Alan Rosen practices in the area of corporate and banking law. Mr. Rosen represents banks, bank holding companies and their subsidiaries in connection with corporate, corporate securities, regulatory and M&A matters. He has served in a lead role in both buy-side and sell-side mergers and acquisitions, de novo bank formations, securities and debt offerings, both public and private, and a wide variety of bank regulatory matters, including a successful regulatory administrative appeal. Mr. Rosen has also represented underwriters of financial institution-related offerings and handles general corporate representation. He is AV® Preeminent™ Peer Review Rated by Martindale-Hubbell.
Mr. Rosen is a 1974 graduate of the University of California, Los Angeles School of Law, where he was an associate editor of the UCLA Law Review and elected to the Order of the Coif, and a 1970 summa cum laude graduate of the University of California, Los Angeles, where he was elected to Phi Beta Kappa.
Areas of Practice
- Corporate Law
- Mergers and Acquisitions
Represented Southern California Bancorp in its $42 million capital raise through the issuance of common stock in a private placement to institutional and accredited individual investors at a price of $12 per share.
- Filed an Application for Authority to Organize Bank with the California Department of Business Oversight and an Application for Federal Deposit Insurance with the Federal Deposit Insurance Corporation for a de novo bank, New Enterprise Bank (proposed), to be located in the Silicon Valley.
- Represented American Riviera Bank (OTC Markets: ARBV), a full-service community bank, in its $8.5 million capital-raise of common stock, the net proceeds of which will support growth and expansion in California’s Central Coast.
- Represented Bank of Southern California in its $33 million acquisition of CalWest Bancorp and its wholly-owned bank subsidiary, CalWest Bank.
Represented Valley Republic Bancorp, a bank holding company, in its $20 million fixed-to-floating rate subordinated debt offering to institutional and private accredited investors.
- Represented Bank of Southern California in an acquisition including negotiating and documenting the merger agreement, conducting a fairness hearing before the California Dept. of Business Oversight for a stock permit, preparing the joint proxy materials and preparing the regulatory applications.
- Represented Bank of Southern California in a private placement to support a then pending merger and to support anticipated continued growth in assets that included preparation of offering related documents, regulatory filings, and ancillary amendment to Articles to increase authorized capital.
- Represented Willamette Community Bank in a private placement to support anticipated continued growth in assets that included preparation of offering related documents and regulatory filings, and coordination of the closing.
- Represented Gateway Bank, F.S.B., headquartered in Oakland, California focused on servicing the Asian ethnic community, in its private placement offering of common stock, resulting in raising $10.5 million in capital (a significant part of the Bank’s achieving compliance with the regulatory order to which the Bank is a party and returning the Bank to positive financial performance).
- University of California, Los Angeles School of Law, J.D., 1974
- Associate Editor, UCLA Law Review
- Order of the Coif
- University of California, Los Angeles, B.A., summa cum laude, 1970
- Phi Beta Kappa
- Duane Morris LLP
- Partner, 2017-present
- Horgan, Rosen, Beckham & Coren
- Partner, 1989-2017
- Argue, Freston, Pierson, Harbison & Myers
- Partner, 1986-1989
- Cohen & Ziskin/Ziskin, Horgan & Rosen
- Associate/Partner, 1979-1986
- Manatt, Phelps
- Associate, 1975-1979
- California Supreme Court
- Law Clerk to Chief Justice Donald Wright, 1974-1975
- California State Bar
- Los Angeles County Bar Association
- California Bankers Association (CBA)
- Western Independent Bankers (WIB)
- California Community Banking Network (CCBN)
Honors and Awards
2017 Chazak ("Strength") Award - "Recognition of a lifetime of extraordinary commitment and enduring allegiance to the Jewish Community", Jewish Federation Valley Alliance
- AV Preeminent® Peer Review Rated by Martindale-Hubbell®
- Co-author, "How Will the Anti-Money Laundering Act of 2020 Affect Bank Secrecy Act Compliance for Financial Institutions?" Duane Morris Alert, March 10, 2021
- Co-author, "The Challenges of Contracting for Fintech Services," BankBeat, April 15, 2020
- Co-author, "Consider a Virtual Shareholder Annual Meeting During the COVID-19 Pandemic," Duane Morris Alert, March 17, 2020
- Co-author, "Financial Regulators Require Pandemic Policies in Response to COVID-19 Threats," Duane Morris Alert, March 13, 2020
- Co-author, "Why Your Next Regulatory Examination Requires Your Full Attention," Banking Exchange, February 3, 2020
Quoted, "US Regional Banks Find The Sweet Spot," Global Finance, June 7, 2019
Co-author, "Considerations for Banks Given New Guidance on Cannabis," Duane Morris Alert, January 11, 2018
- Contributing Author, Bank Founder's Guide Book, SNL Securities, 1999
- Author, "Corporate Tax Deductions for Non-Business Assets: A Proposal," 21 UCLA Law Review 1611, 1974
Selected Speaking Engagements
- Panelist, "Community Bank M&A -2015," California Community Banking Network, October 28, 2015
- Webinar Speaker, "Transitioning from Survival to Growth Mode," October 13, 2011