Moore & Van Allen Law Firm, Attorneys
Practice Areas
  • B.A., Psychology, with honors, Wake Forest University, 2000
  • J.D., Boston University School of Law, magna cum laude, Edward F. Hennessey Distinguished Scholar, Paul J. Liacos Distinguished Scholar, G. Joseph Tauro Scholar and associate editor for the American Journal of Law and Medicine, 2003
  • North Carolina
  • New York
  • New Jersey
  • Supreme Court of the United States
  • United States Court of Appeals for the Second, Fourth and Fifth Circuits
  • United States District Courts for the Western, Middle and Eastern Districts of North Carolina
  • United States District Courts for the Southern and Eastern Districts of New York
  • United States District Court for the District of New Jersey
  • United States Tax Court
100 North Tryon Street
Suite 4700
Charlotte, NC 28202-4003

Neil T. Bloomfield

Member
Overview
Representative Matters
News & Events
Publications
Professional Affiliations

Neil Bloomfield advises financial services firms on their engagements with government entities. Neil’s matters primarily fall into two categories—advising institutions on regulatory compliance issues and conducting investigations in response to issues raised internally or by a government authority. 

Neil regularly represents clients with responses to inquiries by Federal (e.g. CFTC, DOJ, OCC, FRB, SEC, IRS, and various U.S. Attorney's offices), State (e.g. the North Carolina Attorney General and other state Attorneys General, and the North Carolina Department of Revenue) and international authorities (e.g. U.K. Financial Conduct Authority, European Commission, Monetary Authority of Singapore, and Hong Kong Monetary Authority). The matters range from market wide inquiries like the Panama Papers, foreign exchange trading, and LIBOR to issues experienced at individual institutions, including whistleblower complaints, concerns related to auditing practices, vendor management, customer remediation, and consumer lending.

Neil takes a holistic approach to investigations starting with uncovering the issues and representing the company under investigation, but then moving past the immediate concerns to enhance policies, procedures, monitoring, and testing to help make sure that any issues that are identified are not repeated across the enterprise. Throughout this process, Neil uses project management techniques to lead teams of more than 100 attorneys and consultants conducting investigations around the world.

Neil also assists clients in responding to a variety of regulatory requirements including Comprehensive Capital Analysis and Review (“CCAR”) for ongoing regulatory investigations and potential litigation, Recovery and Resolution Planning and related training for boards of directors, Risk Data Aggregation and Reporting Requirements, and Sarbanes-Oxley whistleblower programs. As part of this practice, Neil provides assistance in designing or enhancing programs, legal opinions, policies, and training materials to promote internal initiatives and achieve regulatory compliance.

SELECT PUBLICATIONS

SPEAKING ENGAGEMENTS

Neil is also a frequent panelist and presenter at conferences across the country, including:

  • Panelist, LIBOR Transition Challenges, Banking and Finance Forum
  • Presenter, Trends in Discovery for International Disputes, ABA Sound Advice
  • Repeat Panelist, Cybersecurity Trends, SIFMA C&L Charlotte Regional Seminar
  • Panelist, Data Management in Cross Border Matters, MVA Privacy & Data Security Seminar
  • Panelist, LIBOR Transition, The Banking Institute
  • Panelist, Data Management in Complex Matters, SIFMA C&L Annual Seminar
  • Panelist, Transition Away from LIBOR, Associate of Corporate Counsel
  • Panelist, Discovery in Government Investigations, Client Summit
  • Panelist, Cross Border Privilege Considerations, Association of Corporate Counsel
  • Panelist, Emerging Issues in Cyber Security, Client Summit

Of Note

  • Adjunct Professor at Wake Forest University School of Law
  • Member, North Carolina State Bar Association
  • Board Member and Past Chair, Domestic Violence Advisory Board for Charlotte/Mecklenburg County
  • Board Member, Feeding Charlotte

Representative Matters

Neil’s investigation practice includes the following representative matters:

  • Conducted an investigation into whistleblower allegations related to advice provided by the legal department of a U.S. based global financial institution
  • Conducted an investigation into whistleblower allegations related to the conduct of an executive for a U.S. based global financial institution
  • Represented a U.S. based global financial services firm in response to inquiries from the Special Counsel's office
  • Represented internationally based financial services firm in its response to Panama Papers related investigations
  • Represented two U.S. based financial services firms in investigations of foreign exchange trading
  • Represented a U.S. based financial services firm in a global investigation into LIBOR as well as other financial benchmarks
  • Represented Bank of America in connection with the investigation of its merger with Merrill Lynch by the North Carolina Attorney General and the WDNC U.S. Attorney's Office
  • Represented a portfolio management company in an investigation into allegedly improper trading activity

Neil’s advisory practice includes the following representative matters:

  • Advising two U.S. based global financial institutions on their Recovery and Resolution Planning
  • Advising a U.S. based global financial institution on creating legal risk assessments for CCAR based on ongoing and potential regulatory investigations and litigation
  • Advising multiple financial institutions on requirements related to qualified financial contracts (“QFCs”)
  • Advising a U.S. bank on its Sarbanes-Oxley whistleblower program compliance
  • Advising a U.S. based global financial institution on Risk Data Aggregation and Reporting Requirements

Publications

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Professional Affiliations

  • Adjunct Professor at Wake Forest University School of Law
  • Member, North Carolina State Bar Association