Financial services regulation

Goodwin

Goodwin‘s banking and broker-dealer practices are extensive and cater to a wide range of clients. In the banking space, the firm offers comprehensive expertise across all areas of banking compliance, including the regulation of bank holding companies, savings and loan holding companies, and foreign banking organizations. The team also advises on capital regulation, regulatory issues affecting business combinations, and consumer compliance matters related to the mortgage and credit card industries. Notably, they provide guidance on anti-money laundering (AML), risk management, and affiliated party and insider transactions, among other banking-related concerns. In the broker-dealer space, the firm provides strategic counsel on broker status and exemptions from registration, including advising on fund sponsor arrangements with unregistered “finders” and venture “scout” programs. The practice assists clients with SEC registration, FINRA membership, and structuring considerations, as well as day-to-day legal, regulatory, and compliance advice. This includes personnel registration, licensing, recordkeeping, marketing, and advertising, as well as supervision and sales practices. Samantha Kirby leads the firm’s banking practice in Boston, while William Stern, based in New York, and Nick Losurdo, based in Boston, lead the financial services regulation practice.

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‘Extremely in the weeds, knowledgeable, able to flex to meet demands. Excellent team I cannot say enough about.’
‘Alex Callen is outstanding. Understands our industry and company as if he was in house. ’
‘Deep industry knowledge; personal relationships with industry leaders, regulators, and lawmakers; broad transactional experience; knowledgeable partners in related practices (executive compensation, tax, ERISA); extremely responsive and client service-focused; transparent billing.’
‘Samantha Kirby is my go-to person for tricky banking-related legal issues, regulatory questions, and industry introductions. She is extremely responsive, always getting back to me promptly with answers or to direct me to the best person to field my inquiry. She is deeply knowledgeable and connected within the industry and provides practical, actionable advice. She is also sensitive to cost considerations and engages support at the best level/price point to get the job done.’
‘Like a lot of firms, Goodwin has strong practices and not-so-strong practices. The financial services regulation practice is quite strong and they work with a number of broker-dealers as well as technology providers who help those broker-dealers so they have useful experience for those of us on the technology side. I've interviewed other firms in this space and Goodwin stands out.’
‘Nick Losurdo is fantastic. He "gets" it - very practical, can play the movie out and give realistic and effective advice. He tells you when to stress about something, and when to relax about something, and it's very helpful when your company moves really fast. Nick is also very responsive and makes himself available to talk through issues with me.’
‘Kim Monty Holzel is a stand-out partner. She has extensive legal expertise, is very responsive, and prioritizes the interest of the company. She advocates for the best possible outcomes but with a tempered practicality and professionalism. Overall, she is a very talented counselor and has helped my company succeed. ’

Kernmandanten

Brookline Bancorp
DWS Trust Company
Northeast Bank
Nave Bank
Maine Community Bancorp
Piper Sandler Companies
Northway Financial
Bangor Savings Bank
Grasshopper Bank
Bilt Technologies

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