Financial Institutions

Primary Practice Contact: P. Matthew Cox

Representing financial institutions throughout the state of Utah

Financial services – the economic services provided by the finance industry – encompass a broad range of money managing organizations. These include credit unions, banks, credit card companies, insurance companies, accountancy companies, consumer finance companies, stock brokerages, investment funds, real estate funds, and some government-sponsored enterprises.

For more than 40 years, through our Salt Lake City and St. George, Utah offices, we have been a key player among the Intermountain West’s most-recognized law firms representing local, regional, and national financial institutions.  An attorney in the firm’s financial services team is a FINRA arbitrator.

Financial Transactions and Lending

Our transactions practice includes assisting clients with corporate governance, transactions, operations, and regulatory compliance.

Our lending work involves creating, monitoring, and enforcing debtor-creditor relationships, as well as ensuring that these relationships remain legal and compliant throughout their lifecycles.

We are experienced in asset and stock acquisitions, private equity investments, real estate acquisition and development, construction loans, trade finance, asset-based lending (including equipment, inventory, and receivables financing), as well as general working capital finance.

Privacy and Cyber Security

We work collaboratively with our cyber security lawyers to help ensure privacy and security of financial information.  We work closely with clients to address compliance issues and breaches of privacy and security.

Investigation and Litigation Representation

We represent investors, financial advisors, and broker-dealers in a broad range of litigation and regulatory matters.

We also represent financial professionals in regulatory investigations before the SEC, FINRA, state securities commissions, and commodity exchanges.  Our senior lawyer in this group is an RIA/financial advisor auditor.

How can our Utah financial institutions attorneys help you?

Our financial institutions attorneys are ready to help.  For more information please contact P. Matthew Cox or another member of our team.

Practice Contacts

P. Matthew Cox

E. Scott Awerkamp

John E. Gates