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Latest News in Compliance
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August 20, 2026
The U.S. Securities and Exchange Commission has upheld Nasdaq's decision to delist the stock of Shineco Inc. after the Chinese biotech firm repeatedly violated the exchange's listing requirements, rejecting the company's arguments that a Nasdaq hearing panel reached its decision too quickly and did not properly consider plans for new operations at Shineco.
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August 20, 2026
Corridor Television will pay a voluntary contribution of $27,000 to resolve an investigation from the Federal Communications Commission into whether it submitted misleading information about its participation in three nationwide tests of the Emergency Alert System.
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August 20, 2026
Concertgoers who purchased tickets on the secondary market are asking the Second Circuit to vacate a lower court's decision forcing them to arbitrate their antitrust claims against Live Nation and its Ticketmaster unit.
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August 20, 2026
The U.S. Securities and Exchange Commission has secured a nearly $266,000 judgment against a California-based investment adviser and his firm, and banned him from practicing for three years after he allegedly emailed himself confidential client information from his former employer and used it to launch his own investment firm.
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August 20, 2026
A California federal judge prohibited the CEO of a defunct tax compliance startup who was accused by the U.S. Securities and Exchange Commission of swindling $13 million from investors from deceiving anyone or disseminating false information regarding investments in violation of securities laws.
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