We have one of the most active securities practices in the country, a part of which is devoted to securities disclosure or broker-dealer issues in connection with bank or thrift holding companies or their subsidiaries. Additionally, our investment management practice regularly represents investment companies advised by banks or their affiliates.

In recent projects we have:

  • Represented two top ten US diversified insurance products providers in class actions that allege securities fraud in connection with the sale of variable annuities into tax-deferred retirement plans and a class action that alleges registration violations under the Investment Company Act of 1940.
  • Served as regulatory counsel to a global investment advisor and broker-dealer in connection with its merger with a Swiss banking corporation, including with respect to the integration of the investment adviser and broker-dealer subsidiaries, and on compliance issues in its private bank operations.
  • Represented the major US banking association in negotiations with the Securities and Exchange Commission Division of Market Regulation regarding implementation of Title II of the Gramm-Leach-Bliley Act.
  • Represented a major trust department in the preparation and negotiation of contracts permitting the bank to hire sub-advisers for specific asset classes.
  • Represented a major trust department in the preparation and negotiation of contracts implementing its "strategic alliances" project with registered investment advisers.

We have one of the most active securities practices in the country, a part of which is devoted to securities disclosure or broker-dealer issues in connection with bank or thrift holding companies or their subsidiaries. Additionally, our investment management practice regularly represents investment companies advised by banks or their affiliates.

In recent projects we have:

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Brown, Reginald J.

Reginald J. Brown

Chair, Financial Institutions Group

+1 202 663 6430 (t)

reginald.brown@wilmerhale.com