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Compliance
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April 15, 2026
SEC Faces Jarkesy Challenge To $450K Collection Attempt
A Texas man accused of acting as an unregistered broker is fighting the U.S. Securities and Exchange Commission's attempt to collect a $450,000 judgment against him, arguing a recent U.S. Supreme Court ruling renders the SEC's in-house case against him unconstitutional.
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April 15, 2026
Ex-Citi, Cetera Rep Owes SEC $1.37M In Client Theft Case
A former Citigroup and Cetera registered representative was hit with a final judgment Wednesday, putting her on the hook for $1.38 million to the U.S. Securities and Exchange Commission for allegedly stealing $2.4 million from an elderly client.
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April 15, 2026
Texas Can't Revive Anti-ESG Law While Appeal Plays Out
A Texas federal judge refused to pause an injunction pending appeal on a state law restricting state investments in businesses that aim to reduce their reliance on fossil fuels, finding the law's language clearly intends to disfavor groups with certain viewpoints and is unlikely to survive appeal.
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April 15, 2026
2nd Agri Stats Settlement OK'd In Turkey Price-Fixing Suit
A federal judge overseeing turkey price-fixing litigation in Illinois gave the initial green light Wednesday to a settlement Agri Stats Inc. struck to end purchasers' accusations that the company's informational reports helped facilitate the allegedly anticompetitive conspiracy, marking the deal's second approval in as many days.
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April 15, 2026
NCAA Changes Prize Money Rule, Puts Eligibility Fix On Hold
The NCAA on Wednesday adopted new rules that allow incoming athletes to keep prize money and still be able to compete in college, and lets prospects enter their sports' pro draft without costing them their eligibility.
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April 15, 2026
Ga. Election Board Debates Fix As Ballot Count Crisis Looms
Georgia's State Election Board expressed frustration with state legislators Wednesday, saying their failure to pass a replacement method for vote tabulation that does not involve QR codes before ending the legislative session has created a crisis for election officials across the state.
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April 15, 2026
'Law, Not Liturgy'?: 9th Circ. Split Over Faith Bias COVID Suit
Eight judges dissented Wednesday from the denial of an en banc Ninth Circuit rehearing of a panel's decision not to revive a Christian hospital worker's religious bias lawsuit alleging she was fired for refusing COVID-19 nasal testing, with one dissenting judge saying "courts are unwelcome guests" when deciding the veracity of an individual's belief.
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April 15, 2026
Judge Ices Calif. Climate Suit As Justices Mull Boulder Case
A California state court judge has put on hold coordinated climate litigation that state and local governments have filed against oil and gas companies while the U.S. Supreme Court considers a similar case brought by the city and county of Boulder, Colorado.
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April 15, 2026
Zillow, Redfin Can't Use 4th Circ. Ruling In Antitrust Suit
The Federal Trade Commission and multiple states on Wednesday filed a proposed response pushing back on Zillow and Redfin Corp.'s bid to cite a published Fourth Circuit decision they say supports their attempt to dismiss the antitrust suit brought by the agency and states.
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April 15, 2026
Trump Admin Asks Court To Delay East Wing Injunction
The Trump administration on Tuesday asked a D.C. federal court to delay enforcing its order blocking the White House East Wing ballroom project, invoking national security after the court carved out an exception over the "safety and security" of White House grounds.
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April 15, 2026
Winston & Strawn Must Face $1.7B GloriFi Malpractice Suit
A Chapter 7 malpractice suit brought by the trustee of fintech company GloriFi asserting $1.7 billion in damages from a failed initial public offering mostly survived a motion to dismiss late Tuesday, with a Texas bankruptcy judge saying the trustee sufficiently pled breach claims against law firm Winston & Strawn.
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April 15, 2026
Hold Dish To Buildout Plans, Mich. Local Gov'ts Urge FCC
A coalition of local government leaders in Michigan has asked the Federal Communications Commission to insist that Dish fulfill its wireless buildout obligations before its parent company EchoStar completes spectrum sales to AT&T and SpaceX.
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April 15, 2026
737 Max Families Ask Full 5th Circ. To Weigh DOJ-Boeing Deal
Families of 737 Max 8 crash victims have asked the full Fifth Circuit to review a panel's recent decision accepting the U.S. Department of Justice's refusal to criminally prosecute Boeing for allegedly conspiring to defraud safety regulators, saying it allows corporate defendants to game the courts through a "mootness" loophole.
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April 15, 2026
Mexican Businessman Cleared In Texas Pemex Bribes Case
A Texas federal judge has acquitted a Mexican businessman living in the U.S. whom a jury convicted of bribing foreign officials to secure business from Mexico's state-owned oil company, saying prosecutors didn't provide the translators who interpreted evidence at trial for cross-examination.
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April 15, 2026
Pest Control Co. Ends Noncompetes After FTC Pressure
Pest control company Rollins Inc. agreed with the Federal Trade Commission on Wednesday to stop enforcing noncompete agreements that could prevent more than 18,000 workers from taking a job at a competitor.
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April 15, 2026
Brigit To Take Fight Over 'Instant' Wage Advances To 2nd Circ.
Short-term cash advance company Brigit has said it will appeal a New York federal judge's refusal to dismiss a proposed class action alleging it overcharged military borrowers with its "Instant Cash" earned-wage advances, which the judge ruled qualified as consumer loans under federal law.
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April 15, 2026
Circle Failed To Freeze $280M Lost In April 1 Hack, Suit Says
Circle is facing a proposed class action from a Missouri crypto user who accused the stablecoin issuer of failing to intervene and freeze assets as unknown hackers drained an estimated $280 million in digital assets from crypto project Drift Protocol in an April Fools' Day exploit.
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April 15, 2026
Cable Group Says Any 'Click To Cancel' Rule Would Be 'Chaos'
A cable industry trade group has told the Federal Trade Commission it wants no part of any proposed "click to cancel" regulations, saying more rules governing negative option marketing practices "would not protect consumers, only generate regulatory chaos."
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April 15, 2026
Electric Co-Op Denies Delaying Minn. Broadband Projects
A regional electric cooperative has denied assertions that it has hindered pole improvements necessary for a broadband provider to fulfill its deployment obligations in Minnesota under the Federal Communications Commission's Rural Digital Opportunity Fund.
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April 15, 2026
What To Know About DOL's Benefits Enforcement Update
The U.S. Department of Labor's employee benefits arm recently issued updated enforcement guidance that highlighted the agency's goal of shifting to focus more on breaches of the fiduciary duty of loyalty under federal benefits law. Here are three things experts said stood out about the DOL's update.
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April 15, 2026
Texas Panel Backs Atty Sanctions, Finding He Misled Client
A Texas appeals court has upheld a judgment from a lower court sanctioning an attorney for misleading a client into believing that his firm could offer representation in a wrongful death suit, saying that the evidence was sufficient to support his loss in the lower court.
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April 15, 2026
DOL's Warning For Proxy Advisers Acts On A Trump Order
The U.S. Department of Labor's employee benefits division cautioned Wednesday that proxy advisory firms may be providing advice that could make them fiduciaries under federal law, following through on a directive that President Donald Trump issued in December.
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April 15, 2026
2nd Circ. Backs $58M IcomTech Ponzi Convictions, Sentences
The Second Circuit upheld convictions and judgments for defendants behind a $58 million IcomTech cryptocurrency Ponzi scheme after rejecting their arguments that there's no evidence they knew it was a fraud, ruling Wednesday "sufficient red flags existed" for the lower court to properly provide a "conscious avoidance" jury instruction.
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April 15, 2026
Trump Plan To Remake DC Golf Course Is In Rough Legal Shape
President Donald Trump's plans to renovate a public Washington, D.C., golf course and turn it into a championship venue faces strong legal headwinds as experts say the administration skipped several regulatory steps when it started work on the project.
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April 15, 2026
Shell, Enviro Group Ordered To 'Actually Speak For 4 Hours'
An apparently frustrated Connecticut federal judge on Wednesday ordered Shell and an environmental advocacy group to try to resolve remaining disputes in Clean Water Act litigation before they appear before him again, ruling that counsel "must actually speak for four hours," and "time spent composing e-mails, even lengthy ones" doesn't count.
Expert Analysis
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AG Watch: New York's Heightened Enforcement In Real Estate
Over the past several months, New York Attorney General Letitia James has brought a rapid succession of enforcement actions targeting rent stabilization abuse, unsafe housing conditions and fraudulent securities practices, signaling that the office views these problems as systemic issues warranting aggressive intervention, say attorneys at Quinn Emanuel.
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Contract Disputes Recap: Estimates, Value, Gov't Causation
Three recent decisions provide helpful insights about the risk of relying on estimated quantities in blanket purchase agreements, the impact of valuation methodologies and the proof needed to overcome an agency's sovereign acts defense, say attorneys at Seyfarth.
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Stablecoin Yield Reform Raises Stakes For Community Banks
Risks for community banks are heightened by the Clarity and Genius Acts, which establish stablecoin market parameters and may lead to traditional bank fund withdrawals in the long term, but a recent Senate amendment to the former bill could prevent deposit runoff, says Thomas Walker at Jones Walker.
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When Trade Secret Litigation And Criminal Law Collide
An increasing convergence of trade secret litigation and white collar defense, especially with several recent criminal prosecutions from the Justice Department, should prompt businesses and counsel to adapt within the overlapping landscapes, says Kenneth Notter at MoloLamken.
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What To Watch At The 2026 ABA Antitrust Spring Meeting
Attorneys at Freshfields consider the future of antitrust law and competition among developments likely to dominate discussion at the American Bar Association's Antitrust Spring Meeting this week.
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How DOJ's New Corporate Crime Policy Will Work In Practice
The upshot of the Justice Department's new corporate crimes enforcement framework is uniformity for self-reporting companies, but there is uncertainty around how it will be applied in interaction with the Southern District of New York's more lenient, yet unpredictable, financial crimes enforcement program, say attorneys at Cahill Gordon.
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Changes Coming To The SBIR And STTR Programs
Legislation recently approved by Congress to reauthorize the Small Business Innovation Research and Small Business Technology Transfer Programs includes changes focused on national security that would improve transparency but also increase applicants' administrative burdens, slow the awards process and likely increase litigation, say attorneys at Fluet & Associates.
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What FINRA Enforcement Changes Mean For Investigations
It is essential for in-house counsel and compliance officers to familiarize themselves with the Financial Industry Regulatory Authority's recently announced changes to its enforcement program, which offer both clearer visibility into FINRA's expectations and a valuable opportunity to strengthen regulatory readiness, say attorneys at Eversheds Sutherland.
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Managing New Fair Housing Risks Of AI Leasing Agents
Trusting AI-driven chatbots to manage early communications with potential tenants can expose housing providers to Fair Housing Act violations on a vast scale, but prioritizing supervision of automated interactions, implementing strong vendor governance and tracking emerging testing trends can catch problems early, says Yana Rusovski at Spencer Fane.
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One Idea To Fix The SEC's Risk Factor Disclosure Rules
U.S. Securities and Exchange Commission Chairman Paul Atkins recently invited the industry to suggest ways to reform the current risk factor disclosure framework, and amending Rule 10b-5 is one potential option to consider, say attorneys at A&O Shearman.
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Navigating Venezuelan Oil And Gas Sanctions Rollbacks
The U.S. Department of the Treasury's Office of Foreign Assets Control has issued a series of general licenses representing the broadest easing of Venezuela-related sanctions in years, and creating significant new opportunities — but only for entities prepared to meet the rigorous conditions attached to OFAC's phased sanctions relief, say attorneys at Winston & Strawn.
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7 Employer Tips For Handling Calif. Privacy Risk Assessments
Recent changes to the California Consumer Privacy Act require certain employers to complete detailed risk assessments before handling workforce data in many routine ways, so employers should assess whether previous risk assessments can be reused or combined, assemble a team, and create a plan of action, among other steps, say attorneys at Littler.
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Breaking Down State Legislative Efforts In Telecom Security
As the federal government has strengthened national security safeguards for the telecommunications ecosystem, states have also asserted a role in telecom security, with variations among these regimes risking regulatory fragmentation and complicating compliance strategies, say attorneys at Hogan Lovells.
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Agentic AI Use May Trigger Existing Consumer Finance Laws
As artificial intelligence agents interact more and more with payment systems, financial institutions should be cognizant of how existing consumer protection laws like the Equal Credit Opportunity Act apply when transactions are executed by automated systems rather than individuals, noting authorization and liability gaps, say attorneys at Sheppard.
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SEC Guidance Further Solidifies Status Of Tokenized Assets
The U.S. Securities and Exchange Commission recently released a statement that tokenized securities are securities governed by traditional securities laws, representing continued regulatory clarity and the development of expanded technical standards and risk management guidelines that can only improve the long-term viability of financial markets, say attorneys at Barnes & Thornburg.