For companies in the business of putting money to work — to support other businesses, as an investment vehicle or as a means of delivering returns for their principals — Katten's breadth of experience across the sector makes us a trusted partner. Our clients value the multifaceted and interconnected nature of our practices because we see all sides of the industry and the issue. In the finance and financial markets sector, Katten is at the forefront, providing financial institutions, banks and other lenders, as well as investment managers and financial market participants, a full-service experience delivered by a team that operates everywhere that money is moving through the markets.
Practical knowledge, sophisticated execution
Our Private Equity practice keeps investment money moving through leveraged buyouts (LBOs), control and minority investments, co-investments, dispositions, recapitalizations, restructurings, fund investments and fund formations, as well as regulatory compliance. We regularly facilitate private equity transactions ranging in size from less than $10 million to upwards of $4 billion across a variety of industries. Often working on behalf of the most active lenders in the private equity arena, our Commercial Finance practice represents banks, investment funds, finance companies and other financial institutions providing debt capital in a wide variety of financing transactions, including LBOs, acquisition and growth financing, refinancings, cross-border transactions, restructurings, debt conversions and recapitalizations.
On all of our finance and financial services transactions, our team works closely with attorneys in the firm's other practices, as appropriate, in light of our client's specific priorities in the deal. For example, Katten's Transactional Tax Planning attorneys become involved in private equity transactions at an early stage, creating leading-edge tax structures to maximize the tax advantage for our clients. Our Insolvency and Restructuring group represents domestic and international banks and other financial institutions in their capacity as administrative agent in connection with the restructuring of large syndicated loans, "club" and middle-market loans, and individual lenders in bilateral credit transactions and debtor-in-possession financing. We also represent indenture trustees in corporate trust default administration in workouts, bankruptcy proceedings and related litigation.
Creative financing for special assets
When money is being invested in specialized assets, such as real estate, hospitality or aviation, our team is accustomed to dealing with complex financing structures to creatively orchestrate the best outcomes for our clients. In each of these areas, our teams have been recognized by clients as being leaders in their respective areas and providing particularly practical, commercially relevant advice.
Knowing the markets inside and out
Katten's Financial Markets and Funds team represents a broad range of financial market participants, including some of the world’s most elite financial institutions and alternative investment managers, in regulatory, transactional, tax, product structuring and compliance matters. Our sweet spot is in working for global investment banks, investment advisers, alternative investment managers and vehicles, futures and securities exchanges, commodity trading advisors, commodity pool operators and proprietary trading firms. Many of our attorneys previously held senior positions with regulatory agencies, including the SEC, FINRA, the CFTC and the DOJ, or served as in-house counsel at financial services firms, giving them an understanding of how to recognize and resolve issues that other firms cannot.
A recognized leader in securitizations
In the world of securitization, our team is regularly in the mix, consistently recognized as being among the most active issuers' counsel for US asset-backed and mortgage-backed securitizations. We advise clients in a wide variety of transactions, including securitizations of consumer receivables — such as auto loans and residential mortgages — and commercial receivables — such as equipment leases, corporate loans and commercial mortgages. We represent all market participants, from issuers, underwriters, placement agents and collateral managers to investors, swap counterparties, trustees, credit enhancers, rating agencies and servicers, in a variety of industries. Our attorneys also provide general corporate and transactional advice to specialty finance companies, government agencies and banks.
Experienced litigation and enforcement support
While we help clients in the sector take advantage of opportunities their businesses present, we are equally well-versed in helping them navigate more challenging circumstances. Katten litigators understand the financial markets and their full range of services and products — from exchange-traded securities, options, futures and commodities to the most complex OTC swaps and derivatives — and are deeply familiar with the compliance and supervisory regimes, capital structures and real-world business interests of the industry.
Katten attorneys frequently represent clients in SEC, CFTC and DOJ investigations and enforcement actions, self-regulatory organization regulatory disputes and administrative proceedings, as well as private civil litigation. We have particular experience in planning, conducting and reporting the results of internal investigations for boards of directors, audit committees and special litigation committees and have investigated allegations of insider trading, front-running, market manipulation, improper order internalization, unethical floor trading and sales practices, disruptive trading, mismarking of securities, and inadequate or misleading investment disclosures.
Our team litigates class actions arising under the Securities Exchange Act of 1934, the Securities Act of 1933, the Investment Advisers Act of 1940, the Commodity Exchange Act, the Sherman Antitrust Act of 1890 and regulations promulgated under those and other statutes. Our experience extends to commercial lender liability litigation, including defending allegations of breach of contract, breach of fiduciary duty, fraud, negligence, tortious interference, and Uniform Commercial Code (UCC), Fair Credit Reporting Act (FCRA) and Truth-in-Lending Act (TILA) disputes. We also manage proceedings in bankruptcy, district and circuit courts, including actions with respect to the automatic stay, the use of cash collateral, a debtor's exclusive right to file a plan of reorganization, and the plan disclosure and confirmation process.
"Clients praise the team as 'extremely diligent, . . . and extremely responsive.' [Able] to 'tap into other resources in the firm to address highly specialized issues.'"
Chambers USA 2019
(Nationwide, Capital Markets: Derivatives) survey response
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