Compliance

  • September 17, 2025

    FINRA Fines Okla. Investment Firm For Mishandling Funds

    The Financial Industry Regulatory Authority has fined Oklahoma-based Oak Hills Securities Inc. $125,000 to settle claims that it failed to return money owed to investors, did not deposit invested funds into authorized accounts and did not properly file certain offering documents.

  • September 17, 2025

    FCC Told To Take Care When Adding AI To Public Alerts

    As the Federal Communications Commission mulls how to best overhaul its emergency alert rules, one California county is warning the agency to tread carefully when it comes to adopting emerging technologies like artificial intelligence.

  • September 17, 2025

    Media Matters Again Denied Transfer Of X's Nazi Posts Suit

    Media Matters for America must remain in Texas for X Corp.'s defamation lawsuit over a story about ads running alongside Neo-Nazi content, after a federal judge again refused Tuesday to transfer the case to California following a Fifth Circuit decision nixing a previous rejection of transfer.

  • September 17, 2025

    8th Circ. Backs Dismissal Of FDIC Fee Guidance Challenge

    The Eighth Circuit on Wednesday rejected a banking industry challenge to Biden-era Federal Deposit Insurance Corp. guidance that cautioned banks about charging recurring fees on declined transactions, ruling the matter not ripe for court review.

  • September 17, 2025

    Hospital Agrees To End Retirement Plan Fee, Investment Suit

    A New York hospital system told a federal court Wednesday it will end a proposed class action alleging it failed to remove underperforming investment options from its retirement plan and keep an eye on administrative costs, losing millions of dollars of employees' savings.

  • September 17, 2025

    Satellites Belong In FCC's Enviro Reviews, Agency Told

    The Federal Communications Commission can't justify excluding potentially luminous satellites from environmental reviews keyed to industries under its jurisdiction, a group fighting light pollution said.

  • September 17, 2025

    Charter Can't Dodge Cable Royalties In Texas, 5th Circ. Rules

    Charter Communications cannot avoid paying a 3% royalty for the use of cable permits in three Texas cities' rights of way, regardless of a change in state permitting law, the Fifth Circuit ruled Wednesday.

  • September 17, 2025

    DOJ & Google Going To Trial, Again, On Ad Tech Remedies

    The Justice Department goes to trial next week to try breaking up Google's advertising placement technology business after a Virginia federal court declared the company an illegal monopolist in ad tech.

  • September 17, 2025

    SEC Policy Shift Could Foreclose Some Investor Class Actions

    The U.S. Securities and Exchange Commission issued a policy statement Wednesday that allows the use of mandatory arbitration by new publicly traded companies as its chief seeks to "make IPOs great again," but Democrats warned the move could shut the door to shareholder class actions.

  • September 17, 2025

    Union Settles FCA Suit Over Pandemic Loans for $2M

    The International Brotherhood of Electrical Workers Local 103 will pay just over $2 million in restitution and interest to settle allegations that it improperly obtained a Paycheck Protection Program loan for which it was not eligible, the U.S. Attorney's Office in Boston announced Wednesday.

  • September 17, 2025

    8th Circ. Axes Enhancement Over Tossed Gun As Speculative

    The Eighth Circuit on Wednesday vacated a nearly six-year sentence and dropped a reckless endangerment enhancement for a man in Iowa accused of discarding a loaded handgun while running from police.

  • September 17, 2025

    Ute Tribe Land Dispute Back In Court After 8-Year Stay

    A Utah federal judge on Wednesday lifted an eight-year stay in a decade-long feud over criminal prosecutions within the Ute Tribe's reservation boundaries, allowing the parties to litigate a sole issue in the case over the status of split estate surface lands.

  • September 17, 2025

    EXIM Bank Wants Suit Over $20B Mozambique LNG Project Axed

    The Export-Import Bank of the United States is asking a D.C. federal judge to toss green groups' effort to block $4.7 billion in financing for a liquefied natural gas project in Mozambique led by TotalEnergies SE.

  • September 17, 2025

    Ga. City, Ex-Court Admin Seek Quick Wins In Retaliation Case

    A Georgia city and its former municipal court administrator have each asked a federal judge for wins in a whistleblower suit the administrator brought alleging she had been unlawfully fired in retaliation for reporting a city council member's attempt to pressure the court for a favor.

  • September 17, 2025

    Calif. Residents Look To Block Tribe's Recognition, Casino

    A group of residents and a nonprofit are seeking an expedited order that would block a decision by the Interior Department to give federal recognition to California's Ione Band of Miwok Indians, arguing the federal government is delaying the case to make sure construction of the tribe's casino is completed.

  • September 17, 2025

    FTC Sends White House List Of Regulations For Deletion

    The Federal Trade Commission provided the White House with a report on Wednesday recommending that more than 125 regulations from agencies across the federal government be modified or deleted because they create barriers to competition.

  • September 17, 2025

    Cardinal Health Legal Chief Sees $4.9M In 2025 Pay

    Cardinal Health Inc.'s chief legal and compliance officer brought home more than $4.9 million in total compensation for fiscal year 2025, up from about $4.7 million the previous year, according to a recent public filing.

  • September 17, 2025

    Pa. State Rep. Returns To Eckert Seamans As Privacy Pro

    A Pennsylvania state representative and attorney specializing in data privacy matters has recently moved her practice to Eckert Seamans Cherin & Mellott LLC's Pittsburgh office.

  • September 17, 2025

    Womble Bond Hires Longtime Clifford Chance Leader In DC

    Womble Bond Dickinson LLP has hired a career Clifford Chance LLP lawyer in Washington who served in a number of leadership roles with the firm in his more than 35 years there, including most recently as the global co-head of its risk team and leader of its U.S. regulatory investigations and financial crime group.

  • September 17, 2025

    Pot Entrepreneur Pushes 4th Circ. To Rehear Licensing Fight

    A California cannabis entrepreneur has asked the Fourth Circuit to rehear her case after a panel rejected her bid to upend Maryland's marijuana social equity licensing program, arguing that the appellate judges' ruling turned on multiple errors of law and fact.

  • September 17, 2025

    Charter Jet Co. Alleges GE Engine Defect Caused Fatal Crash

    A charter flight company is suing General Electric Co., Bombardier Inc. and a group of airplane maintenance companies over a fatal crash, saying that GE's engine was defective and prone to corrosion that it didn't warn buyers about and which the maintenance companies failed to detect.

  • September 17, 2025

    Md. Hemp Cos. Plan To Challenge Cannabis Law At 4th Circ.

    A group of hemp companies challenging Maryland's cannabis policies told a federal judge Tuesday that they plan to appeal a pair of recent adverse rulings, citing in part a new federal appellate ruling that pot sellers are entitled to constitutional protections.

  • September 17, 2025

    Sky-High AI Valuations Are Reshaping Dealmaking Playbook

    The latest financing for Anthropic underscores how difficult it has become to dismiss sky-high valuations backing AI as froth, and shows how such numbers could reshape acquisition and exit strategies while exposing investors to heightened legal and financial risks.

  • September 17, 2025

    NY Regulator Pushes Blockchain Analytics For Compliance

    New York's Department of Financial Services on Wednesday emphasized that it expects banks under its purview to incorporate blockchain analytics tools as part of their compliance programs if they're engaging in crypto activities.

  • September 17, 2025

    4th Circ. Won't Revisit $9M Nurse Misclassification Ruling

    The Fourth Circuit will not reconsider a panel decision keeping in place a $9 million judgment against a medical staffing company the U.S. Department of Labor accused of misclassifying more than 1,000 nurses as independent contractors, the appeals court said.

Expert Analysis

  • Open Banking Is On Ice As CFPB Seeks To Toss Its Own Rule

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    Even as the Consumer Financial Protection Bureau's efforts to toss its open banking rule play out in Kentucky federal court, it remains statutorily required to effectuate consumer access to data, raising questions about how it would replace the previously finalized standard, say attorneys at Cooley.

  • SEC, FINRA Obligations In Changing AI Regulatory Landscape

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    Despite the U.S. Securities and Exchange Commission's recent withdrawal of its proposed artificial intelligence conflict rules, financial regulators remain focused on firms developing the correct AI compliance framework, as well as continuously testing and supervising them to ensure they're fit for purpose, say attorneys at Cahill Gordon.

  • Trump Air Emissions Carveouts Cloud The Regulatory Picture

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    President Donald Trump's new proclamations temporarily exempting key U.S. industries from air toxics standards, issued under a narrow, rarely-used provision of the Clean Air Act, will likely lead to legal challenges and tighter standards in some states, contributing to further regulatory uncertainty, say attorneys at GableGotwals.

  • Series

    Playing Baseball Makes Me A Better Lawyer

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    Playing baseball in college, and now Wiffle ball in a local league, has taught me that teamwork, mental endurance and emotional intelligence are not only important to success in the sport, but also to success as a trial attorney, says Kevan Dorsey at Swift Currie.

  • What US Medicine Onshoring Means For Indian Life Sciences

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    Despite the Trump administration's latest moves to onshore essential medicine manufacturing, India will likely remain an indispensable component of the U.S. drug supply chain, but Indian manufacturers should prepare for stricter compliance checks, says Jashaswi Ghosh at Holon Law Partners.

  • How US Cos. Should Prep For Brazil's Int'l Data Transfer Rules

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    Brazil's National Data Protection Authority's new rules concerning the processing and storing of Brazilians' personal data carry significant reputational risks for the e-commerce, financial services, education and health sectors, so U.S. companies with business in Brazil should prepare ahead of the Aug. 23 compliance date, says Juliane Chaves Ferreira at Guimarães & Vieira de Mello.

  • APA Relief May Blunt Justices' Universal Injunction Ruling

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    The Administrative Procedure Act’s avenue for universal preliminary relief seems to hold the most promise for neutralizing the U.S. Supreme Court’s decision in Trump v. CASA to limit federal district courts' nationally applicable orders, say attorneys at Crowell.

  • Wells Fargo Suit Shows Consumer Protection Limits In Mass.

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    The Massachusetts Appeals Court's May decision in Wells Fargo Bank v. Coulsey underscores that consumer rights are balanced against the need for closure, and even the broad protections of state consumer protection law will not open the door to relitigating the same claims, say attorneys at Greenberg Traurig.

  • Series

    Ohio Banking Brief: All The Notable Legal Updates In Q2

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    Ohio's financial services sector saw several significant developments in the second quarter of 2025, including a case that confirmed credit unions' setoff rights, another that established contract rights between banks and cardholders, and the House passage of a digital asset bill, say attorneys at Frost Brown.

  • Building Better Earnouts In The Current M&A Climate

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    In the face of market uncertainty, we've seen a continued reliance on earnouts in M&A deals so far this year, but to reduce the risk of related litigation, it's important to use objective standards, apply company metrics cautiously and ensure short time periods, among other best practices, say attorneys at White & Case.

  • Managing Risks As State AGs Seek To Fill Enforcement Gap

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    Given an unprecedented surge in state attorney general activity resulting from significant shifts in federal enforcement priorities, companies must consider tailored strategies for navigating the ever-evolving risk landscape, say attorneys at Cozen O'Connor.

  • A Deep Dive Into 14 Nixed Gensler-Era SEC Rule Proposals

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    The U.S. Securities and Exchange Commission last month formally withdrew 14 notices of proposed rulemaking, including several significant and widely criticized proposals that had been issued under former Chair Gary Gensler's leadership, signaling a clear and definitive shift away from the previous administration, say attorneys at Dechert.

  • Series

    Law School's Missed Lessons: Skillful Persuasion

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    In many ways, law school teaches us how to argue, but when the ultimate goal is to get your client what they want, being persuasive through preparation and humility is the more likely key to success, says Michael Friedland at Friedland Cianfrani.

  • A Look At Trump 2.0 Antitrust Enforcement So Far

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    The first six months of President Donald Trump's second administration were marked by aggressive antitrust enforcement tempered by traditional structural remedies for mergers, but other unprecedented actions, like the firing of Federal Trade Commission Democrats, will likely stoke heated discussion ahead, says Richard Dagen at Axinn.

  • FCA Working Group Reboot Signals EHR Compliance Risk

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    The revival of the False Claims Act working group is an aggressive expansion of enforcement efforts by the Justice Department and the U.S. Department of Health and Human Services targeted toward technology-enabled fraud involving electronic health records and other data, say attorneys at ArentFox Schiff.

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