Firm Management: Stephanie R. Breslow, Susan C. Frunzi, Adam C. Harris, Eleazer Klein, David Nissenbaum, Frederic L. Ragucci, Paul N. Roth, Alan S. Waldenberg, Peter H. White, Richard E. Piotrowicz (CFO), Brian F. Schare (COO)
Number of partners: 89
Number of other lawyers: 261
As one of the leading law firms serving the financial services industry, Schulte Roth & Zabel LLP serves clients from strategically located offices in New York, Washington, D.C. and London. SRZ regularly advises on corporate and transactional matters, as well as provides counsel on regulatory, compliance, enforcement and investigative issues. The firm takes a cross-disciplinary approach to client service by employing the expertise of multiple practice groups, and SRZ lawyers are recognized for their ability to develop cutting-edge solutions for their clients’ most complex legal and business challenges.
Main Areas of Practice:
SRZ advises a large and diverse group of financial institutions on chartering new institutions, structuring new products and investments, and guiding mergers and acquisitions. SRZ also has one of the leading payments practices.
Broker-Dealer Regulatory & Enforcement:
SRZ provides regulatory and compliance advice to brokerdealers and other financial services firms and handles SEC and SRO examination and enforcement matters. SRZ also assists banks and hedge funds in their dealings with brokerdealers, and acts as regulatory counsel in connection with acquisitions involving broker-dealers.
SRZ provides critical counsel to domestic, foreign and international secured creditors, unsecured creditors, debtor-in-possession lenders, acquirers, equity holders, plan sponsors and others in Chapter 11 reorganizations and out-of-court workouts.
Employment & Employee Benefits:
SRZ represents clients with respect to the entire employment relationship. With an emphasis on preventing employment disputes, SRZ advises employers on all aspects of labor relations and collective bargaining, benefits law and ERISA.
SRZ counsels major institutions and Fortune 500 companies on a wide range of national and international environmental issues. It also advises on preventive methods, and has both the technical knowledge and legal experience necessary to provide the best advocacy.
SRZ covers the entire debt stack, and has extensive experience in middle-market and large-cap leveraged transactions, representing both traditional and alternative lenders. SRZ advises clients in a variety of debt financing transactions, including lender representations on behalf of banks, commercial finance companies, private investment funds and business development companies, as well as borrower representations on behalf of private equity clients and their portfolio companies or other corporates.
Individual Client Services:
Representing many of the nation’s wealthiest individuals, SRZ advises on tax planning, succession planning, charitable giving, will contests and family law matters, including mediation of large divorce matters.
Intellectual Property, Sourcing & Technology:
SRZ has expertise in all aspects of intellectual property law, including patents, trademarks, copyrights, unfair competition and trade secrets, portfolio monetization and information technology licensing, development and outsourcing.
SRZ is a global leader in investment structuring, operations and regulatory issues. As the go-to firm in the alternative investment management industry, SRZ provides legal services to more than half of the world’s largest hedge funds and thousands of investment funds globally. Clients include hedge funds, private equity firms, regulated funds, mutual fund complexes, and global investment banking and advisory firms.
SRZ’s litigation group has premier capabilities in both complex commercial litigation and the specialised areas of securities enforcement, white collar criminal defense and investigations and prosecutions (AML, OFAC and FCPA matters).
Mergers & Acquisitions:
SRZ regularly advises on M&A deals worth billions of dollars, and has experience working with some of the most talented foreign law firms in the world on cross-border deals. SRZ works on public and private transactions, proxy contests, spin-offs and joint ventures, regularly tackling some of the most complicated deals for many of the world’s largest private equity funds.
SRZ advises on all aspects of the real estate business including acquisitions, dispositions, joint ventures, development, construction lending, financing, mezzanine lending, workouts, restructurings, REITs and commercial lending. SRZ represents a significant number of participants in the real estate sector.
Regulatory & Compliance:
SRZ is one of only a few law firms with a dedicated regulatory and compliance practice within its private funds practice. SRZ has specialized expertise on issues private fund managers face in setting up, running and growing their businesses. SRZ also provides compliance reviews, training on compliance issues, and assistance in drafting policies and procedures.
Securities & Capital Markets:
SRZ provides transactional and ongoing regulatory and compliance advice for US and non-US participants (issuers, investors, banks) of all sizes and stages, across all major industries, engaging in US and global capital markets transactions, including: SEC registered, Regulation D, Rule 144A and Regulation S offerings.
As the dominant global law firm for activist investing, SRZ assists with all matters relating to activism, including campaign strategies, corporate governance, proxy rules, trading and affiliate rules, Sections 13 and 16 compliance, antitrust regulations, federal and state securities and corporate laws, tax and regulatory issues and litigation.
Structured Finance & Derivatives:
SRZ structures and negotiates a variety of complex structured finance and securitization transactions, including collateralized loan obligations and asset-backed securitizations, as well as regulatory capital offerings, on behalf of a wide range of market participants, including investment managers, issuers, purchasers and sellers of assets, underwriters, placement agents, borrowers and investors.
SRZ provides tax planning for mergers, sales and other dispositions, and acquisitions and leveraged buyout arrangements, including analysis of cross-border financing and transfer-pricing issues. SRZ’s tax lawyers structure sophisticated financing transactions and advise on special tax issues confronting foreign investors making corporate, portfolio securities and real estate investments in the US. Tax advice is also provided to managers of domestic and foreign hedge, private equity and mutual funds.