Consumer Protection. Defense!
Financial service businesses, large and small, must implement compliance management systems that demonstrate that they comply with the laws and regulations that govern them.
Larger companies have invested millions of dollars to meet these new compliance requirements, hiring senior compliance officers and large compliance staffs. But small and medium-sized businesses must also employ compliance management systems that are appropriate to their size and market share.
We help businesses prepare for regulatory scrutiny beforehand using the Litigation Readiness compliance system. We have prepared copyrighted compliance procedure modules that can be used in various financial services industries and can be tailored to your company’s business operations and procedures.
When law enforcement agencies like the Federal Trade Commission (FTC), Consumer Financial Protection Bureau (CFPB), U.S. Securities & Exchange Commission (SEC) and State Attorney Generals (AGs) focus on a business for potential consumer protection act claims, they can be very aggressive.
We use our experience defending these cases and the positive relationships we have built with many state and federal regulators to help our clients achieve the best possible results.
We have been especially successful when we have the opportunity to assist our clients in responding to investigations, civil investigative demands (CIDs) and subpoenas, before the investigation has reached the enforcement stage.
Whether you need representatation in state or federal court, whether it's a business dispute or a consumer class action, Thurman Legal has been there...many times.
We have extensive experience defending arbitrations, bench trials and jury trials, including multi-million dollar verdicts on behalf of both plaintiff and defendant clients.
More importantly, given that most civil disputes are resolved before trial, we position our clients for early resolution right from the beginning of the case, which has led to numerous early dismissals and settlements for our clients.
“Thank you for helping my company get started on the right foot, with documentation and policies and procedures designed to help us steer clear of problems with consumers, regulators and competitors.”
Antony Murigu, StudentLoanService.US
Small-dollar, short-term lending
Student loan consolidation
Our vast experience litigating in federal and state courts and handling regulatory investigations and enforcement proceedings allows Thurman Legal to deliver aggressive, focused representation to our clients.
This experience comes not only from defending more than 50 customer arbitration cases, but also from hands-on expertise developed as a senior manager and general counsel for a West Coast regional brokerage firm and as a manager for the Los Angeles office of a prominent national securities brokerage firm, providing a global view of the securities litigation arena.
Thurman Legal assesses cases at an early stage and provides robust counsel to our clients. This approach has resulted in an excellent track record of trial and arbitration victories as well as favorable settlements.
BBB complaints & investigations
Compliance policies & procedures
FTC investigations & enforcement actions
Security breach procedures, response & reporting
State attorney general investigations & enforcement action
State regulatory agency investigations & enforcement actions