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Morgan, Lewis & Bockius LLP
Department profile | Morgan, Lewis & Bockius LLP
Financial Services Regulation: Consumer Finance (Enforcement & Investigations)

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: Consumer Finance (Enforcement & Investigations) - USA - Nationwide

4
Band 4

What the Team is Known For

Morgan, Lewis & Bockius LLP 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 & Bockius advised Atria Wealth Solutions on its sale to LPL, along with its eight broker-dealer and investment adviser subsidiaries. The team handled all regulatory aspects of the transaction.

Strengths

Provided by Chambers

Morgan Lewis is able to comment knowledgeably about all financial laws and regulations or pull in specific expertise as needed.

Financial Services Regulation: Consumer Finance (Enforcement & Investigations) respondent
USA

Each member of the team has a particular skillset and value they bring to each matter.

Financial Services Regulation: Consumer Finance (Enforcement & Investigations) respondent
USA

Morgan Lewis' biggest strength is thinking outside the box to devise legal strategies that are tailored to a specific matter.

Financial Services Regulation: Consumer Finance (Enforcement & Investigations) respondent
USA

Notable Practitioners

Provided by Chambers

Steven W Stone
1
Steven W Stone
1
Band 1

Steven Stone 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.

Steven provides practical and reasonable advice considering business objectives and effectively assesses risk.

Steven has got a lot of industry knowledge.

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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.

Amy has a wealth of experience and provides valuable insight into industry trends.

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Ben Indek
2
Ben Indek
2
Band 2
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 work product is outstanding.

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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 is extremely impressive with his knowledge and capabilities.

He is detailed in his work product.

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3
Arjun Rao
3
Band 3

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

His vision to see trends ahead of time and advise accordingly is what makes Arjun a trusted adviser.

Arjun is smart, quick on his feet and makes recommendations with an understanding of our business and the industry.

He is extremely knowledgeable on the litigation process.

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5
Christopher Paridon
5
Band 5

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.

Chris is an exceptional and talented bank regulatory attorney who has a wealth of knowledge, experience and insight.

He has a deep knowledge base and a willingness to explore other ideas.

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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)
5
Christopher Paridon
5
Band 5
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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
2
Ben Indek
2
Band 2
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Financial Services Regulation: Consumer Finance (Enforcement & Investigations)
3
Allen Denson
3
Band 3
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Financial Services Regulation: Consumer Finance (Litigation)
3
Arjun Rao
3
Band 3
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