Financial Services Regulatory & Enforcement

Our Financial Services Regulatory & Enforcement Group (FinsREG) offers extensive experience representing banks and financial institutions with issues arising under state and federal laws. Whether it’s corporate and business consulting, strategic planning, capital formation, bank formation and state and federal securities issues, we help our clients navigate the complex laws and regulations.

Our team consists of attorneys who have held senior positions at the Federal Deposit Insurance Corporation (FDIC), the Resolution Trust Corporation (RTC), the Office of the Comptroller of the Currency (OCC), the Ohio Division of Financial Institutions and the Kentucky Department of Financial Institutions, in addition to attorneys with significant experience as in-house counsel at financial institutions. FinsReg attorneys have significant experience representing financial institutions before federal and state regulatory agencies.

Community, regional and national bank clients turn to us for advice on regulatory, compliance and lending issues, as well as corporate governance, strategic planning and periodic examination concerns. Through our collective experience we have successfully developed working relationships with the regulatory agencies offices at the local and state level, as well as Washington, D.C.

Highlights