Industries & Practices
Financial Services Regulatory & Compliance
We provide strategic and focused legal counsel on a variety of regulatory and compliance issues.
Our attorneys are consistently monitoring legislative and regulatory activity and understand how to implement compliant methodologies, policies and procedures for all financial institutions — from community banks and mortgage lenders to international operations and all settlement service providers. We seek to understand our clients' markets, business issues, liabilities, risks and opportunities to help them make proactive and informed decisions in an increasingly complex environment.
Clients across the country have relied on our national-caliber skill and relevant industry experience to help them prepare for and overcome many challenges:
- Regulatory and CFPB readiness planning
- CFPB examinations
- Advertising and sales practices
- Federal and state regulatory actions and enforcement proceedings
- Regulatory compliance due diligence and training
- Compliance management systems
- HUD investigations
- Regulatory audits and exams
- Whistleblower audits
- Mock audits and internal testing
- Development of compliance systems
- Development of “best practices” policies and procedures
- Commercial and residential loan documentation
- Social media and digital advertising
HUD fair lending enforcement investigations and re...
Successful defense of “matched-pair” based claims, defending lenders in response to alleged violations of the Equal Credit Opportunity Act and Fair Housing Act and facially inequitable ...
MoreCFPB and FTC investigations and enforcement
Represented clients in formal CFPB and FTC investigations and the prevention of related enforcement actions.
MoreRegulatory enforcement actions defense
Defense of state regulatory enforcement actions and inquiries in various jurisdictions throughout the U.S.
MoreCybersecurity risk mitigation programs
Created and developed intensive cybersecurity risk mitigation programs for financial institutions to prevent and reduce the growing risks associated with business engagement in the digital age.
... MoreComplex lending and loan servicing issues
Defense of civil litigations related to complex issues associated with lending and loan servicing, including successful resolution of claims involving loan repurchase/indemnification, the Telephone...
MoreCompliance management systems
Developed tailored compliance management systems for financial services companies of all sizes.
MoreProperty rights of pawnbrokers
Educated local and state government officials regarding the property rights of pawnbrokers in pawned items.
MoreComplex lending and loan servicing issues
Defense of civil litigations related to complex issues associated with lending and loan servicing, including successful resolution of claims involving loan repurchase/indemnification, the...
MoreDevelopment of compliance management systems
For financial services companies of all sizes, developed tailored compliance management systems engineered to merge best practices with practical budget and operational realities.
MorePeople
Drew H. Campbell
Partner & Class Action/Insurance Chair
David S. Jackson
Of Counsel
William D. Mason
Of Counsel
Nelson M. Reid
Partner
Justin Ristau
Partner & Creditors' Rights/Bankruptcy Chair
Christopher N. Slagle
Partner & Government Relations Chair