Search Results for “6” – INSIDE COMPLIANCE

Capitol Attack Aftermath: The 65 Project files Complaint Against Trump-Aligned Attorney

March 16, 2023Jacob ParentisFraud & Abuse5 Comments

Monday, March 6, 2023, marks two-and-one-quarter years since the notorious attack on the U.S. Capitol. Since then, the unprecedented insurrection’s aftermath has thrust Trump-aligned supporters and politicians into the political limelight. As the House of Representatives continues its comprehensive investigation, Cassidy Hutchinson, former White House aide and standout witness of the House’s Jan. 6th committee investigation, recently accused President Trump’s former White House attorney Stefan Passantino of unethical legal maneuvering. On Wednesday February 15, 2023, nearly three months after her allegations were brought, bipartisan U.S. legal advocacy group ‘The 65 Project’ filed an informal ethics complaint against Passantino.

attorney ethicsAttorney RegulationEthicsprofessional misconduct

Robinhood Fined $65 Million for Misleading Customers

February 17, 2021Michell Pacheco SotoFraud & Abuse

On December 17, 2020, the Securities and Exchange Commission (“SEC”) charged Robinhood Financial, LLC (“Robinhood”) with material misrepresentation and misleading its users about its revenue sources, specifically Robinhood’s receipt of payments from certain principal trading firms for routing its customer orders to them. The SEC charges against Robinhood also relate to certain statements about the execution quality Robinhood achieved for its customers’ orders and Robinhood’s failure to satisfy its duty of best execution. Robinhood agreed to pay $65 million to settle the charges.

Journal of Regulatory CompliancePrivacy & SecurityRobinhoodSEC

California SB 826: Creating Gender Diversity in California Corporate Governance

April 8, 2020Timothy HigusThe Marketplace

California signed SB 826 (“Act”) into law on September 20, 2018, requiring all publicly-traded California companies to have at least one female on their board of directors by the end of 2019. The law was enacted to create more diversity in corporate governance and expedite the slow movement toward gender parity in the boardroom. Now that each company should have at least one female member on their board of directors, the California Secretary of State (“SOS”) has released a document showing which companies complied and which companies will be facing fines.

Board of DirectorscaliforniaCorporate GovernanceDiversitySB 826

TAX TALK SERIES Understanding Notice 1036: IRS Adjusted Withholding Tables to Accommodate New Tax Plan

March 2, 2018Sara OakesUncategorized

On December 20, 2017, Congress passed the Tax Cuts and Jobs Act (“TCJA”) designed to decrease the taxable rate for corporations and individuals, and to limit allowable deductions. Since this change to the Tax Code was one of the largest since the Reagan era, the Internal Revenue Service will need to publish many regulations in the coming months to better clarify provisions of the TCJA. This multi-part series will explore prominent IRS regulations as they relate to the TCJA, and what these regulations mean for both individual and corporate taxpayers.

EmploymentIRSregulatoryregulatory agencytaxtax cutsTCJAwithholding

The Closing of 2016 in Regulatory Compliance

December 31, 2016Ryan MeadeUncategorized

Ryan Meade Editor-in-Chief Director of Regulatory Compliance Studies at Loyola University Chicago School of Law Early before dawn on the last day of the 2016 Federal Register, 19 pistachio handlers in the United States were greeted with an easier compliance burden for 2017. But we’ll return to that later. Why January 1 starts the new year is a bit …
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federal registerFederal Register UpdateRegulationrulemaking

Two Former Nursing Home Executives and Two Accomplices Steal Over $16 Million Through Kickbacks and Overcharges

October 25, 2016Fraud & Abuse

Alexander Thompson Associate Editor Loyola University Chicago School of Law, J.D. 2018 Two former executives of American Senior Communities and two accomplices have been indicted on numerous charges by the Department of Justice. The two former executives: CEO James Burkhart and Daniel Benson were arraigned on charges of health care fraud and conspiracy to …
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American Senior CommunitiescriminalDaniel BensonDOJJames BurkhartkickbacksLamont Pugh IIIshell companies

19 Ingredients, 2.2 Million Pounds of Product and $368.7 Million to Comply

September 19, 2016Drugs & Devices

Brittany Tomkies Executive Editor Loyola University Chicago School of Law, JD 2017 The Food and Drug Administration (FDA) issued a final rule on September 2, 2016 establishing that certain over-the-counter (OTC) consumer antiseptic wash products (i.e. antibacterial hand and body soaps) containing certain active ingredients can no longer be marketed as they are not generally …
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antisepticFDAmislabelingrulemaking

The Rise of ESG: A Tale of Two Stories

May 2, 2024Nicolas EspinosaEnvironmentalLeave a comment

With an increasing emphasis on sustainability and ethical practices, Environmental, Social, and Governance (“ESG”) factors have become pivotal for both corporations and investors. Environmental responsibility concerns a company’s impact on the planet, including carbon emissions, energy consumption, and pollution. Social responsibility encompasses people and culture as well as their impact within the community. Lastly, governance entails how companies are managed and whether they hold their leaders accountable. While ESG has become increasingly important to corporations across America, demand for ESG products has also grown important to investors. Despite challenges, the future of ESG investing appears promising, provided stakeholders adapt to evolving markets and regulations.

Failing to Protect: The Regulatory Industry’s Challenge in Curbing Nicotine Addiction Among Adolescents

April 16, 2024Mariam SalmanzadehFood and Drug Law

In the battle against nicotine addiction, particularly among our nation’s youth, the regulatory industry stands as a crucial line of defense. However, recent developments suggest that this block is faltering, leaving our young generation increasingly vulnerable to the grips of addiction. Despite well-intentioned efforts, the regulatory landscape surrounding nicotine products has proven inadequate in safeguarding young adults from the harmful effects of addiction. In this blog post, the shortcomings of current regulations and propose actionable solutions to address this pressing issue will be explored.

Like A “Good Neighbor”: EPA Waits For U.S. Supreme Court Ruling on Rule Regulating Air Emissions Under the Clean Air Act

April 11, 2024Sarah FritzEnvironmental

On February 21, 2024, the Environmental Protection Agency (EPA) argued in front of the U.S. Supreme Court, attempting to continue regulation of the “Good Neighbor” rule in eleven states. The EPA announced the final “Good Neighbor Plan” on March 15, 2023. The “Good Neighbor Plan” established under the Clean Air Act (CAA) aims at reducing emissions from upwind states that cause pollution in downwind states.

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