Blog & Investigations

By Jonathan Hall, Esq. Artificial Intelligence (AI) is rapidly transforming the financial industry, from portfolio analysis to customer service automation, risk-detection systems, and algorithmic trading. But with innovation comes new regulatory attention. For investors and financial professionals alike, developments in…

By Jonathan Hall, Esq. Manipulative trading remains a key enforcement focus for FINRA and other regulators. In recent guidance, FINRA emphasized that firms must maintain supervisory systems reasonably designed to detect and prevent impermissible trading practices, including schemes that artificially…

By Jonathan Hall, Esq. External fraud continues to present significant risks for broker-dealers and their customers. Increasingly, fraud schemes are sophisticated, fast-moving, and closely tied to cyber-enabled activity. For regulated firms, these developments raise not only operational and reputational concerns,…

By Jonathan Hall, Esq. Cybersecurity incidents can expose broker-dealers and their registered representatives to far more than IT annoyances. A serious breach can lead to loss of customer information, financial harm, business disruption, and long-lasting reputational damage. It can also…

Reuters has published a detailed article covering our client Mighty Earth’s lawsuit against JBS over its “Net Zero by 2040” claims, which we recently filed in Washington, DC. A copy of the full complaint is here. The article notes that our lawsuit is “a fresh…

Mighty Earth Hits JBS with Consumer Protection Suit over “Net Zero by 2040” Claims Our client Mighty Earth, an international non-profit public interest organization, has filed suit JBS USA Holdings, Inc. (“JBS”) in the District of Columbia, alleging that the…

The Trump administration has announced a two-year delay in the implementation of the Investment Adviser Rule (IA AML Rule), which was slated to take effect in just a few months, on January 1, 2026. The new rule was designed and…

On behalf of our client Mighty Earth, an environmental non-profit, we have been calling attention to Brazilian meat giant JBS’s illegal activities for years. First, we filed a complaint with the SEC’s Office of the Whistleblower, setting out how the…

A coalition of non-profit advocacy groups, including our clients Mighty Earth and World Animal Protection, led a sustained effort to prevent a long-sought IPO of the Brazilian meat giant JBS, which has proven to be a corrupt criminal enterprise. In…