ARTICLE
19 May 2025

Navigating State AG Investigations: A Playbook For Financial Services Companies (Podcast)

BS
Ballard Spahr LLP

Contributor

Ballard Spahr LLP—an Am Law 100 law firm with more than 750 lawyers in 18 U.S. offices—serves clients across industries in litigation, transactions, and regulatory compliance. A strategic legal partner to clients, Ballard goes beyond to deliver actionable, forward-thinking counsel and advocacy powered by deep industry experience and an understanding of each client’s specific business goals. Our culture is defined by an entrepreneurial spirit, collaborative environment, and top-down focus on service, efficiency, and results.
Today's podcast show is a repurposed webinar that we produced on April 22nd, titled "Navigating State AG Investigations: A Playbook For Financial Services Companies."
United States Finance and Banking

Today's podcast show is a repurposed webinar that we produced on April 22nd, titled "Navigating State AG Investigations: A Playbook For Financial Services Companies." State Attorneys General (AG) investigations can present significant challenges for businesses and legal practitioners. We offer a detailed dive into effective strategies and practical tips drawn from our State AG Investigation Playbook. Our speakers, Mike Kilgarriff, Joseph Schuster, and Jenny Perkins from our Consumer Financial Services Group, Adrian King, Jr. from our Government Affairs and Public Policy Group, and Hank Hockeimer from our White Collar Defense and Investigations Group, will guide you through the key aspects of handling these investigations, from initial inquiry to resolution.

Key topics include:

  • Understanding the scope and authority of State AGs
  • Compliance Readiness: Preparing for State AG scrutiny Before it Starts
  • Best practices for responding to State AG inquiries
  • Coordination with federal regulators
  • Strategies for negotiating settlements and resolutions
  • Managing public relations and media during an investigation
  • Case studies illustrating successful outcomes

Alan Kaplinsky, Senior Counsel and Former Practice Group Leader for 25 years, of the Consumer Financial Services Group hosts the podcast show.

A transcript of the recording will be available soon.

The content of this article is intended to provide a general guide to the subject matter. Specialist advice should be sought about your specific circumstances.

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