Financial Institutions

Riddell Williams has long represented Northwest financial institutions, including national banks, community banks, credit unions, money service businesses and trust companies. We understand the complex legal and regulatory issues affecting financial services companies. We provide cutting-edge advice to our financial institution clients, including:


  • Regulations and Compliance
  • Dodd-Frank and Sarbanes-Oxley compliance
  • Examination Preparation and Planning
  • Enforcement Actions
  • Examiner Dispute Resolution
  • Customer and Vendor Agreements
  • Mobile and Internet Services
  • Trust Powers

Lending, Workouts & Bankruptcies:

  • Commercial Lending
  • Workouts
  • Receiverships
  • Chapter 11 Representation

Mergers & Acquisitions:

  • Target Identification and Buyer Evaluations
  • Regulatory Applications
  • Due Diligence Reviews
  • Preparation and Negotiation of Definitive Agreements


  • Class Action Defense
  • Lender Liability
  • Consumer Credit
  • Breach of Contract
  • Discrimination Claims
  • Fiduciary Issues

Corporate Matters:

  • Corporate Governance
  • Recapitalizations and Financings
  • Strategic Planning and Retreats

Entity Formation:

  • De novo Banks and Thrifts
  • Regulatory Applications

Executive Compensation and Employee Benefit Plans:

  • Employee Stock Ownership Plans
  • Incentive Compensation and Stock Option Plans
  • Employment Agreements – Golden Parachutes
  • Defined Contribution, including 401(k), and Defined Benefit plans

Subchapter S Conversions and Elections:

  • Reorganization and Restructuring
  • Cash-Out Mergers
  • Stockholder Agreements