offices of Jeffrey T. Petersen has been with our business from the beginning, helping us navigate all our legal requirements and providing a valuable resource for compliance and IP matters. Their responsive, team-oriented approach has been the right fit for our company.”

Matt KarisChief Operating Officer – Bandolier

Financial Services FAQ

What types of transactions require a lawyer with experience in the financial services industry?

Financial services transactions often involve unique regulatory and market considerations.

A specialized attorney can provide critical support for:

Mergers and acquisitions of financial institutions
Structuring private equity or venture capital deals
Navigating compliance with SEC and FINRA regulations
Drafting agreements for financial products, such as derivatives or lending arrangements

Having a legal partner with industry-specific knowledge ensures your transactions comply with applicable laws and align with your strategic goals.

What could go wrong without an attorney representing my financial services business in consequential transactions?

Without experienced legal representation, financial services firms may face significant risks, including:

Non-compliance with complex regulations, leading to fines or penalties
Ambiguous contract terms, exposing the business to disputes or litigation
Missed opportunities to mitigate risks in major deals or agreements
Delays in transactions due to overlooked legal requirements

Collaborating with an experienced financial services attorney helps protect your business from costly mistakes and ensures that transactions are executed efficiently and securely.

Legal Guidance to Fund, Form, Operate, and Execute Your Business Successfully

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LINKS

SAN DIEGO

12264 El Camino Real, Suite 109
San Diego, CA 92130

Phone: 858.925.7084
Fax: 312.548.7480

CHICAGO

444 West Lake Street, 17th Fl.
Chicago, IL 60606

Phone: 312.583.7488
Fax: 312.548.7480

CONNECT

Disclaimer: The information on this website is provided for general informational purposes only, and may not reflect the current law in your jurisdiction. No information contained on this site should be construed as legal advice from Petersen + Landis, P.C. or the individual author, nor is it intended to be a substitute for legal counsel on any subject matter. No reader of this content should act or refrain from acting on the basis of any information included in, or accessible through, this website without seeking the appropriate legal or other professional advice on the particular facts and circumstances at issue from a lawyer licensed in the recipient’s state, country or other appropriate licensing jurisdiction.

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