Compliance

  • October 10, 2025

    Mass. AG Says Robinhood Suit Can't Halt Enforcement Action

    Massachusetts regulators say Robinhood is trying to make an "end run" around their efforts to enforce the Bay State's sports betting laws, in a motion asking a judge to toss the financial services platform's lawsuit against the state.

  • October 10, 2025

    SEC Guidance Aims To Ease IPO Process During Shutdown

    As the federal government shutdown lingers, the U.S. Securities and Exchange Commission has updated its guidance to advise companies on how they can still move forward with initial public offerings.

  • October 10, 2025

    Edward Jones Fined $100K For 'Unreasonable' Commissions

    Edward D. Jones & Co. LP has entered into a consent order with Connecticut's banking regulator, agreeing to pay a $100,000 fine and about $73,000 in restitution for charging "unreasonable" commissions to retail brokerage customers in the state.

  • October 10, 2025

    Oklahoma, Tribes Clash Over Hunting, Fishing Sovereignty

    Oklahoma's Indigenous nations are speaking out against a state Department of Wildlife Conservation directive that says its game wardens will continue to enforce state law and cite anyone in violation, regardless of tribal citizenship.

  • October 09, 2025

    9th Circ. Changes Stance On Appeals Of Anti-SLAPP Denials

    The full Ninth Circuit on Thursday held that denials of California anti-SLAPP motions can no longer be appealed in the midst of litigation, diverging from 22-year-old circuit precedent and finding that such orders aren't immediately appealable because they don't resolve issues "completely separate from the merits."

  • October 09, 2025

    Bessent Touts Trump's 'Community Bank Comeback' Agenda

    U.S. Department of the Treasury Secretary Scott Bessent on Thursday pledged a wide-ranging regulatory push to spur a "community bank comeback," previewing plans that include easing capital rules, updating anti-money laundering standards and supporting expanded deposit insurance.

  • October 09, 2025

    Paxton Can Move To Close Houston Nonprofit, Panel Says

    Texas appellate court justices on Thursday said Attorney General Ken Paxton can initiate legal proceedings to take away an immigrant-led nonprofit's corporate charter and tax-exempt status, noting his allegations claiming it failed to comply with its purpose by engaging in political activities show there's probable ground to proceed. 

  • October 09, 2025

    Judge Narrows Evidence Ahead Of Boeing 737 Max Trial

    A Washington federal judge on Thursday ruled on which evidence will be allowed in a Nov. 3 trial in LOT Polish Airlines' lawsuit against Boeing, in which LOT accuses the aerospace giant of tricking it into leasing defective 737 Max jets that were later grounded after two fatal crashes.

  • October 09, 2025

    Senate Crypto Bill Weakens State Fraud Protection, Experts Say

    State regulators and legal experts are urging leaders of the Senate Banking Committee to overhaul their draft crypto market structure legislation on the grounds that the current text would weaken state power to police fraud and protect investors in crypto markets and beyond.

  • October 09, 2025

    AIG Says Dock Builder Can't Avoid $1.8M Yacht Fire Lawsuit

    An AIG unit urged a Florida federal court Thursday to reject a contractor's claims it can't be held liable for more than $1.8 million in coverage payments over a yacht fire caused by dock wiring that lacked ground fault protection, arguing the state building code required such protection.

  • October 09, 2025

    Biotronik Wants Full 9th Circ. Review Of Whistleblower Ruling

    Biotronik Inc. urged the full Ninth Circuit to review a panel ruling that revived a whistleblower suit alleging the company used unlawful compensation tactics to boost heart-device sales, saying it should have been tossed based on prior disclosures in news articles.

  • October 09, 2025

    US Wind Fights For Countersuit Against Offshore Project Foes

    US Wind Inc. is asking a Maryland federal court to allow it to proceed with claims against local governments and community, business and environmental groups that are challenging the approval of a wind energy project off the state's coastline.

  • October 09, 2025

    Judge Scuttles CFTC Settlements In $21M Crypto Scam Case

    A Florida federal judge has rejected a pair of proposed U.S. Commodity Futures Trading Commission settlements in a case alleging a $21 million crypto trading scheme, giving the short-staffed agency only a few days to explain why she shouldn't dismiss the allegations.

  • October 09, 2025

    Ohio Judge OKs Trimmed Norfolk Southern Derailment Suit

    An Ohio federal judge approved on Thursday a joint dismissal motion filed by two kennel owners and Norfolk Southern that will permanently toss the kennel owners' property claims from their derailment suit against the railroad company.

  • October 09, 2025

    Ally Securities Arm To Pay FINRA $850K Over Records Lapses

    Brokerage firm Ally Invest Securities LLC has agreed to pay the Financial Industry Regulatory Authority $850,000 to settle claims it did not review or maintain millions of relevant communications records between the firm and its customers due to its failure to take reasonable compliance measures and electronic system failures.

  • October 09, 2025

    University Of Illinois Chicago, Black Director Settle Bias Suit

    The University of Illinois Chicago and a Black former purchasing director have settled discrimination claims she lodged over pay discrepancies between herself and white colleagues with similar or less experience and over early retirement pressures she faced so that a younger, white subordinate could succeed her.

  • October 09, 2025

    Photo Editing Software Co. Faces Patent Infringement Suit

    A patent protection services firm told a North Carolina federal court Wednesday that a photo editing software company has knowingly infringed three of its patents related to advanced image processing.

  • October 09, 2025

    Nissan, Drivers Reach Deal To End Faulty Brake Claims

    Nissan North America Inc. and drivers on Thursday reached a settlement in principle in Tennessee federal court that would end multistate claims alleging the automatic braking systems in certain Nissan vehicles would sometimes trigger and cause the cars to stop suddenly, creating an unpredictable hazard.

  • October 09, 2025

    Treasury Looks To Cut Suspicious Activity Reporting 'Noise'

    The U.S. Department of the Treasury's enforcement arm Thursday released clarifications about requirements related to suspicious activity reports, specifying among other things that financial institutions do not have to document their decisions not to file the reports.

  • October 09, 2025

    Conn. Official Pushed Firm That Hired Family, Witnesses Say

    Two local Connecticut officials on Thursday testified that Kosta Diamantis, a former state budget official accused of corruption, pushed them to hire a construction management firm they considered expensive and unnecessary without disclosing that the firm had hired his daughter and was allegedly paying him kickbacks.

  • October 09, 2025

    San Antonio Abandons Out-Of-State Abortion Travel Appeal

    The city of San Antonio on Thursday conceded defeat in its request for court approval to go forward with a program that included funding for out-of-state travel for abortions, handing a victory to the state's attorney general.

  • October 09, 2025

    Judge Tosses San Juan Climate Suit Against Energy Cos.

    A federal judge has dismissed San Juan, Puerto Rico's lawsuit linking energy giants' alleged concealment of fossil fuels' effects on climate change to a pair of hurricanes, saying it's indistinguishable from a recently dismissed suit brought by other Puerto Rico municipalities.

  • October 09, 2025

    Whistleblower Asks High Court To Revive NASA Fraud Case

    A whistleblower is urging the U.S. Supreme Court to revive a False Claims Act suit accusing a NASA contractor of overbilling, arguing that the Sixth Circuit wrongly let the government dismiss the case without considering the whistleblower's time and money commitment.

  • October 09, 2025

    FCC Looks To Scale Down Broadband 'Nutrition' Label Reg

    The Federal Communications Commission will consider making broadband "nutrition" labels a little leaner after the agency during the Biden administration imposed what the industry sees as overly burdensome requirements.

  • October 09, 2025

    NCAA Considers Relaxing Gambling Restrictions For Athletes

    The NCAA seems poised to allow student-athletes and staff to bet on professional sports in an attempt to promote responsible gambling, with the Division I Administrative Committee adopting a proposal that would no longer prohibit such wagers.

Expert Analysis

  • Liquidity Rule Compliance Still Vital Even After SEC Dismissal

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    Despite its recent dismissal of a novel case against Pinnacle Advisors over liquidity rule violations, the U.S. Securities and Exchange Commission has continued to bring enforcement actions involving investment advisers, making compliance with the rule important for registrants, say attorneys at Simpson Thacher.

  • 5 Ways Lawyers Can Earn Back The Public's Trust

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    Amid salacious headlines about lawyers behaving badly and recent polls showing the public’s increasingly unfavorable view of attorneys, we must make meaningful changes to our culture to rebuild trust in the legal system, says Carl Taylor at Carl Taylor Law.

  • What Insurers Must Know About New La. Proof Of Loss Law

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    Insurers that comply with all the requirements under a Louisiana law effective this month may condition claim payments on receipt of proof of loss statements, but those that overlook even one prerequisite risk penalties and late payments, say attorneys at Phelps Dunbar.

  • Employer Tips As DOL Shifts Away From Liquidated Damages

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    The recent guidance from the U.S. Department of Labor's Wage and Hour Division eliminating liquidated damages during Fair Labor Standards Act investigations creates an opportunity for employers to secure early, cost-effective resolution, but there are still reasons to remain vigilant, say attorneys at Foley & Lardner.

  • Criminal Healthcare Fraud Takeaways From 4th Circ. Reversal

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    After the Fourth Circuit reversed a doctor’s postconviction acquittal in U.S. v. Elfenbein last month, defense attorneys should consider three strategies when handling complex criminal healthcare matters, says Jonathan Porter at Husch Blackwell.

  • State Laws Show Uniformity Is Key To Truly Fair Bank Access

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    The lack of uniformity among state laws — including new Idaho legislation — that forbid banks from discriminating against customers based on ideology shows that a single set of federally administered fair access rules would better serve financial institutions and American consumers, say attorneys at Bradley Arant.

  • A Look At Justices' Rare Decision Not To Limit Agency Powers

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    The Supreme Court's recent denial of Alpine's cert petition in its long-running case against the Financial Industry Regulatory Authority sends a strong signal that litigation strategies dependent on the elimination of government agencies merit caution, even from a court that lately hasn't been shy about paring back agency authority, say attorneys at Venable.

  • Series

    Hiking Makes Me A Better Lawyer

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    On the trail, I have thought often about the parallels between hiking and high-stakes patent litigation, and why strategizing, preparation, perseverance and joy are important skills for success in both endeavors, says Barbara Fiacco at Foley Hoag.

  • Regulating Online Activity After Porn Site Age Check Ruling

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    A recent U.S. Supreme Court decision upholding an age verification requirement for accessing online adult sexual content applied a lenient rational basis standard, raising questions for how state and federal courts will determine what kinds of laws regulating online activity will satisfy this standard going forward, say attorneys at Hogan Lovells.

  • White House Report Strikes An Optimistic Note On Crypto

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    Taking seriously President Donald Trump's pledge to adopt a pro-innovation mindset toward digital assets and blockchain technologies, a recent benchmark White House report on crypto provides a comprehensive regulatory framework that takes into account the products' novel characteristics within the high-tech ecosystem, say attorneys at Davis Wright.

  • ICJ Climate Opinion Raises Cos.' Legal, Compliance Risks

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    The International Court of Justice's recent advisory opinion on governments' climate change obligations could have important consequences for the regulated community — including a more complex compliance landscape, heightened legal risks for carbon-intensive activities, and renewed market and investor focus on climate issues, says J. Michael Showalter at ArentFox Schiff.

  • Series

    Law School's Missed Lessons: Negotiation Skills

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    I took one negotiation course in law school, but most of the techniques I rely on today I learned in practice, where I've discovered that the process is less about tricks or tactics, and more about clarity, preparation and communication, says Grant Schrantz at Haug Barron.

  • Conflicting Developments In Homelessness Legal Landscape

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    Looking at an executive order and Third Circuit opinion from last month highlights the ongoing tension in homelessness-related legal issues facing state and local governments, property owners, and individuals experiencing homelessness, says Josh Collins, an attorney for the City of South Salt Lake.

  • AG Watch: Texas Embraces The MAHA Movement

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    Attorneys at Kelley Drye examine Texas Attorney General Ken Paxton's actions related to the federal Make America Healthy Again movement, and how these actions hinge on representations or omissions by the target companies as opposed to specific analyses of the potential health risks.

  • DOJ Whistleblower Program May Fuel Criminal Antitrust Tack

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    A recently launched Justice Department program that provides rewards for reporting antitrust crimes related to the U.S. Postal Service will serve to supplement the department’s leniency program, signaling an ambition to expand criminal enforcement while deepening collaboration across agencies, say attorneys at Crowell & Moring.

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