Compliance

  • August 21, 2026

    Ashurst Perkins Adds DOJ National Security Atty In Chicago

    A former trial attorney in the U.S. Department of Justice's National Security Division has joined Ashurst Perkins Coie LLP as a partner in its complex litigation practice in Chicago after more than 12 years in public service.

  • August 20, 2026

    Instagram Algorithm Czar Tells Jury Safety Helps Profits

    The Instagram executive responsible for the algorithm kicked off Meta's defense case Thursday over Tennessee's claims it concealed harm to youths' mental health, testifying the company's efforts to protect children also protect its bottom line.

  • August 20, 2026

    HEICO Exec Arrested, Accused Of $1.8M Insider Trading Ploy

    A senior HEICO Corp. executive was arrested Thursday and charged with securities fraud for what Manhattan federal prosecutors say were multiple instances of insider trading in the stock of the publicly traded aerospace and technology company.

  • August 20, 2026

    CFPB Rips 'Baseless' CashCall Bid To Ax $157M Judgment

    The Consumer Financial Protection Bureau has urged a California federal court to reject lender CashCall Inc.'s bid to wipe out its more than $157 million enforcement judgment, slamming its claims of a settlement bait-and-switch by the agency as "baseless."

  • August 20, 2026

    Ex-Trade Desk Finance Director Accused Of Insider Trading

    A former Trade Desk finance director traded on insider information ahead of public earnings announcements by his former employer, netting over $338,000 in profits, according to an indictment unsealed Thursday and a U.S. Securities and Exchange Commission complaint, both in New York federal court.

  • August 20, 2026

    Meta Atty 'Absolutely Wrong' On Client Privilege, Judge Warns

    With trial dark Thursday due to juror illness, a California judge overseeing states' claims that Meta Platforms Inc. hid social media's harms heard arguments over evidence, at one point criticizing Meta's efforts to assert attorney-client privilege and calling the company's in-house lawyer "absolutely wrong" about the appropriate standard.

  • August 20, 2026

    OCC Greenlights Brazil Banking Giant's Bid To Form US Bank

    The Office of the Comptroller of the Currency on Thursday preliminarily approved a charter application from Brazil-based Itaú Unibanco SA, guided by Arnold & Porter, to establish a national bank in the United States.

  • August 20, 2026

    Selig Says CFTC Will Propose Crypto Rules If Clarity Act Stalls

    U.S. Commodity Futures Trading Commission Chairman Michael Selig said Thursday that he's directed agency staff to begin crafting crypto rules in the event that crypto market structure legislation fails to move forward in September.

  • August 20, 2026

    Sens. Call On FINRA To Update Rules To Curb Transfer Fraud

    U.S. Sens. Ron Wyden, D-Ore., and Elizabeth Warren, D-Mass., urged the Financial Industry Regulatory Authority to boost consumer protections to prevent brokerage fraud through the Automated Customer Account Transfer Service, pointing to "structural weaknesses" in the system they say bad actors are exploiting to drain customers' brokerage accounts.

  • August 20, 2026

    11th Circ. Saves Delta-Aeromexico Joint Venture

    The Eleventh Circuit on Thursday handed Delta Air Lines and Aeromexico a decisive win by vacating a U.S. Department of Transportation order directing them to dismantle their nearly decadelong joint venture, saying the DOT applied a skewed standard and made unsupported findings about the partnership's purported anticompetitive effects.

  • August 20, 2026

    SEC Won't Lift Trading Suspension On Chinese Biotech Firm

    The U.S. Securities and Exchange Commission has upheld Nasdaq's decision to delist the stock of Shineco Inc. after the Chinese biotech firm repeatedly violated the exchange's listing requirements, rejecting the company's arguments that a Nasdaq hearing panel reached its decision too quickly and did not properly consider plans for new operations at Shineco.

  • August 20, 2026

    Corridor TV To Pay $27,000 For Emergency Broadcast Misses

    Corridor Television will pay a voluntary contribution of $27,000 to resolve an investigation from the Federal Communications Commission into whether it submitted misleading information about its participation in three nationwide tests of the Emergency Alert System.

  • August 20, 2026

    Adviser, Startup To Pay SEC $266K For Taking Client Data

    The U.S. Securities and Exchange Commission has secured a nearly $266,000 judgment against a California-based investment adviser and his firm, and banned him from practicing for three years after he allegedly emailed himself confidential client information from his former employer and used it to launch his own investment firm.

  • August 20, 2026

    Defunct Tax Startup CEO Barred From Deceiving Investors

    A California federal judge prohibited the CEO of a defunct tax compliance startup who was accused by the U.S. Securities and Exchange Commission of swindling $13 million from investors from deceiving anyone or disseminating false information regarding investments in violation of securities laws.

  • August 20, 2026

    Deutsche Bank Freed From Fed's 2017 Forex-Rigging Order

    The Federal Reserve has terminated a 2017 enforcement action that required Deutsche Bank to pay nearly $137 million over its alleged role in Wall Street's foreign exchange rate-rigging scandals.

  • August 20, 2026

    Fashion Biz Founder Gets 5 Years For Large-Scale Fraud

    A federal judge in New York sentenced the founder of bankrupt apparel company CaaStle to five years in prison on Thursday after she admitted to deceiving investors about the prospects of her supposed $1.4 billion business to fraudulently raise nearly $300 million.

  • August 20, 2026

    SEC Scraps Broker's Fine But Backs Trade-Clearing Ban

    The U.S. Securities and Exchange Commission said the nation's largest clearing agency was within its rights to block a now-defunct brokerage firm from using its services, but the commission said the broker would no longer have to pay a fine nor be on the hook for attorney fees for appealing the decision.

  • August 20, 2026

    Dentons Hires Longtime K&L Gates Healthcare Lawyer

    Dentons has hired a K&L Gates LLP healthcare partner and office managing partner who spent more than 17 years at that firm advising pharmaceutical, biotechnology, medical device and other life sciences clients on regulatory, compliance and transactional matters.

  • August 20, 2026

    New Risks For Importers As US Steps Up Tariff Enforcement

    Importers and trade lawyers have seen an upswelling of tariff enforcement efforts that is transforming the compliance relationship between businesses and the government since President Donald Trump took office a second time.

  • August 20, 2026

    Jury Finds Okla. Highway Contractor Guilty Of Price-Fixing

    A federal jury in Oklahoma found a highway runoff contracting business and two of its employees guilty of antitrust violations for a price-fixing conspiracy that allegedly impacted $100 million in publicly funded construction contracts in the state.

  • August 20, 2026

    HMRC Resumes Late-Filing Penalties For Corporate Tax

    HM Revenue & Customs is resuming the issuance of late-filing penalties for corporation tax after pausing the system to incorporate higher rates, the tax authority said Thursday.

  • August 19, 2026

    Social Media Use Has Addiction Hallmarks, Meta Jury Told

    A psychologist told a Tennessee jury considering claims against Meta on Wednesday that it's well accepted in his field that social media use can cause behavior that looks like addiction, and social media is a challenging presence in the lives of 15% to 20% of his patients.

  • August 19, 2026

    Zuckerberg Can't Be Trusted On Kids' Safety Online, Jury Told

    A Meta whistleblower testified Wednesday in a California federal jury trial over states' claims Meta hid social media's harms that Meta CEO Mark Zuckerberg ignored calls for Meta to prioritize kids' safety while publicly touting Meta's safety practices, saying "I feel that you just cannot trust Mark Zuckerberg with kids."

  • August 19, 2026

    Convicted Ex-Atty Deserves Redemption, Pardoned Client Says

    A former Connecticut attorney under suspension for the past decade over his role in a $3 million stock pump-and-dump scheme deserves reinstatement and redemption, a client of his pardon consulting firm told a state bar admissions committee on Wednesday.

  • August 19, 2026

    German Entrepreneur's Dad Can't Nix SEC Tab, 1st Circ. Rules

    The First Circuit on Wednesday affirmed a judgment against the father of German billionaire Michael Gastauer, saying the parent "waited too long" to object to a lower court's personal jurisdiction over him as a relief defendant in a case concerning his son's alleged participation in an international pump-and-dump scheme.

Expert Analysis

  • Handling Section 301 Tariffs When CBP Detains Goods

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    Importers subject to Section 301 tariffs on goods under a U.S. Customs and Border Protection forced labor hold should consider three approaches when deciding whether to pay tariffs on goods that may ultimately be excluded, or wait and watch port demurrage compound daily, says James Ferry at Ferry Trade.

  • Data Center Risks Include Schedules, Supply Chain, Labor

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    Managing the dynamic technical and legal risks related to data center development requires sophisticated strategies for dealing with compressed schedules and liquidated damages, supply chain and long-lead equipment challenges, and labor shortages and productivity issues, say Randa Adra and Lily Geyer at Crowell & Moring, and Natasha Dahl at Ankura.

  • Rethinking Risk And Value In Private Credit Disputes

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    Private credit disputes will increasingly turn on whether lenders recognized enterprise-value risk and updated marks as borrower conditions changed, making valuation processes, trigger frameworks and portfolio oversight critical for investors and litigants, say Isil Erel at the Ohio State University and Farooq Javed at The Brattle Group.

  • How To Limit Trading Risk When AI Accesses Nonpublic Info

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    Financial firms' increasing adoption of artificial intelligence raises questions about how to control AI tools' access to nonpublic information to mitigate the risk of a trading, surveillance or enforcement problem, but designing policies to prevent misuse may help, say attorneys at Skadden.

  • Lessons From 5 Months Of DOJ Corporate Policy Deals

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    Recent declinations and prosecution agreements between the U.S. Department of Justice and corporations since the March unveiling of the corporate enforcement and voluntary disclosure policy provide takeaways for management considering how to respond to corporate misconduct, says Brendan Quigley at Baker Botts.

  • Calif. OppFi Suit Outlines Key Criteria For Bank Partnerships

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    A California state court's recent ruling in OppFi v. Hewlett offers fintech-bank partnerships a blueprint for structuring lending programs to withstand future true lender challenges, while signaling that enforcement theories may face added scrutiny under the state's ban on underground regulations, say attorneys at Womble Bond.

  • AG Watch: Va. Auto Renewal Law Clears Enforcement Path

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    The most consequential aspect of recent amendments to Virginia's automatic renewal law is the enforcement authority it creates, giving the attorney general a clear statutory pathway to pursue cases involving subscription-related compliance failures under the Virginia Consumer Protection Act, says Chuck Slemp at Cozen O'Connor.

  • Opinion

    After Monsanto, Defense Bar Must Build Case Against Lohr

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    The U.S. Supreme Court's recent decision in Monsanto v. Durnell has helped to demolish the foundation for its problematic 1996 ruling in Medtronic v. Lohr — so now defense counsel should lay the groundwork for the high court to overturn Lohr, say attorneys at Blank Rome.

  • Justices' FTC Ruling Weakens Qui Tam's Constitutional Base

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    The U.S. Supreme Court’s holding in Trump v. Slaughter, expanding presidential control over those exercising executive power, suggests that courts may be receptive to arguments challenging the constitutional foundations of the False Claims Act’s qui tam mechanism, says Daniel Passeser at Wiggin.

  • FTC-Deere Deal Tells Cautionary Tale On Repair Access Limits

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    A recent proposed Federal Trade Commission antitrust settlement in Illinois federal court requires Deere & Co. to provide access to repair services previously available only to authorized dealers, and companies that limit access to aftermarket resources should ensure they can substantiate the reasoning behind any restrictions, say attorneys at Freshfields.

  • 9th Circ. Rule Block Unlikely To Deter FinCEN Cartel Focus

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    The Ninth Circuit recently blocked the Financial Crimes Enforcement Unit's border cash reporting rule, interpreting it as an impermissible use of an emergency anti-money laundering tool, but regulators are more likely to see the opinion as a road map for building a more defensible rule, say attorneys at Bradley Arant.

  • 5 Financial Statement Fraud Red Flags To Spot Post-Sripetch

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    The U.S. Supreme Court recently held in Sripetch v. U.S. Securities and Exchange Commission that disgorgement exists to strip a wrongdoer of unjust enrichment, not merely to compensate victims for what they lost, shifting the work at the center of securities fraud cases in five ways, says Rand Manasse at Green Lane Partners.

  • What Cos. Must Know About EPA Water Monitoring Proposal

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    The U.S. Environmental Protection Agency's newly proposed rule that would require public water systems to monitor for 30 unregulated drinking water contaminants does not impose new obligations on companies, but the data collected could affect future policy, investigations and litigation, says Ayodeji Ayolola at Gordon Rees.

  • Series

    Being A Sommelier Makes Me A Better Lawyer

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    Being a sommelier has quietly shaped how I practice law by changing the way I think, communicate and connect with people, and offers a constant reminder that expertise is about making your knowledge useful and accessible to others, says Kara Du at Sheppard.

  • EEOC Bias Guidance Rollback Doesn't Negate Employer Risks

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    Despite the U.S. Department of Justice recently challenging Title VII's disparate impact provisions and the U.S. Equal Employment Opportunity Commission rescinding affirmative action guidance, employers should resist the temptation to restructure employment practices, say attorneys at Husch Blackwell.

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