Regulatory Compliance and Enforcement Actions

Deep insights into the regulatory and political framework, combined with our longstanding relationships with industry leaders, enable our team to craft comprehensive strategic solutions to meet our clients’ regulatory challenges and business goals.

Our team includes former high-level enforcement officials and regulators and we leverage our extensive industry knowledge to help financial services firms develop and maintain pragmatic internal compliance systems, identify risks and create and implement policies and procedures to address the ever-expanding range of regulatory requirements.

We handle both routine and targeted inspections and inquiries by the CFPB, OCC, FTC, SEC and other federal and state regulators. We guide clients through regulatory examinations, respond to regulatory inquiries, draft responses to investigative demands and deficiency letters and, when necessary, defend them in enforcement actions. Our experience includes effective advocacy in legislative and rulemaking proceedings and negotiation of major financial services settlements with federal and state agencies in the wake of the Dodd-Frank Act and the National Mortgage Settlement.

Experience

  • Representing financial companies and their officers and directors in class action and individual litigation arising under the federal securities laws, federal commodities laws and regulatory matters involving virtually all traded commodities and the instruments through which they are traded worldwide.
  • Advising leading investment funds and fund managers in disputes involving enforcement and default issues in the financial markets, alleged breaches of duty, contentious regulatory issues, investigations and reputation management.
  • Counseling clients in investigations and inquiries before government agencies and self-regulatory organizations, including the CFTC, the SEC, the National Futures Association, FINRA and the various exchanges.
  • Representing broker-dealers, investment banks, private equity funds and investment advisors in civil litigation, arbitration and regulatory matters.
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Lawyers In This Group


NAME TITLE OFFICE
James L. Bernard Partner New York

James L. Bernard
Partner
New York

Daniel N. Bertaccini Associate New York

Daniel N. Bertaccini
Associate
New York

Elizabeth C. Carter Associate New York

Elizabeth C. Carter
Associate
New York

David M. Cheifetz Special Counsel New York

David M. Cheifetz
Special Counsel
New York

Kerry T. Cooperman Associate New York

Kerry T. Cooperman
Associate
New York

Shannon E. Dudic Special Counsel Los Angeles

Shannon E. Dudic
Special Counsel
Los Angeles

Christine E. Ellice Special Counsel Los Angeles

Christine E. Ellice
Special Counsel
Los Angeles

Holly A. Farless Associate Los Angeles

Holly A. Farless
Associate
Los Angeles

Ali Fesharaki Associate Los Angeles

Ali Fesharaki
Associate
Los Angeles

Christopher R. Fredrich Associate Los Angeles

Christopher R. Fredrich
Associate
Los Angeles

Brian C. Frontino Partner Miami
Los Angeles

Brian C. Frontino
Partner
Miami
Los Angeles

Raymond A. Garcia Associate New York

Raymond A. Garcia
Associate
New York

Chelsea L. Goulet Associate New York

Chelsea L. Goulet
Associate
New York

Cristina A. Guido Associate Los Angeles

Cristina A. Guido
Associate
Los Angeles

Francis C. Healy Special Counsel New York

Francis C. Healy
Special Counsel
New York

Crystal Y. Jonelis Associate Los Angeles

Crystal Y. Jonelis
Associate
Los Angeles

David J. Kahne Special Counsel New York

David J. Kahne
Special Counsel
New York

K. Thomas Ko Partner New York

K. Thomas Ko
Partner
New York

Erick K. Kuylman Associate Los Angeles

Erick K. Kuylman
Associate
Los Angeles

Dustin A. Linden Associate Los Angeles

Dustin A. Linden
Associate
Los Angeles

John R. ('Jake') Loftus Partner Los Angeles

John R. ('Jake') Loftus
Partner
Los Angeles

David W. Moon Special Counsel Los Angeles

David W. Moon
Special Counsel
Los Angeles

Stephen J. Newman Partner Los Angeles

Stephen J. Newman
Partner
Los Angeles

Arjun P. Rao Partner Los Angeles

Arjun P. Rao
Partner
Los Angeles

Adam P. Snyder Associate Los Angeles

Adam P. Snyder
Associate
Los Angeles

Julieta Stepanyan Associate Los Angeles

Julieta Stepanyan
Associate
Los Angeles

Adam P. Stillman Associate Los Angeles

Adam P. Stillman
Associate
Los Angeles

Julia B. Strickland Partner Los Angeles

Julia B. Strickland
Partner
Los Angeles

David D. Switzler Associate Miami

David D. Switzler
Associate
Miami

Alisa M. Taormina Associate Miami

Alisa M. Taormina
Associate
Miami

Quyen T. Truong Partner Washington, DC

Quyen T. Truong
Partner
Washington, DC

Daniel J. Yost Associate New York

Daniel J. Yost
Associate
New York