Regulatory Enforcement and Examination Roundtable: The View from Agencies on Enforcement Actions and New Initiatives

April 5, 2017 10:30am

Richard Hayes
U.S. Attorney’s Office, Eastern District of New York

Thomas P. James
Senior Assistant Attorney General, Consumer Counsel - Consumer Fraud Bureau
Office of the Illinois Attorney General

Gene Fishel
Senior Assistant Attorney General, Chief – Computer Crime Section
Virginia Attorney General’s Office

John Abel
Senior Deputy Attorney General
Pennsylvania Office of the Attorney General

Joel M. Sweet
Assistant U.S. Attorney
United States Attorney’s Office for the Eastern District of Pennsylvania

Shannon Smith
Senior Assistant Attorney General Division Chief, Consumer Protection Division
Washington State Attorney General's Office


Scott M. Pearson
Ballard Spahr LLP

  • Assessing the types of investigations and actions that are being brought against financial institutions
  • What are the biggest areas of concern for federal agencies and state attorneys general right now?
  • Pitfalls to avoid when working with federal agencies and state attorneys general
  • What to expect during an examination
  • Regulatory enforcement and examination perspectives
  • How will the CFPB, the FTC, and other federal agencies coordinate investigations, enforcement actions, and settlements with state agencies and attorneys general?
  • Effectively responding to investigations