Consumer Finance Monitor Podcast Episode: Challenges of Using the Current Law to Address Dark Patterns, with Guest Gregory Dickinson, Assistant Professor, St. Thomas University
Consumer Finance Monitor Podcast Episode: Should Written Contracts be Eliminated for Small Dollar Transactions? With David Hoffman, University of Pennsylvania Carey Law School
Troutman Pepper Attorneys Update Fair Lending Handbook for the American Association of Bank Directors - The Consumer Finance Podcast
Season 2 Episode 4 - Russia Enforcement and the involvement of DOJ's Task Force KleptoCapture
PLI's inSecurities Podcast: A View From the Inside
Consumer Finance Podcast Monitor Episode: The Consumer Financial Protection Bureau’s Final Section 1071 Rule on Small Business Data Collection: What You Need to Know, Part II, Guest David Skanderson
Podcast Episode 179: How to Start and Succeed at Creating Your Law Firm Podcast
Winstead HOA Law Webinar: Deed Restriction Compliance – Legal Process
The Labor Law Insider - Pause Before You Discipline: NLRB Turns Against Civility in Lion Elastomers Decision
A Glimpse Into the Other Side: Understanding the Perspective of Government Enforcers
The Justice Insiders Podcast: The Latest on Russia Sanctions and the Enhanced Enforcement Environment
Taking the Pulse, A Health Care and Life Sciences Video Podcast | Episode 142: Erica Barnes, Maynard Nexsen Attorney
PLI's inSecurities Podcast: Whistling the Same Tune: Building an Effective Whistleblower Program
Time to Amend the Defend Trade Secrets Act
PODCAST: Williams Mullen's Trending Now - An IP Podcast: NIL - Trending Issues Related to the NCAA’s Name, Image and Likeness Policy in 2023
PLI's inSecurities Podcast - Compliance and Enforcement Considerations for Private Funds & RIAs
State AG Pulse | State AGs and Feds: The Dynamics of Influence & Collaboration
The Presumption of Innocence Podcast: Episode 20 - Pitfalls and Perils: Employee Retention Credit Enforcement Trends
University of Miami NIL Enforcement Action – Highway to NIL Podcast
Paredes on SEC Policies & Priorities
The concept of insider trading under the federal securities laws has evolved over the years, at times in unexpected ways. Current insider trading standards have developed through case law and administrative actions applying...more
On November 15, the Securities and Exchange Commission (the SEC) released its summary of enforcement actions brought during the 2022 fiscal year, announcing that in 2022 the SEC filed 760 enforcement actions and recovered an...more
Four SEC Commissioners addressed the annual SEC Speaks Conference, reviewing recent agency initiatives and tracing potential paths for the future. The SEC also brought another FCPA action, a misappropriation case and an...more
The U.S. Securities and Exchange Commission recently settled the first securities fraud charges brought against a municipal official alleging “control person” status under the federal securities laws. The SEC’s settlement...more
The Commodity Futures Trading Commission accepted an offer of settlement submitted by the owner of Peak Capital Group, Inc., Scott Beatty, in anticipation of an administrative proceeding resulting from Beatty’s alleged...more
A critical element in a Section 10(b) and Rule 10b-5 securities fraud claim for damages is loss causation. Mandated as a key component of such a claim by the PSLRA, the element provides the essential link between the alleged...more
The Commission prevailed in two litigated actions. In one the agency secured a favorable jury verdict in an action centered on misrepresentations made by an investment adviser who sought to move his book of business to a new...more
Last week the SEC brought an action this centered on hidden fees and a series of actions centered on microcap fraud and investment fund fraud. A pump and dump actions was filed centered on the manipulation of six different...more
The Commission issued its long discussed rules reforming money markets this week, requiring that institutional prime money market funds have a floating NAV. The vote was 3-2....more
In a holiday shortened week, dark pools were again a focus for regulators. This week FINRA sanctioned Goldman Sachs in connection with the operation of its dark pool....more
In a holiday shortened week, the SEC filed actions based on the malfeasance at a transfer agent, financial fraud, insider trading and investment fund fraud. The action involving the transfer agent stems from an inspection and...more
The insider trading trial of former SAC Capital official Matthew Martoma opened this week in Manhattan with jury selection. The SEC announced the resignation of George Canellos, Co-director of the Division of Enforcement....more
There have been some major developments in the trade, Customs fraud, patents, US/Chinese antitrust, and securities areas. I have just returned from a trip of more than 2 weeks in China. While in China, we discussed US...more