Latest Post

When Someone Shows You Who They Are, Believe Them the First Time:* What a Blue Wave in the House Likely Means for Financial Institutions

By: Edward P. O’Keefe, Neil T. Bloomfield, and Elena F. Mitchell. Elections have consequences and the recent midterm elections are no exception.  Having won the House majority, Democrats are expected to proceed with an ambitious agenda in January 2019.  Much of the focus has been on how the Democrats will use their control to scrutinize … Continue reading

Events & Publications

  • Charlotte Associate Brian Soja, a member of MVA’s Financial Regulatory Advice and Response and White Collar, Regulatory Defense, and Investigations practice groups, served as a panelist at Mecklenburg County Bar’s 18th Banking and Finance Forum on November 9.  Soja participated in the Forum’s Regulatory Highlights panel along with Phil Wertz of Bank of America, John Stoker of Wells Fargo, Grant Harbrecht of Fifth Third, and Scott Cammarn of Cadwalader Wickersham & Taft.  During the panel, which focused on significant regulatory developments over the past year, Soja addressed recent enforcement trends at the Office of the Comptroller of the Currency, where he formerly worked as an attorney in the Enforcement & Compliance Division.  Soja also commented on the potential regulatory impact of the midterm elections and on the recently published Interagency Statement Clarifying the Role of Supervisory Guidance.
  • 2018 ANNUAL CONFERENCE (Nov. 2018): We are proud to once again be a sponsoring partner for The Clearing House + Bank Policy Institute Annual Conference, which will take place in New York on November 26–28, 2018.  The Annual Conference provides a forum for the industry’s leaders to examine the changing dynamics of the bank regulatory and payments landscape.  Keynote speakers for this year’s conference include Jelena McWilliams, Chair of the FDIC, Antony Phillipson, British Consul General in New York and HM Trade Commissioner for North America, Richard Clarida, Vice Chairman of the Federal Reserve, Stanley McChrystal, a four star general and author, and J.D. Vance, New York Times Best Selling Author.  Financial Regulatory Advice and Response Team members Ed O’Keefe, Neil Bloomfield, Tom Pennington, Todd Taylor, and Kristina Whittaker will be attending. 
  • Charlotte Litigation Members Neil Bloomfield and Ed O’Keefe will be serving as panelists at the upcoming SIFMA Compliance and Legal Society's Charlotte Regional Seminar on Monday, September 24. This one day seminar feature presentations by leading securities regulators and industry professionals.  Bloomfield will be speaking on the Privacy and Cybersecurity Issues panel alongside Keith Agisim (Moderator, Bank of America), Michael Adams (McGuireWoods), James Powell (LPL Financial LLC), and John Reed Stark (John Reed Stark Consulting, LLC).  O’Keefe will be speaking on the Intersection of Banking and Wealth Management panel alongside Julie Hobbs (Moderator, Morgan Stanley), Beth Dorfman (Bank of America Merrill Lynch), Thomas McQuade (Protiviti), Michael Solomon (FINRA), and Donald Sutherland (Wells Fargo & Company).
  • Members of MVA’s Privacy and Data Security team, Charlotte Member Neil Bloomfield, Charlotte Counsel and Charlotte Associate were speakers for the latest Privacy and Data Security Seminar that was held on August 22. This seminar discussed the data management challenges in today’s government investigations. This is an area undergoing significant changes in light of GDPR, the CLOUD Act and the impending suspension of the Privacy Shield. This CLE focused on both the legal restrictions and practical challenges confronting U.S. counsel when dealing with investigations by domestic and international authorities.
  • Neil Bloomfield presented at the SIFMA C&L Annual Seminar on March 20th.  Mr. Bloomfield provided an outside counsel perspective on managing large scale litigation and investigations.  The panel focused on incorporating project management techniques from business into the practice of law and innovations in technology and processes that can make the practice more efficient and effective. Mr. Bloomfield presented alongside experts from Integreon and Fidelity Investments.  SIFMA’s C&L Annual Seminar is the premier event for compliance and legal professionals working in the financial services industry.  The 2018 Seminar was the 50th annual event.
  • Neil Bloomfield and Ed O’Keefe are coordinating a panel titled "LIBOR and the Potential Replacement Reference Rates: Where Do We Go from Here?" for the UNC Banking Institute on March 22 at the Ritz-Carlton in Charlotte, NC. Speakers on the panel include Ann Battle of the International Swaps and Derivatives Association, Inc., David Bloom of SunTrust Banks, Inc., Raymond Check of the Federal Reserve Bank of New York, Harriet Hunnable of the U.K. Financial Conduct Authority and Joaquin M. Sena of Bank of America. (more…)
  • Charlotte Litigation Member Ed O’Keefe will be presenting at the 2018 Financial Markets Association Conference on April 18. His presentation will discuss key legislative and regulatory initiatives affecting financial services companies, the rulemaking agenda for the SEC and the CFTC, and regulatory burden relief initiatives undertaken by the banking agencies to date. (more…)
  • Moore & Van Allen PLLC is pleased to announce that Kristina (“Kris”) B. Whittaker, former Deputy Comptroller for Special Supervision in the Office of the Comptroller of the Currency (OCC), has joined the firm’s Charlotte office as Counsel. Whittaker will practice on Moore and Van Allen’s growing Financial Regulatory Advice and Response team. * (more…)
  • THE CLEARING HOUSE ANNUAL CONFERENCE (Nov. 2017): Financial Regulatory Advice and Response Team members Ed O’Keefe and Tom Pennington, joined by Neil Bloomfield, Josh Lanning and Brian Soja attended The Clearing House’s Annual Conference in New York City, November 6-8, 2017. MVA served as a Gold Partner for the conference, sponsoring the Annual Chairman’s Reception. The banking industry's premier banking conference featured two and a half days of programming which included keynote speakers Rod J. Rosenstein, Deputy Attorney General, U.S. Department of Justice; Keith Noreika, Acting Comptroller of the Currency; and Sigal P. Mandelker, Under Secretary for Terrorism and Financial Intelligence, U.S. Department of Treasury, among others. In-depth panels focused on today's most pressing issues for financial institutions.  Take a look at some highlights from the 2016 conference and featured TCH moments from 2017.
  • PRESENTATION TO THE ACC OF THE FUTURE OF THE MARKETS WITHOUT LIBOR (Nov. 2017) - Neil Bloomfield, Rob Kenny, and Zack King joined with Jim Blair from WCM Global Wealth for a presentation to the Association of Corporate Counsel on a future of the markets where LIBOR may no longer exist. In a speech on July 27, 2017, Andrew Bailey, the Chief Executive of the U.K. Financial Conduct Authority (“FCA”), discussed the future of LIBOR. Mr. Bailey explained that work must begin in earnest to plan for the transition away from LIBOR. He explained that the FCA had spoken to “current panel banks about agreeing voluntarily to sustain LIBOR for a four to five-year period, i.e. until end-2021.” This speech has led many to believe they will need to transition away from LIBOR as a reference rate by 2022. (more…)

Welcome to the White Collar Defense, Investigations and Regulatory Advice Blog

As government authorities around the world create a constantly evolving regulatory environment, conduct overlapping investigations, and bring parallel proceedings, companies are facing perhaps the most challenging regulatory and criminal enforcement environment. Moore & Van Allen has created this blog to help keep our clients up to date in these fast-moving areas and to serve as a thought leader as regulations and enforcement policy continue to develop. Our blog is a combined effort of Moore & Van Allen’s White Collar Defense and Investigations Team and our Financial Regulatory Advice and Response Team.


Our Practices

MVA’s White Collar Defense and Investigations Team services clients in some of the most heavily regulated and scrutinized industries in the U.S. and abroad. This team is made up of former government attorneys, as well as private practitioners, with decades of experience representing Fortune 100 institutions in domestic and international criminal and regulatory inquires in the United States, the rest of North America, United Kingdom, Europe, South America, and the Asia-Pacific region.

Our Financial Regulatory Advice and Response Team combines the experience of former general counsels from some of the largest international financial institutions with that of our seasoned regulatory attorneys to advise clients complex multi-regulator environment on a wide variety of complex regulatory compliance matters, including Comprehensive Capital Analysis and Review (CCAR), Recovery and Resolution Planning, Risk Data Aggregation, the Volcker Rule, consumer finance regulations, and bank secrecy and anti-money laundering regulations. Meet Our White Collar Defense and Financial Regulatory Response Teams.

Recent Authors

Tandy MathisNader RajaNeil BloomfieldElena MitchellLindsey FryeKristina WhittakerKristen KenleyJim McLoughlinFielding HusethJohn HanFrank SchallEd O'KeefeBrian Soja

Follow MVA


Subscribe to Blog via Email


No Attorney-Client Relationship Created by Use of this Website: Neither your receipt of information from this website, nor your use of this website to contact Moore & Van Allen or one of its attorneys creates an attorney-client relationship between you and Moore & Van Allen. As a matter of policy, Moore & Van Allen does not accept a new client without first investigating for possible conflicts of interests and obtaining a signed engagement letter. (Moore & Van Allen may, for example, already represent another party involved in your matter.) Accordingly, you should not use this website to provide confidential information about a legal matter of yours to Moore & Van Allen.

No Legal Advice Intended: This website includes information about legal issues and legal developments. Such materials are for informational purposes only and may not reflect the most current legal developments. These informational materials are not intended, and should not be taken, as legal advice on any particular set of facts or circumstances. You should contact an attorney for advice on specific legal problems. (Read All)