As the federal government scales back certain consumer protection and enforcement initiatives, state attorneys general and legislatures are rapidly filling the void — introducing new legislation, launching enforcement actions...more
In the first three months of the second Trump administration, federal regulators have signaled a shift in priorities while enforcing federal securities violations and consumer protection laws. In fact, the administration has...more
On August 16, Instinet, LLC (Instinet or the Firm) agreed to pay a $3.8 million fine to settle an enforcement action with the Financial Industry Regulatory Authority (FINRA) regarding its alleged failure to comply with...more