White Collar & Regulatory Enforcement Defense
Global Legal is able to provide best-in-class counsel
for all matters related to regulatory enforcement defense.
Our team is well respected and regularly interacts with government agencies with great success.
Global Legal has earned a reputation for defending processors and Independent Sales Organizations in high-profile, complex investigations from numerous government agencies, like the SEC, FTC, CFPB, and DOJ.
With decades of experience in the payments industry, our White Collar & Regulatory Enforcement Defense practice group regularly navigates and resolves complex, high-stakes civil investigations and enforcement matters involving the US Government.
Our Areas of Practice
SEC Regulatory Enforcement
Global Legal’s team of attorneys are well equipped to advise on formal administrative enforcement proceedings brought by the SEC, as well as self-regulatory proceedings, like FINRA.
SEC & CFPB Examinations
Have you received a Civil Inspection Demand from either the SEC or the CFPB? Global Legal’s team of experts can assist you to comply with applicable requests for inspection by federal regulatory bodies and help you avoid getting sued, fined, or served with a deficiency notice.
Third-Party Subpoena Compliance
If you have received a subpoena to produce documents, answer questions, or provide testimony in relation to a federal investigation, Global Legal can help educate you so that you understand your legal rights and obligations under federal law and guide you through the process of responding to a subpoena from the US Government.
Consumer Protection Investigations
Is your business under investigation by the FTC, CFPB, or state Attorneys General? A consumer protection investigation is an inquiry conducted by government agencies to determine whether a business or organization is engaging in unfair, deceptive, or fraudulent practices that harm consumers. If your business or organization is being investigated for potential harm to consumers, Global Legal can help exonerate your business of wrongdoing and defend you in any related enforcement action.
Internal Investigations
Global Legal’s team of industry experts offer outside general counsel services to gather information and assess your business’s potential exposure to government inquiries and investigations. Our team can preemptively detect possible violations of federal laws, regulations, and company policies as a proactive measure to address compliance risks and, if necessary, develop a defensive strategy in anticipation of an enforcement action.
Qui Tam and False Claims Act
A qui tam action, also known as a whistleblower lawsuit, is a legal action brought by an individual on behalf of the US Government to recover money damages for fraud or other wrongful acts committed against the US Government. Under the False Claims Act, you may be entitled to a portion of any damages if you are aware of fraud or wrongdoing committed by your organization.
Anti-Money Laundering Compliance
With increased regulation on the horizon in the payments industry from the US Department of the Treasury, Global Legal is experienced in helping processors, merchants, and banks comply with federal and state money transmitters registration requirements. Global Legal’s team of experts is recognized within the payments industry for assessing policies, procedures, and controls for industry participants and auditing to ensure the effectiveness of their AML programs.
About Global Legal Law Firm
Our team is well respected and regularly interacts with government agencies, allowing Global Legal to provide best-in-class counsel for all matters related to regulatory enforcement defense.
Our Process
Working with our skilled team of attorneys is easy. Once your client agreement is signed, our staff will work closely with you to move your matter to completion. You’ll know exactly where your case stands every step of the way.
Step 1Signed Client Agreement
Step 2Global Sends Letter
Step 3Response Received
Step 4Case Negotiation
Step 5Case Resolution