Phillip R. Pollock

Shareholder


Experience

As a shareholder with the firm, Phil represents major financial institutions as well as smaller entities. His efficient approach, together with the firm’s competitive rate structure and his ability to structure creative billing arrangements, have appealed to start-ups and family-owned businesses. The types of businesses have also expanded beyond financial services companies to include software development companies and wineries and wine marketing and distribution companies. The scope of his practice for these clients has included capital-raising transactions and merger and acquisition work, as well as organizational and governance matters.

Phil’s experience with the financial services industry enables him to interpret the many new regulations emanating from the Dodd-Frank Wall Street Reform and Consumer Protection Act in the context of the evolution of financial regulatory reform over time. Phil has participated in the comment process on the proposed regulations through American Bar Association, Section of Business Law, panels and committee comment letters.

During his career, Phil has sought an efficient legal result by employing a “hands-on” approach, working directly with the client and involving the specialized expertise of colleagues as the situation may demand. After receiving his J.D./M.B.A. degrees, Phil began his career in New York City with a large Wall Street firm, where he practiced corporate and securities law. He then returned to San Francisco to work as in house counsel with the corporate section of the Bank of America legal department. In this position, working frequently with outside counsel, Phil became sensitive to the many needs and concerns of the “client” in addition to achieving a favorable legal result. This sensitivity has continued to inform and guide his approach to the delivery of legal services throughout his career.

After his in-house experience, Phil returned to private practice at the San Francisco office of a Wall Street firm. There he represented major financial institutions, many of which were involved in some aspect of the real estate mortgage industry, as originators, investors or securitizers. Clients included public and private mortgage REITs and private equity funds. Phil’s practice for such clients involved public and private offerings, including securitizations, Federal and state regulatory compliance and general organizational and governance matters.


Representative Matters:

  • Issuer’s counsel for the public offering of over $2 billion of mortgage-based securities since 2010.
  • Represents the manager of a group of private equity funds in raising capital for investment in distressed mortgage assets.
  • Represents the manager of a private equity fund with investments of over $1 billion in mortgage-backed securities.
  • Represented a California company in the formation of an Argentine subsidiary to an Argentine winery and vineyard property.

American Bar Association, Securitization and Structured Finance Committee
Member

Mortgage Bankers Association, Secondary Market Committee
Member

J.D., Stanford Law School, 1974

Note Editor, Stanford Law Review

M.B.A., Stanford Graduate School of Business, 1974

B.A., Stanford University, 1970

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