Dave is Co-Chair of Stevens & Lee’s Corporate, Finance and Capital Markets Department and Co-Chair of the Financial Institutions Group. For over 35 years, he has focused his practice on the representation of public and private company clients in corporate matters, capital formation, securities law compliance, mergers and acquisitions, regulatory issues, change-in-control and shareholder activism issues and corporate governance matters.

He has represented private and publicly traded financial institutions in more than 50 acquisitions involving banks, insurance and securities brokerage operations and registered investment advisors. He has served as counsel to the issuers in public and private capital markets transactions totaling more than $5 billion.

Representative Transactions

  • Represented First Priority Financial Corp. in its sale to Mid Penn Bancorp, Inc.
  • Represented Royal Bancshares of Pennsylvania, Inc. in its sale to Bryn Mawr Bank Corporation
  • Represented a regional bank holding company and well-known seasoned issuer in a $74 million registered public offering
  • Represented a regional bank holding company in a $100 million registered direct public offering and a $45 million PIPE transaction
  • Represented Murphy Capital Management, a registered investment advisor, in connection with its sale to Peapack Gladstone Bank
  • Represented Princeton Capital Management, a registered investment advisor, in connection with its business combination with Hudson Canyon Investment Counselors
  • Represented Univest Corporation of Pennsylvania in its strategic acquisitions of Fox Chase Bancorp, Inc. and Valley Green Bank
  • Represented Royal Bancshares of Pennsylvania, Inc. in its private placement and registered shareholder rights offering to fund redemption of TARP securities
  • Represented Penns Woods Bancorp, Inc. in its strategic acquisition of Luzerne National Bank Corp.
  • Represented First Bank of Delaware in connection with a sale of its assets to Bryn Mawr Trust Company and wind-up
  • Represented VIST Financial Corp. in its sale to Tompkins Financial Corporation (Ithaca, NY)
  • Advised a number of financial institutions subject to formal and informal regulatory agreements
  • Pennsylvania Bar Association
  • American Bar Association
  • Pennsylvania Bankers Association
  • Pennsylvania Association of Community Bankers
  • New Jersey Bankers Association

Education

  • Dickinson School of Law of The Pennsylvania State University, J.D., cum laude, 1983; Editor-in-Chief, Dickinson Law Review
  • Lebanon Valley College, B.A., cum laude

 

Bar Admissions

  • Pennsylvania
Dave Swartz
Practice
  • Corporate, Finance and Capital Markets
Industries
  • Financial Institutions
Education
  • Penn State Dickinson Law School
David W. Swartz
  • Shareholder
  • Email: david.swartz@stevenslee.com
  • Reading
  • Phone: 610.478.2184
  • Fax: 610.988.0815

Dave is Co-Chair of Stevens & Lee’s Corporate, Finance and Capital Markets Department and Co-Chair of the Financial Institutions Group. For over 35 years, he has focused his practice on the representation of public and private company clients in corporate matters, capital formation, securities law compliance, mergers and acquisitions, regulatory issues, change-in-control and shareholder activism issues and corporate governance matters.

He has represented private and publicly traded financial institutions in more than 50 acquisitions involving banks, insurance and securities brokerage operations and registered investment advisors. He has served as counsel to the issuers in public and private capital markets transactions totaling more than $5 billion.

Representative Transactions

  • Represented First Priority Financial Corp. in its sale to Mid Penn Bancorp, Inc.
  • Represented Royal Bancshares of Pennsylvania, Inc. in its sale to Bryn Mawr Bank Corporation
  • Represented a regional bank holding company and well-known seasoned issuer in a $74 million registered public offering
  • Represented a regional bank holding company in a $100 million registered direct public offering and a $45 million PIPE transaction
  • Represented Murphy Capital Management, a registered investment advisor, in connection with its sale to Peapack Gladstone Bank
  • Represented Princeton Capital Management, a registered investment advisor, in connection with its business combination with Hudson Canyon Investment Counselors
  • Represented Univest Corporation of Pennsylvania in its strategic acquisitions of Fox Chase Bancorp, Inc. and Valley Green Bank
  • Represented Royal Bancshares of Pennsylvania, Inc. in its private placement and registered shareholder rights offering to fund redemption of TARP securities
  • Represented Penns Woods Bancorp, Inc. in its strategic acquisition of Luzerne National Bank Corp.
  • Represented First Bank of Delaware in connection with a sale of its assets to Bryn Mawr Trust Company and wind-up
  • Represented VIST Financial Corp. in its sale to Tompkins Financial Corporation (Ithaca, NY)
  • Advised a number of financial institutions subject to formal and informal regulatory agreements
  • Pennsylvania Bar Association
  • American Bar Association
  • Pennsylvania Bankers Association
  • Pennsylvania Association of Community Bankers
  • New Jersey Bankers Association

Education

  • Dickinson School of Law of The Pennsylvania State University, J.D., cum laude, 1983; Editor-in-Chief, Dickinson Law Review
  • Lebanon Valley College, B.A., cum laude

 

Bar Admissions

  • Pennsylvania
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