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Counseled a federally chartered stock savings bank regarding its federal and state charter options
Counseled a federally chartered stock savings bank regarding its federal and state charter options, including analysis of the powers, limits, and more
Defense of financial services company in SEC investigation
Successful defense of a financial services company in an SEC investigation resulting in closure without proceeding or sanction. more
Counseled large retailer regarding its partnership with a financial institution *
Counseled a large retailer regarding its partnership with a financial institution to roll out a prepaid/checking account product available more
Regulatory requirements counsel to large financial institution *
Counseled a large financial institution with respect to the regulatory requirements pertaining to its account opening processes and procedures in more
TILA and RESPA compliance policy reviews for banks, credit unions and mortgage originators *
Led TILA and RESPA compliance policy reviews for major national banks, preeminent card issuers, large credit unions, mortgage servicers, and mortgage  more
Advised new platform on structuring its compliance management system *
Advised a new platform on structuring its compliance management system to ensure compliance with the ability-to-repay/qualified mortgage rules, fair more
Representation of money manager in SEC market timing case *
Defended a money manager in a landmark SEC market timing case through the investigation, Wells submission, and negotiation of a settlement of the SEC  more
Defense of investor in insider trading investigation *
Defended investor in SEC insider trading investigation and Wells submission resulting in no action and closure of the investigation. more
Representation of investment manager in investigations *
Successfully navigated an investment manager facing charges of criminal conduct, bankruptcy, and SEC and state investigations. more
Representation of broker-dealer before State of Maryland Attorney General’s office
Defended a securities broker-dealer before the State of Maryland’s Attorney General’s office against claims of fraud. The firm settled the fraud more

*Experience gained by attorney prior to joining Kilpatrick Townsend

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Financial Institutions Regulation

Experience Highlights

Acquisition of a troubled financial institution
Advised a private equity group in connection with its acquisition of a troubled financial institution and related tender offer for trust preferred more
Represented financial institution in fair lending investigation
Advised a federally-chartered financial institution in connection with a fair lending investigation initiated by the OCC and referred to the more
Internal investigation for board of directors of large community bank
Conducted internal corporate/regulatory investigation for the board of directors of a large New Jersey community bank involving whistle-blower more
Formation and capitalization of a North Carolina commercial bank
Represented the organizers of a de novo North Carolina bank, which specializes in lending to venture capital-backed businesses, in obtaining a more

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