Compliance and Risk Management Conference

LEGAL ETHICS: Federal Regulation of Lawyers

Tuesday, September 24, 2024 9:15 AM-11:15 AM Independence E, Independence Level
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Historically, lawyers have been allowed to regulate themselves through voluntary bar associations with government oversight limited to the judiciary. And most of that oversight was exercised at the state level. In the last half-century, several events have so deeply impacted the American public’s view of lawyers that the federal government has reacted by at least considering federal regulation of lawyers. This session takes us through the role of lawyers in Watergate, Enron, and the mortgage crisis, and reviews the federal government’s response.

Speakers

Introductions

  • Photo of Julie K. Kind
    Julie K. Kind

    Director, Program Development, Mortgage Bankers Association

    Julie Kind is the Director of Program Management, overseeing the development of compelling content for a variety of MBA’s member conferences. Before joining MBA, she was the Director of Marketing and Customer Outreach for Freddie Mac’s Single-Family division where she managed a large portfolio of conferences, advisory groups, committee meetings, and outreach and educational forums for 1200+ depositories, credit unions and independent mortgage banks. Kind’s prior experience also includes serving as the Vice President of Client Services for Paladin Life Care, an advocacy and life care consulting company serving a diverse, at-risk client base with financial management, housing, emotional stability, living conditions and health crisis remediation.

    • Speakers

  • Photo of Daniel T. Plunkett
    Daniel T. Plunkett

    Chair, Enterprise Litigation and Investigations Group Co-Chair, McGlinchey Stafford

    As Co-Chair of the firm’s Government and Internal Investigations team, Daniel Plunkett helps financial services companies and other clients embroiled in ethics charges, criminal proceedings, and regulatory proceedings. He has prepared and represented witnesses in proceedings before Congress and regulatory agencies. As a litigator, he represents clients in often-complex matters, including False Claims Act cases, and defends companies and institutions in consumer finance matters and class actions.

  • Photo of Sanford (Sandy) P. Shatz
    Sanford (Sandy) P. Shatz

    Of Counsel, McGlinchey Stafford

    Sanford “Sandy” Shatz is Of Counsel and a member of the Commercial Litigation and Consumer Financial Services practice groups. Based in our Irvine offices, he has been a licensed attorney in California for 30 years, and has litigated cases involving commercial law, real estate, and consumer financial services, focusing on mortgage-related issues, and offered regulatory and compliance advice to clients throughout the country. In 1998, he joined Countrywide Home Loans where he organized and established that company’s California In-House Litigation Group. Sandy focused on mortgage-related litigation and has tried numerous cases to verdict.

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