Bank Enforcement Action--Roundtable With the Experts: New Issues, Higher Penalties, Joint Enforcement Actions

Preparing for Scrutiny of AML/OFAC Policies, BHC Capital and Stress Test Issues, D&O Liability, and More

Recording of a 90-minute premium CLE webinar with Q&A

This program is included with the Strafford CLE Pass. Click for more information.
This program is included with the Strafford All-Access Pass. Click for more information.

Conducted on Tuesday, September 16, 2014

Recorded event now available

or call 1-800-926-7926

This CLE course presents a panel comprised of the most highly regarded banking law experts to discuss current bank enforcement trends, actions and penalties. 


While the number of federal enforcement actions has decreased from the height of the financial crisis, they still remain significantly high in historical terms. Moreover, penalties against banks have continued to increase.

Dodd-Frank requirements and capital dominated the issues scrutinized in recent enforcement actions, along with consumer protection issues, AML/OFAC policies, and bank soundness and safety policies.

The Consumer Financial Protection Bureau (CFPB) has commenced enforcement activity well as joined other agencies in joint enforcement actions in 2014. The CFPB’s aggressive stance against banks and non-banks will not abate any time soon.

Listen as our authoritative panel of banking practitioners with more than 130 years of experience evaluates current issues and defenses in bank enforcement actions and predicts what we can expect to see in the near future.



  1. DOJ’s use of 12 USC 1833(a)
  2. Impact and defense of project choke point
  3. The complications of criminal prosecutions
  4. Defending multiple actions
  5. Current consumer protection issues
  6. Anti-money laundering and OFAC policies
  7. Holding company, capital and stress test issues
  8. Fair lending challenges
  9. Enforcement focus on directors and officers


The panel will review these and other key questions:

  • What issues have been the focus of OCC, FDIC and Federal Reserve actions?
  • Where has the CFPB been focusing its enforcement efforts?
  • What trends can we expect to see for the remainder of 2014 and into 2015?


Vartanian, Thomas
Thomas P. Vartanian


Mr. Vartanian is a corporate counselor, regulatory advisor, litigator and deal maker who has represented a wide variety...  |  Read More

Richard M. Alexander
Richard M. Alexander

Arnold & Porter

Mr. Alexander's practice involves some of the most significant enforcement, supervisory, and governance...  |  Read More

Ronald Glancz
Ronald Glancz


Mr. Glancz represents financial institutions of every type and represents companies and investors seeking to...  |  Read More

Robert H. Ledig
Robert H. Ledig


Mr. Ledig advises financial institutions on corporate, regulatory, enforcement, and litigation issues. He...  |  Read More

Andrew L. Sandler
Andrew L. Sandler

Chairman & Executive Partner
Buckley Sandler

Mr. Sandler's a recognized leader in financial services litigation, enforcement, regulatory and compliance. He...  |  Read More

Ryan T. Scarborough
Ryan T. Scarborough

Williams & Connolly

Mr. Scarborough has successfully defended financial institutions and their directors and officers against threatened or...  |  Read More

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