News & Analysis as of

Regulatory Violations

Troutman Pepper Locke

SEC Briefs Disgorgement and Investor Harm in Navellier v. SEC

Troutman Pepper Locke on

In the recent Supreme Court case, Navellier & Associates, Inc. v. Securities and Exchange Commission (SEC), the petitioners sought a writ of certiorari challenging the decisions of the lower courts regarding the scope of...more

Harris Beach Murtha PLLC

Second Court Ruling Reaffirms SAPA Violation in Denying Cannabis Licenses

Following the landmark DNP-Z, Inc. v. New York State Cannabis Control Board decision on April 14, 2025, a second New York Supreme Court case reached the same conclusion. On April 25, 2025, in Rosedale Cannabis Dispensary, LLC...more

Mitchell, Williams, Selig, Gates & Woodyard,...

Hazardous Waste Enforcement: Tennessee Division of Solid Waste Management Proposed Order and Assessment Addressing Ripley...

The Tennessee Division of Solid Waste Management (“TDSWM”) issued a February 7th Proposed Director’s Order and Assessment (“Order”) to SRG Global Coatings, LLC (“SRG”). See Case No. HWM 24-0024. The Order provides that...more

Quarles & Brady LLP

Prominent Jurist Issues Resounding Statement Supporting University Self-Determination Over Academic and Pedagogical Affairs

Quarles & Brady LLP on

Judge Easterbrook of the Seventh Circuit, one of the most prominent jurists in the country, recently issued a resounding endorsement of universities’ right to determine their own academic affairs. His opinion will have its...more

Troutman Pepper Locke

NCAA Imposes Harsh Sanctions on Fordham University Men’s Basketball for Recruiting Violations

Troutman Pepper Locke on

On April 22, the National Collegiate Athletic Association (NCAA) handed down harsh penalties on Fordham University’s men’s basketball program in what it referred to as a Level II “Major Infractions Case” via a negotiated...more

Mitchell, Williams, Selig, Gates & Woodyard,...

OSHA Enforcement: Penalty Assessment Addressing Conyers, Georgia Biolab

The Occupational Safety and Health Administration (“OSHA”) issued a news release stating that it is proposing to impose penalties against Bio-Lab Inc. (“BLI”). The news release states that OSHA determined that the BLI...more

Ballard Spahr LLP

New York AG sues payday lenders MoneyLion and DailyPay

Ballard Spahr LLP on

New York Attorney General Letitia James has sued payday lenders MoneyLion Inc. and DailyPay Inc. in New York state court, alleging that the two companies took advantage of tens of thousands of New Yorkers....more

Seyfarth Shaw LLP

Federal Court Website Accessibility Lawsuit Filings Continue to Decrease in 2024

Seyfarth Shaw LLP on

Plaintiffs filed 2,452 website accessibility lawsuits in federal court in 2024 – a 13% decrease from 2023....more

Troutman Pepper Locke

Whistleblower Lawsuit Against METRC Raises Significant Compliance and Accountability Concerns for the Legal Cannabis Industry

Troutman Pepper Locke on

METRC, Inc., the predominant provider of seed-to-sale tracking software used by state regulatory bodies overseeing legal cannabis markets across the U.S., faces serious allegations detailed in a recent lawsuit filed in...more

Katten Muchin Rosenman LLP

What the CFTC's Operating Divisions Will Consider When Making Enforcement Referrals

The three operating divisions of the CFTC (Division of Market Oversight, Market Participants Division, and the Division of Clearing and Risk, together the Operating Divisions) issued an advisory on April 17, explaining the...more

A&O Shearman

PRA fines former notified non-executive director of Wyelands Bank

A&O Shearman on

The UK Prudential Regulation Authority (PRA) has fined a former non-executive director of Wyelands Bank GBP72,000 for failing to act with due skill, care and diligence in connection with regulatory failings previously...more

Cornerstone Research

Number of Accounting-Related Securities Class Action Filings and Settlements Remained Steady in 2024 as Size of Settlements Shrunk

Cornerstone Research on

The number of accounting-related securities class action filings and settlements remained steady in 2024, with the number of filings increasing slightly and for the third consecutive year, according to a new report from...more

Pillsbury Winthrop Shaw Pittman LLP

U.S. Department of Justice Curtails “Regulation by Prosecution” in Digital Asset Enforcement

A new DOJ policy directs prosecutors to focus on crypto fraud and use of digital assets to facilitate other crimes. On April 7, 2025, Deputy Attorney General Todd Blanche issued a Memorandum titled, “Ending Regulation by...more

Morrison & Foerster LLP

The Department of Justice Announces New Enforcement Policy for Digital Assets

On April 7, 2025, Deputy Attorney General Todd Blanche issued a memo (the “Blanche Memo”) announcing the Trump administration’s Department of Justice (“DOJ”) refocus of enforcement policies related to investigations and...more

Jones Day

2024 Securities Litigation Year in Review

Jones Day on

Securities class action case filings remained flat in 2024, with 229 filings equaling the number of new cases filed in 2023. The number of filings in 2024 tied with 2023 for the highest number of filings since 2020. The...more

Troutman Pepper Locke

New Jersey Division on Civil Rights Issues Finding of Probable Cause Against Consumer Financial Services Company for...

Troutman Pepper Locke on

On March 11, New Jersey Attorney General (AG) Matthew Platkin and the New Jersey Division on Civil Rights (DCR) announced that DCR issued a finding of probable cause against Advance Funding Partners/Same Day Funding (Advance...more

Mitchell, Williams, Selig, Gates & Woodyard,...

Wastewater Enforcement: Arkansas Department of Energy and Environment - Division of Environmental Quality and U.S. Army Corps of...

The Arkansas Department of Energy and Environment - Division of Environmental Quality (“DEQ”) and the U.S. Army Corps of Engineers (“Corps”) entered into a January 23rd Consent Administrative Order (“CAO”) addressing alleged...more

Barnea Jaffa Lande & Co.

Israel Steps Up Enforcement on Retail Price Marking Violations

The Ministry of the Economy’s wide-scale enforcement campaign launched last weekend in branches of supermarket chains throughout the country, found violations of the obligation to mark prices in all of the branches that were...more

Ballard Spahr LLP

Federal Reserve Identifies Top Fair Lending Violations

Ballard Spahr LLP on

In the latest edition of its Consumer Compliance Outlook, the Federal Reserve (Fed) identified the four most significant fair lending violations that it found in examining state member banks in 2022. These are violations that...more

Troutman Pepper Locke

Former Last Chance U Athletes Sue School, Netflix Over Alleged NIL Violations

Troutman Pepper Locke on

Six former East Mississippi Community College football players who appeared in the documentary series Last Chance U have sued the school, Netflix, the National Junior College Athletic Association (NJCAA), and the...more

Ballard Spahr LLP

Patriot Bank Enters Agreement with OCC to Address Regulatory Concerns

Ballard Spahr LLP on

On February 20, 2025, the Office of the Comptroller of the Currency (“OCC”) announced that they had entered into a formal agreement with Patriot Bank, National Association (“Patriot Bank”), following a comprehensive...more

Carlton Fields

FINRA Issues 2025 Annual Regulatory Oversight Report

Carlton Fields on

On January 28, 2025, FINRA issued its 2025 Annual Regulatory Oversight Report, providing a detailed look into FINRA’s current regulatory oversight of member firms and their registered personnel....more

Vorys, Sater, Seymour and Pease LLP

Former NLRB Member Wilcox Files Suit Challenging Removal

President Donald Trump’s efforts to alter the make up of the Board membership of the NLRB faces a new, but anticipated, legal challenge. Recently fired former Board Member Gwynne Wilcox has challenged her January 27th removal...more

Ballard Spahr LLP

CFPB orders remittance transfer provider to pay almost $2.5 million for alleged illegal activities

Ballard Spahr LLP on

On January 30, 2025, the CFPB ordered Wise, an international remittance company, to pay almost $2.5 million in connection with allegations of illegal activities, including advertising inaccurate fees and failing to properly...more

Carlton Fields

Insurer Allowed to Benefit From Foreign Tax Credits Distributed by Underlying Funds

Carlton Fields on

The Eleventh Circuit Court of Appeals recently held that a life insurance company did not breach its fiduciary duties by retaining the benefits that it derived from foreign tax credits. The plaintiffs argued that, under...more

640 Results
 / 
View per page
Page: of 26

"My best business intelligence, in one easy email…"

Your first step to building a free, personalized, morning email brief covering pertinent authors and topics on JD Supra:
*By using the service, you signify your acceptance of JD Supra's Privacy Policy.
- hide
- hide