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Latest News in Compliance

• January 30, 2026

  Warsh Clinches Trump's Nomination For Fed Chair

  President Donald Trump is nominating former Federal Reserve Gov. Kevin Warsh to lead the central bank as its next chairman, elevating a critic of the Fed's leadership as the White House pushes against its traditional independence.

• January 29, 2026

  Fed's Master Account Stance Goes Too Far, 2nd Circ. Told

  The Federal Reserve's claim of broad discretion to cut financial institutions off from master accounts could turn these U.S. payment system gateways into potential tools of partisan warfare, an attorney for a Puerto Rico bank told a Second Circuit panel Thursday.

• January 29, 2026

  Ex-Morgan Stanley Adviser Conned NBA Players, Jury Hears

  A Manhattan federal prosecutor Thursday told jurors that a former Morgan Stanley adviser defrauded three NBA players out of millions of dollars through investments in wildly marked up life insurance policies, while defense counsel said the case was built on lies by a former client.

• January 29, 2026

  NC Vape Sale Limits Face Preemption Test At 4th Circ.

  Counsel for vape manufacturers and sellers implored the Fourth Circuit Thursday to agree with an interpretation of the federal Food, Drug, and Cosmetic Act that would preempt a new North Carolina law that regulates and prohibits the sale of certain e-cigarette or "vape" products.

• January 29, 2026

  Ex-Synapse Compliance Chief Settles FINRA Supervisory Case

  The former chief compliance officer of a subsidiary of bankrupt fintech company Synapse has agreed to a $20,000 fine and yearlong suspension to settle the Financial Industry Regulatory Authority's allegations he failed to preserve certain books and records ahead of the firm's collapse.

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