Financial Services Regulation: Broker Dealer (Compliance & Enforcement)

Steven Kaplan focuses his market-leading practice on regulatory counseling regarding major consumer financial issues. He is a go-to source for robust insight on all aspects of financial regulatory reform, particularly as it applies to mortgage banking. He is also the co-leader of banking & finance, and leader of the fintech practice at the firm.

Lucia Nale is an experienced advocate for financial institutions in consumer class actions. She regularly defends high-stakes lawsuits emerging from the Fair Credit Reporting Act, Fair Debt Collection Practices Act and Truth in Lending Act.

Steffen Hemmerich is a notable expert in the broker-dealer space. He is frequently called upon to advise clients on regulatory expectations, obligations and registrations. He is co-head of the firm’s financial markets regulatory & enforcement practice and head of the broker-dealer regulatory & compliance practice.

Holly Spencer Bunting is sought after for her expertise advising clients on a wide range of regulatory aspects within the mortgage space.

Krista Cooley impresses with the strength of her practice advising mortgage lenders on compliance with federal and state regulations. She has additional expertise on FinTech matters.

Matthew Bisanz is recognized for his burgeoning practice advising domestic and international banks on all manner of regulatory issues.