Financial Services Investigations and Enforcement

When the government knocks, financial services companies turn to Venable because of our industry knowledge and time-proven ability to guide them through the investigation and enforcement process. Our Financial Services team brings years of experience handling investigations, enforcement matters, D&O claims, and corporate governance matters, both as government prosecutors and as defense lawyers. We have one of the country's leading financial services investigation and enforcement practices. Chambers USA states that we have "an excellent national reputation in the financial services sector."

Venable attorneys have handled enforcement cases from their initial stages to and including administrative hearings and court review. Key members of the group have strong litigation backgrounds, and have handled many of the major banking cases in the courts. The group was well prepared for the supervisory consequences of the recent financial crisis because many of their attorneys were involved with investigations, enforcement, and receivership matters in the banking and savings and loan crisis of the 1980s.

Venable's team includes former heads of enforcement for the OCC and acting deputy general counsel at the FDIC overseeing suits against directors and officers and other failed bank litigation. The group also includes former regulators from the FDIC, Office of the Comptroller of the Currency, the former Federal Home Loan Bank Board, the former Office of Thrift Supervision, the Securities and Exchange Commission, the Department of the Treasury, the Department of Justice, and the Federal Reserve Board.

Each lawyer has secondary areas of experience, including corporate governance, regulatory enforcement defense, anti-money laundering enforcement, GSE regulation, financial systems payment issues, and retail banking. This breadth of knowledge greatly strengthens Venable's ability to provide a strong defense on behalf of financial institutions and their management.

Government Experience
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Our team includes more than 20 attorneys focused on financial services and regulatory issues who regularly deal with, or who formerly served as senior officials and legal counsel of, federal and state agencies responsible for the supervision of banks and other financial institutions, including

  • Office of the Comptroller of the Currency
  • Federal Reserve Board
  • Federal Deposit Insurance Corporation
  • Financial Crimes Enforcement Network (FinCEN)
  • Federal Housing Finance Agency
  • Department of Housing and Urban Development
  • Federal Financial Institutions Examination Council
  • Financial Stability Oversight Council
  • Commodities Futures Trading Commission
  • Department of Justice
  • Department of Treasury
  • Securities and Exchange Commission
  • Office of Management and Budget
  • Federal Trade Commission

Recognition
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  • Recognized by Chambers USA
  • Ranked in U.S. News Best Lawyers "Best Law Firms," 2011 – 2017
  • Ranked among the nation's top firms for Financial Services:
  • Regulatory in Legal 500
  • Attorneys with top rankings by
    • Best Lawyers in America
    • Chambers USA
    • Washingtonian