USA Law and Practice Contributed by: Edward P. O’Keefe, Neil T. Bloomfield, John A. Stoker and Kathryn (Kate) G. Wellman, Moore & Van Allen, PLLC
John A. Stoker is senior counsel at Moore & Van Allen. He advises clients on a broad array of compliance, regulatory management, and transactional matters. John leverages his 15
Kathryn (Kate) G. Wellman is a member at Moore & Van Allen and focuses her practice on representing and advising financial institutions in governmental inquiries and
years of in-house legal experience to assist clients in navigating complex regulatory requirements to meet business and enterprise strategic objectives. Prior to joining the firm, John served as associate general counsel of the corporate regulatory section of a large financial institution and advised senior management and governance committees, business groups, and risk and compliance functions on bank prudential compliance requirements and in responding to supervisory and enforcement matters.
investigations and regulatory compliance matters. Kate’s regulatory compliance experience includes managing large-scale projects, including related to development of state and federal law inventories, LIBOR transition, recovery and resolution planning, and global shareholding-related requirements. Kate’s investigation experience includes representation of financial institutions in inquiries involving the US Department of Justice, the Office of the Comptroller of the Currency, the Federal Reserve, the UK Financial Conduct Authority, and financial regulators in other foreign countries.
Moore & Van Allen PLLC Moore & Van Allen PLLC 100 North Tryon Street Suite 4700 Charlotte, NC 28202-4003 USA Tel: +1 704 331 1000 Email: edwardokeefe@mvalaw.com Web: www.mvalaw.com
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