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Securities
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March 24, 2026
Compliance Chiefs Offer Insight On AI In Financial Services
JPMorgan Chase & Co.'s chief compliance officer said Tuesday that artificial intelligence has proven "transformative" to her bank, and that she sees a time when compliance officers may come to supervise AI agents as the technology evolves.
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March 24, 2026
Warren Probes MrBeast's 'Ill Prepared' Crypto Plan For Kids
Massachusetts Sen. Elizabeth Warren, the ranking Democrat on the Senate Banking Committee, sent a letter to YouTube star MrBeast on Monday expressing skepticism about his potential plans to offer financial and cryptocurrency trading services to children, saying his company appears "ill prepared" for the move, while asking for information.
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March 24, 2026
Del. Lawmakers Roll Out Banking Overhaul, Stablecoin Bills
Delaware lawmakers unveiled a pair of bills aimed at overhauling the state's banking laws, which their sponsors say would position Delaware at the forefront of digital finance and mark the most significant update to its financial code in more than four decades.
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March 24, 2026
CFTC Creates Crypto, AI, Prediction Market Policy Task Force
U.S. Commodity Futures Trading Commission Chair Michael Selig announced the launch of an "Innovation Task Force" Tuesday, which will serve as a dedicated space for crypto, artificial intelligence and prediction market participants to interface directly with agency staff.
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March 24, 2026
2nd Circ. Says Barclays Noteholders' Appeal Fails 'Slack' Test
The Second Circuit on Tuesday upheld the dismissal of a lawsuit accusing Barclays PLC of selling unregistered securities following its loss of well-known seasoned issuer status, saying in a case of first impression that investors couldn't meet a test set out by the U.S. Supreme Court in 2023's Slack decision.
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March 24, 2026
Crypto Project Execs Escape Investors' Fraud, RICO Suit
A Tennessee federal judge has dismissed the alleged co-CEO and other executives of purported crypto projects from a suit accusing them of duping investors out of tens of millions of dollars with false promises of returns, finding the investors do not plausibly plead their fraud or racketeering claims.
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March 24, 2026
Ga. Exec Cops To Role In Alleged $380M Ponzi Scheme
The former chief administrative officer of an Atlanta-area financial advisory group pled guilty Tuesday to one count of money laundering in connection to her role in what prosecutors said was a $380 million Ponzi scheme.
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March 24, 2026
AI Biz Brass, Accounting Firm Shake 'Fake Revenue' Suit
The leaders of a now-bankrupt artificial intelligence company and its former accounting firm have escaped a lawsuit brought by investors alleging the AI company used so-called round-trip transactions with a business partner to generate false revenue, after a Maryland federal judge found the shareholders have not shown the transactions or the business relationship were improper.
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March 24, 2026
Regulator Bars Connecticut Atty From Investment Advising
A Connecticut attorney has agreed to stop acting as an investment adviser agent after the state's banking and securities regulator alleged that he hired a convicted Ponzi schemer as a paralegal and failed to maintain accurate books, records and disclosures.
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March 24, 2026
Commonwealth Financial To Pay $5M To Settle SEC Suit
The U.S. Securities and Exchange Commission has agreed to accept $5 million from Commonwealth Financial Network to resolve conflict disclosure claims, nearly a year after the First Circuit overturned the agency's previous $93 million judgment against the firm.
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March 24, 2026
Hefty Sentence Beamed To Victims Draws 2nd Circ. Scrutiny
The Second Circuit expressed concern Tuesday over a 20-year prison term imposed by a Manhattan federal judge on a Florida crypto fraudster, a punishment his lawyer argued was caused by unchecked victim vitriol expressed during a sentencing that was improperly broadcast.
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March 23, 2026
Bankman-Fried Must Reveal Any Legal Help In Pro Se Motion
A federal judge in Manhattan on Monday ordered incarcerated FTX founder Sam Bankman-Fried to reveal how much, if any, attorney help he had in drafting his motion for a new trial, saying criminal defendants don't have the right to both represent themselves and be represented by counsel.
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March 23, 2026
SEC Must Give Video Of Elon Musk Interview To Oscar Winner
The U.S. Securities and Exchange Commission must release a video interview of Elon Musk from its civil fraud investigation of the billionaire to a film company led by Oscar-winner Alex Gibney, a D.C. federal judge ruled Monday, saying the SEC already has publicized the interview's contents through a transcript.
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March 23, 2026
Cosmetics Giant Coty Faces Investor Suit Over Fragrance Biz
Beauty giant Coty Inc. faces a proposed investor class action alleging the company misled investors when it said it was poised for growth only to reverse course last month and say its earlier forecast was premature.
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March 23, 2026
Polymarket Bars Insider Trading In Latest Rule Book Update
Polymarket announced Monday that it's updating its rule book to address insider trading in event contracts, explicitly barring trades on stolen confidential information, illegal tips or by those who can "influence the outcome" of a prediction market.
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March 23, 2026
Oil Execs Face Fraud Claims Over Investment Tactics
Two oil and gas executives enticed investors to finance their venture by promising priority access to thousands of mineral acres, only to steer the deals through affiliated companies to profit themselves instead, a pair of investors have alleged.
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March 23, 2026
Flagstar Seeks To Shut Down Ex-CCO's Retaliation Suit
Flagstar asked a New York federal judge to toss a suit from one of its former compliance chiefs that claims he was wrongfully terminated for blowing the whistle on the bank's former CEO over alleged compliance violations, saying the suit attempts to "cobble together" unrelated incidents into a retaliation claim.
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March 23, 2026
FINRA Fines Stash Capital For AML, Identity Theft Controls
The Financial Industry Regulatory Authority fined digital investing platform operator Stash Capital $450,000 for allegedly failing to properly review applications and detect suspicious account activity during a period of sharp customer growth.
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March 23, 2026
EV Co. Faraday Future Says SEC Probe Ended Without Action
The U.S. Securities and Exchange Commission is not recommending an enforcement action against electric vehicle startup Faraday Future Intelligent Electric Inc. after years of investigation, the company has told investors.
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March 23, 2026
Revance Investors Ink $17M Deal In Take-Private Offer Suit
Dermal fillers company Revance Therapeutics Inc. and two of its executives have agreed to a $17 million settlement to end claims the company hurt investors after the value of a take-private tender offer was negotiated down following allegations that Revance had breached a distribution deal with another company.
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March 23, 2026
J&J Amici Seek Clarity On Goldman Precedent For Class Cert.
Four groups of amici have urged the U.S. Supreme Court to take up Johnson & Johnson's challenge to a Third Circuit decision allowing a securities class action over its talc products to proceed, warning the ruling could reshape how shareholder suits are litigated nationwide.
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March 23, 2026
Day Pitney Fights DQ Over Ex-Justice's Time On Case He Heard
Day Pitney LLP has apologized after former Connecticut Supreme Court Chief Justice Richard A. Robinson, now a firm partner, billed 15.7 hours for reviewing a since-remanded case he heard years ago as a justice, but the firm said the "error" should not disqualify its other lawyers from advancing the litigation.
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March 23, 2026
Tenn. Regulators To Challenge Kalshi Win At 6th Circ.
Tennessee regulators are asking the Sixth Circuit to review an order barring them from taking action against Kalshi's sports contracts, marking the latest event contract dispute to reach an appeals court.
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March 23, 2026
Bipartisan Bill Eyes Boosting Cannabis Business Investment
Members of Congress have reintroduced bipartisan legislation that would create a safe harbor for state-regulated marijuana businesses to access traditional business services without threat of federal enforcement and potentially be listed on securities exchanges.
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March 23, 2026
SEC's Atkins Promises Changes To Adviser Pay-To-Play Rule
U.S. Securities and Exchange Commission Chairman Paul Atkins indicated Monday that his agency plans to loosen the rules around political contributions made by investment advisers, saying that current regulations present a "trap for the unwary."
Expert Analysis
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Series
Judges On AI: How Courts Can Boost Access To Justice
Arizona Court of Appeals Judge Samuel A. Thumma writes that generative artificial intelligence tools offer a profound opportunity to enhance access to justice and engender public confidence in courts’ use of technology, and judges can seize this opportunity in five key ways.
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Examining Privilege In Dual-Purpose Workplace Investigations
The Sixth Circuit's recent holding in FirstEnergy's bribery probe ruling that attorney-client privilege applied to a dual-purpose workplace investigation because its primary purpose was obtaining legal advice highlights the uncertainty companies face as federal circuit courts remain split on the appropriate test, say attorneys at Proskauer.
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Hot Topics For Family Offices In 2026
For family offices, the throughline of 2026 is disciplined readiness, as navigating impact from the One Big Beautiful Bill Act and platform maturation will be necessary to preserve flexibility and enhance client outcomes, say attorneys at Morgan Lewis.
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Opinion
The Case For Emulating, Not Dividing, The Ninth Circuit
Champions for improved judicial administration should reject the unfounded criticisms driving recent Senate proposals to divide the Ninth Circuit and instead seek to replicate the court's unique strengths and successes, says Ninth Circuit Judge J. Clifford Wallace.
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Banking M&A Outlook Reflects Favorable Regulatory Climate
The banking mergers and acquisitions environment is starting 2026 with a rare alignment of favorable market conditions and a more permissive regulatory atmosphere, creating a clear window for banks to pursue transformative combinations and shape the competitive landscape, say attorneys at Reed Smith.
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ERISA Litigation Trends To Watch With 2025 In The Rearview
There were significant developments in Employee Retirement Income Security Act litigation in 2025, including plaintiffs pushing the bounds of sponsor and fiduciary liability and defendants scoring district court wins, and although the types of claims might change, ERISA litigation will likely be just as active in 2026, say attorneys at Groom Law.
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2025's Defining AI Securities Litigation
Three securities litigation decisions from 2025 — involving General Motors, GitLab and Tesla — offer a preview of how courts will assess artificial intelligence-related disclosures, as themes such as heightened regulatory scrutiny and risk surrounding technical claims are already taking shape for the coming year, say attorneys at Cooley.
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Series
Mass. Banking Brief: All The Notable Legal Updates In Q4
Among the most significant developments on the banking regulation front in Massachusetts last quarter, Attorney General Andrea Joy Campbell announced her bid for reelection, and the state Division of Banks continued its fintech focus by finalizing rules implementing a new money transmitter law, say attorneys at Nutter.
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Series
Muay Thai Makes Me A Better Lawyer
Muay Thai kickboxing has taught me that in order to win, one must stick to one's game plan and adapt under pressure, just as when facing challenges by opposing counsel or judges, says Mark Schork at Feldman Shepherd.
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Series
Law School's Missed Lessons: Intentional Career-Building
A successful legal career is built through intention: understanding expectations, assessing strengths honestly and proactively seeking opportunities to grow and cultivating relationships that support your development, say Erika Drous and Hillary Mann at Morrison Foerster.
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How Shareholder Activism Fared In 2025
2025 was a turbulent yet transformative year in shareholder activism, and there are several key takeaways to help companies prepare for a 2026 that is shaping up to be even more lively, including increased focus on retail investors and the use of social media as a tool, say attorneys at Sidley.
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Justices' Separation-Of-Powers Revamp May Hit States Next
The U.S. Supreme Court's 2024 decision in U.S. Securities and Exchange Commission v. Jarkesy quietly laid the groundwork for an expansion of the court's separation-of-powers agenda beyond the federal level, but regulated parties and state and local governments alike can act now to anticipate Jarkesy's eventual wider application, say attorneys at Troutman.
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Preparing For Congressional Investigations In A Midterm Year
2026 will be a consequential year for congressional oversight as the upcoming midterm elections may yield bolder investigations and more aggressive state attorneys general coalitions, so companies should consider adopting risk management measures to get ahead of potential changes, say attorneys at Morgan Lewis.
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Key Trends Shaping ESG And Sustainability Law In 2026
2025 saw a chaotic regulatory landscape and novel litigation around environmental, social and governance issues and sustainability — and 2026, while perhaps more predictable, will likely be no less challenging, with more lawsuits and a regulatory tug-of-war complicating compliance for global companies, say attorneys at Crowell.
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How Bank M&A Prospects Brightened In 2025
Even with less-than-ideal macroeconomic conditions in 2025, federal banking regulators' shift away from procedural concerns to focus more on core financial risks boosted M&A in several key ways, including shorter review timelines and increased interest in de novo charters, say attorneys at Arnold & Porter.