Carl A. Fornaris is Co-Chair of the firm's Financial Regulatory and Compliance Practice. With more than 20 years of legal experience, Carl concentrates his practice on the representation of financial services firms in all aspects of their business. In particular, he represents U.S. and non-U.S. firms on finance and corporate matters, and provides supervisory and compliance counseling for institutions regulated by the Federal Reserve, OCC, FDIC, FinCEN, CFPB, SEC, FINRA, Florida Office of Financial Regulation and other state supervisory authorities.
Carl is also active representing lenders and credit parties in financing transactions of all types, particularly credits to non-U.S. loan parties, asset-based credits, acquisition financing and letters of credit.
Carl advises banks, their holding companies, investment advisers, securities broker dealers, money services businesses and other financial institutions on capital-raising transactions, Volcker Rule implementation, CFPB compliance, critical examination reports and enforcement proceedings, and compliance with the Dodd-Frank Act, FATCA, USA PATRIOT Act/BSA/AML and OFAC sanctions programs. Carl also advises former officers and directors of failed banks in connection with threatened or actual administrative and civil claims.
Articles in the National Law Review database by Carl A. Fornaris