In That Case: Securities and Exchange Commission v. Jarkesy
#WorkforceWednesday® - SpaceX Victory: Court Questions NLRB's Constitutional Authority - Employment Law This Week®
Legal Alert | NLRB ALJ Finds Post Employment Non-Compete and Non-Solicit Provisions Unlawful
The Labor Law Insider - NLRB Remedies: “Draconian” Says the Fifth Circuit Court of Appeals in Thryv
AGG Talks: Home Health & Hospice - Lessons Learned From ALJ Hospice Audit Appeals
After ALJ: Options and Opportunities in the Face of an Unfavorable ALJ Decision
Hospice Audit Series | Welcome to the Party: Contractor Participation at ALJ Hearings
The Justice Insiders: The Administrative State is Not Your Friend - A Conversation with Professor Richard Epstein
Four Decision Points in SEC Securities Investigations
DE Under 3: Reversal of 2019 Enterprise Rent-a-Car Trial Decision; EEOC Commissioner Nominee Update; Overtime Listening Session
DE Under 3: New NLx Job Count Record; Fifth Circuit Court of Appeals Big Strike Down; OFCCP’s Latest CSAL
Tribal Tax Exemption Under McGirt Gains Preliminary Victory
Hospice Audit Series: Insights for Winning at Administrative Law Judge (ALJ) Hearings, Part II
Hospice Audit Series: Insights for Winning at Administrative Law Judge (ALJ) Hearings, Part I
Hospice Audit Series: How are Hospices Faring at ALJ Hearings?
A Look Ahead at the Biden Administration’s Regulatory and Enforcement Priorities
U.S. International Trade Commission
II-34- Ten Things You Missed From Summer 2018
In Securities and Exchange Commission v. Jarkesy, 603 U.S. ___ (June 27, 2024), the U.S. Supreme Court held that the SEC’s administrative law judges (ALJs) lack jurisdiction to impose civil penalties for alleged securities...more
SEC Loses in ALJ Case, DOL’s Latest Fiduciary Rule Put on Hold, and SEC Reconsiders AI and Custody Rule Proposals - Welcome to our July Regulatory Roundup, where we provide a quick look at the latest regulatory developments....more
Recently, the Supreme Court delivered several rulings that have caught the attention of compliance professionals. In this blog post, we’ll dissect these rulings and explore their implications for corporate compliance. Matt...more
Complying with statutory workplace requirements does not necessarily excuse an employer from its bargaining obligations. A panel of the National Labor Relations Board (NLRB) upheld an Administrative Law Judge’s (ALJ) finding...more
Asset managers commonly engage regulatory compliance consultants to aid them in addressing regulatory requirements and implementing compliance programs. The work of those compliance professionals can be drawn into SEC...more
Report on Medicare Compliance 29, no. 23 (June 22, 2020): The HHS Departmental Appeals Board (DAB) has upheld the largest stipulated penalty imposed by the HHS Office of Inspector General (OIG) in years. OIG fined...more
Compliance personnel– especially, chief compliance officers– cannot ignore problems because, as one SEC ALJ determined, it will lead to censure and fines for ignoring compliance obligations...more
Enforcement activity by the Department of Health and Human Services’ (HHS) Office for Civil Rights (OCR) showed no signs of slowing throughout 2018 and has already picked up speed in 2019. More recent and significant actions...more
In order to provide an overview for busy in-house counsel and compliance professionals, we summarize below some of the most important international anti-corruption developments from the past month, with links to primary...more
In its Work Plan for Fiscal Year 2012, the Office of Inspector General (OIG) of the U.S. Department of Health and Human Services (HHS) announced it would begin reviews of Medicare payments to hospitals to determine compliance...more
In This Issue: IN THE SPOTLIGHT - - Your Data Breach Collided With My Personal Injury Coverage LIFE INSURANCE - - Phantom Injury Dooms “Shadow Insurance” Case - Latest NAIC Cybersecurity News ...more
On August 13, 2015, a Federal Energy Regulatory Commission (“FERC” or “Commission”) Administrative Law Judge (“ALJ”) issued an initial decision in which she found that BP America Inc. et al. (“BP”) manipulated the natural...more
On July 8, 2015, an administrative law judge (ALJ) ordered Hartmann Studios to pay a fine of over $600,000 for more than 800 I-9 paperwork violations, the largest fine awarded by an ALJ for paperwork violations to date. In...more
SEC Administrative Law Judge Grimes dismissed administrative charges against an investment adviser and its principals for allegedly failing to disclose material conflicts of interest in its Form ADV and willfully filing false...more
It is often hot in Georgia this time of year. In one particular Georgia federal court, the U.S. Securities and Exchange Commission (SEC) has been feeling some of that heat on an issue of significant interest to subjects of...more
The federal agencies charged with implementing President Obama's July 31, 2014 Fair Pay and Safe Workplaces Executive Order have released their much-anticipated proposed rule on this directive. On May 27, 2015, the Department...more
In an order issued on May 15, 2014 that takes a broad view of its jurisdiction over conduct that allegedly violates the Natural Gas Act’s (NGA) prohibition against market manipulation, the Federal Energy Regulatory Commission...more
Originally published in Thomson Reuters - Securities Regulation Law Journal - Winter 2012. Faced with the possibility of litigating against the Securities and Exchange Commission (SEC) or the Financial Industry...more