Compliance

  • September 02, 2026

    JPMorgan Seeks Stay Of $20M Javice, Amar Fee Order

    JPMorgan Chase & Co. urged the Delaware Chancery Court on Wednesday to pause enforcement of an order requiring it to advance more than $20 million in disputed legal fees to convicted Frank founder Charlie Javice and former executive Olivier Amar, arguing the bank could permanently lose the money before it gets a chance to challenge the ruling.

  • September 02, 2026

    Colo. Exits Pharma Group's Challenge Of Drug Discount Law

    A Colorado federal court has thrown out a pharmaceutical industry trade group's challenge of a state law requiring drug manufacturers to sell discounted drugs through contracted pharmacies, finding the group failed to show the law conflicts with federal law or controls business activity beyond Colorado's borders.

  • September 02, 2026

    Linqto Founder Engineered $450M 'Pre-IPO' Fraud, Feds Say

    The founder of Linqto, a bankrupt platform that allows investors to buy shares before their initial public offerings, was arrested in California Wednesday and charged in New York federal court with a $450 million price markup scheme.

  • September 02, 2026

    GAO Says FCC Needs To Ease Broadband Map Issues

    A U.S. Government Accountability Office report to congressional committees is recommending that the Federal Communications Commission work with smaller communities and providers in completing the challenge process to determine the accuracy of its mapping data.

  • September 02, 2026

    DOJ Ad Tech Judge Won't Break Up Google's Biz

    A Virginia federal judge on Wednesday refused to break up Google's advertising placement technology business, opting instead to grant the U.S. Department of Justice a litany of behavioral fixes aimed at limiting the search giant's ability to boost itself and the ads running through its own servers over ads from rival ad tech providers.

  • September 01, 2026

    Calif. Privacy Agency Keeps Regulatory Heat On Data Brokers

    A Virginia-based data broker has become the latest enforcement target of the California Privacy Protection Agency, which announced Tuesday that the company would pay a $36,400 fine and commit to honoring requests made through a new consumer data deletion tool to resolve claims that it failed to timely register as a data broker.

  • September 01, 2026

    Calif. Private Fund Execs Charged In $80M Ponzi-Like Scheme

    Executives of a California-based loan origination business and its affiliates were hit with securities violations and criminal charges by the U.S. Securities and Exchange Commission and the U.S. Attorney's Office in federal court over an alleged Ponzi-like scheme that raised over $80 million from unwitting investors. 

  • September 01, 2026

    Watchdog Sues To Unmask Feds' 'Secret' Frontier AI Review

    A nonprofit ethics watchdog accused the Trump administration in D.C. federal court Tuesday of failing to hand over information about the "secret de facto regulatory regime" governing frontier artificial intelligence models.

  • September 01, 2026

    ETF Issuers Urge SEC To Focus On Risk Over Novelty

    Exchanges and issuers urged the U.S. Securities and Exchange Commission to apply existing rules for exchange-traded funds to oversee "novel" offerings holding asset classes like crypto and event contracts, while consumer advocacy groups took a hard line against products referencing sports or election wagers.

  • September 01, 2026

    Rutgers Prof Accused Of Crypto 'Pump And Dump' Scheme

    A cryptocurrency investor alleges a Rutgers University computer science professor used his academic credentials and university affiliation to secure investments in a token whose value has since collapsed, "a classic pump and dump scheme," according to a suit filed in New Jersey federal court.

  • September 01, 2026

    CFTC Drops Swaps Manipulation Claim In Deal With Ex-Trader

    The Commodity Futures Trading Commission on Tuesday wrapped up a long-running enforcement action against a former investment bank managing director, dropping claims that he manipulated swap prices to benefit his bank and settling claims that he destroyed evidence.

  • September 01, 2026

    SEC Sends White House Plan For Retail Private Market Access

    The U.S. Securities and Exchange Commission's Division of Investment Management has submitted to the White House a proposal to help facilitate retail investors' exposure to private markets and enable investment advisers to charge related performance fees, saying it could provide more opportunities for investors looking to diversify their portfolios.

  • September 01, 2026

    High Court Should Skip Ruby Tuesday Benefits Suit, SG Says

    The U.S. solicitor general has urged the Supreme Court to decline to consider a suit from former Ruby Tuesday executives alleging Regions Bank inadequately protected their retirement plan benefits that were liquidated in bankruptcy, saying the "idiosyncratic" nature of the dispute makes it a poor candidate for high court review.

  • September 01, 2026

    High Court Case Looms Over State Climate Superfund Fights

    A federal judge has dealt a blow to the viability of state climate change Superfund laws, although experts say the ruling may ultimately be marginalized by a looming U.S. Supreme Court decision on the future of climate tort litigation against fossil fuel companies.

  • September 01, 2026

    Ex-CEO Of Bankrupt Diamond Co. Hit With SEC Allegations

    The U.S. Securities and Exchange Commission has sued Mordechai Haim Ferder, the ex-CEO of bankrupt Lugano Diamonds & Jewelry Inc., and his wife to recover more than $17.7 million they allegedly reaped through a fraudulent diamond investment scheme via trusts they controlled.

  • September 01, 2026

    DirecTV Says Emergency Alert Symbols Are A Hard Sell

    The Federal Communications Commission's heart was in the right place when it floated the idea of requiring emergency alerts to include visual symbols, but satellite television providers just aren't set up to display those symbols, DirecTV has told the agency.

  • September 01, 2026

    Honeywell Aerospace To Pay $2M In Security Lapses Case

    Honeywell Aerospace Inc. will pay $2 million to settle a False Claims Act suit alleging it failed to provide basic cybersecurity protections for government data under defense contracts it won for quantum-computing services, the U.S. Justice Department announced Tuesday.

  • September 01, 2026

    Lumen Beats $1.4B Pension Swap Suit

    A Colorado federal judge on Tuesday ruled in favor of Lumen Technologies in a class action regarding $1.4 billion in pension obligations transferred to a risky insurance company, saying that plan participants could not show they suffered a current cognizable harm of loss of protections and the threat of impending injury was unconvincing.

  • September 01, 2026

    NY Firm, Clinics Reject FedEx's 'Staged' Crashes Claims

    A New York personal injury firm and various healthcare providers have told a Manhattan federal judge that FedEx has asserted implausible claims alleging they orchestrated an insurance fraud scheme to fabricate medical records and inflate accident claims, saying there is no such racketeering enterprise.

  • September 01, 2026

    Treatment Centers Cited Over Unpaid Work By Patients

    Massachusetts' attorney general on Tuesday announced a first-of-its-kind citation of over $1 million against a faith-based substance use treatment program for allegedly having hundreds of participants perform unpaid work, including landscaping and moving, for businesses.

  • September 01, 2026

    OpenAI's Rogue Agents A 'Warning Shot' For Cos. Everywhere

    OpenAI's recent rogue artificial intelligence incident will likely set the stage for a more widespread expectation that companies using advanced, agentic AI have reasonable protective measures in place, as cyber incidents carried out by AI agents come to be viewed as foreseeable risks.

  • September 01, 2026

    Podcaster's Proxy Betting Claims Rile FanDuel, Regulators

    The Massachusetts Gaming Commission and FanDuel are looking into a recent admission by popular podcast host Bill Simmons that he allowed a proxy to log into his FanDuel account and place bets on his behalf.

  • September 01, 2026

    SEC Plans To Bless Transfer Agents' Blockchain Use

    The U.S. Securities and Exchange Commission is promising sweeping changes to the rules governing transfer agents for the first time in 40 years, issuing a proposal Tuesday that would, among other things, allow agents to utilize the blockchain in tracking securities ownership. 

  • September 01, 2026

    Northwest MLS Settles Compass' Listing Rules Antitrust Suit

    Northwest Multiple Listing Service and Compass Inc. have reached a settlement ending Compass' antitrust lawsuit targeting Northwest MLS' policy requiring brokerages to list all properties on its platform before marketing them elsewhere, with the listing service announcing Monday that it will introduce a new "first look" status as part of the deal.

  • September 01, 2026

    Monthly Merger Review Snapshot

    Paramount Skydance and Warner Bros. Discovery pressured state attorneys general challenging their merger to settle, the Federal Trade Commission successfully challenged a construction adhesives tie-up, state officials waded in against the NextEra-Dominion transaction, and Union Pacific Corp. and Norfolk Southern Corp. defended their combination under review by federal regulators.

Expert Analysis

  • Costco Chicken Case Highlights Food Labeling Lessons

    Author Photo

    Recent litigation over allegedly deceptive food labels, including the ongoing proposed class action in a California federal court over Costco's rotisserie chicken, shows that plaintiffs rarely focus on single label statements in isolation — so product claims that comply with regulations could still incur litigation risk, says Brandy Alonzo-Mayland at Michelman & Robinson.

  • SEC Rulemaking Radar: The Rubber Meets The Road

    Author Photo

    The U.S. Securities and Exchange Commission's new rulemaking agenda shows its regulatory reset taking shape, with sweeping crypto proposals that could bring the biggest changes it has made to broker-dealer, exchange and trading compliance in decades, says Christopher Grobbel at Goodwin.

  • Monitor Exposure, Stay Flexible Amid Tariff Uncertainty

    Author Photo

    To navigate an unstable trade environment, businesses must evaluate their exposure to new tariffs invoked under a patchwork of statutory authorities and be prepared to adapt to further changes that may be on the horizon, says Bhargav Prajapati at Capital Trade.

  • CFPB Complaint Portal Overhaul Signals Changing Priorities

    Author Photo

    The Consumer Financial Protection Bureau's updates to its consumer complaint portal and decision to cease publishing consumer complaint narratives should be viewed by companies as one component of a larger recalibration of how the CFPB collects information and allocates its supervisory and enforcement resources, say attorneys at Cooley.

  • Series

    Being In A Band Made Me A Better Lawyer

    Author Photo

    Playing shows in storied New York City venues and rehearsing with my bandmates in poorly ventilated rooms helped develop the professional qualities I rely on as a litigator, including an ability to collaborate with strong-minded equals and the determination to treat each client with singular focus, says Eliad Shapiro at Herrick Feinstein.

  • The Divergent Approaches In US, EU Forced Labor Standards

    Author Photo

    Forced labor guidance documents recently issued by the U.S. and the European Union have meaningful differences, with the U.S. taking a documentary approach to compliance and the EU emphasizing human rights risks as a governance challenge, but one model will likely exert greater influence, say attorneys at Steptoe.

  • Rethinking Corporate Travel Rules After Device Search Cases

    Author Photo

    A recent New York federal court decision approving a warrantless seizure and search of company laptops and a pending Georgia federal court criminal case over a phone's data deletion underscore how little protection corporate personnel have at the border, necessitating a review of corporate travel programs, say attorneys at Gibson Dunn.

  • 6 Risk Areas Future Fla. Stablecoin Issuers Should Plan For

    Author Photo

    Companies hoping to issue stablecoins under Florida’s new supervision regime should prioritize constructing robust risk management architecture across key areas before the Oct. 1 effective date so they can secure licenses, avoid a web of potential liabilities, and operate sustainably as state and federal regulations evolve, says Elizabeth Brusa at Shumaker.

  • 6 Key Takeaways From CFIUS Annual Report

    Author Photo

    Attorneys at Simpson Thacher review highlights from the annual report of the Committee on Foreign Investment in the U.S., released to Congress this month, including the launch of the American First Investment Policy and the Known Investor Pilot Program, and the agency's continued focus on enforcement despite its resource constraints.

  • How Drug Trial Prediction Markets Pose Insider Trading Risks

    Author Photo

    Multiple prediction market platforms have recently announced plans to offer event contracts related to clinical trial outcomes and regulatory decisions, creating new insider trading risks by expanding the group of people possessing related material nonpublic information far beyond traditional corporate insiders, say attorneys at King & Spalding.

  • Series

    Law School's Missed Lessons: Surviving A Long Trial

    Author Photo

    Most of law school trial advocacy is geared toward the sprint of trying a short case, but beyond managing a cross-examination or closing argument, effectively handling the marathon of a lengthy trial requires the ability to maintain composure, organization and credibility with the jury, says Mihir Elchuri at Hirschler.

  • AI Chatbot's Medical Claims Highlight Enforcement Risks

    Author Photo

    The Pennsylvania State Board of Medicine's recent lawsuit against Character Technologies, arguing that an artificial intelligence chatbot engaged in the unlicensed practice of medicine, may provide other state licensing boards with a road map for going after AI platforms, and counsel should advise clients to calibrate compliance accordingly, say attorneys at Cooley.

  • Upping Fed, FDIC's Insider Loan Cap May Ease Bank Burdens

    Author Photo

    Coordinated Federal Deposit Insurance Corp. and Federal Reserve proposals to raise the 1970s-era cap for bank executives borrowing from their institutions represent a long-needed regulatory recalibration that would lighten compliance obligations caused by the outdated ceiling without diminishing the original protections against conflicts of interest, say attorneys at Ballard Spahr.

  • What Calif.'s New Focus On Microplastics Means For Cos.

    Author Photo

    The recent move by California's Department of Toxic Substances Control to designate microplastics as candidate chemicals under its Safer Consumer Product regulations does not create a new product restriction — but it expands the agency's future reach by putting microplastics on the department’s regulatory runway, says Gregory Berlin at Alston & Bird.

  • How 2 SEC Financial Report Initiatives May Clash In Practice

    Author Photo

    The Securities and Exchange Commission’s near-simultaneous launch of a new unit to investigate fraud by accounting and audit professionals and its proposal to let public companies file less frequent financial reports sets up possible conflicts for issuers and their financial reporters that demand immediate strategic attention, say attorneys at Bracewell.

Want to publish in Law360?


Submit an idea

Have a news tip?


Contact us here
Can't find the article you're looking for? Click here to search the Compliance archive.