The year 2024 remained a busy one for state attorneys general (State AGs) and 2025 promises to be even busier. To assist in-house counsel, compliance professionals, and defense lawyers navigate the 2025 State AG enforcement...more
1/7/2025
/ Antitrust Violations ,
Artificial Intelligence ,
Consumer Protection Laws ,
Cybersecurity ,
Department of Justice (DOJ) ,
Disclosure Requirements ,
Emerging Technologies ,
Environmental Policies ,
False Claims Act (FCA) ,
Financial Industry Regulatory Authority (FINRA) ,
Merger Controls ,
Monopolization ,
Securities and Exchange Commission (SEC) ,
Securities Fraud ,
Social Media ,
State Attorneys General ,
Trump Administration ,
Unfair or Deceptive Trade Practices
On March 18, 2024, the SEC announced—in videos posted on YouTube and Twitter—regulatory actions against two investment advisers for “AI washing,” a practice defined by the SEC as “making false artificial intelligence-related...more
3/21/2024
/ Anti-Fraud Provisions ,
Artificial Intelligence ,
Enforcement ,
Environmental Social & Governance (ESG) ,
Financial Industry Regulatory Authority (FINRA) ,
Investment Adviser ,
Investment Advisers Act of 1940 ,
Investment Funds ,
NASAA ,
Registered Investment Advisors ,
Securities and Exchange Commission (SEC) ,
SIFMA
On October 4, 2023, Martin Estrada, U.S. Attorney for the Central District of California (CDCA), announced the formation of a Corporate and Securities Fraud Strike Force (the “Strike Force”), a new CDCA section designed to...more
On December 27, 2022, in United States v. Blaszczak (“Blaszczak II”), the U.S. Court of Appeals for the Second Circuit called into question what constitutes “property” in cases of securities fraud, wire fraud and theft of...more
In the first year of the Biden administration, leadership at the U.S. Department of Justice (DOJ), U.S. Securities and Exchange Commission (SEC), and other U.S. government agencies announced expansive efforts to investigate...more
3/16/2022
/ Bribery ,
California ,
Coronavirus/COVID-19 ,
Corporate Crimes ,
Department of Defense (DOD) ,
Department of Justice (DOJ) ,
Employee Misconduct ,
Enforcement ,
Federal Contractors ,
GAO ,
Paycheck Protection Program (PPP) ,
Procurement Collusion Strike Force ,
Securities and Exchange Commission (SEC) ,
White Collar Crimes
The U.S. Securities and Exchange Commission (SEC) recently awarded approximately $36 million to a whistleblower who was culpable in the wrongful conduct and delayed reporting information to the agency for five years. The...more