Stroock & Stroock & Lavan LLP | Financial Services: 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.

In The Spotlight

“Future of Small Dollar Lending”

June 14, 2018

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Publications

June 14, 2018|Stroock Special Bulletin
“Future of Small Dollar Lending”
By: Quyen T. Truong

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Lawyers In This Group

NAME	TITLE	OFFICE
James L. Bernard	Partner	New York	James L. Bernard Partner New York 212-806-5684 [email protected]
Daniel N. Bertaccini	Special Counsel	New York	Daniel N. Bertaccini Special Counsel New York 212-806-6497 [email protected]
Elizabeth C. Carter	Associate	New York	Elizabeth C. Carter Associate New York 212-806-5597 [email protected]
David M. Cheifetz	Special Counsel	New York	David M. Cheifetz Special Counsel New York 212-806-6222 [email protected]
Kerry T. Cooperman	Associate	New York	Kerry T. Cooperman Associate New York 212-806-6544 [email protected]
Shannon E. Dudic	Special Counsel	Los Angeles	Shannon E. Dudic Special Counsel Los Angeles 310-556-5836 [email protected]
Christine E. Ellice	Special Counsel	Los Angeles	Christine E. Ellice Special Counsel Los Angeles 310-556-5895 [email protected]
Holly A. Farless	Associate	Los Angeles	Holly A. Farless Associate Los Angeles 310-556-5811 [email protected]
Ali Fesharaki	Associate	Los Angeles	Ali Fesharaki Associate Los Angeles 310-556-5849 [email protected]
Christopher R. Fredrich	Special Counsel	Los Angeles	Christopher R. Fredrich Special Counsel Los Angeles 310-556-5839 [email protected]
Brian C. Frontino	Partner	Miami Los Angeles	Brian C. Frontino Partner Miami Los Angeles 305-789-9343 [email protected]
Raymond A. Garcia	Associate	New York	Raymond A. Garcia Associate New York 212-806-5485 [email protected]
Chelsea L. Goulet	Associate	New York	Chelsea L. Goulet Associate New York 212-806-5414 [email protected]
Cristina A. Guido	Associate	Los Angeles	Cristina A. Guido Associate Los Angeles 310-556-5872 [email protected]
Francis C. Healy	Special Counsel	New York	Francis C. Healy Special Counsel New York 212-806-5596 [email protected]
David J. Kahne	Special Counsel	New York	David J. Kahne Special Counsel New York 212-806-6419 [email protected]
K. Thomas Ko	Partner	New York	K. Thomas Ko Partner New York 212-806-1233 [email protected]
Dustin A. Linden	Associate	Los Angeles	Dustin A. Linden Associate Los Angeles 310-556-5931 [email protected]
John R. (''Jake'') Loftus	Partner	Los Angeles	John R. (''Jake'') Loftus Partner Los Angeles 310-556-5954 [email protected]
David W. Moon	Special Counsel	Los Angeles	David W. Moon Special Counsel Los Angeles 310-556-5967 [email protected]
Stephen J. Newman	Partner	Los Angeles	Stephen J. Newman Partner Los Angeles 310-556-5982 [email protected]
Arjun P. Rao	Partner	Los Angeles	Arjun P. Rao Partner Los Angeles 310-556-5822 [email protected]
Adam P. Snyder	Associate	Los Angeles	Adam P. Snyder Associate Los Angeles 310-556-5971 [email protected]
Joshua Sohn	Partner	New York	Joshua Sohn Partner New York 212-806-1245 [email protected]
Julieta Stepanyan	Associate	Los Angeles	Julieta Stepanyan Associate Los Angeles 310-556-5863 [email protected]
Adam P. Stillman	Associate	Los Angeles	Adam P. Stillman Associate Los Angeles 310-556-5848 [email protected]
Julia B. Strickland	Partner	Los Angeles	Julia B. Strickland Partner Los Angeles 310-556-5806 [email protected]
David D. Switzler	Associate	Miami	David D. Switzler Associate Miami 305-789-9341 [email protected]
Alisa M. Taormina	Special Counsel	Miami	Alisa M. Taormina Special Counsel Miami 305-789-9321 [email protected]
Quyen T. Truong	Partner	Washington, DC	Quyen T. Truong Partner Washington, DC 202-739-2888 [email protected]
Daniel J. Yost	Associate	New York	Daniel J. Yost Associate New York 212-806-6245 [email protected]