Bank Regulatory Enforcement and Investigations

We defend financial institutions and holding companies, as well as their officers, directors and employees, in connection with regulatory enforcement actions and cases brought by the federal bank regulators, CFPB, SEC, CFTC, FinCEN, DOJ and state attorneys general. These matters encompass anti-money laundering, consumer protection, fair lending, securities and commodities enforcement, foreign trade controls, and safety and soundness issues such as call report violations, violations of fiduciary duties, consumer compliance issues, internal controls, brokered deposit issues and loan loss reserves. Additionally, we routinely represent clients in responding to proposed civil money penalties, prohibition orders, consent orders and formal agreements as well as informal enforcement actions.

We are deeply experienced in handling criminal and Congressional investigations. We conduct internal investigations and can help clients fashion and implement programs and systems to correct problems and violations. The rigor and integrity of our work is respected within government, and often can help avoid more onerous directives from enforcement officials. We regularly represent major financial services companies and their officers and directors in a wide range of commercial, antitrust, securities, and consumer litigation, class actions, arbitrations and mediations.