News & Analysis as of

Enforcement Actions › Seventh Amendment › Regulatory Authority

Kohrman Jackson & Krantz LLP

Industry Pushback Against FINRA: A Growing Challenge to Its Authority

Kohrman Jackson & Krantz LLP on

Over the last few years, broker dealers and financial advisors have filed a flurry of legal actions seeking both: (1) to strip the Financial Industry Regulatory Authority (FINRA) of its power to adjudicate customer and...more

Parker Poe Adams & Bernstein LLP

Is FDA's Civil Money Penalty Authority Dead, and If So, What Does It Mean for Life Sciences Companies?

Parker Poe Adams & Bernstein LLP on

Does the recent decision in a federal district court in Texas, finding that the U.S. Food and Drug Administration’s tobacco civil money penalty authority is unconstitutional, mean the end of the federal agency bringing...more

Lerman Senter PLLC

Potential Federal Court Circuit Split Increases Uncertainty Around FCC's Enforcement Authority

Lerman Senter PLLC on

A potential federal court circuit split is developing over the constitutionality of the enforcement authority of federal agencies such as the Federal Communications Commission (FCC)....more

Bradley Arant Boult Cummings LLP

Kansas Bank's Suit Could Upend FDIC Enforcement Authority

Bradley Arant Boult Cummings LLP on

On Nov. 19, 2024, the Federal Deposit Insurance Corp. issued a notice of assessment finding that between December 2018 and August 2020, CBW Bank — a single-branch bank in Weir, Kansas — failed to maintain an adequate...more

Epstein Becker & Green

The Loper and Jarksey Era: Agency Power to Award Civil Penalties in SEC and FINRA Under Increased Scrutiny

Epstein Becker & Green on

Since the U.S. Supreme Court’s landmark Loper decision, which overturned the longstanding precedent of the Chevron doctrine for agency deference, it was anticipated that lower courts, as well as the Supreme Court, would begin...more

SEC Compliance Consultants, Inc. (SEC³)

Regulatory Roundup for July 2024

SEC Compliance Consultants, Inc. (SEC³) on

SEC Loses in ALJ Case, DOL’s Latest Fiduciary Rule Put on Hold, and SEC Reconsiders AI and Custody Rule Proposals - Welcome to our July Regulatory Roundup, where we provide a quick look at the latest regulatory developments....more

Burr & Forman

The Assault on the SEC’s Administrative Citadel Continues

Burr & Forman on

A panel of the D.C. Circuit recently relied on Lucia and Cochran to enjoin a FINRA regulatory enforcement action pending appeal of an Appointments Clause challenge....more

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