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Richard D. Smith

Partner

280 Park Avenue
15th Floor West
New York, NY 10017
richard.smith@nelsonmullins.com

Richard Smith focuses on corporate transactions, mergers and acquisitions, private equity, and capital markets.

He has represented clients in M&A and strategic transactions involving banking, sponsor finance, healthcare, technology, telecom, mortgage, broker-dealer, mining, insurance, trade processing, investment advisory, asset management, real estate, energy, entertainment, shipping, market maker, servicing, and commodities businesses. His M&A experience also includes counseling...

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Richard Smith focuses on corporate transactions, mergers and acquisitions, private equity, and capital markets.

He has represented clients in M&A and strategic transactions involving banking, sponsor finance, healthcare, technology, telecom, mortgage, broker-dealer, mining, insurance, trade processing, investment advisory, asset management, real estate, energy, entertainment, shipping, market maker, servicing, and commodities businesses. His M&A experience also includes counseling financial institutions with regard to fairness opinions and advisory engagements. He has also advised several clients on M&A related disputes and arbitrations.

Mr. Smith is a member of the Board of Advisors of the Institute for Law and Economics at the University of Pennsylvania. He is also a member of the Duke Law School Global Financial Markets Center Advisory Board.

 

financial institutions with regard to fairness opinions and advisory engagements. He has also advised several clients on M&A related disputes and arbitrations.

Mr. Smith is a member of the Board of Advisors of the Institute for Law and Economics at the University of Pennsylvania. He is also a member of the Duke Law School Global Financial Markets Center Advisory Board.

 

Richard Smith focuses on corporate transactions, mergers and acquisitions, private equity, and capital markets.

He has represented clients in M&A and strategic transactions involving banking, sponsor finance, healthcare, technology, telecom, mortgage, broker-dealer, mining, insurance, trade processing, investment advisory, asset management, real estate, energy, entertainment, shipping, market maker, servicing, and commodities businesses. His M&A experience also includes counseling... financial institutions with regard to fairness opinions and advisory engagements. He has also advised several clients on M&A related disputes and arbitrations.

Mr. Smith is a member of the Board of Advisors of the Institute for Law and Economics at the University of Pennsylvania. He is also a member of the Duke Law School Global Financial Markets Center Advisory Board.

 

Experience

Following is a selected sampling of matters and is provided for informational purposes only. Past success does not indicate the likelihood of success in any future matter.

Experience

  • Represented a large financial institution on the sale of its equity investment in a healthcare company
  • Advised an investment bank on several advisory engagements
  • Advised a large financial institution on its investment in warrants issued by a biotech company
  • Advised a large financial institution on its investment in warrants issued by a technology start-up
  • Represented a public company on its acquisition of a private communications company
  • Advised a large financial services corporation on the sale of several portfolios of equity investments
  • Advised a large financial services corporation on the equity portion of the sale of its healthcare financial services business to a financial institution
  • Represented a large financial services corporation on the equity portion of the sale of its sponsor finance business to a pension plan investment organization
  • Advised a large financial services corporation on transactions involving its equity platform and investments
  • Represented a large global financial services company on its equity investment in an energy project
  • Advised a renewable energy company on an equity investment by an energy trading company
  • Represented various musicians and athletes on corporate and licensing matters
  • Advised a CRO in connection with a potential strategic transaction
  • Assisted two clients with a joint winning bid to purchase a portfolio of shipping loans with a value of more than $600 million from a financial institution
  • Advised a large financial services corporation on its assignment of CLO management contracts held by its affiliates to a NASDAQ-listed asset manager in exchange for cash consideration and a minority equity interest consisting of common stock and certain warrants
  • Advised a large financial services corporation on its sale of CIFC common stock and warrants
  • Represented a large trust and clearing corporation on its acquisition of a trade processing company
  • Advised a global producer of natural gas-based fertilizers and industrial chemicals on its public takeover offer for a related construction entity and $1 billion in equity commitments from several asset management companies
  • Represented a broker-dealer group on its acquisition by an investor-services firm in the amount of more than $1 billion
  • Represented a private investment firm on its acquisition of a gold mine and mill; on its proposed acquisition of a gold mining company from another mining company; and on its proposed hostile acquisition of a precious metals company
  • Advised a global bank on the sale of its international private banking business
  • Represented a government-owned investment and development organization on its minority investments in a private technology company and a private life sciences company
  • Represented a U.S. investment adviser on the regulatory and compliance issues for business expansion and the acquisition of additional asset management businesses
  • Represented a global services company in an arbitration arising from a post-closing M&A dispute
  • Represented a bidder on the sale by auction of a financial services company's broker-dealer subsidiary, ultimately acquired by a financial group
  • Advised an international financial institution and a multinational investment fund on their investment of $200 million to acquire a stake in a company held by a Colombian insurance company
  • Advised a global securities group on a number of debt and equity securities offerings and financings
  • Advised a provider of "smart" gas, electricity, and water meters, on the tender offer for all of its shares by a buy-out company
  • Represented a global investment management firm on the restructuring of the financing of a casino involving the issuance of warrants
  • Represented the agent on the restructuring of a bulk shipping company's revolving loan facility
  • Advised a financial institution, as dealer, on the first ever registration of a covered bond program with the SEC
  • Represented a financial services client on its proposed acquisition of an international bank's global asset management business
  • Represented a financial services client on its proposed acquisition of a Brazilian bank
  • Advised several financial institutions on the establishment of fairness opinion committees and related policies and procedures, and on the establishment of M&A platforms
  • Represented various international funds in connection with a series of loan transactions and equity investments in Africa and China
  • Represented Central American clients on the proposed acquisition of common stock representing certain power assets in Central America
  • Advised several consortia of banks on joint ventures
  • Represented the agent on the distressed sale of a medical device company
  • Advised a global financial institution on its acquisition of the North American assets of another financial institution
  • Advised a global financial institution on its acquisition of a mortgage servicing company
  • Advised a global financial institution on its acquisition of a mortgage origination company
  • Advised a global financial institution on its acquisition of certain mortgage IT assets out of bankruptcy
  • Advised a global financial institution on its structured financing transaction with famous American musician
  • Advised a global financial institution on its acquisition of a commodities analytics company
  • Advised a global financial institution on its acquisition of two NYSE designated market makers
  • Advised a global financial institution on the sale of its mortgage servicing company
  • Advised a global financial institution on its investment in a fuel-hedging company
  • Advised a global financial institution on its investment in an online platform for collateral management
  • Advised a global financial institution on the sale of a portfolio of commercial real estate assets
  • Advised a global financial institution on various energy-related private equity transactions

Previous Professional Experience

  • Previous experience at international law firms (Reed Smith, Allen & Overy, Sullivan & Cromwell), most recently Partner at Reed Smith
  • Head of M&A and Investment Banking Legal (Americas) at Barclays
  • Associate General Counsel, Goldman Sachs
  • Assistant Economist, Federal Reserve Bank of New York

Certifications

  • FINRA Series 7 General Securities Representative

Education

  • Duke University School of Law, JD, with honors (1993)
  • Haverford College, BA, Economics (1988)
    • Phi Beta Kappa

Admissions

  • New York
  • District of Columbia
  • U.S. District Court for the Southern District of New York
  • U.S. District Court for the Eastern District of New York

Practice Areas

Industries

  • Board of Advisors, Institute for Law and Economics, University of Pennsylvania
  • Faculty member, Practicing Law Institute
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