Financial Industry Licensing, Regulation and Compliance

Working to Address Complex Licensing, Regulatory and Compliance Issues

The Financial Industry Licensing, Regulation and Compliance practice at Kolesar & Leatham provides strategic advice and solutions for clients operating throughout the financial services industry. Our team works with industry clients in Nevada, across the United States and around the world facing complex licensing, regulatory and compliance issues at the local, state and federal levels. We represent a broad base of clients including banks, investment firms, mortgage lenders, brokers and other entities operating in the financial services sector.

At Kolesar & Leatham we appreciate the difficult challenges financial services clients face as they try to navigate an ever-changing maze of laws and regulations. Our attorneys track and evaluate legal and regulatory developments at the state and federal levels to make certain that our clients are fully aware of changes and additions that may impact their day to day and long term business operations. We carefully interpret the diverse and complicated statutes and regulations governing the industry and work directly with our clients to execute strategies aimed at managing and mitigating compliance risks.

The attorneys at our firm believe in taking a proactive approach to regulatory compliance matters. We partner with our clients to develop compliance programs that effectively address and respond to complicated licensing and regulatory requirements before potential problems arise. Our lawyers also serve as strong advocates when our clients’ actions are being challenged by federal and state enforcement agencies. In these situations we craft plans and approaches aimed at protecting our clients’ interests throughout the course of the examination or investigation. Should an enforcement matter progress to litigation, our firm is fully prepared to aggressively defend our clients’ interests in state and federal proceedings.


Offering Comprehensive Counsel to Financial Industry Clients

At Kolesar & Leatham we are dedicated to delivering comprehensive counsel to clients in the financial services industry. Because the industry is so heavily regulated and legal issues often span across many different areas of law, our firm utilizes a multidisciplinary practice approach. The lawyers in our Financial Industry Licensing, Regulation and Compliance group regularly collaborate and join together with lawyers in practice groups across our firm, including Banking and Finance, Corporations and Business Entities, Liquor Law and Privilege Licensing, and Litigation, Arbitration and Appeals to address and resolve complex legal matters. This structure ensures that our clients have direct and seamless access to attorneys with the knowledge and resources they need to solve their most challenging legal issues.