Enforcement Actions

Senator Warren Pushes Federal Authorities On Bank Prosecutions

by BuckleySandler LLP on 5/24/2013

On May 14, Senator Elizabeth Warren (D-MA) sent a letter to Federal Reserve Board Chairman Ben Bernanke, Attorney General Eric Holder, and SEC Chairman Mary Jo White seeking additional information about the agencies’...more

[Legal Perspective] A Look Ahead at SEC Enforcement Actions with Orrick's Jim Meyers

by JD Supra Law News on 5/14/2013

We recently caught up with Jim Meyers, partner in Orrick Herrington & Sutcliffe's Washington, D.C., office for his perspective on what we might see regarding SEC enforcement actions in the months ahead. A member of Orrick's...more

As Nonprofits Expand Their Global Reach, a Special Focus on Tax, Trademarks and the Foreign Corrupt Practices Act

by Charles Kolstad, Lindsay B. Meyer, Andrew D. Price, Jeffrey S. Tenenbaum | Venable LLP on 5/14/2013

In this presentation: - Introduction - Trademark/Brand Strategy and Protection - U.S. Foreign Corrupt Practices Act and Anti-Corruption - Cross-Border Tax Planning and Compliance Please see...more

OCC, FDIC Announce Overdraft Enforcement Actions

by BuckleySandler LLP on 5/13/2013

On April 30, the OCC and the FDIC announced parallel enforcement actions against a national bank and an affiliated state bank to resolve allegations that the institutions violated Section 5 of the FTC Act in their marketing...more

InfoBytes Special Alert: CFPB Issues Final Civil Penalty Fund Rule With Request For Comment

by BuckleySandler LLP on 5/10/2013

On April 26, the Consumer Financial Protection Bureau (CFPB or the Bureau) issued a final rule, effective immediately, that sets forth procedures for the administration of the Consumer Financial Civil Penalty Fund (Civil...more

CFPB Issues Subpoenas to Motor Vehicle Lenders: Discretion = Discrimination?

by David Dresher, Elena Lovoy | Bradley Arant Boult Cummings LLP on 5/10/2013

The Consumer Financial Protection Bureau (CFBP) has taken another step in its attempts to ensure “fair” pricing in indirect motor vehicle financing transactions. This latest development highlights the CFPB’s focus on the...more

A Compilation of Enforcement and Non-Enforcement Actions - May 01, 2013

by Michael G. Dana, Peter D. Fetzer, Terry D. Nelson | Foley & Lardner LLP on 5/1/2013

* Non-Enforcement Matters: - Legislation Reintroduced to Charge Investment Advisor User Fees - SEC Examination Program for Newly Registered Investment Advisers Reveals Common Areas of Concern - Recent...more

FCPA Prosecutions Against Individuals? Check Out April

by Thomas Fox on 4/30/2013

One of the oft-heard criticisms of the Department of Justice (DOJ) and Securities and Exchange Commission (SEC) is the lack of individual prosecutions under the Foreign Corrupt Practices Act (FCPA). That may well be on its...more

FDA Issues Two Warning Letters for Social Media Use: FDA Does Not Approve of “Liking” Consumer Claims and Targets Website Search...

by Fuerst Ittleman David & Joseph, PL on 4/29/2013

In 2009, the U.S. Food and Drug Administration (FDA) announced that it intended to release a guidance document explaining how it will regulate industry’s use of social media to advertise products or communicate with...more

Infobytes - A Weekly In-depth review of news & developments in the financial services industry - April 26, 2013

by BuckleySandler LLP on 4/29/2013

In This Issue: - FEDERAL ISSUES - STATE ISSUES - COURTS - FIRM NEWS - FIRM PUBLICATIONS - MORTGAGES - BANKING - CONSUMER FINANCE - SECURITIES - E-COMMERCE - PRIVACY/DATA SECURITY -...more

Using Recievers to Collect Judgments Against Intellectual Property Assets

by Peter Davidson | Ervin Cohen & Jessup LLP on 4/24/2013

I have been asked to be a receiver to help collect a judgment. The judgment debtor has intellectual property assets. Plaintiff’s counsel has asked me how hard it will be to get me appointed and if I would be able to sell the...more

The New Normal: Taking Responsibility for Your Vendors

by Pepper Hamilton LLP on 4/19/2013

As financial institutions continue to strive for reduced costs and greater efficiencies, they are increasingly turning to third-party vendors to handle a wide variety of tasks, from marketing and sales to payment processing....more

The New Normal: Taking Responsibility for Your Vendors [Video]

by Pepper Hamilton LLP on 4/19/2013

As financial institutions continue to strive for reduced costs and greater efficiencies, they are increasingly turning to third-party vendors to handle a wide variety of tasks, from marketing and sales to payment processing....more

U.S. Government Remains Firm on “Deferred Action” Despite Suit to Shut It Down

by Ronald Shapiro on 4/19/2013

On Monday of this week, U.S. District Court Judge Reed O’Connor held a hearing on a Complaint filed by U.S. Customs and Immigration Enforcement (“ICE”) agents who are challenging the federal “deferred action” program...more

Virginia Financial Institutions - April 2013

by Joseph Spruill | Reed Smith on 4/19/2013

In This Issue: - Virginia General Assembly Concludes 2013 Session – Highlights and Considerations for Financial Institutions - Cyber Fraud: Lawsuit by Local Community Bank Demonstrates Need for Vigilance...more

What’s The Message From BizJet? Self-Disclose And Cooperate

by Thomas Fox on 4/19/2013

Over the past week there has been a plethora of Foreign Corrupt Practices Act (FCPA) enforcement actions released. One group was the four enforcement actions involving individuals concerning BizJet. While I cannot say that...more

Lessons Learned from the BizJet Executives FCPA Enforcement Actions [Video]

by Thomas Fox on 4/18/2013

BizJet self-disclosed to the DOJ, engaged in what the DOJ termed “extraordinary cooperation” and remediated the people and conduct in question. Further, DuBois and Uhl not only offered themselves up but actively worked with...more

Equal Protection Claims Concerning Disparate Enforcement of Environmental Laws Remain an Uphill Battle

by Seth Jaffe | Foley Hoag LLP - Environmental Law on 4/17/2013

In 2000, in its 2-page per curiam opinion in Village of Willowbrook v. Olech, the Supreme Court gave hope to developers and property owners that the equal protection clause could be used to prevent local zoning and...more

DISPUTE RESOLUTION: International Arbitration: Chevron Tribunal Declares Ecuador in Breach of Interim Awards

by King & Spalding on 4/17/2013

On February 7, 2013, an investment arbitration tribunal issued its third interim measures award in the Chevron vs. Ecuador case. The tribunal found Ecuador in breach of its previous award ordering Ecuador to take all measures...more

Enforcing US Judgments in Ontario

by Jason Squire | Lerners LLP on 4/17/2013

The Supreme Court of Canada confirmed in Beals v. Saldanha that the principles of comity must be applied when considering and enforcing judgments of other courts. Ontario courts will generally recognize and enforce American...more

Is The Medium The Message? Netflix's Decision To Post Material Information On Social Media Channels

by Catherine M. Foti | Morvillo Abramowitz Grand Iason & Anello P.C.... on 4/17/2013

The news is out! There’s a buzz in the blogosphere. It’s trending on Twitter. The Securities and Exchange Commission has authorized the use of social media channels for the disclosure of material, non-public information. In a...more

SEC's Division of Trading and Markets Grants Relief from Broker-Dealer Registration for Online Platform that Permits Investment in...

by Delcy Sweet | Holland & Knight LLP on 4/17/2013

On March 26, 2013, the SEC's Division of Trading and Markets issued a no-action letter indicating that it would not recommend enforcement action under Section 15(a)(1) of the Exchange Act if a venture capital fund adviser and...more

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Senator Warren Pushes Federal Authorities On Bank Prosecutions

[Legal Perspective] A Look Ahead at SEC Enforcement Actions with Orrick's Jim Meyers

As Nonprofits Expand Their Global Reach, a Special Focus on Tax, Trademarks and the Foreign Corrupt Practices Act

OCC, FDIC Announce Overdraft Enforcement Actions

InfoBytes Special Alert: CFPB Issues Final Civil Penalty Fund Rule With Request For Comment

CFPB Issues Subpoenas to Motor Vehicle Lenders: Discretion = Discrimination?

A Compilation of Enforcement and Non-Enforcement Actions - May 01, 2013

FCPA Prosecutions Against Individuals? Check Out April

FDA Issues Two Warning Letters for Social Media Use: FDA Does Not Approve of “Liking” Consumer Claims and Targets Website Search...

Infobytes - A Weekly In-depth review of news & developments in the financial services industry - April 26, 2013

Using Recievers to Collect Judgments Against Intellectual Property Assets

The New Normal: Taking Responsibility for Your Vendors

The New Normal: Taking Responsibility for Your Vendors [Video]

U.S. Government Remains Firm on “Deferred Action” Despite Suit to Shut It Down

Virginia Financial Institutions - April 2013

What’s The Message From BizJet? Self-Disclose And Cooperate

Lessons Learned from the BizJet Executives FCPA Enforcement Actions [Video]

Equal Protection Claims Concerning Disparate Enforcement of Environmental Laws Remain an Uphill Battle

DISPUTE RESOLUTION: International Arbitration: Chevron Tribunal Declares Ecuador in Breach of Interim Awards

Enforcing US Judgments in Ontario

Is The Medium The Message? Netflix's Decision To Post Material Information On Social Media Channels

SEC's Division of Trading and Markets Grants Relief from Broker-Dealer Registration for Online Platform that Permits Investment in...

CFPB Settles Allegations of Improper Payments by Mortgage Insurers

CFPB Announces First RESPA Enforcement Actions

CFPB’s Strategic Plan, Budget, and Performance Plan and Report tracks supervision and enforcement emphasis

The New Normal: Taking Responsibility for Your Vendors [Video]

Lessons Learned from the BizJet Executives FCPA Enforcement Actions [Video]

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