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Morgan, Lewis & Bockius LLP
Department profile | Morgan, Lewis & Bockius LLP
Financial Services Regulation: Banking (Compliance)

About

Provided by Morgan, Lewis & Bockius LLP

Securities matters often involve parallel litigation and enforcement proceedings, and our securities enforcement and litigation team has the experience and depth to advise and defend clients in these overlapping areas. We regularly represent public and private companies, financial institutions, officers, directors, and board committees in securities enforcement inquiries and investigations, lawsuits asserting violations of US federal and state securities laws, and shareholder derivative actions. We also counsel clients on the creation and regulation of financial products, guide them through internal and regulatory investigations, and defend them in litigation.

With experience advising financial institutions on the complex issues they face, our securities regulation team counsels clients on issues surrounding the creation and regulation of financial products. The group also provides guidance during examinations and investigations that all of the financial services regulatory agencies conduct, and represents clients during complex litigation when it arises.


Chambers Review

Provided by Chambers

Financial Services Regulation: Banking (Compliance) - USA - Nationwide

5
Band 5

What the Team is Known For

Morgan, Lewis & Bockius has strength in the full range of regulatory matters pertaining to the banking and broker-dealer industries, with a recognized group of securities law experts advising blue-chip clients on the most cutting-edge matters. Particular strength in regulatory compliance matters, but also noted for its handling of high-stakes enforcement actions by the SEC, FINRA and other agencies. Benefits from a highly experienced bench, with many partners having previously served with the DOJ or the major regulatory agencies. Increasing strength in connection with cross-border regulatory matters, with the US team working closely alongside colleagues in London, Frankfurt and Tokyo.

Work Highlights

  • Morgan Lewis represented Société Générale and Alliance Bernstein in the formation and obtaining of regulatory permissions to form their joint venture, Bernstein Institutional Services.

Strengths

Provided by Chambers

The firm consistently delivers high-quality work under tight deadlines without compromising precision or commercial insight.

Financial Services Regulation: Banking (Compliance) respondent
USA

Morgan Lewis has a wide array of knowledge and experience in different matters in the Broker-Dealer industry.

Financial Services Regulation: Banking (Compliance) respondent
USA

What sets this department apart is its client-centric model, which emphasizes collaboration, responsiveness and tailored solutions.

Financial Services Regulation: Banking (Compliance) respondent
USA

Notable Practitioners

Provided by Chambers

Ben Indek
1
Ben Indek
1
Band 1
Ben Indek is an expert in broker-dealer regulatory matters and is highly experienced at guiding clients through high-stakes investigations, examinations and enforcement proceedings.

Ben's easy-going manner combined with his intelligence is always an asset.

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Steven W Stone
1
Steven W Stone
1
Band 1

Steven Stone is head of the firm’s financial institutions practice, and is a respected figure in the broker-dealer space, noted for his expertise in securities and derivatives law. He regularly assists clients in obtaining regulatory relief from a range of authorities, including the SEC, SIFMA and FINRA.

Steve is my go-to outside attorney.

Steve is a pleasure to work with and provides sound and practical advice.

He is the dean of the investment adviser legal space.

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Amy Kroll
2
Amy Kroll
2
Band 2

Amy Kroll focuses her practice on the regulation of broker-dealers and affiliated organizations. She regularly provides strategic advice to clients whose conduct comes into conflict with SEC and FINRA rules.

She is practical and grounded.

Amy has extensive expertise in FINRA and SEC rules impacting broker-dealers, providing practical, right-sized guidance tailored to our business needs.

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Allen Denson
3
Allen Denson
3
Band 3

Allen Denson capably advises financial institutions on a variety of investigations and enforcement actions brought by federal and state regulators, including the CFPB and FDIC.

Allen knows the players and helps provide good advice to navigate a dynamic and uncertain process.

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Arjun Rao
3
Arjun Rao
3
Band 3

Arjun Rao is an accomplished consumer finance litigator and often represents major banks in putative class-action matters.

Arjun is a top-notch litigator who can handle any case of any complexity.

His strategic approach to litigation and overall service-oriented approach and responsiveness makes him an invaluable partner to our company.

Arjun has a practical approach to resolving tough issues.

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Christopher Paridon
4
Christopher Paridon
4
Band 4

Christopher Paridon is recognized for his adept advice to a range of banking clients on the Volcker Rule and general Bank Holding Company Act regulatory issues.

His combination of technical mastery, regulatory insight and pragmatic judgment makes him a highly trusted and valued adviser.

His work is always excellent.

Chris’s regulatory background is invaluable to his clients and his extensive experience allows him to deliver pragmatic, risk‑based advice.

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Ranked Lawyers at
Morgan, Lewis & Bockius LLP

Provided by Chambers
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Band

USA - Nationwide

Financial Services Regulation: Banking (Compliance)
Christopher Paridon
4
Christopher Paridon
4
Band 4
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Financial Services Regulation: Broker Dealer (Compliance)
Steven W Stone
1
Steven W Stone
1
Band 1
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Amy Kroll
2
Amy Kroll
2
Band 2
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Financial Services Regulation: Broker Dealer (Enforcement)
Ben Indek
1
Ben Indek
1
Band 1
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Financial Services Regulation: Consumer Finance (Enforcement & Investigations)
Allen Denson
3
Allen Denson
3
Band 3
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Financial Services Regulation: Consumer Finance (Litigation)
Arjun Rao
3
Arjun Rao
3
Band 3
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