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

(66 Ratings)

Produced on: December 17, 2017

Course Format On Demand Audio

Taught by


Course Description

Time 75 minutes
Difficulty Beginner

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.  


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.


Kristine C.

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

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$ 89 Banking Law and Litigation In Stock


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