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Administrative Proceedings Financial Services Industry

Orrick, Herrington & Sutcliffe LLP

CFPB to rescind amendments to its rules for adjudication proceedings

On May 13, the CFPB published a Federal Register notice withdrawing its proposed rule to rescind the amendments it adopted to the Rules of Practice for Adjudication Proceedings, amended in 2022 and 2023. As previously covered...more

Ballard Spahr LLP

Defendant Challenges FDIC Enforcement Proceeding, Citing Jarkesy

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In one of the first tests of the implications of the Jarkesy decision for other federal regulatory agencies, an individual accused by the FDIC of participating in fraudulent loan activity is asking a federal judge to dismiss...more

SEC Compliance Consultants, Inc. (SEC³)

Regulatory Roundup for July 2024

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

Quarles & Brady LLP

The Demise of Chevron: End of an Era or More of the Same?

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In a pair of 6-3 decisions issued Friday and Monday, the U.S. Supreme Court dealt back-to-back blows to the administrative state. First, it ruled on Friday in Loper Bright that federal courts can no longer defer to federal...more

Ballard Spahr LLP

Nevada federal district court stays CFPB action to enforce civil investigative demand pending SCOTUS decision in CFSA case

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A Nevada federal district court has stayed an action filed by the CFPB to enforce a civil investigative demand (CID) issued to a small-dollar lender pending the U.S. Supreme Court’s decision in Community Financial Services...more

Carlton Fields

Supreme Court Plays Its Cards on Constitutionality of SEC In-House Court Actions

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The U.S. Supreme Court’s June 2023 decision to grant certiorari in SEC v. Jarkesy called into question the SEC’s ability to pursue penalties and other legal remedies before the SEC’s in-house administrative law judges. If...more

Ballard Spahr LLP

FTC Modifies Rules for In-House Administrative Proceedings

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The Federal Trade Commission (FTC) recently modified its rules for conducting in-house administrative proceedings. Administrative law judges (ALJs) will now issue recommended decisions that are automatically reviewed, rather...more

Orrick, Herrington & Sutcliffe LLP

CFPB finalizes updates to Rules of Practice for Adjudication Procedures

On February 24, the CFPB finalized updates to the agency’s Rules of Practice for Adjudication Procedures (Rules of Practice). Under Section 1053(e) of the Consumer Financial Protection Act, the Bureau is required to establish...more

Ballard Spahr LLP

CFPB files supplemental briefs in Seila Law and All American Check Cashing

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Last week, the CFPB filed its supplemental brief with the Ninth Circuit in Seila Law and its supplemental en banc brief with the Fifth Circuit in All American Check Cashing.  The CFPB argues in both briefs that ratification...more

Ballard Spahr LLP

CFPB files ratification with Fifth Circuit in All American Check Cashing

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This past Friday, the CFPB filed a declaration with the Fifth Circuit in which Director Kraninger stated that she has ratified the Bureau’s enforcement action against All American Check Cashing....more

Ballard Spahr LLP

Fifth Circuit rules CFPB’s structure is constitutional

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On Tuesday March 3, the same day that the U.S. Supreme Court heard oral argument in Seila Law, the Fifth Circuit, in a 2-1 decision, ruled in All American Check Cashing that the CFPB’s structure is constitutional....more

Robins Kaplan LLP

Financial Daily Dose 1.15.2020 | Top Story: Dating Apps Face Scrutiny for Likely Data Privacy Violations

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Popular app-based dating services—from Tinder to OkCupid to Grindr—are the subject of unwanted scrutiny this week after a report by the Norwegian Consumer Council that they’re “spreading user information like dating choices...more

Ballard Spahr LLP

SCOTUS denies certiorari petition filed by All American Check Cashing

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The U.S. Supreme Court has denied the Petition for a Writ of Certiorari Before Judgment filed by All American Check Cashing. In its petition, All American sought to have the Supreme Court hear its interlocutory appeal from...more

Ballard Spahr LLP

CFPB files opposition to All American Check Cashing’s cert petition; All American replies

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Although the CFPB now agrees that its structure is unconstitutional, it has filed a brief opposing the Petition for a Writ of Certiorari Before Judgment filed by All American Check Cashing with the U.S. Supreme Court.  All...more

Burr & Forman

Supreme Court to Decide Whether Structure of the Consumer Finance Protection Bureau is Constitutional

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On October 18, 2019, the Supreme Court granted the petition for a writ of certiorari filed in Seila Law LLC v. Consumer Financial Protection Bureau. In granting the petition, the Court agreed to take up two distinct issues....more

Hogan Lovells

HUD and DOJ Signal Easing of FCA Enforcement in FHA Residential Mortgage Lending Through Interagency Memorandum

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On October 28, 2019 the U.S. Department of Housing and Urban Development (HUD) and the U.S. Department of Justice (DOJ) released a Memorandum of Understanding (MOU) announcing their joint approach to False Claims Act (FCA)...more

Ballard Spahr LLP

Fifth Circuit clarifies scope of Dec. 4 oral argument in All American Check Cashing

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With the Fifth Circuit having already heard oral argument in March 2019 in All American Check Cashing’s interlocutory appeal from the district court’s ruling upholding the CFPB’s constitutionality, it is not surprising that...more

Ballard Spahr LLP

Fifth Circuit sets Dec. 4 oral argument date in All American Check Cashing

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All American Check Cashing’s interlocutory appeal from the district court’s ruling upholding the CFPB’s constitutionality has been calendared for oral argument before a Fifth Circuit panel on December 4, 2019....more

Katten Muchin Rosenman LLP

DC Circuit Decision Against Investment Adviser Leaves Many Unanswered Questions

On April 30, 2019, US Court of Appeals for the DC Circuit decided an important case involving the disclosure obligations of investment advisers. The case decided that an adviser’s disclosure that it “may” have a conflict of...more

Ballard Spahr LLP

Fifth Circuit hears oral argument in All American Check Cashing

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On March 12, the U.S. Court of Appeals for the Fifth Circuit heard oral argument in All American Check Cashing’s interlocutory appeal from the district court’s ruling upholding the CFPB’s constitutionality....more

Ballard Spahr LLP

Oral argument calendared for March 12 in All American Check Cashing case

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The Fifth Circuit has calendared oral argument in the All American Check Cashing case for March 12, 2019.  The case is one of the three cases currently pending in the circuit courts that involve a challenge to the CFPB’s...more

Carlton Fields

Expect Focus - Volume II, June 2018

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New York Pushes Mutual Fund Active Share Disclosure - New York’s Attorney General issued a report on its recent investigation of fees charged by actively managed equity mutual funds and a metric known as “Active Share.”...more

Ballard Spahr LLP

More amicus briefs filed in support of All American Check Cashing

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Three more amicus briefs have been filed in support of All American Check Cashing and the other appellants in their interlocutory appeal to the U.S. Court of Appeals for the Fifth Circuit of the district court’s ruling...more

Robins Kaplan LLP

Your Daily Dose of Financial News

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Representatives of the US’s biggest stock exchanges have questioned the SEC’s plan to change how markets work by altering the current “maker-taker” system and imposing new transparency and conflict-of-interest rules on...more

Ballard Spahr LLP

Richard Cordray’s tenure as CFPB Director is uncertain

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Clients are always asking me and others in our Consumer Financial Services Group about how long Richard Cordray will remain as CFPB Director. The short answer is nobody knows, perhaps not even Richard Cordray. ...more

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