On Demand Audio

Best Practices for Bringing, Defending, or Settling a Regulatory Enforcement Action

(203 reviews)

Produced on December 17, 2017

Taught by
$ 79 Banking and Litigation In Stock
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Course Information

Time 1h 15m
Difficulty Beginner
Topics covered in this course: Banking Litigation

Course Description

What is the current state of financial regulation and enforcement? How does it compare to recent history?

Mr. Lennon, a litigator and forensic accountant with over twenty years of experience in cases involving complex financial issues, will very briefly explore the historical backdrop of regulatory change with an emphasis on recent high-profile enforcement matters. He will then explore the essentials of regulatory enforcement cases with an emphasis on appropriate settlement strategies.

Learning Objectives:

  1. Review the historical backdrop behind the current state of financial regulation and enforcement
  2. Identify the essential elements of regulatory enforcement actions in the current environment
  3. Discuss the importance of relevant settlement strategies and considerations under various circumstances

This course originally appeared as a part of our December 2017 Bridge the Gap Event.  

Credit Information

After completing this course, Lawline will report your attendance information to {{ accredMasterState.state.name }}. Please ensure your license number is filled out in your profile to ensure timely reporting. For more information, see our {{ accredMasterState.state.name }} CLE Requirements page . After completing this course, {{ accredMasterState.state.name }} attorneys self-report their attendance and CLE compliance. For more information on how to report your CLE courses, see our {{ accredMasterState.state.name }} CLE Requirements FAQ .


Peter Lennon

McEldrew Young

Peter A. Lennon’s career has been devoted to cases involving complex financial issues for many years. In addition to being an Attorney at Law and a Professor of Economics, he is also a Certified Public Accountant with extensive Auditing and Taxation experience and has a Masters Degree in Finance. He works as a Lawyer, Forensic Investigator and Litigation Consultant for firms and regulators.


Ronald K.

Excellent general knowledge to have about the workings of the financial system.


This was the best practice area historical overview CLE I have taken through Lawline.

Lauren F.

Very good!

Julie P.

Fantastic program - especially liked the history of regulation.

Kristine C.

Great speaker!! One of the best I’ve heard yet.

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