McCormick & O'Brien LLP

09/01/2026

The Securities Litigation & Regulatory Report -

Regulators Fine UBS Financial Roughly $153 Million in Coordinated AML Action; FINRA Imposes $20 Million FINRA, FinCEN, and the CFTC announced separate, coordinated penalties against UBS Financial Services totaling approximately $153 million for anti-money laundering failures involving foreign-curren...

08/28/2026

The Crypto Regulatory & Litigation Report -

08/23/2026

The Labor & Employment Law Report -

Ninth Circuit Issues First-Impression EFAA Decision in Combs v. Netflix On July 8, 2026, the Ninth Circuit in Combs v. Netflix, Inc., 180 F.4th 1201 (9th Cir. 2026), issued its first published interpretation of the timing provision of the Ending Forced Arbitration of Sexual Assault and Sexual Harass...

08/09/2026

The Securities Litigation & Regulatory Report -

FINRA Publishes External Review of Its Enforcement Program, Recommending Sweeping Changes FINRA released the results of the independent external review of its Enforcement program as part of the FINRA Forward initiative. A unifying theme is that FINRA’s enforcement process should better reflect its...