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OIG Ramping Up Enforcement Actions Against Dental Practices
  • Dinsmore & Shohl LLP
  • USA
  • November 12 2018

On November 6, 2018, the Office of the Inspector General (OIG) announced that ImmediaDent of Indiana, LLC (ImmediaDent), which operates nine dental

Related Dark Pools Resolve SEC Charges They Improperly Disclosed Subscribers’ Confidential Information by Agreeing to US $12 Million Fine
  • Katten Muchin Rosenman LLP
  • USA
  • November 11 2018

The Securities and Exchange Commission charged ITG Inc. and AlterNet securities, its affiliate, with not adequately protecting the confidential

2019 Qualified Plan Limits Released
  • Bryan Cave Leighton Paisner LLP
  • USA
  • November 7 2018

The Internal Revenue Service released the 2019 dollar limits for retirement plans, as adjusted under Code Section 415(d). We have summarized the new

Parties Seek to Settle Yahoo Data Breach Class Action for $50M
  • Robinson & Cole LLP
  • USA
  • October 30 2018

We previously wrote about the Yahoo data breaches, subsequent class action pending in California, and the company’s estimate of potential settlement

Broker-Dealer Consents to Business Exit and US $800,000 Fine to Resolve SEC Charges for Not Reporting Suspicious Transactions
  • Katten Muchin Rosenman LLP
  • USA
  • September 30 2018

COR Clearing LLC agreed to restrict its penny stock clearing business as well as pay a fine of US $800,000 to resolve charges by the Securities and

Two Firms Agreed to Fines Imposed by CFTC for Attempting to Manipulate ISDAFIX Benchmark
  • Katten Muchin Rosenman LLP
  • USA
  • September 23 2018

Two more firms consented to fines by the Commodity Futures Trading Commission for their roles in attempted manipulation of the ISDAFIX benchmark. ICAP

CFTC orders BNP Paribas to pay $90 million penalty for attempted manipulation and false reporting of U.S. Dollar ISDAFIX benchmark swap rates.
  • Sidley Austin LLP
  • USA
  • September 17 2018

On August 29, the CFTC issued an order filing and settling charges against BNP Paribas Securities Corp. (BNP Paribas) for attempted manipulation of

Considerations for banks in preparing for the end of LIBOR
  • Kane Russell Coleman Logan PC
  • USA, United Kingdom
  • September 10 2018

On July 27, 2017, Andrew Bailey, the head of the U.K. Financial Conduct Authority (FCA), surprised the banking industry (and other financial markets)

Bank and Broker-Dealer Affiliate Agree to US $5.75 Fine Million for Rogue Trading by Three Traders
  • Katten Muchin Rosenman LLP
  • USA
  • August 19 2018

Citigroup Global Markets Inc. and Citigroup Inc. agreed to pay a fine of US $5.75 million to the Securities and Exchange Commission in connection with the separate...

Jury Award of Emotional Distress Damages Must Be Reduced by Millions, Judge Rules
  • Jackson Lewis PC
  • USA
  • July 31 2018

A federal judge in New York has ruled that a plaintiff could recover only a small portion of the $2.5 million a jury awarded him, granting the