Topic
Enforcement
988 published works
Consumer Finance Monitor
Director Cordray appears before Senate Banking Committee
On Wednesday, July 15, CFPB Director Richard Cordray appeared before the Senate Committee on Banking, Housing, & Urban Affairs to answer questions regarding the Bureau’s Semi-Annual Report to Congress and the…
Broker- Dealer Law Corner
David Slays Goliath: Texas Investment Advisor Beats SEC In Administrative Proceeding
By Alan Wolper, UB Greensfelder
If you have been a regular reader of this Blog, or even if you just browse the Wall Street Journal on occasion, you have undoubtedly noticed the attention being given…
Technology Law Dispatch
UK Amends Requirements for issuing Monetary Penalty Notice: No requirement to prove “substantial damage or distress”
By Cynthia O’Donoghue, Chantelle Taylor
The early part of 2015 saw major changes to the monetary fines that may be imposed for breaches of the Data Protection Act ('DPA'). For example, unlimited fines may now…
MoFo ReEnforcement: The Enforcement Blog
#ThrowbackThursday: MBA’s Regulatory Compliance Conference 2014: CFPB Enforcement
In September 2014, Morrison & Foerster partner Angela Kleine spoke at the Mortgage Bankers Association’s Regulatory Compliance Conference. Attached is her presentation, “Litigation Forum: CFPB Enforcement.”
Broker- Dealer Law Corner
To Mediate or Not: Arbitration v. Enforcement
By Chris Seps
I recently had two clients, both respondents in pending matters – ask me the same question in the same day: should I mediate this case? The answers I gave them…
IM Insights
Administrative Proceedings vs. Federal Court: The SEC Provides Limited Transparency Into Its Choice of Forum
By Randall Fons
For the past two years, the SEC has come under heavy fire, both inside and outside the Commission, for its increasing use of its own administrative proceedings, rather than federal…
Financial Services Observer
CFTC Picking Up the Pace of Whistleblower Program
By Douglas M. Grom, Douglas E. Arend, Aimee Wildstone
Both the SEC and the CFTC were authorized by the Dodd-Frank Act to reward certain persons for providing information that leads to an enforcement action. Prompted by such a “whistleblower’s”…
Financial Services Observer
CFTC Continues to Exercise Expanded Enforcement Authority Granted Under Dodd-Frank
By Douglas M. Grom, Douglas E. Arend, Aimee Wildstone
After enactment of the Dodd-Frank Wall Street Reform and Customer Protection Act of 2010 (“Dodd-Frank”), Commodity Futures Trading Commission (“CFTC”) expanded its enforcement authority outside the traditional realm of exchange-traded…
TortsProf Blog
Burch on Issue Classes
Elizabeth Chamblee Burch (Georgia) has posted to SSRN Constructing Issue Classes. The abstract provides:As government budgets shrink each year, enforcement responsibilities in products liability, consumer protection, and employment discrimination fall…
Broker- Dealer Law Corner
Settling with FINRA Can Be Ugly, But It Sure Beats the Alternative
By Alan Wolper, UB Greensfelder
I used to work for NASD (before it became FINRA). First as an attorney for the Department of Enforcement, and, later, as the Director of the Atlanta District office. Given…