In 2011, New York State's Insurance Department and Banking Department were consolidated into the Department of Financial Services (DFS). This new agency, along with the State Attorney General, is vested with extremely broad enforcement and regulatory powers and tasked with a mission to protect the state's consumers. Both offices have recently cracked down on consumer financial services providers by introducing an array of regulations and bringing several high-profile enforcement actions.

To help the industry understand the mission and authority of the DFS and Attorney General, our presenters will: 

  • Describe the broad enforcement and regulatory powers possessed by the DFS and Attorney General 
  • Discuss the extent to which Benjamin Lawsky, the DFS Superintendent, and Eric Schneiderman, the Attorney General, view their role as consumer watchdogs
  • Review major enforcement and regulatory actions taken by the DFS and Attorney General against consumer financial services providers over the past two years
  • Consider those areas of consumer financial services law that are in the crosshairs of the DFS and Attorney General in 2014 


12:00 PM - 1:00 PM ET | Webinar


Alan S. Kaplinsky, Practice Leader
Consumer Financial Services Group


Justin Angelo
Consumer Financial Services Group

Marjorie J. Peerce
Consumer Financial Services Group
White Collar Defense/Internal Investigations Group

Denise L. Plunkett 
Consumer Financial Services Group

This program is open to Ballard Spahr clients and members of the financial services industry. There is no cost to attend. This program is not eligible for continuing education credits.

Please register at least two days before the webinar. Login details will be sent to all approved registrants. For more information, contact Lisa Prickril at

Related Practices

Consumer Financial Services
Mortgage Banking
White Collar Defense/Internal Investigations