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Over the years, we have handled complex and novel issues arising under the statutes and regulations governing the financial services industry.
Our national scope brings us into frequent contact with financial institution agencies in many states, and we constantly interact on compliance and expansion matters with federal regulators at the Comptroller of the Currency, Federal Reserve Board, Federal Deposit Insurance Corporation and similar institutions.
Our lawyers represent corporations and individuals in investigations and enforcement proceedings before the SEC and state regulators.
We handle arbitration matters before FINRA and other industry regulatory authorities.
Customers are also utilizing alternative dispute resolution such as arbitration and mediation.
Given this regulatory thrust and unprecedented access to litigation, it is more important than ever for you to have a legal partner with the experience and expertise to protect your interests. We are recognized as a leading financial services law firm in the United States, counseling more than 300 financial institutions across the country.
His experience conducting investigations of possible FCPA violations and other potentially improper foreign country-based financial transactions has included working on major matters in the BRIC countries – Brazil, Russia, India and China. Based on his success representing institutional and individual clients in complex regulatory and law enforcement matters, John was recently listed as one of the best securities enforcement defense lawyers in the U. in the Securities Docket "Enforcement 40." He is ranked in Chambers USA and is also certified in financial forensics by the American Institute of Certified Public Accountants.
Around the globe, plaintiffs’ counsel and regulators are targeting the financial services industry with consumer protection claims, shareholder suits and government enforcement actions.In April, Chairman Schapiro announced a new Industry and Markets Fellows Program to give industry professionals an opportunity to work for two years in the Office of Risk Assessment and help identify and assess risks in the financial markets.In addition, Chairman Schapiro created new senior level positions within the examination program for individuals with expertise in areas such as derivatives, valuation, securities trading, risk management and forensic accounting. New Director of Enforcement Division and More Changes In February, Chairman Schapiro announced the appointment of Robert Khuzami, a former federal prosecutor and investment bank general counsel, as the new Director of the Division of Enforcement. Attorney’s Office for the Southern District of New York earlier in their careers. Khuzami has also taken steps toward eliminating one entire tier of supervisors within the Enforcement Division in an effort to reduce the levels of review. Increased Enforcement Activity Both Chairman Schapiro and Mr.Chairman Schapiro further stated that the end of the program was designed “to expedite the Commission’s enforcement efforts and ensure that justice is swiftly served.” Second, Chairman Schapiro provided for more rapid approval of formal orders of investigation authorizing the staff to issue subpoenas by permitting approval within a couple of days pursuant to the SEC’s “seriatim” or “duty officer” procedures.As Chairman Schapiro explained the change, “in investigations that require subpoena power, time is always of the essence.” In March, Chairman Schapiro announced an initiative to revamp the SEC’s process for reviewing complaints and tips.