Experience

• Financial Services

  • A large financial institution in investigating insider risk based on a broad assessment of employee conduct.
  • A multinational financial institution in an investigation by the House Judiciary Committee.
  • A large financial institution in investigating allegations regarding an executive departure.
  • An insurance company in advice regarding RESPA issues related to an agency subsidiary.
  • A major bank in an internal investigation following a cyber incident.
  • A major bank in responding to a DOJ inquiry related to the bank’s commercial banking business.
  • A major bank in responding to a government inquiry related to allegations of mortgage origination fraud.
  • A large national bank in responding to CFPB and New York AG investigations and litigation regarding Early Warning Services and Zelle.
  • A large international bank in an investigation of allegations of misconduct made by a former employee against a high-ranking individual at the company.
  • A large international financial services company in a review of employment, sustainability, community lending and related programs and practices.
  • An insurance company in advice regarding RESPA issues related to digital marketing of their products.
  • A national bank in responding to CFPB’s potential enforcement referral of supervisory findings regarding mortgage servicing.
  • A background screening company in responding to a subpoena from the New York Attorney General related to tenant screening reports.
  • A large financial institution in responding to an inquiry from the New York Attorney General in an investigation of another entity.
  • American Express in a settlement with the Department of Justice and a non-prosecution agreement with the U.S. Attorney’s Office for the Eastern District of New York following a five-year investigation into several of the bank’s sales practices.
  • A foreign bank in advice on an OCC exam regarding fiduciary activities regulations.
  • An investment management firm in responding to a CFPB CID relating to certain of its portfolio companies.
  • A financial services company in responding to UDAP findings by the Federal Reserve Bank related to deposit account fee waiver practices.
  • A background screening company in responding to Civil Investigative Demands from the CFPB and FTC.
  • Multiple banks in responding to CFPB CIDs regarding student loan servicing.
  • A major credit card company in responding to a Consumer Financial Protection Bureau investigation regarding consumer card account opening practices.
  • A national bank in responding to inquiries by the NYAG and DOJ concerning a specialty commercial lending business.
  • A leading fintech company in an investigation into allegations of sexual misconduct.
  • A national bank in the successful dismissal of a False Claims Act case related to the servicing of mortgages.
  • JPMorgan Chase in investigations by several State Attorneys General and a federal regulator into credit card collections and debt sale practices.
  • JPMorgan Chase in matters relating to deficiencies in affidavits filed in state foreclosure proceedings, including State Attorney General and federal investigations.
  • Toyota Financial Services in a DOJ and CFPB investigation and settlement relating to fair lending practices.
  • Admirals Bank in restructuring operations in the face of complex bank regulatory and enforcement defense issues with the Office of Comptroller of the Currency.
  • A foreign bank in responding to a multi-state Attorneys General investigation of its auto lending and dealer management practices.
  • A major mortgage servicer in multiple investigations and inquiries by federal and state regulators, including the CFPB, multiple state Attorneys General, and the Multistate Mortgage Committee of state financial regulators, relating to its mortgage servicing practices.
  • A major insurance company in launching a pilot mobile application to provide participants with a savings account held via a third party bank.
  • A major auto finance company in structuring its data sharing platform with affiliates, including assessing the potential implications under the Gramm-Leach Bliley Act and the Fair Credit Reporting Act.
  • A foreign bank in an internal investigation and Federal Reserve enforcement action relating to bank regulatory compliance practices.
  • A national bank in an internal investigation arising out of whistleblower claims related to fair lending and Community Reinvestment Act practices in connection with bank branch locations.

• Cryptocurrency

  • A cryptocurrency company in responding to multistate financial regulator exam findings.
  • A cryptocurrency company in an enforcement action initiated by a state financial regulator.
  • A cryptocurrency company regarding state regulatory implications of an accounting issue.

• Boards and Individuals

  • The CEO of a consumer credit reporting agency in an investigation by the Consumer Financial Protection Bureau.

• Other Industries

  • An investment management firm in responding to a Civil Investigative Demand from the Department of Justice relating to one of its portfolio companies and compliance with the federal Anti-Kickback Statute.
  • A high-profile financial information content provider in an SEC investigation involving its use of AI.
  • A multinational technology company in responding to a civil investigative demand from a state Attorney General’s Office.
  • A technology company in responding to a federal regulatory inquiry regarding their advertising practices and compliance with the Fair Housing Act.
  • A municipal advisory company in a settlement with the SEC regarding retention of employees’ work-related messages.