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USA Guide
Firm Profile

Schulte Roth & Zabel LLP

Firm Profile

New York

  • Profile
  • 919 Third Avenue
  • New York
  • New York
  • USA
  • NY 10022

Firm profile submitted by Schulte Roth & Zabel LLP

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: 92
Number of other lawyers: 254

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, London and Washington, DC. SRZ regularly advises on corporate and transactional matters, and 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 is recognized for its ability to develop cuttingedge solutions for its clients’ most complex legal and business challenges.

International offices
The firm also has an office in London, UK.

Bank Regulatory:
SRZ advises a large and diverse group of financial institutions on chartering issues, legal and regulatory compliance, structuring of new businesses and products, payments practices and technologies, and US and international transactions, including financings, acquisitions and investments.

Broker-Dealer Regulatory & Enforcement:
The firm provides regulatory and compliance advice to broker-dealers and exchanges and handles SEC and SRO examination and enforcement matters. It also assists banks and hedge funds in their dealings with broker-dealers, and acts as regulatory counsel in connection with acquisitions involving brokerdealers.

Business Reorganisation:
SRZ provides counsel and representation in debt restructurings (workouts and reorganisations), acquisitions of troubled companies, financings (debtor-in-possession and reorganisation plans), and bankruptcy litigation (including fraudulent transfer, preference and contract disputes).

Employment & Employee Benefits:
SRZ counsels and represents clients with respect to the entire employment relationship. With an emphasis on preventing employment disputes, the practice advises employers on all aspects of labour relations and collective bargaining, benefits law and ERISA, and any necessary representation in litigation or arbitration.

The firm 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 represents clients before local, state and federal agencies and courts.

SRZ’s finance practice covers the entire debt stack, and it has extensive experience in middle-market and largecap leveraged transactions, representing both traditional and alternative lenders. It advises clients in a variety of debt financing transactions, including senior and junior secured facilities, asset-based facilities, and subordinated debt and mezzanine facilities. SRZ also advises on high-yield and preferred equity issuances, dividend recapitalizations, specialty credits for investment funds and privately held companies, and multinational credit facilities.

Individual Client Services:
The firm’s individual client services practice is one of the most sophisticated, extensive and diverse of any major law firm. Its lawyers represent many of the wealthiest individuals in the country 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.

Investment Management:
SRZ is a global leader on investment structuring, operations and regulatory issues. As the go-to firm in this area, it 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 practice is robust and highly sophisticated with extensive trial experience. The group has premier capabilities in both complex commercial litigation and the specialised areas of securities enforcement, whitecollar criminal defence and regulatory investigations.

Mergers & Acquisitions:

As one of the top advisers for mergers and acquisitions, the firm advises private equity firms, portfolio companies and publicly traded companies on complex public and private transactions, including leveraged buyouts, ‘going private’ transactions, special opportunity investments, tender offers and proxy contests, IPOs, highyield debt and PIPEs transactions. Clients include both financial and strategic buyers and sellers involved in domestic and cross-border transactions.

Real Estate:
Representing the full complement of stakeholders in the real estate market, SRZ provides unparalleled expertise to US and international real estate investment funds in connection with real estate fund formation, joint venture investments, and the domestic and cross-border purchase, sale, financing and development of real estate (both distressed and non-distressed), including related equity offerings, securitisations and other capital markets transactions.

Regulatory & Compliance:
SRZ offers representation in the areas of regulation, compliance and litigation for investment banks, commercial banks, hedge funds, private equity funds, mutual funds, closed-end funds and business development companies. The firm advises clients on US and UK finance regulations, as well as securities trading issues and bank regulatory issues. It provides compliance reviews, training on compliance issues, and assistance in drafting policies and procedures. SRZ also counsels clients in preparation for examinations by federal and self-regulatory organisations. The group’s lawyers have vast experience representing financial services clients in civil and criminal cases and investigations by governmental agencies, including trials and on appeal.

Securities & Capital Markets:

The firm 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. SRZ’s experience also spans an extensive range of equity and debt products, including IPOs, investment and non-investment grade debt, permanent capital vehicles, trust preferred securities and registered direct offerings.

Shareholder Activism:
Serving activists, ‘occasional activists,’ investment advisers and issuers, SRZ provides cuttingedge advice on navigating the maze of applicable laws and regulations in both the US and UK, as well as markets in continental Europe and other parts of the world. The firm works with clients on a wide variety of activist and defensive strategies, from behind-the-scenes long-term partnerships with management to proxy contests and consent solicitations.

Structured Finance & Derivatives:
SRZ structures, negotiates and addresses trading and regulatory compliance issues (SEC, CFTC, ISDA and EC emerging trading, reporting and recordkeeping rules) regarding over-thecounter (OTC) derivative products. In the structured products area, it has acted as lead counsel in collateralised loan obligations (CLOs) and synthetic collateralised bond obligations (CBOs).

The firm 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.


  • 919 Third Avenue,
  • New York,
  • USA
  • NY 10022
  • Tel +1 212 756 2000
  • Fax +1 212 593 5955
  • Website :
  • 1152 Fifteenth Street, NW,
  • Suite 850,
  • Washington, DC,
  • District of Columbia
  • USA
  • 20005
  • Tel +1 202 729 7470
  • Fax +1 202 730 4520