Explore Our Capabilities

Financial Services


Financial institutions are faced with heightened regulation and challenges to remain profitable in a changing marketplace. Whether your financial institution is seeking legal advice for financing transactions, compliance activities, or litigation matters, Parker Poe’s attorneys can counsel your institution with attorneys who understand your industry influences. 

Parker Poe has a long history of advising major international, national and regional financial institutions, borrowers and investors on all types of transactional, enforcement, tax and litigation matters. The scope of our expertise covers the entire financial services industry spectrum, from the structuring, negotiating and closing of a wide range of loans and other financial transactions to the representation of financial institutions in bankruptcy and other enforcement proceedings. In doing so, Parker Poe provides a balanced, pragmatic approach to achieving our clients business and financial objectives.

Areas of Focus

Banking & Capital Markets

We represent community banks and major regional, national and international financial institutions. These clients include borrowers and investors whom we represent in the structuring, negotiating and closing of a wide range of loans and other financings and financial transactions. The attorneys in our banking and finance group provide a balanced and pragmatic approach to achieving our clients' business and financial objectives.

We represent major financial institutions in sophisticated lending and other financial transactions along with institutional borrowers, investors, project sponsors, manufacturers and developers in secured and unsecured corporate, commercial and real estate loans and other financial accommodations, including:

Financial Restructuring

Parker Poe's Financial Restructuring Practice Group combines strategic advice and practical skills in representing our clients. Our focus is to provide sound judgment and problem-solving skills that lead to efficient, effective resolutions for our clients. We have the transactional and litigation experience to anticipate and resolve the tough issues that arise in financial restructurings inside and outside bankruptcy court.

  • Our attorneys have significant experience in bankruptcy, reorganization & creditors' rights, foreclosure & loan servicing, secured creditor and debtor representation, creditor committee representation, purchaser representation, loan restructuring and workouts in a variety of industries, such as manufacturing, retail, hospitality, real estate, financial and health care.
  • We work with a wide array of clients in remedies enforcement, including commercial receiverships and foreclosures for lenders and servicers in North Carolina and South Carolina.

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Financial Services Litigation

The financial services industry continues to be one of the most highly regulated and closely examined enterprises in the United States. Due to multiple debilitating recent financial crises, banking and other financial institutions must now be prepared for increased government regulations, as well as complex challenges from other sources, including civil lawsuits and governmental investigations.

Parker Poe has longstanding relationships with many national, regional and community banks, along with lenders, creditors, servicers, broker-dealers and insurance companies. Because of the experience and knowledge our attorneys have gained by representing these businesses, we are strongly positioned to help our clients in the financial services industry meet new challenges head on.

Parker Poe’s Financial Services Litigation Practice includes:

Offensive Litigation

  • All aspects of the collection of outstanding debts including foreclosures, bankruptcies, receiverships, federal and state court collection actions and arbitrations
  • Breach of contract claims against vendors including claims on insurance policies and financial institution bonds
  • Inter-creditor/participation agreement disputes

Defensive Litigation

  • Lender liability claims including fraud, negligent misrepresentation, unfair and deceptive trade practices, breach of fiduciary duty, and breach of implied covenant of good faith and fair dealing
  • Commercial financial instruments litigation including interest rate swaps/letters of credit
  • Bankruptcy adversary proceedings including preference actions and fraudulent transfers
  • Retail banking claims defense including litigation related to forged checks and invalid signature cards
  • Defense of claims challenging validity of bank collateral security interests
  • Consumer mortgage defense including RESPA, TILA, ECOA, FDCPA, FCRA and wrongful foreclosure

Government Investigations / White Collar Defense

  • Defense of all regulatory investigations, allegations of criminal wrongdoing and formal/informal inquiries by various governmental agencies including OCC, HUD, SEC, OFAC, NCUA, Board of Governors of the Federal Reserve System, FDIC, States Attorneys General, local prosecutors and the Department of Justice
  • Thorough compliance audits of bank regulatory procedures and policies

Broker-Dealer Litigation

  • A full range of disputes and investigations impacting broker-dealers, including FINRA arbitrations and federal and state lawsuits involving the securities industry
    • Our experience includes FINRA industry disputes such as financial advisor promissory note cases, raiding and recruiting cases and broker employment cases
    • On the customer dispute side, our attorneys have extensive experience defending a variety of FINRA customer cases (and similar cases in the courts), alleging unsuitability, fraud, negligence, churning and failure to supervise, among other claims
  • Defense of insurance and annuity product cases including class actions involving alleged misrepresentations in connection with the sale of life and disability insurance; lawsuits involving the denial of life insurance benefits; lawsuits alleging the sale of insurance products by “unauthorized” insurance carriers or otherwise in violation of state regulations

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