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WilmerHale
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Financial Services Regulation: Banking (Enforcement & Investigations)

About

Provided by WilmerHale

The financial services industry is in flux, facing accelerated rates of change in technology, product innovation and market structure. WilmerHale lawyers are leaders in effectively addressing the full spectrum of issues affecting financial services industry participants, from international banks, FinTech startups and specialty consumer financial product firms to broker-dealers, investment advisors, and firms accessing global equity and debt markets. Our lawyers bring to bear decades of experience as advocates and regulators and in industry when navigating the complex questions that financial industry participants face. We serve clients by shaping the regulatory environment; counseling regarding rules and regulations; structuring financial industry transactions and products; protecting intellectual property, cybersecurity and privacy; and advocating for firms and individuals in enforcement actions and litigation.


To learn more about our Financial Services practice, please visit: https://www.wilmerhale.com/en/solutions/financial-services

Chambers Review

Provided by Chambers

Financial Services Regulation: Banking (Enforcement & Investigations) - USA - Nationwide

3
Band 3

What the Team is Known For

WilmerHale is a consummate financial services firm, marshaling among its ranks significant ex-governmental prowess with an intricate knowledge of the regulatory landscape. Particularly recognized for its exceptionally strong broker-dealer practice, offering a deep bench of attorneys who are able to advise on the most cutting-edge regulatory matters. Additional strength in the banking regulatory space, with a solid presence in the enforcement sphere. Seasoned in representing clients before the CFPB and other regulatory agencies, also acting in related litigation.

Work Highlights

  • WilmerHale represented TD Bank in a putative class action filed by two individuals with residential mortgage accounts at the bank. The plaintiffs alleged FCRA violations arising from inaccurate reporting of late payments which allegedly arose from issues related to TD Bank's vendor for printing and mailing mortgage statements.

Strengths

Provided by Chambers

WilmerHale has a deep knowledge of the law and industry practices and provides helpful guidance in a timely manner.

Financial Services Regulation: Banking (Enforcement & Investigations) respondent
USA

The firm has a deep bench with expertise on complex and nuanced areas of law.

Financial Services Regulation: Banking (Enforcement & Investigations) respondent
USA

WilmerHale advises the biggest financial services companies and therefore has a good understanding of how things work.

Financial Services Regulation: Banking (Enforcement & Investigations) respondent
USA

Notable Practitioners

Provided by Chambers

Yoon-Young Lee
S
Yoon-Young Lee
S
Senior Statespeople
Yoon-Young Lee demonstrates an impeccable grasp of the regulatory climate faced by broker-dealers and associated market participants. Examples of her work include acting as regulatory counsel to SIFMA and representing clients before the SEC in matters of policy compliance.
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Andre Owens
1
Andre Owens
1
Band 1
Andre Owens maintains a highly regarded practice, in which he advises on the full spectrum of regulations affecting US broker-dealers. His prior high level experience at the SEC earns him particular praise.

Andre is a spectacular lawyer with deep regulatory expertise.

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Elizabeth Mitchell
1
Elizabeth Mitchell
1
Band 1

Elizabeth Mitchell is experienced in advising broker-dealers on investigations and enforcement proceedings brought by financial regulators, including FINRA and the SEC.

Elizabeth has a deep knowledge of financial service companies and the regulatory framework in which they work.

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Noah Levine
1
Noah Levine
1
Band 1

Noah Levine is a skilled litigator and highly regarded for his work defending major class actions on behalf of consumer-facing organizations.

Noah is known for his thoughtful approach to navigating complex commercial disputes.

He knows the courts and these issues inside and out.

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Bruce H Newman
2
Bruce H Newman
2
Band 2
Bruce Newman enjoys an excellent reputation in the New York market for his representation of financial organizations in the comprehensive range of broker-dealer regulatory matters.

Bruce is a subject matter expert and really understands our business as well.

His technical competency is of a high degree.

He's a very smart guy, very technical and easy to work with.

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Stephanie Nicolas
2
Stephanie Nicolas
2
Band 2
Stephanie Nicolas is sought after for her expertise regarding the regulation of broker-dealers. She routinely provides strategic advice to clients undergoing complex SEC and FINRA investigations.

Stephanie has an excellent touch with the business and gets it to where it needs to go.

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Susan Schroeder
2
Susan Schroeder
2
Band 2
Susan Schroeder draws from a tremendous wealth of expertise to advise clients on regulatory compliance and enforcement, with clients benefiting from her experience as the former head of enforcement at FINRA.

Susan really knows the industry and is a good advocate.

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Franca Harris Gutierrez
4
Franca Harris Gutierrez
4
Band 4
Franca Harris Gutierrez routinely advises banks and financial services providers on a range of regulatory issues. She is also highly regarded by clients for her knowledge of OCC regulations.

She is incredibly knowledgeable and has an amazing reputation.

Franca has extremely in-depth knowledge of consumer regulatory matters.

Franca provides strong financial services regulation expertise, providing both detailed legal analysis as well as historical context.

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Ranked Lawyers at
WilmerHale

Provided by Chambers
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Band

USA - Nationwide

Financial Services Regulation: Banking (Compliance)
Franca Harris Gutierrez
4
Franca Harris Gutierrez
4
Band 4
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Financial Services Regulation: Banking (Enforcement & Investigations)
Franca Harris Gutierrez
4
Franca Harris Gutierrez
4
Band 4
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Financial Services Regulation: Broker Dealer (Compliance)
Yoon-Young Lee
S
Yoon-Young Lee
S
Senior Statespeople
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Andre Owens
1
Andre Owens
1
Band 1
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Bruce H Newman
2
Bruce H Newman
2
Band 2
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Stephanie Nicolas
2
Stephanie Nicolas
2
Band 2
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Financial Services Regulation: Broker Dealer (Enforcement)
Elizabeth Mitchell
1
Elizabeth Mitchell
1
Band 1
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Susan Schroeder
2
Susan Schroeder
2
Band 2
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Financial Services Regulation: Consumer Finance (Compliance)
Franca Harris Gutierrez
4
Franca Harris Gutierrez
4
Band 4
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Financial Services Regulation: Consumer Finance (Litigation)
Noah Levine
1
Noah Levine
1
Band 1
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