Depository Institutions, Investment Advisory, Specialty Finance, FinTech and Service Companies

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Griffin serves as trusted advisor to the management teams and boards of directors of banks, thrifts, asset managers and specialty finance companies, as well as fintech and other companies serving the banking industry. The team provides strategic advice to financial services clients in all areas of their businesses, including strategic alternative studies, merger and acquisition advisory, capital markets and capital raising alternatives, and consultative and loan trading services for first and second lien residential mortgages, as well as auto and other consumer loans.

A factor that sets us apart from others is our team’s commercial bank and thrift management experience, which taken together with our diverse educational and licensing backgrounds, gives us a unique understanding and appreciation of the challenges facing the sector. Our team includes professionals who are former senior bank executives that have personally built and managed financial institutions of many sizes, including the former Chairman, CEO and President of an $18 billion financial institution and the former CFO of a $90 billion bank holding company. In addition to direct industry and investment banking experience, members of our team have significant Big Four accounting and tax experience, as well as legal expertise, which gives us the depth to fully address the financial accounting, regulatory and tax consequences created by transactions in this sector.

Griffin has served financial institutions on both buy-side and sell-side merger and acquisition assignments, branch sales and purchases, asset manager and insurance agency acquisitions and sales, strategic alternatives studies, loan sales and securitizations, and other financial advisory assignments. We have significant experience in both negotiated and fully auctioned transactions and have provided advisory support to companies in defense of board destabilization attempts, proxy contests and other change-in-control transactions. Griffin professionals also work with bank credit and workout staff in connection with resolving troubled credit.

Griffin’s real estate finance team assists financial institutions in containing the cost and maximizing the value of their commercial real estate. We have particular experience in sale/leaseback transactions, as well as a wide range of liquidity solutions.

Griffin’s Capital Markets Group makes markets in bank stock and executes repurchase transactions for issuers. The team has placed common equity and both investment grade and non-investment grade subordinated debt securities in both private placement and public transactions.

Griffin’s ESOP team assists depository institutions in increasing shareholder liquidity through the design, development and implementation of employee stock ownership plans (ESOPs).

The occupational, educational, licensing and skill set diversity of our team sets us apart:

  • Sam McCullough, President and CEO of Griffin Holdings Group, engineered the acquisition of 23 banks and related companies before selling the resulting company to CoreStates
  • Joe Harenza, CEO and Senior Managing Director of Griffin, has guided financial institution clients through more than 200 merger and acquisition transactions and has assisted banks and thrifts in a number of non-negotiated takeover attempts and negotiated and bidded changes in control
  • Mark McCollom, Co-Head of the Financial Institutions Group/Depository Institutions, has coordinated the financial and operational aspects of more than 50 transactions, including mergers, acquisitions, asset sales, sale/leasebacks and debt and equity financings, with a combined transaction value in excess of $20 billion
  • Richard Quad, Co-Head of the Financial Institutions Group/Depository Institutions, has successfully completed over 50 assignments for more than 25 community bank clients, and is the former Head of U.S. Financial Institutions M&A and the former Co-Head of U.S. Depositories at RBC Capital Markets
  • Eric Magrisi, Head of Capital Markets, directs capital markets activities, and is formerly a partner and executive vice president at McKinnon & Co. and has completed over 50 public offerings and institutional placements in the financial services sector
  • Alan Grover, Senior Vice President, is a CPA and former Senior Manager for Ernst & Young with extensive financial accounting experience in the financial services sector
  • Matt Jozwiak, Senior Vice President, is a former commercial banker where he focused on public and private placements of debt and equity, IRR assessment processes, and served as asset liability manager (IRR & Forecasting)
  • Stacey Weikel, Senior Vice President, served as director of investor relations and corporate development at a large regional bank where she developed, directed and executed all aspects of that banks investor relations program, and evaluated potential merger and acquisition targets