News & Analysis as of

Regulatory Violations

Sheppard Mullin Richter & Hampton LLP

DFPI Orders Mortgage Lender to Pay $100,000 for Alleged Per Diem Interest and Recordkeeping Violations

On October 30, the California DFPI entered a consent order with a residential mortgage lender and servicer following a regulatory examination and a directed self-audit. The DFPI alleged violations of the California...more

Orrick, Herrington & Sutcliffe LLP

California DFPI enters consent order with mortgage lender over alleged excessive per diem interest and documentation lapses

On October 30, the California DFPI entered into a consent order with a mortgage lender and servicer after a regulatory examination into the company surfaced multiple alleged violations of the California Residential Mortgage...more

Parker Poe Adams & Bernstein LLP

The SEC in 2025: Investment Adviser Misconduct, Fraud by Foreign Companies, and Crypto Define Agency's Focus

A look back at U.S. Securities and Exchange Commission (SEC) Chairman Paul Atkins' first six months shows that the emphasis on garden variety fraud, insider trading, and basic regulatory requirements violations by registered...more

Orrick, Herrington & Sutcliffe LLP

DFPI fines firm $1M for allegedly overcharging borrowers

On October 17, the California DFPI issued a consent order against a company and fined it over $1 million for allegedly charging consumers fees and interest exceeding the allowable limits. Sections 22304.5 and 22306 of the...more

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

Storage Tank Enforcement: U.S. Environmental Protection Agency and Emporia, Kansas Convenience Store Enter into Consent Agreement

The United States Environmental Protection Agency (“EPA”) and Fast N’ Friendly, LLC (“FNF”) entered into an October 9th Consent Agreement and Final Order (“CAFO”) addressing alleged violations of the federal Underground...more

Troutman Pepper Locke

Kalshi Sues Ohio Regulator Over Authority Dispute

Troutman Pepper Locke on

On October 7, 2025, Kalshi, a platform specializing in prediction market trading, filed a lawsuit against the Ohio Casino Control Commission (OCCC) and Ohio attorney general (AG), alleging that their regulatory actions...more

Orrick, Herrington & Sutcliffe LLP

Baltimore sues online lender for alleged usury

On October 6, the Mayor of Baltimore announced the City of Baltimore sued an online lender in state court seeking civil penalties and injunctive relief for allegedly violating state and city law. According to the complaint,...more

Orrick, Herrington & Sutcliffe LLP

California DFPI issues desist and refrain order to cryptoasset ATM operator

On October 6, the California DFPI issued a cease and desist order against an ATM cryptoasset operator in California alleging multiple violations of the California Digital Financial Assets Law (DFAL). According to the DFPI,...more

Orrick, Herrington & Sutcliffe LLP

Multistate coalition settles with mortgage company over alleged unlicensed activity and supervision failures

On September 26, state financial regulators in Hawaii, Idaho, Oregon and Texas entered into a multistate settlement agreement with a mortgage company to resolve allegations including unlicensed mortgage loan origination and...more

Troutman Pepper Locke

States and FTC Partner to Bring Enforcement Action Against Allegedly Fraudulent Charity

Troutman Pepper Locke on

The Federal Trade Commission (FTC) and 20 states reached a settlement with Kars-R-Us.com, Inc. (Kars) and its operators, Michael Irwin and Lisa Frank, related to an alleged national charity fraud scheme....more

Orrick, Herrington & Sutcliffe LLP

California Privacy Protection Agency issues record $1.35M fine to retailer over consumer privacy violations

On September 30, the California Privacy Protection Agency (CPPA) announced a stipulated final order requiring a national retailer to pay a $1.35 million fine and implement remedial measures to resolve alleged violations of...more

Hughes Hubbard & Reed LLP

Month in a Minute: Developments in Anti-Corruption - September 2025

Hughes Hubbard's anti-corruption "Month in a Minute" offers a quick snapshot of the key foreign corruption-related developments from the prior month. We hope you find it a useful and perhaps enjoyable resource. Highlights...more

Orrick, Herrington & Sutcliffe LLP

FINRA censures payment provider with $375K fine

On October 1, FINRA censured a payment provider and fined it $375,000 after it accepted a Letter of Acceptance, Waiver, and Consent (AWC). FINRA alleged between October 2019 and March 2022 the payment provider failed to...more

Baker Botts L.L.P.

FERC Fines Electric Utility for Providing False Information to NERC Regional Entity

Baker Botts L.L.P. on

On October 2, 2025, the Federal Energy Regulatory Commission (FERC) approved a settlement with the Los Angeles Department of Water and Power (LADWP) to resolve an Office of Enforcement (Enforcement) investigation of LADWP’s...more

Orrick, Herrington & Sutcliffe LLP

FTC obtains $1M penalty for alleged illegal telemarketing calls

On September 30, the FTC announced a $1 million penalty to resolve allegations that a company and its subsidiary allegedly made tens of millions of illegal telemarketing calls to consumers, including calls to numbers listed...more

Orrick, Herrington & Sutcliffe LLP

FDIC publishes August 2025 enforcement actions

On September 26, the FDIC published its list of administrative enforcement actions issued in August 2025. The agency reported 14 orders and one notice. These included two prohibition orders, three consent orders, three orders...more

Phelps Dunbar

Tractor Supply Agrees to Pay Record CCPA Penalty of $1.35 Million

Phelps Dunbar on

On September 26, the California Privacy Protection Agency (Agency) published a Stipulated Final Order by which Tractor Supply Company agreed to pay an administrative fine of $1.35 million and take other remedial measures for...more

Troutman Pepper Locke

CPPA Announces $1.35M Enforcement Action

Troutman Pepper Locke on

The enforcement action alleges that the retailer failed to provide adequate privacy disclosures to website visitors and job applicants, failed to effectuate opt-out requests, including recognizing the Global Privacy Control...more

Troutman Pepper Locke

Illinois AG Settles Alleged Deceptive Practices, Banning Alternative Retail Electric Supplier From State and Securing $8.4M in...

Troutman Pepper Locke on

On September 5, Illinois Attorney General (AG) Kwame Raoul announced the resolution of ongoing litigation against Clearview Electric Inc., an alternative retail electric supplier accused of engaging in fraudulent, unfair, and...more

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

Air Enforcement: Alabama Department of Environmental Management and Leeds Brick Manufacturing Facility Enter into Consent Order

The Alabama Department of Environmental Management (“ADEM”) and Acme Brick Company (“ABC”) entered into a July 28th Consent Order (“CO”) addressing alleged violations of an Air Permit. See Consent Order No. XXXXXXX....more

Orrick, Herrington & Sutcliffe LLP

District court denies earned wage access company’s motion to dismiss, class action claims to continue after finding that wage...

On September 8, the U.S. District Court for the Western District of Washington denied an earned wage access provider’s motion to dismiss claims, ruling in favor of an individual alleging the fintech company of unlawful...more

Orrick, Herrington & Sutcliffe LLP

California appellate court rules font size violation alone sufficient for Rosenthal Act standing

On September 9, a division of the California Courts of Appeal reversed a summary judgment in favor of a debt collector, holding that a violation of the Rosenthal Fair Debt Collection Practices Act (the Rosenthal Act) based on...more

Jones Day

CJEU Clarifies Scope of Personal Data in EDPS v SRB Decision

Jones Day on

The Single Resolution Board ("SRB") transferred pseudonymized comments from data subjects to Deloitte without informing them. The European Data Protection Supervisor ("EDPS") found a violation of information duties applicable...more

Orrick, Herrington & Sutcliffe LLP

Orrick State Attorney General Update | August 2025

As we enter summer’s homestretch, the State Attorneys General remain active as ever. In this edition of Orrick’s State AG Update we discuss new “junk fee” rules from the Massachusetts AG, high-profile consumer protection...more

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

Hazardous Waste Enforcement: U.S. Environmental Protection Agency and Ladson, South Carolina Vehicle Assembly Plant Enter into...

The U.S. Environmental Protection Agency (“EPA”) and Mercedes-Benz Vans, LLC, (“MBV”) entered into a June 16th Consent Agreement (“CA”) addressing alleged violations of the Hazardous Waste Regulations. See Docket No....more

697 Results
 / 
View per page
Page: of 28

"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