Financial regulation · Customer complaints Customers wrote about frozen funds, missing account information, security incidents and ordinary service failures. FINRA found that Merrill Lynch’s survey-review system frequently failed to recognize those messages as reportable complaints. FINRA AWC No. 2024081776401 Accepted…
Workplace retaliation | Federal appeals court ruling A federal appeals court threw out three of four jury verdicts against Wells Fargo Securities. On the fourth, it held that a jury could reasonably find a longtime managing director was fired because…
Court Watch: Opioid Litigation Pharmacy Benefit Managers Opioid Litigation Federal Officer Removal Kentucky TL;DR On September 18, 2026, the Sixth Circuit reversed a district court order that had sent Kentucky’s opioid lawsuit against Express Scripts and OptumRx back to state…
Fifth Circuit Court of Appeals · September 18, 2026 A federal appeals court revived a former university police officer’s Title VII retaliation case after finding that a jury could view his suspension and investigation as connected to his participation in…
Regulatory Enforcement · Broker-Dealer Compliance Shared addresses, identical trade requests, investments far larger than customers’ stated resources and hundreds of unpreserved business messages: a FINRA settlement describes compliance controls that repeatedly failed to connect the dots. June 10, 2026 New…
Labor Trafficking / Sixth Circuit Five Guatemalan farmworkers say they were charged illegal fees, worked nineteen-hour days, and had their passports taken. A jury agreed. An appeals court just said the verdict stands, punitive damages and all. TVPRA H-2A Visa…
Chemical Regulation | Federal Court Ruling The Fifth Circuit vacated EPA’s 2024 methylene chloride rule, which prohibited 40 of 53 uses of a solvent the court acknowledges can cause injury or death. The ruling turns on how much risk the…
Case File · Eleventh Circuit · Employment Discrimination A federal appeals court has held that a jury could find race, rather than a refused drug test, explains why two Black laborers were fired and never rehired while a White coworker…
Enforcement / Commodities A consent order entered September 1, 2026 resolves a five-year Commodity Futures Trading Commission case against a bank swaps trader, centered not on his original 2015 trade, but on what he told investigators about his phone. Southern…
Regulatory Enforcement / Commodities & Crypto The Backend Company That Let Offshore Trading Platforms Sell to Everyday Americans For six years, Netrios LP Ltd. sold the technology, the trading software, and the back-office plumbing that let offshore “white label” platforms…