Finance + Public Finance

Overview

Our Finance Group lawyers provide comprehensive legal services to support the finance-related needs of our private and public sector clients nationwide. We routinely handle sophisticated commercial lending transactions, litigation, regulatory matters, securities matters, as well as workouts and bankruptcies. Our clients include  banks and their special finance and merchant banking affiliates, insurance companies, financial subsidiaries of major industrial corporations, mortgage companies and other financial service providers.

Our Public Finance Group lawyers provide comprehensive legal services to state and local governments, government authorities, issuers, underwriters, borrowers, corporate trustees, investors, banks, and mutual fund clients.

Our Services

We provide a full range of financial services, including:

  • affordable housing financing 
  • commercial and industrial lending
  • commercial real estate lending
  • financial services cyber-compliance
  • financial services regulatory matters
  • litigation
  • precious metals financing
  • public finance
  • tax assistance

Our Team

Our finance team includes partners with decades of experience serving clients as to all of their finance-related goals and objectives. Robinson+Cole was one of the first nationally recognized bond counsel firms in the country and has provided comprehensive legal services in municipal finance transactions for more than 30 years. We have extensive experience dealing with state and federal regulators. Our lawyers have written regularly about financial matters, with their work appearing in publications such as The National Law Journal, Real Estate Finance Journal, National Mortgage News, and more. They have garnered recognition for their work, including being listed in The Best Lawyers in America© and Super Lawyers.

    • Experience
      • Represented lenders in connection with credit facilities extended to Indian tribal nations involving a variety of sovereign immunity and related issues.
      • Represented lenders in a variety of transactions involving financial assistance or guarantees from the Connecticut Development Authority and/or the Connecticut Department of Economic Development.
      • Represented lenders providing pre- and post-export financing under loan guaranty and export insurance programs offered by the Export-Import Bank of the United States.
      • Represented lender in construction to mini-permanent loan of corporate offices and distribution center involving United States Department of Agriculture loan guaranty.
      • Represented lender in low-income housing tax credit transaction with multiple funding sources and represented same lender in acquisition of the tax credits.
      • Represented lender in leasehold mortgage construction to permanent loan for large apartment complex in velocity zone.
      • Represented a large North American producer of specialty value-added paperboard products in U.S. and Canadian public offerings and private placements.
      • Represented Indian tribal nation as special counsel and bond counsel in connection with structuring, negotiating, documenting, and consummating an ongoing series of debt financings, involving a variety of sovereign immunity and related issues, including a $350 million bank facility, a $225 million tax-exempt commercial paper program, a $75 million senior note issue, and over $900 million in special revenue bonds.
      • Represented lender in a series of secured credit facilities involving revolving loans, term loans and mortgage loans as well as related interest rate protection arrangements to an integrated group of affiliate corporations operating nationwide.
      • Represented borrower in conduit loan transaction secured by multiparcel apartment complexes.
      • Represented multiple borrower parties in acquisition of and conduit financing for shopping center.
      • Represented a lender in a series of secured credit facilities involving revolving loans, term loans and mortgage loans, as well as related interest rate protection arrangements, to an integrated group of affiliate corporations operating retail furniture outlets in Massachusetts, New Hampshire and Connecticut.
      • Represented agent and lenders in a $65 million syndicated credit facility to an operator of 22 health care facilities located in Connecticut, Rhode Island and Massachusetts.
      • Represented lenders in a variety of transactions involving letters of credit or other credit enhancements in support of the issuance of tax exempt revenue bonds, including revenue bonds issued by the public authority issuing bonds to tax exempt borrowers.
      • Represented administrative agent and syndicate of lenders in connection with $200 million revolving and term-loan facility to fund a "going private" transaction, a dissenting shareholder reserve and working capital needs, secured by real property located throughout the United States and a blanket lien on all other assets.

      • Represented three separate lenders in the financing of the acquisition by five separate buyers’ groups of the Connecticut operations of a NYSE listed waste hauling and management corporation. The transaction required the simultaneous closing of five separate loan facilities to five independent and unrelated groups of buyers in order to fund the acquisition transaction which closed on a parallel course.
      • Drafted new insurance reinvestment fund tax legislation in Connecticut and represented a group of venture capital partnerships in establishing an insurance reinvestment fund approved by the Connecticut Department of Economic and Community Development to channel investments by insurance companies into start-up or emerging businesses in Connecticut. These types of funds exist in some other states and are commonly referred to as Capco Funds.

      • Representation of U.S. subsidiary concerning its accession to its parent corporation’s restructured global credit facilities.
      • Represented lender in construction loan of assisted living, congregant care and condominiums on former estate in premier Boston suburban location.
      • Represented lender in $1.25 million multibank syndicated financing with major U.S. insurance company.
      • Represented lenders in a variety of transactions lending to sports franchises, including the New England Patriots, the Hartford Whalers and the Hartford Hellcats.
      • Represented lender in a multimillion dollar financing of a major restaurant franchise syndicate.
      • Represented an institutional lender providing a $22 million construction loan to an affiliated group of borrowers to fund the construction costs associated with the design, procurement, and installation of 26 MW commercial rooftop solar array projects for two Fortune 50 companies to be located on 60 commercial buildings in four states and secured by all assets of the borrowers. We advised on respective rights under all contracts with equipment procurement contractors (EPCs), power purchase agreements, renewable energy certificates, agreements relating to federal investment tax credits, interconnection agreements, and maintenance agreements. The contemplated refinancing of this transaction involved the placement of permanent senior loan financing from an institutional lender, a tax credit equity investment (in the form of a "partnership flip," which involved the creation of special purpose entities) from an institutional investor, and the associated intercreditor, interparty, and other related third-party issues.

      • Represented a housing authority as bond counsel in the issuance of five series of State-supported special obligation bonds totaling $37.3 million to finance 19 new group homes for persons with intellectual disabilities and to refinance five series of prior bonds.

      • Represented bank in connection with an $80 million revolving credit facility to one of the world’s leading manufacturers and marketers of polished diamonds.

      • Represented a lender in complex construction-to permanent term loan facilities provided to a borrower to fund the construction costs associated with the design, procurement, and installation of a 10.3 MW gas-fired combined co-generation and ice production facility in Staten Island, New York.

      • Represented university in the issuance of more than $250 million of indebtedness, including two series of tax-exempt bonds, two series of taxable bonds, a taxable term loan, a line of credit and two interest rate swap agreements, to finance new classrooms and dormitories and to refinance three series of outstanding bonds and construction lines of credit facilities, all at a favorable rate and under favorable terms.

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    • News
      • November 6, 2023

        Robinson+Cole Receives 42 First-Tier Metropolitan Rankings and Six National Rankings in Latest Edition of Best Law Firms®

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      • August 17, 2023

        78 Robinson+Cole Lawyers Listed in The Best Lawyers in America© 2024

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      • November 3, 2022

        Robinson+Cole Receives 43 First-Tier Metropolitan Rankings and Four National Rankings in Latest U.S. News – Best Lawyers “Best Law Firms”

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      • August 18, 2022

        74 Robinson+Cole Lawyers Listed in The Best Lawyers in America 2023

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      • June 1, 2022

        2022 Chambers USA Recognizes 19 Robinson+Cole Lawyers in 10 Practice Areas

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      • November 4, 2021

        Robinson+Cole Receives 40 First-Tier Metropolitan Rankings and Four National Rankings in Latest U.S. News – Best Lawyers “Best Law Firms”

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      • November 6, 2020

        Robinson+Cole Receives 36 First-Tier Metropolitan Rankings and Four National Rankings in Latest U.S. News – Best Lawyers “Best Law Firms”

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      • October 15, 2020

        47 Robinson+Cole Lawyers Recognized in Super Lawyers®

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      • August 20, 2020

        61 Robinson+Cole Lawyers Listed in The Best Lawyers in America© 2021

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      • November 1, 2019

        Robinson+Cole Receives 33 First-Tier Metropolitan Rankings and Four National Rankings in Latest U.S. News – Best Lawyers “Best Law Firms”

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      • October 19, 2019

        52 Robinson+Cole Lawyers Recognized by Super Lawyers®

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      • September 11, 2019

        Norm Roos Elected President of the American College of Mortgage Attorneys

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      • August 15, 2019

        57 Robinson+Cole Lawyers Listed in The Best Lawyers in America© 2020

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      • January 25, 2019

        Norm Roos Moderates Annual New England Mortgage Expo Panel

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      • January 15, 2019

        Keisha Palmer Appointed to NABL Section 103 Editorial Board

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      • December 17, 2018

        Robinson+Cole Promotes Nine Lawyers to Counsel

      • November 1, 2018

        Robinson+Cole Receives 36 First-Tier Metropolitan Rankings and Four National Rankings in Latest U.S. News – “Best Law Firms” Survey

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      • October 18, 2018

        51 Robinson+Cole Lawyers Recognized by Super Lawyers®

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      • October 15, 2018

        Norm Roos Elected President-elect of American College of Mortgage Attorneys

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      • August 15, 2018

        Mike Maglio and Earl Phillips Receive Best Lawyers® 2019 “Lawyer of the Year” Designation

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      • May 18, 2018

        Keisha Palmer Presents at NABL Seminar

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      • April 20, 2018

        Norm Roos Authors Article on Electronic Closings Published in The Abstract

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      • January 19, 2018

        Norm Roos Presents at Annual New England Mortgage Expo

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      • October 17, 2017

        Robinson+Cole Lawyers Recognized by Super Lawyers®

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      • August 15, 2017

        Fifty-Nine Robinson+Cole Lawyers Listed in The Best Lawyers in America© 2018

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      • May 4, 2017

        Finance Group Hosts Retreat at New Dunkin' Donuts Park

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      • January 18, 2017

        Norman Roos Moderates Legislative Update Panel at New England Mortgage Expo

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      • November 29, 2016

        Robinson+Cole Recognized for Work on “Deals of the Year”

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      • November 18, 2016

        Robinson+Cole Elects New Partners

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      • October 18, 2016

        Robinson+Cole Lawyers Recognized by Super Lawyers®

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      • October 14, 2016

        Norm Roos Elected Secretary of American College of Mortgage Attorneys

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      • October 3, 2016

        Norman Roos Moderates 2016 CMBA Legislative Update Seminar

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      • September 13, 2016

        Robinson+Cole Presents Annual Awards for Dedication and Outstanding Contributions

      • August 15, 2016

        Robinson+Cole Receives Top Listing in Connecticut Lawyer Count in The Best Lawyers in America® 2017

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      • June 21, 2016

        Robinson+Cole Welcomes Thirteen New Lawyers

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      • June 17, 2016

        Robinson+Cole Lawyer Co-authors Connecticut Chapter of Commercial Lending Law: A Jurisdiction-by-Jurisdiction Guide to U.S. and Canadian Law

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      • May 24, 2016

        Norman Roos Writes Article for Hartford Courant's HomeFinder Supplement

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      • February 1, 2016

        Robinson+Cole Forms Sustainability Cross-Practice Team

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      • January 21, 2016

        Patrick Birney Writes Article on Make-Whole Premiums for Norton Journal of Bankruptcy Law and Practice

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      • January 19, 2016

        Norman Roos Presents at New England Mortgage Expo

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      • October 23, 2015

        Norman Roos Moderates TRID Seminar at CT Realtors Leadership Conference

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      • October 19, 2015

        Robinson+Cole Lawyers Recognized by Super Lawyers®

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      • October 8, 2015

        Robinson+Cole Welcomes 10 New Lawyers

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      • September 9, 2015

        Norman Roos Moderates 2015 CMBA Legislative Update Seminar

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      • August 18, 2015

        Robinson+Cole Receives Top Listing in Connecticut Lawyer Count in The Best Lawyers in America® 2016

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      • June 29, 2015

        Robinson+Cole Hosts Young Lenders Happy Hour

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      • April 1, 2015

        Norm Roos Edits ACMA Publication

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      • January 23, 2015

        Finance Lawyer Comments on 2015 Prospects of Connecticut Housing Recovery

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      • December 5, 2014

        Norm Roos Profiled in Commercial Record

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      • December 4, 2014

        Robinson+Cole Elects New Partners and Counsel

      • November 20, 2014

        Norman Roos Quoted in Commercial Record

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      • November 18, 2014

        Join Robinson+Cole at the 4th Annual Economic Forum

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      • November 18, 2014

        Robinson+Cole Lawyers Honored as “New Leaders in the Law” at Celebration Dinner

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      • October 2, 2014

        Robinson+Cole Lawyers Named “New Leaders in the Law”

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      • September 29, 2014

        Norman Roos Moderates, Speaks at ACMA Annual Meeting

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      • September 1, 2014

        Norman Roos Moderates 2014 CMBA Legislative Update Seminar

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      • August 25, 2014

        Robinson+Cole Launches HigherEdWire – News for legal counsel

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      • August 11, 2014

        Taylor Shea Elected to My Sisters' Place Board of Directors

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      • July 17, 2014

        Robinson+Cole Welcomes Six New Lawyers

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      • June 30, 2014

        Norman Roos Moderates CMBA Legislative Webinar

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      • May 7, 2014

        Mike Enright Presents at Annual Meeting of ABA's Business Law Section

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      • February 19, 2014

        Mandy Eckhoff Selected as One of Boston's Future Leaders

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      • December 23, 2013

        Norman Roos Speaks at Mortgage Servicing Compliance Forum

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      • December 4, 2013

        Norman Roos Writes Article for Hartford Courant

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      • November 18, 2013

        Michael Maglio Speaks at CBA Meeting

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      • November 1, 2013

        Robinson & Cole Receives 34 First-Tier Metropolitan Rankings and Three National Rankings in U.S. News – Best Lawyers Survey

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      • October 21, 2013

        Super Lawyers® Names 61 Robinson & Cole Attorneys to 2013 List

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      • October 8, 2013

        Norman Roos Moderates CMBA Legislative Update Seminar

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      • August 27, 2013

        Robinson & Cole Lawyers Provide Commentary in Law360

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      • August 16, 2013

        Robinson & Cole Receives Top Listing in Connecticut Attorney Count in Best Lawyers National Peer Review Survey

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      • March 21, 2013

        Robinson & Cole Attorneys Selected for Top Women Attorneys in Massachusetts

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      • February 28, 2013

        Robinson & Cole Lawyer Co-Authors Connecticut Chapter of The Law of Guaranties Guide

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      • February 20, 2013

        Norman Roos Authors Article in the Hartford Courant

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      • February 1, 2013

        Norman Roos Moderates and Speaks at The New England Mortgage Expo

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      • January 22, 2013

        Norman Roos Quoted in Connecticut Post

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      • January 18, 2013

        Robinson & Cole Announces 2013 Counsel Promotions

      • December 4, 2012

        Norm Roos Delivers Presentation on Electronic Recording and Mortgage Licensing

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      • October 18, 2012

        Robinson & Cole Attorney Norman Roos Receives Inaugural NEMBC Hall of Fame Award

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      • September 14, 2012

        Ten Robinson & Cole Attorneys Selected as “Lawyers of the Year”

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      • September 12, 2012

        Norman Roos Talks with the Commercial Record About New Consumer Financial Protection Bureau Mortgage Disclosure Rules

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      • August 28, 2012

        Robinson & Cole Receives Top Listing in Connecticut Attorney Count in Best Lawyers National Peer Review Survey

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      • July 19, 2012

        Attorneys Advise Commercial Lenders on What They Need to Know

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      • April 30, 2012

        Finance Partner’s Article on SAFE Act and Truth in Lending Act Published in Hartford Courant

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      • April 9, 2012

        CFPB Issues Bulletin on Application of Compensation Rules to "Qualified Plans" - Payments to Qualified Plans Permitted

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      • February 8, 2012

        Norm Roos Presents Webinar on What Lenders Need to Know About Regulatory Compliance

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      • November 17, 2011

        Finance Partner Moderates at Connecticut Mortgage Bankers Association Legislative Update Seminar

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      • November 4, 2011

        Bankers Want Feds to Lay Off is the Message at Connecticut Mortgage Bankers Association Forum

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      • October 28, 2011

        Finance Attorneys Discuss Dodd–Frank and SAFE Acts at Affordable Housing Conference

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      • January 11, 2011

        Robinson & Cole Elects New Partners

      • December 17, 2010

        Attorneys Reelected to Connecticut Chapter Board

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      • December 15, 2010

        A Look at New Regulations for Loan Originator Compensation

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      • November 8, 2010

        Program Examines Impact of the Dodd Frank Act on Non-financial Businesses

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      • November 2, 2010

        Finance Partner Selected to Serve on Connecticut Law Revision Commission Advisory Committee

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      • October 28, 2010

        Robinson & Cole Managing Partner Joins Board of Connecticut Business & Industry Association

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      • October 21, 2010

        Mortgage Banking Lawyer Comments on Proposed Freeze on Foreclosures in State Courts

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      • October 13, 2010

        Timeshare Financing Transactions Will Not Bear Full Brunt of Dodd-Frank Act

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      • August 5, 2010

        Norman H. Roos and James R. Kinyon Present on Mortgage Lending Laws

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      • June 30, 2010

        Patrick Birney Leads Off Bankruptcy Law360 coverage of Schwab v. Reilly

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      • May 11, 2010

        Robinson & Cole Attorney Speaks on Bankruptcy Panel During Business Law Program

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      • April 23, 2010

        Robinson & Cole Attorney Speaks on Forbearance Agreements at Real Estate Finance Association Program

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      • March 30, 2010

        Robinson & Cole Attorney Quoted in The Commercial Record on Bank Efforts to Raise Cash

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      • February 2, 2010

        Robinson & Cole Attorneys Elected to Board of Directors of Turnaround Management Association’s Connecticut Chapter

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      • September 25, 2009

        Robinson & Cole Attorneys Address Legislative Developments Before the Connecticut Mortgage Bankers Association

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    • Publications + Presentations
    • "Higher Interest Rates Create Opportunity and Potential Liability" co-authored by Keisha S. Palmer, David M. Panico, Glenn A. Santoro, Christie D. Jean and Garrett S. Shaikh (8/15/2023)

      "Let The Buyer Beware—The Pitfalls of Buying Claims In Bankruptcy Cases" (8/6/2018)

      "CMBA Legislative Update—The CMBA Presents: Coping with the Aftermath of 'Dodd-Frank' While Contemplating the 'Age of Trump'—The Mortgage Industry in a State of Flux?" presented by Norman H. Roos, moderator, at the New England Mortgage Expo at the Mohegan Sun Convention Center in Uncasville, Connecticut (1/13/2017)
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      "Connecticut Mortgage Bankers Association's (CMBA) Annual Legislative Update Seminar," presented by Norman H. Roos, moderator, held in New Britain, Connecticut (9/8/2016)
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      "Connecticut Commercial Lending Law," published in Commercial Lending Law: A State-By-State Guide, authored by Michael F. Maglio (2016)
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      "It Is Time For the Mortgage Industry and Its Regulators to Move On and Leave the Crash Behind," published in Hartford Courant, authored by Norman H. Roos, featured in the HomeFinder supplement (5/13/2016)
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      "We are pleased to introduce our Sustainability Team" (4/11/2016)

      "Finance Regulatory Update" (10/1/2015)

      "Connecticut Mortgage Bankers Association's (CMBA) Annual Legislative Update Seminar," presented by Norman H. Roos, moderator, held in New Britain, Connecticut (8/27/2015)
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      "Debtor’s Founder Ordered to Turn Over Social Media Accounts" (7/15/2015)

      "§ 363 Sale Order Protects New GM from Most Ignition Switch Claims" (April 2015)

      "Perfecting Security Interests in a Debtor's Insurance Policy," published in American Bankruptcy Institute Journal, authored by Patrick M. Birney (April 2015)

      "A Career Spent in Compliance," published in The Commercial Record, an interview (11/27/2014)
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      "A Career Spent in Compliance," published in The Commercial Record, authored by Norman H. Roos, an interview that highlights Mr. Roos's long career along with his reputation "as one of Connecticut banks' most trusted advisors when it comes to regulations and compliance" (11/27/2014)

      "Secured Party Loses Challenge To UCC-3 It Approved" (Oct 2014)

      "Federal Bank Regulatory Developments Affecting Commercial Real Estate Lending," presented by Norman H. Roos, moderated and also presented at this regulatory panel presentation at the Annual Meeting of the American College of Mortgage Attorneys (9/19/2014)

      "Connecticut Mortgage Bankers Association's Legislative Update Seminar," presented by Norman H. Roos, moderator, held in New Britain, Connecticut (8/20/2014)

      "Robinson+Cole's Education Group Launches HigherEdWire LinkedIn Group" (8/11/2014)

      "2014 Connecticut Legislative Update," presented by Norman H. Roos, a webinar, moderated with Fritz Conway of Gaffney Bennett & Associates (6/11/2014)

      "2014 Q1 Business Transactions Deal Report" (5/22/2014)

      "Flexible Valuation and Postpetition Interest" (4/25/2014)

      "Current Developments in Bankruptcy," presented by Michael R. Enright, served as a panelist at the American Bar Association's 2014 Spring Meeting of the Business Law Section in Los Angeles (4/11/2014)

      "Financial Institutions and Social Media: Staying Current and Staying Compliant" (01/24/2014)

      "What’s in Store for the Mortgage Industry 2014," at The New England Mortgage Expo in Ledyard, Connecticut, presented by Norman H. Roos, moderated the CMBA legislative panel; in addition, presented a "Connecticut Legislative Update" (1/17/2014)

      "Connecticut Mortgage Bankers Association's Legislative Update Seminar," presented by Norman H. Roos, moderator (10/24/2012)

      "New Regulations Put a Crimp in Mortgage Industry," published in The Hartford Courant, authored by Norman H. Roos (4/13/2012)

      "The Changing Regulatory Environment," at Housing 2011, the annual conference of the Connecticut Housing Coalition, presented by Norman H. Roos (10/19/2011)

      "Loan Originator Compensation – New Regulation Z Rules," at Connecticut Mortgage Bankers Association Meeting at Webster Bank in New Britain, Connecticut, co-presented by Norman H. Roos and Catherine Moreton Gray; attorneys from Bankers Advisory, Inc., and Webster Bank (12/7/2010)

      "Financial Reform Act Expands SEC's Enforcement Powers and Liability for Securities Violations" (08/17/2010)

      "Dodd-Frank Financial Reform Act Legal Update" (08/12/2010)

      "NYSE Rule Prohibits Discretionary Broker Voting on Uncontested Director Elections" (04/23/2010)

      "New Federal Guidance for Lenders Supports Workouts over Foreclosures" (12/30/2009)

      "Letters of Credit - How a Seller Can Ensure Payment Even in a Bad Economy" (04/01/2009)

      "2008 Connecticut Laws Enable Homeowners to Obtain Mediation in Foreclosures: Some Basic Information Concerning the Mediation Process," published in Hartford Courant, authored by Norman H. Roos, Real Estate Supplement (12/2008)

      "Business Litigation Group Education Series" (09/19/2008)

      "Anticipated Legislative Changes in the Mortgage Industry and Possible Relief to Borrowers," published in The First-Time Home Buyer Magazine, authored by Norman H. Roos (6/2008)

      "Connecticut Mortgage Bankers Association's Legislative Update Seminar," presented by Norman H. Roos, moderator (10/26/2011)

      "Ten Things Commercial Lenders Should Know About Regulatory Compliance," co-authored by Norman H. Roos and Travis R. Searles, published in Connecticut Banking magazine (Second Quarter 2012)

      "Pending 2009 Connecticut Legislative Proposals Affecting the Residential Mortgage Lending Industry,," at the Connecticut Mortgage Bankers Association's Compliance and Legislative Forum in New Britain, Connecticut

Our Team

Chair

Members