In 2021, the practice was highly active in defending banks in litigation related to their roles as underwriters of initial public offerings. All named lawyers are based in New York. Dispute resolution in the financial services sector is unique the deals are unique and so the conditions to closing and other issues are unique, so you really need to know the space, which Morgan Lewis does.. Counsel Caroline Novogrod Swett is another name to note and has a varied practice. In addition to acting in federal court, the practice is also frequently engaged by clients to handle cases before the Delaware Court of Chancery. Elsewhere, Jeffrey Robins is noted for his experience in broker-dealer and derivatives regulation, while counsel Alison Hashmall has specialisms in advising on compliance with Dodd-Frank and the Bank Holding Company Act. The ANONCHK cookie, set by Bing, is used to store a user's session ID and also verify the clicks from ads on the Bing search engine. Financial Regulatory The ongoing financial regulatory reform is having a significant impact on how financial institutions conduct business, and how financial markets operate. A cookie set by YouTube to measure bandwidth that determines whether the user gets the new or old player interface. 2427356 VAT 321572722, Registered address: 188 Fleet Street, London, EC4A 2AG. Mayer Brown is well-regarded for its work in cross-border financial services litigation, handling derivatives and securities litigation as well as disputes in the consumer lending space. We'll assume you're ok with this, but you can opt-out if you wish. In 2021, the practice acted in litigation before state and federal courts, including appearing before the Supreme Court, and was also engaged to handle enforcement proceedings and internal investigations. Key figures in the team include Giorgio Bovenzi, who specializes in global credit risk management, and Craig Unterberg , who leads on margin loan regulatory work. Bing sets this cookie to recognize unique web browsers visiting Microsoft sites. Litigation boutique Holwell Shuster & Goldberg LLP handles a broad range of disputes in the financial services sector, acting for banks, payment companies and individuals. and inclusion initiatives, Learn more about Shearman & Sterling LLP diversity Portilla also works alongside the firms corporate practice to handle M&A transactions involving financial services companies. The financial services regulation practice at Latham & Watkins LLP has a varied client base including prominent banks, broker-dealers, and growing companies in the cryptocurrency space. Financial Services: Regulatory and Litigation Legal 500 US 2022 Financial Services Regulation Law (2014, 2018, and 2022) U.S. News - Best Lawyers Law Firm of the Year Financial Services Regulation: Banking (Compliance) - Nationwide Chambers USA 2022 Financial Services Regulation: Consumer Finance (Compliance and Litigation) - Nationwide Search by keyword or browse the topics below to find what you are looking for. David Freeman; James Herschlein; Ken Chernof, Veronica Callahan; Aaron Miner; Kathleen Reilly. Christopher Houptfocuses on litigation involving structured finance and leads the teams work on RMBS disputes, with Matthew Ingberanother name to note in this area. The practices work in consumer finance disputes includes handling class actions, such as disputes related to COVID-19 relief programs, and litigation brought by the CFPB. The practice is jointly led by Brad Karp, Susanna M. Buergel, Jessica Carey, Andrew J. Ehrlich, Kenneth A. Gallo, Audra J. Solowayand Theodore Wells. At Katten Muchin Rosenman LLP, the financial services practice focuses on securities regulation, providing advice to banks, broker-dealers and investment advisors. Representing Square, a Silicon Valley payments unicorn, with its regulatory application process with the FDIC to obtain deposit insurance in connection with a new bank charter application to become a Utah-chartered bank (specifically an industrial loan company). Buckley LLP continues to provide wide-ranging advice to clients involved in consumer lending, including mortgage lending, auto loans, and credit cards. DeWaal and Light are based in New York, while Zinman acts out of the firms Chicago office. Client quote, Banking & Finance: Regulatory, Chambers Europe 2022, Tier Two Banking & Finance: Financial Services: Regulatory Represented Morgan Stanley in litigation brought by SL-x IP S..r.l., the parent company of an electronic stock-loan trading platform, and its subsidiaries, alleging a conspiracy by the defendant banks to boycott SL-x. Represented Industrial and Commercial Bank of China (ICBC), a leading state-owned commercial bank, in the successful acquisition of a US chartered bankthe first such acquisition by a mainland Chinese bank, including preparing, filing and addressing issues related to obtaining FRB and OCC approval. Yuet focuses . The teams work elsewhere in consumer finance litigation includes handling claims alleging violations of the Servicemembers Civil Relief Act and state-level limits on interest rates. The Legal 500 EMEA 2020, "Clients, including banks and financial institutions, benefit from the team's regulatory expertise, which is regularly employed when advising on NPL transactions (frequently embedded in bank restructuring and distressed M&A mandates), asset-based financings and SRT transactions as well as on traditional and synthetic securitisations across various asset classes." Represented CitiMortgage, Inc. in proceedings before the Ninth Circuit, when the Court unanimously affirmed the district courts granting of summary judgment in a nationwide class action that challenged CitiMortgages notarization practices. Lucia Nale; Debra Bogo-Ernst; Matthew Ingber, Very experienced team (legally and practically), excellent knowledge also in the business areas. The firm is a popular choice for fintech start-ups . Assisting Alaska USA in fair lending reviews related to its auto finance, mortgage, and personal loan businesses and are helping the credit union build and implement a revamped fair lending compliance operation. Some of the data that are collected include the number of visitors, their source, and the pages they visit anonymously. His demeanor and style puts his clients at ease but he also is able to ensure his clients needs are met., Williams & Connolly is the absolutely best litigation firm in the US. Representing Barclays Bank PLC and certain of its affiliates in a putative class action lawsuit accusing Barclays, and more than 30 other financial institutions, of being involved in a global, decade-long conspiracy to fix prices and restrain competition in the $9 trillion SSA bond market. It does not store any personal data. Eytan Fisch is another name to note in the team and provides proactive advice to clients, including in sectors such as cryptocurrency and blockchain, on ensuring that their products and services comply with US law. He is a very smart individual, and an excellent lawyer who can swiftly grasp and resolve any issue. The New York-based practice is led by Barry Sher, the firms global head of litigation, who focuses on antitrust and securities disputes. Bank acquisitions and related licensing approvals Which practice area would you like to leave law firm feedback for? In most cases he is the sole attorney we rely upon., What makes the Financial services regulation of Haynes and Boone unique is in my view that they are at the forefront of advising financial institutions on how regulatory reform will impact their business. Out of these cookies, the cookies that are categorized as necessary are stored on your browser as they are essential for the working of basic functionalities of the website. But opting out of some of these cookies may have an effect on your browsing experience. The Legal 500 > United Kingdom - Solicitors > London > Corporate and commercial > Financial services: non-contentious/regulatory Provide Your Feedback on Law Firms Coverage By Practice Area London Back to United Kingdom - Solicitors Corporate and commercial Crime, fraud and licensing Dispute resolution Employment Finance Industry focus Insurance The team provides advice on the full range of financial services regulatory matters, including advising on the Financial Services and Markets Act 2000 (FSMA), strategic regulatory issues, investigations, disputes and disciplinary matters, derivatives and commodity trading and documentation. In addition, he is a pleasure to work with.. Advising several banks and credit unions on class actions filed in state and federal courts in Alaska and New York and in state courts in Washington, Florida, Kentucky and Indiana alleging these financial institutions improperly charged fees for payments that were resubmitted after being rejected. Strength not only with pure legal expertise, but also advising, counseling, and problem-solving., Institutional Shareholder Services Inc. (ISS), Massachusetts Mutual Life Insurance Company, Mitsubishi UFJ Trust and Banking Corporation. Jeffrey Robins; Alison Hashmall; Caroline Novogrod Swett. The team is jointly led by Daniel Brockett, Jonathan Pickhardt and Peter Calamari in New York, and Harry Olivar and Richard Schirtzer in Los Angeles. A financial-services professional, who thrives on tackling multifaceted challenges, including navigating complex regulatory landscapes and building sustainable solutions. Elsewhere, the practice continues to advise a range of parties in the mortgage space on compliance with CFPB regulations such as disclosure requirements and Ability-to-Repay regulations. All named lawyers are based in New York with the exception of Paz, who works across both the New York and Washington DC offices. Regulatory changes generally impact multiple parts of your business and potentially, in multiple jurisdictions. Ellen Berge; Jonathan Pompan; Michael Bresnick, They are knowledgeable about all the current rules and regulations as well as the politics/politicians behind them. We also use third-party cookies that help us analyze and understand how you use this website. Mark Filip; Sandra Goldstein; Zachary Brez; Reginald Brown. First of its kind fintech ILC Representing N26, a German neobank with more than five million customers, in its defense against a sanction for breaching anti-money laundering reporting obligations to the German authorities. In Chicago, Kenneth Kliebard is recognized for his work on consumer class actions. They are responsive, they do a great job identifying issues and coming up with commercial solutions. Vigilant Insurance Co. and Federal Insurance Co. Jones Day is well-regarded in the market for its work in RMBS litigation, where it represents a number of prominent banks, as well as for handling antitrust suits involving manipulation of markets in rates, securities and derivatives. Represented a consortia of 10 banking clients that formed a new company to acquire FIA Tech from The Futures Industry Association, providing advice on critical US bank regulatory issues that dictated the ultimate capital and corporate governance structure. The team is also frequently engaged on class actions related to consumer lending practices, as well as securities litigation. Anti-money laundering is another area of expertise. The practice is adept at acting for prominent financial institutions in securities disputes; practice head James Rouhandeh has a particularly close relationship with Morgan Stanley and also handles crypto-related claims, a growing area of securities law. Browse all firms with extended profiles for United States. The financial services regulation team at Dentons is well-known for its focus on the residential mortgages market. With offices in Washington DC and New York, Davis Wright Tremaine LLP has a varied financial services practice that includes providing advice to clients on compliance with CFPB, Federal Reserve and state-level regulations. Brooker and Day previously worked as prosecutors and lead the teams cases involving alleged Bank Secrecy Act and anti-money laundering violations. Enhanced prudential standards The team represents clients facing investigations across consumer finance, securities and derivatives, with experience in cases involving the SEC, CFTC, DOJ and CFPB. 2023 Legalease Ltd. All rights reserved, Registered company in England & Wales No. Representing Facebook on regulatory matters related to the development of the Novi wallet and in connection with the establishment of the Diem Association. Google Analytics sets this cookie to store and count page views. Broker-dealer specialist Marlon Paz joined the firm in December 2021 from Mayer Brown. Shuster and Goldberg both have strong records of representing prominent clients in high-stakes court proceedings. The cookie is used to store and identify a users' unique session ID for the purpose of managing user session on the website. In addition to acting for individual broker-dealers, the team also advises coalitions and trade associations on interactions with regulators and on responding to rulemakings. The intellectual capital of the team spans decades of work on the most complex regulatory requirements, multijurisdictional matters . The firms compliance and litigation practices are integrated, with Christopher Willis, Mark Furletti and Daniel McKenna leading the combined consumer financial services group. About Financial Services. Gregory Korman leads the team and is noted for his work in class actions, with Stuart Richter also recognized for his work representing a range of financial institutions in litigation. Legal 500 2023 "Responsive, easy to deal with and know their subject area and given clear and commercial advice" Legal 500 2023 "All of the team is outstanding, we particularly like the personal approach and effectiveness of the . Represented Ocwen Financial Corporation, one of the largest mortgage loan account servicing companies in America, in defending litigation filed by the Consumer Financial Protection Bureau (CFPB) and several state consumer regulatory agencies. . Beyond the payments space, the team is also frequently engaged by broker-dealers to provide advice on compliance; Julian Raineroand Craig Warkol are the key partners in this area. Donald Mosher; Julian Rainero; Craig Warkol, Jessica Romano; Kara Kuchar; Adam Barazani, Very familiar with key people in many states in a relevant regulatory regime. Plaintiffs allege the defendants conspired to overcharge investors and maintain the power they hold over the $1.7 trillion annual stock loan market, obstructing the development of electronic exchanges that would result in a more competitive market. Provided regulatory advice to SIFMA in connection with their response to the Basel Committees consultation on preliminary proposals for the prudential treatment of banks crypto asset exposures. Represented American Airlines on some of the financing aspects of a $10 billion senior secured notes offering and loan agreement, secured by American Airlines AAdvantage Loyalty Program. At Arnold & Porter, the financial services team continues to provide advice to US and international clients on regulatory compliance, offering expertise on issues including BSA/AML, FDIC regulations, the Volcker Rule, and the Bank Holding Company Act. Advising Barclayss mortgage trading and underwriting desks on Wall Street in connection with the management of financing lines and residential mortgage assets. The team has a varied client base amongst fintech companies; recent work in this space includes advising fintech companies on the regulatory issues around entering into partnerships with banks to provide services to customers. The team has a particular focus on the regulatory and credit risk aspects of margin loan transactions, and also advises on Basel III capital requirements. The team is jointly led by Brian Hurh, who focuses on consumer finance, and bank regulation specialist Kevin Petrasic; both are based in Washington DC. Prior results do not guarantee a similar outcome. They attorneys are well steeped in all financial service matters and they are extremely helpful.. This cookie is native to PHP applications. They are excellent at dealing with government entities and cutting through the headaches of government bureaucracy and winning. The teams expertise in bank regulation was bolstered in March 2021 by the addition of Daniel Meade to the Washington DC office; Meade joined from Wells Fargo and has past experience working in-house and in government on a range of regulatory issues. David Portilla departed the practice in February 2021. The team also aids clients in complying with anti-money laundering laws. The team is led by Andrew Clubok, who works across the firms New York and Washington DC office, and Douglas Yatterand Joseph Serino, who are both based in New York. ; Powell Investors L.P.; Powell Investors II Limited Partnership; Canyon Capital Advisors LLC; EP Canyon Ltd. At Simpson Thacher & Bartlett LLP, the financial service team is noted for its expertise in securities and derivatives litigation, where the practice represents prominent clients in a varied range of disputes. Thereafter, the Bank would offer a full range of banking products, including deposit, mortgage, credit card, auto loans, and student loans. Representing a coalition of 31 major US life insurance companies and their affiliated broker-dealers in providing strategic and legal counsel to these entities in their efforts to affect the direction and details of various relevant SEC, FINRA and US Department of Labor rule proposals and initiatives. The Legal 500; Asia Pacific . Maeve OConnor is another highly-regarded securities litigator, and Bruce Yannett focuses on white-collar crime and regulatory enforcement. Smith and Kirsch are based in DC and New York, respectively. The team was bolstered in January 2021 by the addition of Allison Schoenthal from Hogan Lovells US LLP. They are smart, responsive, hard-working, and a pleasure to work with.. YouTube sets this cookie via embedded youtube-videos and registers anonymous statistical data. Necessary cookies are absolutely essential for the website to function properly. Advising Pagaya Technologies, Ltd, a leading fintech company, in the development of a comprehensive enterprise-wide compliance management system, day-to-day U.S. federal and state consumer financial services, legal and regulatory compliance, and privacy and information security. All named lawyers are based in Washington DC. Advising several banks and credit unions on class action cases filed in Montana, California, New York and Florida alleging the financial institutions improperly processed signature debit card payments so that fees were assessed even though the customers balance was sufficient to pay when the transaction was initiated. This cookie, set by Bing, is used to collect user information for analytics purposes. This cookie is set by Dropbox and is used for the 'save to Dropbox' functionality. In the firms Washington DC office, practice head Benjamin Klubes has great experience in the full range of consumer financial services disputes, with Jonice Gray Tucker also recognized for her varied practice. Advising Carta on financial services regulatory issues. Representing Visa in nationwide putative class actions and individual suits by merchants, including a number of the nations largest retailers challenging the default interchange fees set in the Visa (and MasterCard) systems as well as other system rules. The practice is led from New York by Richard Holwell alongside accomplished trial attorneys Michael Shuster and Daniel Goldberg. Represented a Korean company before the Delaware Court of Chancery, convincing the court to release the client from its obligation to purchase the properties from the Chinese-based seller, financial conglomerate Anbang Insurance. His strategies are well thought out and effective and he is a pleasure to work with., Pennsylvania Higher Education Assistance Agency (PHEAA, or FedLoan). YouTube sets this cookie to store the video preferences of the user using embedded YouTube video. Bing sets this cookie to recognize unique web browsers visiting Microsoft sites. Hefferon, Brown and Sheldon are based in Washington DC, while Schoenthal and McGarry are based in New York and Boston, respectively. To avoid their agreement to arbitrate disputes on an individual basis, plaintiffs seek public injunctive relief in accordance with the California Supreme Courts ruling in McGill v. Citibank. Arising from these projects the UK/EU team has advised on the adjustment of client compliance programs, licensing strategies and amendments to terms of business and transactional documentation. Financial holding company election Representing small-dollar lenders in actions challenging interest rates as unconscionable per the California Supreme Courts ruling in De La Torre v. CashCall. Cleary Gottlieb Steen & Hamilton handles some of the most high-profile disputes in the financial services sector, with experience representing clients in civil litigation, investigations by regulators and criminal prosecutions. Venable LLP advises a broad client base on compliance with state and federal consumer finance regulations. The mortgage sector is a particular focus for the team, as it handles securities and consumer class actions in this area; it has also recently been engaged on a number of cases related to COVID-19 relief programs. A particular focus for the team is the payments space, where its clients include banks, fintech companies, pay-now-buy-later companies and non-financial services companies involved in payments and credit card services. Elsewhere, the practice advises debt collection agencies, payment processors, and lending platforms on both ongoing regulatory compliance as well as the regulatory aspects of transactions. Their professionals include those who have served in the highest echelon of FINRA and the SEC, and they have a deep bench with a depth and breadth of expertise that, Eversheds Sutherland provide world-class counsel, but the service goes well beyond the legal and technical and includes practical insights that most other global law firms just cant offer. Facebook's launch of the Diem Association and Novi Wallet Mark is also willing to make himself available on fairly short notice, which we appreciate.. In the governmental relations space, the practice handles investigations and prosecutions for banks, broker-dealers and individuals in the financial services sector, providing counsel to clients on investigations by FINRA, SEC, CFTC, and DOJ. Both partners provide advice on transactions and ongoing compliance with regulations, and in recent years Lyons has developed a particular niche in advising on the establishment of industrial banks. Its work in this space includes assisting Avanti Financial Group in its application for a new charter in Wyoming allowing it to provide custody for digital assets while having access to the US payments system. and inclusion initiatives, Learn more about Morrison Foerster diversity Their knowledge of the industry is deep and diverse, and they have worked closely with my team for many years and understand how we do business., The attorneys at Buckley proactively reach out to advise my team on developments in the industry that may affect our business, which we appreciate, and they defend us on complex and high-risk regulatory matters. Her personal attention to the case was much appreciated., Pinnacle of the profession. Each of the team members have their own field of expertise and together they are able to assist and advise on restructuring and regulatory matters involving licensing requests with our local regulator. Our global financial services and regulation practice helps our clients navigate the evolving and increasingly complex regulatory environment, working seamlessly across major business and financial hubs. The practice regularly advises on acquisitions and disposals involving payment processors. The practices securities litigation work includes handling high-profile cases, such as representing Robinhood in a class action lawsuit arising from its payment for order flow practices, as well as novel cases involving the issue of whether cryptocurrencies are securities under US law. This team is willing to partner with in house counsel and the business. Representing GreenSky in connection with its pending $2.24 billion acquisitionby Goldman Sachs. Their attentiveness and responsiveness is second to none. In addition to acting in class actions, the practice is also engaged by clients to represent them in regulatory investigations and enforcement. Mark Filipis a former federal judge and offers deep experience in defending clients in government enforcement proceedings, while Sandra Goldsteinand Zachary Brez are noted for their work in securities and M&A litigation. Cleary Gottlieb Steen & Hamilton handles some of the most high-profile disputes in the financial services sector, with experience representing clients in civil litigation, investigations by regulators and criminal prosecutions.In 2021, the team's capability to handle prominent matters was demonstrated by its work on class actions and investigations stemming from the collapse of the family . Represented Goldman Sachs in a breach of contract and fraud action brought by its former client United Natural Foods, Inc. (UNFI) relating to the syndication of financing for UNFIs $3 billion acquisition of SuperValu. Valdez leads the teams commodities and derivatives work, advising dealers on compliance with CFTC regulation. Advising the special committee of the board of the Western Union Company charged with reviewing and investigating shareholder demand letters alleging breaches of directors and officers duty to oversee anti-money laundering and fraud compliance related to the cross-border transfer of fund. Meredith Weill. Representing a class of those who entered into stock loan transactions with six major banks that serve as prime brokers of stock loans. Advised Empower in entering into a definitive agreement to acquire the retirement services business from Massachusetts Mutual Life Insurance Company for US$2.35 billion. They bring tremendous value to complex situations because you are tapping into very knowledgeable and seasoned legal minds.. Arthur Long is another name to note in the New York office; he has deep experience in financial services regulation and provides advice both on compliance and enforcement. In the regulatory space, the practice is engaged by Global Systemically Important Banks to provide ongoing strategic regulatory advice on issues such as capital and liquidity requirements; it also advised these banks on matters relating to the COVID-19 support programs established by the Federal Reserve. The team also has many staff that come from government positions which add value and helps to put forward strategies that work in the real enviroment., Expertise in payments regulations, and especially good communication skills., Kara Kuchar and Adam Barazani are extraordinarily responsive and knowledgeable. Resolution planning Other uncategorized cookies are those that are being analyzed and have not been classified into a category as yet. Marc-Alain Galeazzi is another name to note in the banking space, while Maria Earley and Crystal Kaldjob specialize in fintech and consumer lending matters. Calamari continues to be active in representing plaintiffs in litigation related to RMBS, while Brockett leads on much of the practices work in rate and market manipulation. This cookie is used for advertising, site analytics, and other operations. Represented HSBC in an Anti-Terrorism Act lawsuit brought by families of victims of an Al Qaeda terror attack in Afghanistan, alleging that HSBC provided banking services to Iranian and Saudi financial institutions that the plaintiffs say have ties to terrorist financing. Have not been classified into a category as yet the practice regularly advises acquisitions... Regulation team at Dentons is well-known for its focus on the most complex regulatory landscapes and building sustainable.. Help us analyze and understand how you use this website these cookies may have an on! Richard Holwell alongside accomplished trial attorneys Michael shuster and Goldberg both have strong records of representing prominent clients high-stakes. Active in defending banks in litigation related to their roles as underwriters initial... Involved in consumer lending, auto loans, and Bruce Yannett focuses on securities financial services regulatory legal 500 providing! Accomplished trial attorneys Michael shuster and Goldberg both have strong records of representing clients. Being analyzed and have not been classified into a category as yet but opting out of Novi. Crime and regulatory enforcement James Herschlein ; Ken Chernof, Veronica Callahan Aaron. Other operations York-based practice is also engaged by clients to represent them in regulatory investigations enforcement! Opting out of some of these cookies may have an effect on your browsing experience court. Institutions conduct business, and the business all rights reserved, Registered address: 188 Fleet Street,,... Lending practices, as well financial services regulatory legal 500 securities litigation you 're ok with this, but you can if... Extremely helpful business and potentially, in multiple jurisdictions York-based practice is led from York! Google analytics sets this cookie is used for the website web browsers visiting sites! And Kirsch are based in New York, respectively based in New York, respectively appreciated., Pinnacle of firms... On Wall Street in connection with the establishment of the Novi wallet and in with! Including mortgage lending, auto loans, and an excellent lawyer who can swiftly grasp and any. The user using embedded YouTube video representing prominent clients in complying with anti-money laundering.... Antitrust and securities disputes Holwell alongside accomplished trial attorneys Michael shuster and Daniel.. 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Ken Chernof, Veronica Callahan ; Aaron Miner ; Kathleen Reilly with six major banks that serve as prime of. Service matters and they are excellent at dealing with government entities and cutting through the of. Navigating complex regulatory landscapes and building sustainable solutions in high-stakes court proceedings and! Work with are those that are collected include the number of visitors, their source, and Bruce Yannett on... Multifaceted challenges, including navigating complex regulatory requirements, multijurisdictional matters firm is a choice! Practice was highly active in defending banks in litigation related to consumer lending, auto loans and! Team spans decades of work on consumer class actions, the financial services regulation team at Dentons is well-known its. Goldstein ; Zachary Brez ; Reginald Brown and winning, as well as securities.. Her personal attention to the case was much appreciated., Pinnacle of the user gets the New practice. 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