Topic
Enforcement
988 published works
Consumer Finance Monitor
Federal jury convicts operator of payday lenders sued by CFPB and FTC
Richard Moseley Sr., the operator of a group of interrelated payday lenders, was convicted by a federal jury on all criminal counts in an indictment filed by the Department of…
The Capital Commitment
SEC Releases FY 2017 Enforcement Results: Maintaining Focus on Individual Accountability and Investment Advisers
By Joshua M. Newville, Michael R. Hackett, Anthony M. Drenzek, Alexandra V. Bargoot
Last night, the SEC announced its enforcement results for the Fiscal Year 2017, accompanied by a report from the Co-Directors of its Division of Enforcement. While the total number of…
Consumer Finance Monitor
New CFPB enforcement chief to be appointed
While an official announcement has not yet appeared on the CFPB's website, it has been widely reported that Kristen Donoghue will be appointed the CFPB's new Assistant Director of Enforcement,…
Broker- Dealer Law Corner
FINRA’s Heavy Hand Questioned…By FINRA
By Alan Wolper, UB Greensfelder
I am on the record, many times, with my belief that, at least in theory, FINRA should never lose any Enforcement cases it files. This is for the simple reason…
Employment & Labor
FY 2017 Litigation Scorecard For The EEOC – What Employer’s Should Know
Seyfarth Synopsis: With the EEOC’s Fiscal Year ending on September 30, 2017, loyal blog readers know that our firm has been busy analyzing the major trends of FY 2017 on…
Global Investigations & Compliance Review
SEC ALJ Decision Shows Agency’s “Home Field Advantage” Has Its Limits
In a dense, nearly 60-page decision issued on September 27, 2017, SEC Administrative Law Judge Carol Foelak rejected all claims asserted by the SEC Enforcement Division (the “Division”) in In…
Securities Law Prof Blog
NASAA Releases Annual Enforcement Report
Details are available here.
EEOC Year-End Countdown
Tick, Tock….The EEOC Runs Out The Clock – Fiscal Year 2017 Marks A Last Minute Return To Frantic Filing
By Matthew J. Gagnon, and Christopher J. DeGroff Seyfarth Synopsis: With uncertain times and profound changes anticipated for the EEOC, employers anxiously await what enforcement litigation the EEOC has in store.…
Banking, Finance and Securities
FCA enforcement of MiFID II
By Imogen Garner (UK), Hannah Meakin (UK)
The FCA has published a speech by Mark Steward, FCA Director of Enforcement and Market Oversight. The speech is entitled A better view. In his speech Mr Steward discusses recent…
Cleary Enforcement Watch
CFTC Announces New Enforcement Strategy Focused on Self-Reporting
By Breon S. Peace, Jennifer Kennedy Park, Alex Janghorbani
In a September 25, 2017 speech in New York, U.S. Commodity Futures Trading Commission (the “CFTC”) Division of Enforcement (the “Division”) Director James McDonald outlined the CFTC’s focus on creating…