Compliance Into The Weeds - Year End Review, Part 1
Compliance into the Weeds is the only weekly podcast that takes a deep dive into a compliance-related topic, literally going into the weeds to more fully explore a subject. Today, Matt and I begin a special two-part year-end...more
The U.S. Securities and Exchange Commission (SEC) and the Financial Industry Regulatory Authority (FINRA) have been busy of late in efforts to address alleged compliance issues associated with payment for order flow (PFOF),...more
Brian Krebs broke the story that GameStop was investigating a possible data breach affecting customers’ credit card information. This week, GameStop confirmed that it is investigating the possible compromise of credit card...more
In Carlsen v. GameStop Inc., plaintiff – a paid subscriber to defendant’s online gaming magazine – brought a putative class action lawsuit against defendant for alleged breach of its privacy policy by disclosing plaintiff’s...more