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Latest News in Compliance

• March 24, 2025

  Wells Fargo Loses Bid To Toss Suit Over $300M Ponzi Scheme

  A Florida federal judge on Monday adopted a magistrate judge's recommendation to deny Wells Fargo's bid to toss two retirees' putative class action accusing the bank of aiding and abetting a $300 million Ponzi scheme that deceived more than 1,000 investors, mostly elderly investors.

• March 24, 2025

  Wash. Bill Pay Biz Can't Exit FTC Consumer Protection Suit

  A Washington federal judge has declined to throw out a Federal Trade Commission consumer protection suit against a Seattle-based online bill pay platform, rejecting the company's stance that disclaimers on its website absolve it claims of deceptive business practices.

• March 24, 2025

  Bank Groups Take Aim At Fed's Stress-Test Methodology

  Top bank trade groups are pressing their Ohio federal court challenge to the Federal Reserve Board's stress tests of big banks, asking for a ruling that would force major changes to the way the annual assessments of firm resilience are designed and executed.

• March 24, 2025

  Live Nation Inks $20M Deal Over Swift Tour-Tied Investor Suit

  Investors suing Live Nation Entertainment Inc. have asked a California federal judge to approve a $20 million deal ending claims that the company made misleading statements about its operations when news of alleged anticompetitive practices with Ticketmaster caused stock prices to drop following the tickets sales debacle for Taylor Swift's The Eras Tour.

• March 24, 2025

  FINRA Fines Pa. Broker-Dealer $1M Over Muni Bond Sales

  A Pittsburgh-based brokerage has agreed to penalties and disgorgement totaling over $1 million to resolve Financial Industry Regulatory Authority claims it got undue order priority for certain new municipal bond orders by failing to mention those orders were for its own dealer account.

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