Legal Obligations for Managing the SBA Loan Broker — Webinar 7/10

● Your SBA Loan Brokers — Are They Following the Rules?
● Lender Responsibility for the Actions of their Referral Sources

Attend the Live Webinar Event
Wednesday, July 10, 2024
2:00 PM Eastern
Includes recording & e-certification

Are you a SBA lender struggling to navigate the complex web of regulations and compliance requirements with your loan brokers?

Referrals from a commercial loan broker can be a minefield, with strict rules and penalties for non-compliance. One misstep, such as failing to provide proper disclosures or making false statements, could result in SBA loan guaranty denials, hefty fines, PLP license revocation, or even criminal charges.

The consequences can be devastating for your borrower, your reputation and risk.

Regulations governing commercial loan brokers are not just complex, but constantly evolving. New technologies like AI and fintech disruptors are forcing all regulators to adapt, with emerging risks around data privacy, fair lending, and transparency.

This Coleman upcoming webinar is taught by lender regulatory enforcement industry experts Scott Pearson and Bryan Schneider of Manatt, Phelps & Phillips, LLP.

 You and your staff will learn:

  • Understanding the role of commercial loan brokers as intermediaries
  • Navigating the complexities of the loan application process
  • SBA’s role in regulating commercial loan brokers
  • CFPB and small business lending
  • Key SBA regulations on disclosure, fee limitations, and prohibited practices
  • Federal laws impacting commercial loan brokers
  • Licensing and registration requirements
  • Variations in state-level licensing for commercial loan brokers
  • Importance of transparent disclosures on fees, terms, and conditions
  • Maintaining detailed records for regulatory compliance
  • Prohibited practices: upfront fees, misrepresentation, undisclosed affiliations
  • Consequences of violations: penalties, license revocation, reputational damage
  • Mechanisms for ensuring compliance: licensing, reporting, examinations, audits
  • Enforcement agencies: SBA, FTC, CFPB, state regulators
  • – Disclosure requirements when working with federally insured banks
  • Data privacy and security regulations for borrower information
  • Industry best practices and ethical codes of conduct
  • Duty of disclosure and avoiding conflicts of interest
  • Maintaining client confidentiality and professional conduct
  • Emerging trends: AI, fintech, data analytics in lending
  •  Future regulatory developments and industry collaboration

Your Training Staff

Scott Pearson
Scott Pearson leads Manatt’s award-winning Consumer Financial Services group. He represents clients in regulatory enforcement matters and class actions, counsels them on regulatory compliance issues, and also negotiates bank partnership agreements and other transactions with significant regulatory overlay.

Bryan Schneider
Bryan Schneider is a partner in Manatt’s Chicago office. He previously served as Associate Director for the Division of Supervision, Enforcement and Fair Lending at the Consumer Financial Protection Bureau, and as Secretary of the Illinois Department of Financial and Professional Regulation, a cabinet-level agency.

Coleman Report Webinar Benefits:

  • Coleman Report webinars provide solutions to problems that left unaddressed will jeopardize the SBA loan guarantee.
  • We give management the tools to create prudent credit boxes compliant with SBA’s standard operating procedures.
  • We train your staff to ensure compliance of existing and new SBA rules and regulations.
  • Tips that solve difficult SBA underwriting, servicing and liquidation challenges.

How the Webinar Works

We use Microsoft Teams as the webinar platform.
We will open the webinar for attendees to join at 1:30 pm ET. This will give each attendee thirty minutes before the webinar begins to troubleshoot any technical issues. Call (818) 790-4591 if you need assistance.

All Coleman webinars are recorded and a link is sent to all attendees.

Single Site License
The single site license grants your institution one viewing of the webinar. It is permissible to use a single site license on one device in a conference room to be viewed by multiple attendees The webinar can be viewed on any device.

Multiple Site License
A multiple site license is an unlimited access pass for anyone at your institution. You will be given a link that will be usable to anyone with your email domain.

Webinar Links and Handouts
The webinar link will be included on your sales receipt.
The link will also be included when we send the presentation and handouts. These will be sent by eod the day before.

Participants Earn Certificates of Participation
All Coleman Webinar attendees will receive a certificate of participation. This documents your continuing education history for SBA and your regulators.

Questions throughout the webinar are strongly encouraged. There are two ways to ask a question. The first is to ask the question via the chat in Microsoft Teams. The second is to send an email to Also, feel free to ask pre and post-webinar questions.

The Fine Print
1) Substitutions are allowed at no charge.
2) Cancellations receive a 100% credit for any Coleman product.
3) As with all our products, we offer a 100% money back satisfaction guarantee — no questions asked.

3 Easy Ways to Order
1) ONLINE — Register and pay online via Stripe
2) EMAIL –Send an email to with “Webinar Registration” in the Subject Line. We will do all the paperwork and either send you a sales receipt or an invoice.
3) PHONE — Call us at 818-790-4591.

Bob Coleman
Founder & Publisher