News & Analysis as of

Customers Enforcement Actions

WilmerHale

FTC Announces Groundbreaking Action Against Rite Aid for Unfair Use of AI

WilmerHale on

On December 19, 2023, the Federal Trade Commission (FTC) announced an enforcement action against  the retail pharmacy Rite Aid for unfair practices associated with its use of a facial recognition technology (FRT) surveillance...more

McDermott Will & Emery

Customer Reviews: Five-Star Enforcement and the Expanding Regulations

McDermott Will & Emery on

Does your company sell to consumers or businesses that can leave reviews or rate your products? Whether your customers can leave reviews on your website or another public-facing review platform, companies should be aware of...more

UB Greensfelder LLP

The (Possible) Benefit Of Self-Reporting And Internal Discipline

UB Greensfelder LLP on

Historically, one of the surest ways to get yourself permanently barred from the industry is to forge a customer’s signature on something. According to the pertinent Sanction Guideline, at a minimum, a forgery, that is, a...more

Faegre Drinker Biddle & Reath LLP

CFTC Enforcement Division Reports Most Active Year to Date

On December 1, 2020, the U.S. Commodity Futures Trading Commission (“CFTC”) Division of Enforcement released its Annual Report, which details a “record-breaking” fiscal year 2020 (“FY 2020”), despite the challenges presented...more

UB Greensfelder LLP

How NOT To Supervise For Churning

UB Greensfelder LLP on

As should be clear to readers of this Blog, I find that Enforcement actions often provide the best guidance in terms of what regulators deem to be unacceptable conduct, which is very useful when dealing with subjective...more

Perkins Coie

SEC Staff Provides Relief on the Role of ATSs in the Settlement of Digital Asset Security Trades

Perkins Coie on

The staff (“Staff”) of the Division of Trading and Markets of the U.S. Securities and Exchange Commission (SEC) issued a no-action letter (NAL) at the request of the Financial Industry Regulatory Authority (FINRA) on...more

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