Financial Institutions


Financial Institutions

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Stevens & Lee/Griffin represents banks, thrifts and their holding companies; mortgage banks and other specialty lenders; asset managers and other non-bank financial services companies. We also represent a wide range of companies operating in the insurance industry.

Our professionals provide a wide range of services to financial institutions and have served as legal counsel, financial advisor and consultant to banks and thrifts ranging in size from approximately $100 million to $90 billion in assets.

Industry-focused service from a team of multidisciplinary professionals

The Stevens & Lee/Griffin professional services platform is comprised of Stevens & Lee, one of the 200 largest law firms in the country; Griffin Financial Group LLC, a FINRA-licensed investment bank with a highly experienced financial institutions group; Financial S&Lutions, a financial advisory and consulting firm; Pinnacle Risk Services, a professional risk management and insurance advisory service for financial institutions; and a Pennsylvania government affairs unit that has advocated on behalf of numerous financial institutions. Among the professionals on our integrated team are a former bank CEO and other senior executive officers; former Big Four financial accountants; tax professionals; risk managers; regulatory compliance officers; and research analysts. This platform gives us the ability to understand our financial institution clients’ needs from their perspective and to develop innovative structures to address their needs in a challenging regulatory and economic environment.

Legal Services

Stevens & Lee represents banks, thrifts and their holding companies; insurance companies; mortgage banks and other specialty lenders; credit unions; investment banks; private equity groups; asset managers and other non-bank financial services companies.

We provide the complete range of legal services to financial institutions, and have assisted banks and thrifts of all sizes in significant transactions and precedent-setting litigation. In addition to general corporate matters, among the many areas we provide counsel include:

  • Mergers and acquisitions
  • Capital markets
  • Corporate governance
  • Regulatory
  • Consumer finance
  • Litigation
  • Structured finance and securitization
  • Loan trading and servicing
  • Employee benefits and executive compensation
  • Labor and employment
  • Bankruptcy and creditor’s rights

For a detailed description of the legal services we provide to financial institutions, please visit

Investment Banking, Corporate Finance and Accounting

Griffin Financial Group is a FINRA-licensed investment bank that provides its financial institution clients with unparalleled expertise in a broad range of strategic, financial and transactional services.

Griffin has served numerous financial institutions on both buy-side and sell-side merger and acquisition assignments, branch sale transactions, asset manager and insurance agency acquisitions and sales and other financial advisory assignments. We have significant experience in both negotiated and non-negotiated transactions and have participated in board destabilization attempts, proxy contests and other change-in-control transactions.

Griffin also assists financial institutions in raising capital through public offerings, institutional placements, sales, syndication and in other capital markets activities. Griffin trades securities and is a market maker in many of the banks and thrifts we cover.

In addition to investment banking services in the context of mergers and acquisitions and capital markets, Griffin assists banks, thrifts, asset managers and specialty finance companies, among others, in the following activities:

  • Loan portfolio sales
  • Financial restructuring
  • Strategic alternatives studies
  • Private equity
  • Structured finance
  • Mutual to stock conversions

For a more detailed description of the investment banking services offered by Griffin Financial Group for financial institutions, please visit

Insurance Risk Consulting

Specializing in the evaluation of D&O and E&O insurance programs, Pinnacle Risk Services provides professional risk management and insurance advisory services to those charged with the protection of their financial institution’s assets. We offer review and gap analysis of corporate insurance programs, with an emphasis on D&O and E&O insurance, and merger and acquisition due diligence in the insurance risk management area.

For a detailed description of our risk management services, visit

Government Affairs

Stevens & Lee/Griffin works with clients to protect their interests before state and federal legislature and regulatory agencies. Our government affairs professionals represent numerous financial institutions from a regulatory perspective, and monitor and advise financial institutions and their holding companies and non-bank financial institutions, such as mortgage companies and consumer loan companies. We regularly represent our clients in front of state regulatory agencies having jurisdiction over these entities.