General Business Administrative Agency Business Torts

Read need-to-know updates, commentary, and analysis on General Business issues written by leading professionals.
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Non-Compete Litigation & Consent Orders: A Recent NJ Case & Cautionary Tale

A recent case out of the United States District Court for New Jersey raises interesting issues related to non-compete litigation and consent orders. Let’s take a look: The underlying facts of the case are simple enough:...more

SEC Files Two Offering Fraud Actions Tied To A Horse Farm

The Commission filed two settled offering fraud actions centered in part around an entity engaged in the purchase and sale of thoroughbred horses called Raintree Racing. A second involved an offering of interests in a real...more

BlackRock, CCO Settle SEC Conflict Charges

Conflicts of interest involving market professionals continue to be a focus of SEC enforcement. In many cases the conflict is uncovered by the inspection staff, OCIE. This time, however, the information came from an article...more

SEC Brings Another Insider Trading Case As Administrative Proceeding

There is little doubt that the SEC is bringing more cases in an administrative forum. While the agency has not acknowledge the trend, over the last several months it has filed a series of insider trading cases as...more

SEC Secures Federal Judge Order Against Mayor Based on Control Person Liability

On January 28, 2015, the United States District Court for the Eastern District of Michigan entered a final judgment against Gary Burtka, the former mayor of Allen Park, Michigan, upholding the Security and Exchange Commission...more

This Week In Securities Litigation

The SEC settled another action this week based on admissions of fact and that the Federal securities laws were filed, this time involving Oppenheimer. The action was based on the fact that the firm permitted an off-shore and...more

SEC Files Prime Bank Fraud and Offering Fraud Actions as Administrative Proceedings

The trend of selecting administrative proceedings rather than Federal court by the SEC appears to be continuing. Since last September, for example, the SEC has filed at least seven insider trading cases as administrative...more

Insurance Regulator Too 'Aggressive,' Insurers Say

Four insurance companies sued the California Department of Insurance, claiming the agency has become "increasingly aggressive" in its efforts to enforce the state's Unfair Insurance Practices Act....more

Adviser, Co-founder, Settle SEC Breach of Duty Proceeding

The Commission filed settled administrative proceedings against an investment adviser and its co-founder based on a claimed breach of fiduciary duty. The Order alleged violations based on negligence, citing Securities Act...more

SEC Insider Trading Cases as Administrative Proceedings – A New Trend?

Traditionally, the SEC has brought insider trading cases as civil injunctive actions. The recent emphasis on administrative proceedings, however, appears to be changing that. Earlier this week the agency brought an insider...more

FERC Requests that U.S. District Court Affirm Penalties for Market Manipulation

On October 1, 2013, we reported here that the Federal Energy Regulatory Commission (FERC) issued orders on August 29, 2013, assessing civil penalties against, and requiring disgorgement of profits by, Lincoln Paper and...more

Third-Party Risk Management: Busting Myths and Telling Truths

A presentation for the American Conference Institute's 12th National Forum on Residential Mortgage Litigation & Regulatory Enforcement examining increased scrutiny by government regulators of third party vendor management...more

Employee Burnout

Sometimes employers can’t see the forest from the trees. This is often the case when it comes to the work environment, including workplace policies, and their impact on employee productivity and retention. In the rush to...more

Employer Liability for Unreported Time

A recent decision by the Sixth Circuit Court of Appeals held that a nurse’s claim for unpaid wages attributed to working during unpaid meal breaks, did not violate the Fair Labor Standards Act (“FLSA”). White v. Baptist...more

FTC. v. Wyndham Litigation

The Federal Trade Commission (“FTC”) has been active in recent years pursuing companies that suffer data security breaches and arguably failed to live up to the data security standards promised in their privacy policies....more

Corporate Compliance with Licensing Requirements

Software and technology licensing fees are often tied to the number of users or devices that access an application or database. More users, or more devices, will often mean higher licensing fees. The terms and conditions...more

SBA Rules Changes – Definition of a Small Business

In the quest to compete and survive, small businesses should embrace all opportunities for revenue growth available to them. One of the largest potential customers in the world is the US Government. Small businesses have a...more

NLRB Cases Impact At-Will Employment Agreements

Most employment agreements in California are for at-will employment. This means that the employer can terminate the employee at any time, with or without cause, so long as termination is not for a reason otherwise unlawful...more

Employer Liability for Unreported Time

A recent decision by the Sixth Circuit Court of Appeals held that a nurse’s claim for unpaid wages attributed to working during unpaid meal breaks, did not violate the Fair Labor Standards Act (“FLSA”). White v. Baptist...more

Notes For General Counsel

A recent article on the Practical Law website, identified major horizon issues for General Counsel. We highlight a selected sample of these issues by subject area below: Commercial: Green Guides The FTC issues revised...more

Securities Litigation Alert: 'Tis the Season: Proxy Statements and Litigation Challenges to Compensation Disclosures

Over the past several months, plaintiffs' lawyers have stepped up attacks on executive compensation disclosures in proxy statements. Although to date most of these attacks have been unsuccessful, the number of case filings is...more

Privacy Enforcement By California Attorney General’s Office

California takes citizen privacy rights seriously. That’s the unmistakable message communicated by a recent announcement that the Office of the Attorney General of California is creating a Privacy Enforcement and...more

BNA Banking Report - A Practical Guide to CFPB Procedures for Investigation and Adjudication

A practical guide to CFPB investigations and adjudications. Available through Bloomberg BNA's Banking Report....more

Plaintiffs’ Firms Gaining Steam in New Wave of Say-On-Pay Shareholder Suits?

Over two years ago, Congress enacted Section 951 of the Dodd-Frank Act, which requires public companies to conduct an advisory shareholder vote on the company’s executive compensation plan – the so-called “say-on-pay vote.”...more

The Art of the New War - A Guide to Handling CFPB Examinations, Investigations, and Enforcement Actions

"The Art of the New War - A Guide to Handling CFPB Examinations, Investigations, and Enforcement Actions" is practical guidance for institutions governed by the Consumer Financial Protection Bureau on how to handle...more

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