Carl A. Fornaris

Carl A. Fornaris

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Carl A. Fornaris is Co-Chair of the firm's Financial Regulatory and Compliance Practice. With 26 years of legal experience, Carl advises a broad range of financial services firms – banks and their holding companies, money services businesses, investment advisers, securities broker dealers, gaming firms, and other institutions – on all aspects of their business. These include licensing, capital-raising transactions, acquisitions and divestitures, USA PATRIOT Act/BSA/AML compliance and OFAC sanctions programs, cryptocurrency regulation, mobile money and FinTech, federal and state agency enforcement proceedings, and Dodd-Frank Act compliance. Throughout his career, Carl has counseled clients in their dealings with the Federal Reserve, OCC, FDIC, FinCEN, SEC, FINRA, Florida Office of Financial Regulation, New York Department of Financial Services and other state supervisory authorities.

Carl is also active representing lenders and credit parties in financing transactions, particularly credits to non-U.S. loan parties, asset-based credits, acquisition financing and stand-by letters of credit.

Carl is a past General Counsel of the Florida International Bankers Association and sits on its Board of Directors. Previously, he served as Head of Legal and Compliance for the Latin America region of Barclays Bank PLC, with responsibility for managing legal and compliance matters throughout the region. Carl is an adjunct professor in the Business Law Department of the University of Miami Business School.

Concentrations

  • Banking and financial services law, regulation and compliance
  • Commercial lending, including credit facilities in Latin America
  • Anti-money laundering and OFAC compliance
  • Cuba Task Force
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主要执业方向

主要执业经验

  • Representation of Keefe, Bruyette & Woods, Inc., an investment banking firm, as underwriter’s counsel in the initial public offering of 1,975,000 shares of common stock of First Western Financial, Inc.

荣誉和领导力

  • Listed, The Best Lawyers in America, Banking and Finance Law; Corporate Law; Financial Services Regulation Law; Securities / Capital Markets Law; Securities Regulation, 2008-2019
    • "Lawyer of the Year," Securities Regulation, Miami, 2014
  • Notable Practitioner, Chambers and Partners 2019 FinTech Guide, 2019 
  • Listed, Chambers USA Guide, 2005-2019
  • Listed, South Florida Legal Guide, "Top Lawyer," 2011-2019
  • Listed, Super Lawyers magazine, Florida Super Lawyers, 2007-2015
  • Team Member, "Corporate/M&A – Law Firm of the Year," Chambers Latin America Awards, 2014
  • Team Member, Corporate Board Member magazine and FTI Consulting Inc., one of "America’s Best Corporate Law Firms," 13th Annual Legal Industry Study, 2013
  • Team Member, "Corporate & Finance - International Counsel in Latin America (Florida-Based)," Chambers Latin America Awards, 2010, 2011, 2013, 2015 and 2016
  • Member, team ranked as a top corporate law firm in Miami as selected by corporate directors, in the annual "Legal Industry Research Study," Corporate Board Member magazine and FTI Consulting Inc. (10th year), 2002-2009, 2011-2012
  • Listed, Chambers Global, 2009-2011
  • Listed, Chambers Latin America, Corporate M&A, 2009
  • Team Member, "Focus on Latin America - Law Firm of the Year (Florida-Based)," Chambers Latin America Inaugural Awards for Excellence, 2009
  • Listed, Who's Who Legal Florida, 2008
  • Listed, Florida Trend magazine, "Legal Elite," 2006-2008
  • Recipient, "Pro Bono Service Award," Dade County Bar Association, 2005

资历

教育
  • J.D., The Catholic University of America, Columbus School of Law, 1993
  • B.S., University of Miami, 1990
获准执业地区
  • District of Columbia
  • Florida
  • U.S. Court of Appeals for the District of Columbia Circuit
  • U.S. District Court for the District of Columbia