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Regulatory Oversight › Constitutional Challenges › Enforcement Actions

Carlton Fields

U.S. Supreme Court Denies Alpine’s Petition Challenging Constitutionality of FINRA Enforcement Proceedings

Carlton Fields on

On June 2, 2025, the U.S. Supreme Court denied a petition for writ of certiorari filed by Alpine Securities Corp. in Alpine Securities Corp. v. Financial Industry Regulatory Authority. In doing so, the Supreme Court declined...more

Husch Blackwell LLP

Trump Fires Democratics on Consumer Product Safety Commission: What’s Next for Consumer Safety?

Husch Blackwell LLP on

On May 8, 2025, the Trump Administration fired all three Democratic Commissioners from the U.S. Consumer Product Safety Commission (“CPSC” or the “Commission”) via overnight email. This abrupt change in leadership has raised...more

Holland & Knight LLP

Podcast - FTC Commissioner Dismissals: Background and Implications

Holland & Knight LLP on

In this episode of his "Clearly Conspicuous" podcast series, consumer protection attorney Anthony DiResta delves into recent leadership changes at the Federal Trade Commission (FTC). Mr. DiResta explores the legal...more

Allen Matkins

Will Ling Chi Kill The Corporate Transparency Act?

Allen Matkins on

Ling Chi was a slow and torturous method of execution practiced in Imperial China.  Better known in English as "death by a thousand cuts", ling chi took a terribly long time to kill the condemned prisoner....more

Carlton Fields

Piecing Alpine Together

Carlton Fields on

Is FINRA constitutional? According to the D.C. Circuit’s November 2024 opinion in Alpine Securities Corp. v. FINRA, FINRA proceedings may be unconstitutional in one narrow set of circumstances. ...more

Akin Gump Strauss Hauer & Feld LLP

PCAOB Amends Process for Appointing and Removing its Hearing Officers

Akin Gump Strauss Hauer & Feld LLP on

On January 29, 2019, the Public Company Accounting Oversight Board (PCAOB or “Board”) adopted amendments to its bylaws and rules that make the PCAOB’s appointment and removal of its hearing officers subject to the approval of...more

UB Greensfelder LLP

Hope Springs Eternal

UB Greensfelder LLP on

My partner, Ken Berg, writes about his recent meeting with the NCLA, a group that anyone who has an administrative practice should be familiar with. – Alan I had the privilege of being invited to attend in Washington,...more

Foley & Lardner LLP

RESPA and UDAAP Enforcement Following The PHH Decision: What To Expect

Foley & Lardner LLP on

As anyone who is associated with the residential real estate settlement services industry can appreciate, resolution of the PHH case by the full bench of the D.C. Circuit Court of Appeals has brought much-needed clarity and...more

Ballard Spahr LLP

CFPB seeks comments on its administrative enforcement proceedings

Ballard Spahr LLP on

The CFPB has issued a request for information that seeks comment on how the CFPB can improve its administrative adjudication processes, including its “Rules of Practice for Adjudication Proceedings” codified at 12 CFR part...more

Proskauer Rose LLP

2016 Proskauer Annual Review and Outlook for Hedge Funds, Private Equity Funds and Other Private Funds

Proskauer Rose LLP on

This special report provides a summary of some of the significant changes and developments that occurred in the past year in the private equity and hedge funds space, as well as certain recommended practices that investment...more

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