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Latest News in Compliance

• June 05, 2025

  FTC Chair Calls On Congress To 'Reform' Kids' Privacy Model

  The longstanding framework for protecting children from online privacy harms is no longer working as Congress intended, the head of the Federal Trade Commission said Wednesday, in urging federal lawmakers to take steps to empower both the agency and parents to more effectively tackle these growing risks. 

• June 05, 2025

  'Sparse' OPM Record On Mass Firings Backs Win, Unions Say

  A "sparse and self-serving" record provided by the U.S. Office of Personnel Management still shows the agency unlawfully directed federal agencies to fire probationary employees en masse, so a California federal court can reach a final decision now and "unwind" those terminations, a coalition including unions and advocacy groups said Thursday.

• June 05, 2025

  FINRA Panel Awards More Than $2M Over Mismanaged Stocks

  U.S. Capital Wealth Advisors and two representatives must pay more than $2 million and rescind the sale of thousands of shares of Microsoft and Google over claims that they sold off a client's blue-chip investments and told her to invest heavily in an allegedly fraudulent Indian media company, a Financial Industry Regulatory Authority arbitration panel has held.

• June 05, 2025

  Calif. Adviser, CEO To Pay $21M To End SEC Theft Claims

  A California investment adviser and its CEO have agreed to pay over $21 million to end U.S. Securities and Exchange Commission claims they misappropriated over $15.3 million from a cannabis industry client — including $4.6 million used to buy a home — and overstated its assets under management in regulatory filings.

• June 05, 2025

  AI Co. Sues French Tech Biz Over $20M Graphics Content Deal

  An artificial intelligence company is suing a French technology business in California federal court over a more than $20 million deal giving it access to a platform that creates graphics content, accusing it of committing acts of bad faith "at every stage" of their relationship.

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