News & Analysis as of

Negligent Supervision Fraud

Bond Schoeneck & King PLLC

NY Employers Face Expanded Liability for Negligent Supervision

Can a New York employer be held liable for economic losses suffered by a party that has no business relationship with the employer based on an employee’s unauthorized fraudulent scheming? This issue was recently presented to...more

Hanzo

Hanzo's 2018 FINRA AND SEC Regulatory Compliance Year in Review

Hanzo on

From Elon Musk’s tweets to Floyd Mayweather and DJ Khaled’s promotion of cryptocurrencies, 2018 was, to say the least, an interesting year in regulatory enforcement news. Even if all you do is win, win, win, no matter what,...more

Manatt, Phelps & Phillips, LLP

Payment Processor Hit With CFPB Action

A payment processor and two executives were the subject of a new Consumer Financial Protection Bureau (CFPB) action, with the Bureau charging that the defendants enabled their clients to make unauthorized withdrawals from...more

Brooks Pierce

Three Thoughts about Steve Cohen’s Failure-to-Supervise Case

Brooks Pierce on

Stanley Sporkin — former SEC Enforcement Director, CIA general counsel, and federal judge – likes to say that an SEC staff attorney ought to be just as happy closing an investigation as one is bringing a public enforcement...more

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