News & Analysis as of

Regulatory Violations Sanctions

Troutman Pepper Locke

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

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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

Cadwalader, Wickersham & Taft LLP

Inadvertent FCM Sanctioned by CFTC

On June 24, the Commodity Futures Trading Commission (“CFTC”) sanctioned Starberry Limited, a Cyprus entity, for operating in the U.S. as an unregistered futures commission merchant (“FCM”) and ordered it to pay $1.3 million...more

Eversheds Sutherland (US) LLP

A Goldfish is the Happiest Animal, A Securities Respondent is Not: Ted Lasso, SEC, FINRA, and DOL Enforcement Actions (October...

You know what the happiest animal on Earth is? It's a goldfish. Y'know why? It's got a 10-second memory. Be a goldfish. During the pandemic, we have had a lot of lows, as well as a few highs. And that’s just in pop...more

White & Case LLP

On Your Skates! Lessons for Sports Governing Bodies and Event Organisers from the European Commission's ISU Decision

White & Case LLP on

In the International Skating Union case, the European Commission investigated the compatibility of the ISU’s Eligibility Rules with EU competition law following a complaint by two Dutch ice speed skaters. Upon finding the...more

Epstein Becker & Green

SEC Sanctions Broker-Dealer and Its CEO for Failing to Supervise an Employee Who Committed Securities Fraud

Epstein Becker & Green on

On August 20, 2019, the Securities and Exchange Commission (“SEC”) charged Mosaic Capital, LLC, formerly known as AOC Securities, LLC (“AOC”), and its CEO with failing to adequately supervise an employee who engaged in...more

Holland & Knight LLP

La Suprema Corte mexicana declara inconstitucionalidad de un precepto normativo con efectos generales - La declaratoria tiene...

Holland & Knight LLP on

La Suprema Corte de Justicia de la Nación de México emitió una declaratoria general de inconstitucionalidad respecto de una parte del artículo 298, inciso B, fracción IV de la Ley Federal de Telecomunicaciones y...more

Holland & Knight LLP

Mexico Supreme Court Declares Unconstitutionality of a Legal Provision with General Effects - The Unprecedented Ruling Affects the...

Holland & Knight LLP on

Mexico's National Supreme Court of Justice rendered a judgment declaring the unconstitutionality of specific language of Article 298, Section B, Subsection IV of the Telecommunications and Broadcasting Law. The legal precept...more

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