Regulatory Oversight Podcast

California DFPI's Next Target: Credit Reporting Industry

nicole.sparkswatts@troutman.com (Stephen Piepgrass, Kim Phan, Michael Yaghi) — Wed, 25 Feb 2026 05:00:00 +0000

In this special crossover episode of Regulatory Oversight and FCRA Focus, Kim Phan is joined by Michael Yaghi, partner in Troutman Pepper Locke's Regulatory Investigations, Strategy, and Enforcement practice group, to unpack the California Department of Financial Protection and Innovation's (DFPI) latest effort to require registration for the credit reporting industry. They discuss DFPI's second request for comment, how it fits into California's broader push to regulate nonbank financial services, and which entities may be swept in beyond the "big three" consumer reporting agencies — such as furnishers, data brokers, specialty credit reporting agencies, resellers, and fintechs. Kim and Michael also explore how narrowly (or broadly) the rules might be drawn, potential overlap and tension with existing FCRA requirements, what registration and reporting could mean in practice for covered entities, and what companies should be doing now as the February 26 comment deadline approaches.

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Trading, Gambling, or Something Else? Prediction Markets and the Payments Puzzle

nicole.sparkswatts@troutman.com (Keith Barnett, Stephen Piepgrass) — Tue, 10 Feb 2026 14:00:00 +0000

In this crossover episode, Regulatory Oversight host Stephen Piepgrass teams up with Payments Pros host Keith Barnett to unpack how prediction markets, gaming, and payments intersect in a rapidly evolving and legally uncertain landscape. Drawing on Keith's extensive regulatory experience, they explain what prediction markets are, why these contracts are treated as swaps rather than securities, and how that distinction affects insider trading issues. Stephen and Keith then address the growing tension between federal regulators and state attorneys general over whether these products are trading or unlicensed sports betting, the CFTC chair's recent criticism of "regulation by enforcement," and the NCAA's push to pause college sports contracts. They close by examining what this means for banks, payment processors, and other service providers navigating know-your-customer and "lawful transaction" obligations while the law remains in flux.

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New Jersey's Big Bet on Disparate Impact: What the AG's New Rules Mean for Lenders and AI

nicole.sparkswatts@troutman.com (Chris Willis, Lori Sommerfield, Matthew Berns) — Thu, 29 Jan 2026 14:10:00 +0000

In this special crossover episode of Regulatory Oversight and The Consumer Finance Podcast, Chris Willis is joined by colleagues Lori Sommerfield and Matthew Berns to discuss New Jersey's sweeping new disparate impact regulations under the Law Against Discrimination. They break down one of the most comprehensive state-level disparate impact rules in the U.S., the contrasts with traditional federal standards, and implications for enforcement in financial services. The discussion dives into credit scores, underwriting models, AI and automated decision-making tools, and the difference between New Jersey's approach and the Trump administration's effort to scale back disparate impact at the federal level, offering practical takeaways for lenders and other covered entities navigating this shifting landscape.

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From Vegas to Venezuela: High-Stakes Predictive Markets

nicole.sparkswatts@troutman.com (Stephen Piepgrass, Lu Reyes) — Fri, 9 Jan 2026 05:00:00 +0000

In this episode of Regulatory Oversight, host Stephen Piepgrass, who leads Troutman Pepper Locke's Regulatory Investigation Strategy and Enforcement (RISE) practice, is joined by partner Lu Reyes for a deep dive into the national security and enforcement implications of predictive markets. The discussion centers on a headline‑grabbing Polymarket trade that appeared to anticipate former Venezuelan President Nicolás Maduro's capture and yielded roughly $400,000 in profit, raising questions about insider trading and classified information leaks.

Stephen and Lu discuss how current regulatory frameworks and enforcement tools struggle to keep pace with emerging predictive markets, particularly where anonymity and digital assets can make it difficult to identify traders or trace funds. Drawing on Lu's experience as a senior national security official in the Bush administration, they explore how markets that allow betting on geopolitical and military outcomes could place a cash bounty on secrets, potentially encouraging espionage, recruitment of insiders, and even attempts to influence events rather than merely predict them.

The episode also highlights key differences between predictive markets and traditional gambling, including post hoc event definitions and asymmetric access to information, and considers how regulators, Congress, and market operators might respond.

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AI, Algorithms, and Accountability: Unpacking the Colorado AI Act with Senator Rodriguez

Thu, 8 Jan 2026 14:00:00 +0000

In this episode of Regulatory Oversight, host Ashley Taylor is joined by Colorado Senate Majority Leader Robert Rodriguez and Troutman Pepper Locke Privacy + Cyber partner David Stauss for an in‑depth discussion of the Colorado AI Act—widely viewed as the nation's first comprehensive legislative framework focused on high‑risk AI systems and algorithmic discrimination. Senator Rodriguez explains how Colorado's work on consumer privacy laid the groundwork for AI regulation and walks through the origins, goals, and core provisions of the Act, including its emphasis on transparency, risk assessments, and protecting consumers in sectors such as employment, housing, health care, education, finance, and government services.

Stauss situates the Colorado AI Act within the rapidly evolving state, federal, and international AI landscape, describing how lawmakers have sought to avoid a "Wild West" of conflicting state requirements by coordinating through a multi-state work group, and how that effort mirrors the development of state privacy laws. The conversation then turns to answer practical questions companies are asking—how to approach and structure AI risk assessments, the role of attorney-client privilege, how state attorneys general are likely to enforce these laws, and how to navigate growing tensions between state innovation and federal preemption efforts, including reported moves by the Trump administration to curb state AI regulations.

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12 Days of Regulatory Insights: Day 12 – The SEC Reset

nicole.sparkswatts@troutman.com (Stephen Piepgrass, Ghillaine Reid) — Fri, 19 Dec 2025 14:00:00 +0000

In the final episode of our special 12 Days of Regulatory Insights podcast series, Regulatory Oversight co-host Stephen Piepgrass sits down with Partner Ghillaine Reid — co-leader of the firm's securities investigations and enforcement team and a former SEC New York Regional Office branch chief and staff attorney — to assess how shifts in SEC leadership and composition are reshaping rulemaking and enforcement.

Stephen and Ghillaine begin with a discussion on the impact of SEC Chair Paul Atkins' tenure and the appointment of Enforcement Director Meg Ryan amid significant staff attrition and a cost-cutting "efficiency" ethos that has produced a leaner enforcement tempo, fewer cases, and lower settlement totals. They unpack what moving formal order authority back to a commission vote means in practice, the administration's sharpened focus on investor protection and disclosure accuracy, and what public companies should be doing now to ensure consistency across SEC filings, earnings calls, and marketing. They also cover the rise in state-level activity — especially from New York, Massachusetts, Washington, and increasingly Florida and Texas — as state AGs fill federal gaps with a distinct consumer-protection playbook. Looking ahead to 2026, they preview of areas likely to draw heightened scrutiny, including issuer reporting, while offering actionable guidance for navigating parallel federal-state investigations.

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12 Days of Regulatory Insights: Day 11 – FTC Enforcement Trends in a New Age

nicole.sparkswatts@troutman.com (Clay Friedman, Christy Matelis) — Thu, 18 Dec 2025 14:00:00 +0000

In this episode of our special 12 Days of Regulatory Insights podcast series, RISE Partner Clay Friedman is joined by colleague Christy Matelis — a member of the firm's antitrust practice and former Utah assistant attorney general — to unpack what a newly reactivated FTC means for the year ahead.

Clay and Christy discuss the current composition of the three-member, all-Republican Commission following recent changes, the ongoing legal challenges related to former Commissioner Rebecca Slaughter's termination, as well as Chair Andrew Ferguson's draft priorities memo signaling continued focus on technology, privacy, and data security.

Christy discusses what enforcement might look like under a second Trump term, including continued focus on health care, pharmaceuticals, and technology, but with a slower pace. She notes a shift on noncompete agreements, with the FTC moving from broad rulemaking to handling cases individually — shown by dropping appeals on the previous ban but starting a new enforcement action. The conversation also covers staffing changes at the agency and what practitioners are seeing on the ground. On the consumer protection front, Clay and Christy break down the FTC-and-states lawsuit against Ticketmaster/Live Nation (bait pricing, ticket limits, and broker coordination) and the $14 million Match.com settlement underscoring clear disclosures and easy cancellation.

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12 Days of Regulatory Insights: Day 10 – State AGs on Pricing and Renewals

nicole.sparkswatts@troutman.com (Clay Friedman, Mike Yaghi, Nam Kang) — Wed, 17 Dec 2025 13:43:10 +0000

In this episode of our special 12 Days of Regulatory Insights podcast series, RISE attorney Nam Kang welcomes Partners Clay Friedman and Mike Yaghi for a practical look at 2025 regulatory enforcement trends in advertising and marketing.

The insightful discussion in this series begins with the growing push for transparent, all‑in pricing aimed at eliminating junk fees and drip pricing. Clay and Mike explain how new and existing state laws intersect with longstanding UDAP principles, and how this patchwork impacts brands across marketing channels. Drawing on decades of experience advising clients on regulatory enforcement actions in the advertising and marketing space, Clay and Mike map best practices: putting the total, unavoidable price upfront; clearly differentiating retailer charges from government taxes and other mandatory fees; preserving advertisements and web flows for compliance; and avoiding misleading "taxes and fees" (or similar) bundles.

The trio also breaks down the FTC's recent Ticketmaster/Live Nation case, the status of the vacated "Click to Cancel" negative option amendments and continued risks under ROSCA and the FTC Act, and concrete guardrails for subscription disclosures, express informed consent, confirmations, renewal notices, and the requirements for easy cancellations. Looking ahead to 2026, they expect continued state-level pricing enforcement, renewed federal attention to negative-option rulemaking, a focus on combating actual fraud, and heightened exposure for brands that fall short on transparent pricing and auto‑renew practices.

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12 Days of Regulatory Insights: Day 9 – The Economic Development Edge

nicole.sparkswatts@troutman.com (David Dove, Kirk Dillard) — Tue, 16 Dec 2025 14:00:00 +0000

In this episode of our special 12 Days of Regulatory Insights podcast series, RISE partner David Dove is joined by colleague, former State Senator Kirk Dillard, partner at Troutman Strategies to examine 2025 economic development trends and what to expect in 2026. Kirk currently serves as chairman of the Regional Transportation Authority in metropolitan Chicago and was recently appointed to the Illinois Economic Development Corporation. David is the chairman of the University System of Georgia Board of Regents and actively represents clients in economic development projects across the U.S. David and Kirk examine 2025 economic development trends and what to expect in 2026.

David and Kirk discuss how shifting federal regulations and tariffs continue to shape onshoring and investment decisions, particularly across the Midwest's advanced and traditional manufacturing, agribusiness, clean energy, and emerging sectors like quantum computing, microelectronics, and AI. Drawing on their government and deal‑room experience, David and Kirk highlight "positive lawyering" for growth projects — aligning incentives, grants, and workforce programs — while emphasizing the importance of knowing the client's business and decision‑makers. They explore the role of local partnerships and chambers, navigating community concerns in rural siting (from truck counts to road redesigns), and the pivotal infrastructure needs behind data centers, including utilities, water, and grid capacity.

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12 Days of Regulatory Insights: Day 8 – How State AGs Are Rewriting Social Media Rules

nicole.sparkswatts@troutman.com (Ron Raether, Ashley Taylor) — Mon, 15 Dec 2025 14:00:00 +0000

In this episode of our special 12 Days of Regulatory Insights podcast series, Ashley Taylor, co-leader of Troutman Pepper Locke's State AG team, sits down with Privacy and Cyber chair Ron Raether to discuss how state attorneys general (AGs) are shaping the regulatory landscape for social media and the broader ad tech ecosystem.

Ashley and Ron unpack AG priorities ranging from "AI washing" and scrutiny of predictive analytics — especially algorithmic pricing with consumer and antitrust implications — to the rising focus on consent management, transparency, and the maturity of compliance programs beyond paper policies. Ron explains how AGs are augmenting traditional investigatory tools (CIDs and subpoenas) with technologists and pre-investigation analytics, and highlights active states — including California, Colorado, Oregon, and Texas — along with core focus areas such as children's and teens' privacy, health-related data, and potential bias in algorithms. They then dig into the intensifying attention on data brokers, evolving registration and enforcement (including California's strike force), and practical challenges posed by deletion requirements. Ron closes with a pragmatic playbook: be prepared and test for operational compliance, tailor programs to business risk for real ROI, and engage regulators proactively — underscored by a simple but critical metric for compliance excellence: do what you say.

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12 Days of Regulatory Insights: Day 7 – Tobacco and Nicotine Regulatory Roundup

nicole.sparkswatts@troutman.com (Chris Carlson, Bryan Haynes, Agustin Rodriguez) — Fri, 12 Dec 2025 14:00:00 +0000

In this episode of our special 12 Days of Regulatory Insights podcast series, Chris Carlson is joined by colleagues Bryan Haynes and Agustin Rodriguez — members of our Tobacco and Nicotine Practice and RISE Practice Group — to review the year's most consequential developments in the tobacco and nicotine space and what they mean heading into 2026.

The group looks at how states are quickly adopting vapor product directories to help curb illicit, unauthorized products, and discusses the wave of preemption challenges under the Food, Drug and Cosmetic Act. Bryan and Agustin explain California's new Unflavored Tobacco List and its interplay with the state's flavor ban, then turns to federal action: the unsettled status of FDA's graphic cigarette warning rule amid split court outcomes; 2025 PMTA milestones including authorizations for ZYN nicotine pouches and JUUL's tobacco/menthol products; FDA's pilot program to streamline review for nicotine pouches; NJOY's lawsuit over agency delays; and the District of Columbia Circuit's premium cigar decision and remand to define "premium cigars." Looking to 2026, Bryan and Agustin predict a quicker pace of authorizations for reduced-risk products, clearer FDA review standards, and sustained multistate enforcement against illicit products.

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12 Days of Regulatory Insights: Day 6 – Sports Wagering, Player Proposition Bets, and Prediction Market Battles

nicole.sparkswatts@troutman.com (Cole White, Stephen Piepgrass) — Thu, 11 Dec 2025 14:00:00 +0000

In this episode of our special 12 Days of Regulatory Insights podcast series, Stephen Piepgrass is joined by Cole White from our RISE Practice Group's gaming team for a timely, candid conversation on integrity risks and regulatory trends reshaping the legal gaming landscape.

The discussion opens with recent law enforcement investigations touching the NBA, including allegations surrounding rigged high‑stakes poker games and inside information schemes, and explores what those probes may mean for charges, enforcement strategy, and league policy. Stephen and Cole unpack how the rapid expansion of sports wagering is testing compliance frameworks, why certain types of bets (like player proposition bets) draw heightened scrutiny, and how both technology and traditional evidence factor into detection. The conversation then turns to prediction markets — specifically Kalshi's sports‑related event contracts — and the growing federal-state jurisdictional debate over whether these markets fall under the CFTC's derivatives oversight or state gaming laws. They conclude by breaking down emerging standards and partnerships and what they could signal for the future of regulated wagering and event contracts.

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12 Days of Regulatory Insights: Day 5 – Privacy Under the Microscope

nicole.sparkswatts@troutman.com (Gene Fishel, Dave Navetta) — Wed, 10 Dec 2025 14:00:00 +0000

In this episode of our special 12 Days of Regulatory Insights podcast series, Gene Fishel, a member of the firm's RISE Practice Group and State AG team, is joined by Partner Dave Navetta of the Privacy + Cyber Practice Group, to discuss the biggest privacy and cyber enforcement themes of 2025 and preview what's ahead for 2026.

Dave breaks down the surge of demand letters and lawsuits targeting website tracking technologies under wiretapping theories, and how regulators — especially in California — are stress-testing opt-out mechanisms, GPC signals, and consent tools. Gene adds a state AG enforcement perspective, highlighting recently utilized AG statutory tools and scrutiny around children's data and opt-out mechanisms. Looking forward, Dave explains why 2026 will be a watershed year for data brokers, with California's Delete Act and similar state frameworks poised to reshape "sale" practices and require ongoing checks of centralized opt-out platforms. The conversation closes with a preview of state AI laws taking effect in 2026 and what companies should be doing now to prepare.

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12 Days of Regulatory Insights: Day 4 – Open Records Realities

nicole.sparkswatts@troutman.com (Lauren Fincher, Brian O’Reilly) — Tue, 9 Dec 2025 14:00:00 +0000

In this episode of our special 12 Days of Regulatory Insights podcast series, RISE Practice Group Partners Lauren Fincher and Brian O'Reilly look at practical, recent developments and trends in open records laws for 2025. They explore the diverse — and often competing — perspectives in the public records space: protecting sensitive business information submitted to government versus fulfilling disclosure obligations as a governmental body.

Lauren and Brian cover front-end strategies (including contract language), navigating exceptions to disclosure, seeking attorney general opinions, and litigating adverse rulings. They also share counseling insights for third parties and how requesters can use open records laws strategically. The episode examines the growing impact of technology: AI-drafted requests that unintentionally trigger "anticipated litigation" issues, the explosion of record types driving volume and burden, and ongoing debates over producible formats and search tools. Finally, they survey the evolving legislative landscape, including New York's recent veto of a bill to cap response times and Texas's strict, nonextendable deadlines, and discuss why fast-moving technology makes statutory updates challenging.

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12 Days of Regulatory Insights: Day 3 – How the BBB Shapes Regulatory Outcomes

nicole.sparkswatts@troutman.com (Stephen Piepgrass, Michael Yaghi) — Mon, 8 Dec 2025 14:00:00 +0000

In this episode of our special 12 Days of Regulatory Insights podcast series, Stephen Piepgrass sits down with partner Mike Yaghi of the RISE practice group and State Attorneys General (AG) team to explore how businesses can strategically engage with the Better Business Bureau (BBB) to build consumer trust, bolster reputations, and reduce regulatory risk.

Although the BBB isn't a government agency, it functions as a consumer watchdog — handling complaints, forwarding issues to companies, and, critically, making referrals to regulators like the Federal Trade Commission, Consumer Financial Protection Bureau, and state AGs. Mike and Stephen explain how maintaining BBB accreditation and promptly resolving complaints can prevent the "vicious cycle" of ignored issues, falling ratings, and heightened regulatory scrutiny, and instead create a "virtuous cycle" aligned with the BBB's "start with trust" ethos. They also address misuse of the BBB by fraudsters and competitors, sharing real-world examples and practical advice. Finally, they discuss how a strong BBB rating and documented consumer resolutions can carry positive weight in state AG investigations.

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12 Days of Regulatory Insights: Day 2 – How AGs Are Shaping Health Care Markets

nicole.sparkswatts@troutman.com (Chris Carlson, Lauren Fincher, Barry Boise) — Fri, 5 Dec 2025 14:00:00 +0000

In this episode of our special 12 Days of Regulatory Insights podcast series, Chris Carlson, a partner in our RISE practice group and member of the State Attorney General (AG) team, is joined by colleagues Lauren Fincher, also a partner in our RISE practice and State AG team, and Barry Boise, a partner in our Health Care + Life Sciences Litigation practice, to examine how state AGs approached the health care sector in 2025, and what's coming next in 2026.

The group discusses how state AGs have moved from focusing on pharma, devices, and nursing homes to scrutinizing the entire health care ecosystem — including PBMs, pharmacies, consultants, and private equity — with drug pricing, consolidation and antitrust, and PBM practices at the top of the agenda. Lauren and Barry detail the tools state AGs are deploying — UDAP/DTPA, Medicaid fraud and anti‑kickback statutes, state antitrust, and public nuisance — and explore the shift from multistate coalitions to solo state actions. They also highlight the rise of state AG involvement in health care deal approvals and pre‑notice regimes, alongside intensifying scrutiny of private equity ownership. Looking to 2026, the group forecasts sustained pressure on drug pricing, sharper battles over public nuisance, broader use of transaction approval laws, increased attention to the Make America Healthy Again initiative, and new questions about AI's impact on care within PE‑owned operations.

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12 Days of Regulatory Insights: Day 1 – Potential Impacts of 2025–2026 State AG Elections

nicole.sparkswatts@troutman.com (Ashley Taylor, Stephanie Kozol) — Thu, 4 Dec 2025 14:05:00 +0000

In the first episode of our special 12 Days of Regulatory Insights podcast series, Ashley Taylor, co-leader of the firm's State Attorneys General (AG) team, is joined by his colleague Stephanie Kozol, senior government relations manager for the State AG team. Together, they unpack how the latest state AG outcomes shape business risk and strategy — and what's ahead in the 2026 election cycle.

Ashley and Stephanie begin by discussing two immediate developments: Virginia's AG office flips to Democratic control as Jay Jones defeats incumbent Jason Miyares, signaling likely pivots in regulatory actions; and New Jersey's gubernatorial result sets the stage for a Democratic-appointed AG and policy continuity. From there, Ashley and Stephanie look ahead to 2026, where open AG seats and several razor‑thin battlegrounds will reset enforcement priorities in health care, finance, technology, energy, and real estate. They emphasize that primary season rhetoric often previews first‑year enforcement, that senior staff transitions can materially affect investigations even when party control doesn't change, and that companies should audit strategies now while building bridges for early engagement once new AGs take office.

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The Garden State's AG Blueprint: Data, Partnership, Accountability

Thu, 6 Nov 2025 05:00:00 +0000

In this episode of Regulatory Oversight, Stephen Piepgrass is joined by RISE partner Chris Carlson and New Jersey First Assistant Attorney General (AG) Lyndsay Ruotolo for a deep dive into the unique structure, scope, and impact of the New Jersey Office of the Attorney General (OAG). Lyndsay shares how her career in prosecution, county leadership, and federal service shaped a broad, modern view of public safety — one that spans criminal justice, consumer protection, health, and community well-being.

Their conversation covers the OAG's expansive authority, its ability to issue statewide directives, and how close collaboration with law enforcement, communities, and industry is driving measurable results across New Jersey. From a first-of-its-kind active violent event directive and redesigned sexual violence response, to the Arrive Together co-responder model and data-driven gun violence reduction, Lyndsay explains how New Jersey pairs policy, training, and partnerships with transparency and accountability. Chris and Lyndsay also discuss practical guidance for businesses on engaging with the state, plus insights into cross-state AG collaboration that transcends party lines to advance public safety.

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From Politics to PR: Navigating Crisis Management

nicole.sparkswatts@troutman.com (Zack Condry, Stephen Piepgrass) — Tue, 14 Oct 2025 12:00:00 +0000

In this episode of Regulatory Oversight, Stephen Piepgrass is joined by Zack Condry, co-founder of Watermark Strategies, to analyze the evolving landscape of crisis management and the critical role of strategic communication in navigating complex issues. They explore effective communication strategies, public relations, and the evolving role of AI in managing crises. Zack shares insights from his extensive experience in corporate communications and public affairs, from his background managing political campaigns to his current work developing digital strategies for high-profile clients.

The conversation also addresses the challenges organizations face in information discovery, data privacy, and navigating regulatory and political landscapes. Stephen and Zack highlight the importance of data-driven decision-making in crisis management and how AI is shaping digital communications.

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New York's FAIR Act: A Game-Changer for Regulatory Enforcement and Litigation

Tue, 30 Sep 2025 12:30:00 +0000

In this crossover episode of The Consumer Finance Podcast and Regulatory Oversight, Chris Willis is joined by Joseph DeFazio, Bill Foley, and Michael Yaghi to discuss the implications of New York's FAIR Act, a significant amendment to the state's UDAAP statute. The FAIR Act aims to broaden consumer protection by lowering the threshold for legal action against unfair and abusive business practices. With expanded enforcement powers for the state, this legislation could dramatically increase litigation risks for financial services companies operating in New York if the governor signs the bill. Tune in to understand how this legislative shift might affect the industry and what steps businesses can take to prepare.

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State AGs' Continued Focus on Enforcement – With or Without AI Legislation

Tue, 16 Sep 2025 04:00:00 +0000

In this crossover episode of The Good Bot and Regulatory Oversight, Brett Mason, Gene Fishel, and Chris Carlson discuss the latest state laws targeting AI, especially in health care. They break down new legislation in Colorado, Utah, California, and Texas, highlighting differences in scope and enforcement. They also cover how state attorneys general are using consumer protection and anti-discrimination laws to regulate AI, even in states without AI-specific statutes.

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Solicitors General Insights: The Art of Oral Advocacy With Michigan and New Jersey

Tue, 2 Sep 2025 13:15:00 +0000

In this episode of our special Regulatory Oversight: Solicitors General Insights series, RISE Counsel Jeff Johnson, a former deputy solicitor general in the Missouri Attorney General's office, welcomes Michigan Solicitor General Ann Sherman and New Jersey Solicitor General Jeremy Feigenbaum. They explore the art of oral advocacy, sharing insights into how they effectively present cases. The conversation also addresses state sovereignty, emphasizing the importance of allowing states to experiment with policies and the impact of bipartisan issues, particularly those that resonate most effectively in front of SCOTUS.

Additionally, the group examines the political dynamics surrounding sovereign immunity issues, including the delicate balance between foreign powers and a state's ability to assert its voice. Ann and Jeremy highlight areas where states have found common ground, showcasing how collective state action can lead to significant impacts.

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Understanding BBB Ratings: Strategic Approaches to Consumer Complaints

nicole.sparkswatts@troutman.com (Stephen Piepgrass, Michael Yaghi, Daniel Waltz) — Tue, 19 Aug 2025 04:00:00 +0000

In this episode of Regulatory Oversight, Stephen Piepgrass, Michael Yaghi, and Dan Waltz conclude their two-part series on the Better Business Bureau (BBB). The group discusses strategies for managing and improving BBB ratings for businesses, while examining how consumer complaints impact potential regulatory actions. They emphasize the importance of addressing these consumer complaints promptly, highlighting the need for effective training and streamlining complaint handling processes within companies to prevent issues from being overlooked.

The group explores the impact of regulatory actions on BBB ratings and the importance of understanding how multistate and single state investigations can affect a company's score. They offer solutions to address BBB rating concerns, aiming to minimize these potential legal and regulatory challenges, while fostering consumer trust. The conversation concludes with insights into the BBB's cooperative approach and its relationship with state regulators.

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Understanding BBB Ratings: Building Trust and Mitigating Risks

nicole.sparkswatts@troutman.com (Dan Waltz, Michael Yaghi, Stephen Piepgrass) — Tue, 29 Jul 2025 04:00:00 +0000

In this episode of Regulatory Oversight, we kick off a two-part series on the Better Business Bureau (BBB). Stephen Piepgrass, Michael Yaghi, and Dan Waltz explore the significance of the BBB for businesses, particularly in relation to regulatory scrutiny and consumer trust. The conversation begins with an overview of the BBB as a quasi-governmental agency, emphasizing its role in consumer complaints and how these are perceived by regulators, including state attorneys general.

The discussion covers practical strategies for businesses to systematically address BBB complaints and improve their ratings. The speakers emphasize the trust consumers and regulators place in BBB ratings, making it crucial for companies to proactively manage their BBB profiles to mitigate scrutiny from the BBB, as well as other regulatory bodies. The episode concludes with a discussion on the structure of the BBB, which consists of national and regional branches.

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Solicitors General Insights: The Tale of Two Washingtons

Wed, 9 Jul 2025 04:00:00 +0000

In this episode of our special Regulatory Oversight: Solicitors General Insights series, Jeff Johnson is joined by District of Columbia Solicitor General Caroline Van Zile and Washington Solicitor General Noah Purcell to discuss their respective offices, and the distinct challenges and focuses of each. Noah shares insights into the Washington Solicitor General's Office, and Caroline discusses the multifaceted nature of the District of Columbia Solicitor General's Office, as they balance a diverse array of appellate work and providing legal advice on novel issues.

The episode explores the pressing legal challenges and cases currently being addressed by each office. This includes litigation against federal policies and the defense of state laws in Washington, alongside consumer protection cases in the District of Columbia. The conversation then transitions to two pivotal U.S. Supreme Court cases that examine the intricate relationship between public education, religious freedoms, and state action. These cases raise critical questions about parental rights and the role of charter schools within the public education system. Throughout the episode, Caroline and Noah offer insightful perspectives on the potential ramifications of these cases, emphasizing their broader impact on state and local governments.

The episode concludes with a reflection on the rewarding aspects of their roles and the importance of their work in shaping public policy and serving their communities.

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Solicitors General Insights: The Legal Frontlines in Iowa and Indiana

nicole.sparkswatts@troutman.com (Jeff Johnson, Eric Wessan, James Barta) — Tue, 24 Jun 2025 04:00:00 +0000

In this episode of our special Regulatory Oversight: Solicitors General Insights series, Jeff Johnson is joined by Iowa Solicitor General Eric Wessan and Indiana Solicitor General James Barta to discuss their roles and responsibilities, as well as the current legal challenges their offices are facing. The conversation delves into the intricacies of state and federal court appeals, highlighting the significant amount of work done in state courts.

Eric explains the Iowa solicitor general division's focus on agriculture and energy, emphasizing the importance of defending state laws and handling appeals. He also discusses the unique appellate process in Iowa, where all appeals initially go to the Iowa Supreme Court. James outlines Indiana's approach, which includes defending state statutes, strategic litigation, and advising the attorney general on various legal matters.

The episode explores the issue of extraterritorial regulation, and the challenges posed by states imposing regulations that affect industries in other states, such as pork production and fossil fuel usage. While highlighting the importance of preserving state sovereignty, the discussion concludes by addressing the principles of equal sovereignty and federalism, referencing recent Supreme Court cases and ongoing litigation.

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Facial Recognition and Legal Boundaries: The Clearview AI Case Study

Tue, 10 Jun 2025 13:00:00 +0000

In this episode of the Regulatory Oversight podcast, Stephen Piepgrass welcomes David Navetta, Lauren Geiser, and Dan Waltz to discuss the $51.75 million nationwide class settlement involving Clearview AI and its broader implications. The conversation focuses on Clearview AI's facial recognition software, which has sparked controversy due to its use of publicly available images to generate biometric data.

The discussion begins with an overview of the facial recognition software, followed by an analysis of alleged privacy law violations, particularly concerning the Biometric Information Privacy Act (BIPA). David provides insights into biometric data and its implications, while Dan explores BIPA, a unique Illinois law that regulates biometric data collection and offers a private right of action for violations. Lauren outlines the settlement's structure, highlighting the creative approach to negotiating its terms. The settlement faced objections from 22 state attorneys general (AGs) and the AG for the District of Columbia, mainly due to concerns over consumer monetary relief and the absence of injunctive relief.

The episode concludes with valuable insights into the importance of engaging with state AGs during settlement negotiations, setting precedents for creative settlements, and the necessity for companies to proactively manage their use of personal data to avoid similar legal challenges.

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State AGs Unite: New Privacy Task Force Signals Shift in Regulatory Power Dynamics

nicole.sparkswatts@troutman.com (Kim Phan, Stephen Piepgrass, Chris Willis) — Tue, 27 May 2025 04:00:00 +0000

In this crossover episode of The Consumer Finance Podcast and Regulatory Oversight, Chris Willis, Kim Phan, and Stephen Piepgrass provide insights on a new joint privacy task force among several state AGs, known as the Consortium of Privacy Regulators. The consortium recently outlined goals to share state resources and align enforcement priorities regarding consumer harm and privacy rights. In response to an anticipated shift of regulatory scrutiny from federal agencies to state leaders, this episode focuses on specific steps financial services companies should consider when dealing with consumer privacy, data, complaints, and inquiries to ensure compliance and mitigate potential investigations and enforcement actions.

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From Cell Phones to Tractors: The Right to Repair Movement Drives On

nicole.sparkswatts@troutman.com (Stephen Piepgrass, Brad Weber, Christy Matelis) — Tue, 13 May 2025 04:00:00 +0000

In this episode of Regulatory Oversight, Stephen Piepgrass is joined by colleagues Brad Weber and Christy Matelis from the firm's Antitrust Practice Group to explore the evolving landscape of right-to-repair laws across the United States.

The discussion delves into the complexities of the right-to-repair movement, highlighting the patchwork nature of state laws and the absence of a national framework. Christy outlines the consumer-driven push for the ability to repair and modify products ranging from cell phones to agricultural equipment, while Brad explains the role of federal statutes like the FTC Act and the Magnuson-Moss Warranty Act in shaping corporate compliance. The conversation touches on significant legal cases, such as the ongoing litigation involving John Deere, which underscores the tension between consumer rights and corporate interests. As state attorneys general become increasingly active in this space, the podcast concludes by examining the potential for bipartisan support and the implications of tariffs on consumer behavior.

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AI Legislation: The Statewide Spotlight

Tue, 6 May 2025 15:07:21 +0000

Join us for a special crossover episode of The Consumer Finance Podcast and Regulatory Oversight, where Chris Willis, Kim Phan, and Gene Fishel delve into the evolving world of state AI legislation. As AI becomes a pivotal tool in the financial services industry, understanding the implications of new laws is crucial. This episode focuses on Colorado's comprehensive AI law and its potential influence on other states, exploring key issues such as algorithmic discrimination, privacy, and cybersecurity. Gain insights into best practices for compliance and learn how state attorneys general are stepping up enforcement in the absence of federal action. Don't miss this informative discussion bridging consumer finance and regulatory oversight.

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Solicitors General Insights: A Deep Dive With Mississippi and Tennessee Solicitors General

Wed, 30 Apr 2025 13:00:00 +0000

In this episode of our special Regulatory Oversight: Solicitors General Insights series, Jeff Johnson, a former deputy solicitor general in the Missouri Attorney General's office, welcomes Scott Stewart, solicitor general of Mississippi, and Matt Rice, solicitor general of Tennessee. The episode uncovers the intricacies of being a state solicitor general and the impact of their work on state and national levels.

Scott and Matt discuss the unique aspects of their positions, emphasizing their roles as lead advocates in appellate litigation and the importance of maintaining consistency across vast state litigation. The conversation covers their day-to-day responsibilities, including drafting briefs, preparing for arguments, and providing strategic advice. They also touch on the challenges of managing time between these tasks and the rewarding nature of their work in public service. They conclude their discussion by exploring the evolving landscape of administrative law, including the implications of recent Supreme Court decisions on the major questions doctrine and nondelegation doctrine.

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Leadership and Innovation at the Illinois AG's Office

Thu, 24 Apr 2025 04:00:00 +0000

In this episode of Regulatory Oversight, Stephanie Kozol and Chuck Slemp welcome Illinois Attorney General (AG) Kwame Raoul and Chief Deputy AG Brent Stratton. Raoul and Stratton share their career inspirations, unique journeys into politics, and the challenges they have faced in their political endeavors.

The duo explains the AG office's organizational structure and operations, as well as their contributions to the office. They highlight their efforts in enhancing worker protection, combating internet crimes against children, and addressing organized retail crime. The episode concludes with Raoul and Stratton reflecting on their roles and career milestones.

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Inside Maine's AG Office: AG Aaron Frey on Public Service

Thu, 10 Apr 2025 13:00:00 +0000

In this episode of Regulatory Oversight, Stephanie Kozol and Chuck Slemp welcome Maine Attorney General (AG) Aaron Frey to discuss the unique aspects of the Maine Office of the AG. The conversation begins with Frey sharing his personal background and motivations for entering public service, before delving into the distinctive process of electing the AG in Maine.

The insightful discussion then turns to the inner workings and focuses of the AG's office, highlighting its jurisdiction over criminal law and efforts to combat the opioid crisis. Additionally, they explore Frey's role as co-chair of the National Association of Attorneys General Elder Justice Committee, alongside Virginia AG Jason Miyares. They consider the unique vulnerabilities of the senior population, aiming to protect them from scams and exploitation. The episode concludes with a friendly conversation, reaffirming Frey's commitment to the people of Maine.

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The Future of Auto Dealership Compliance: A Conversation With Tom Kline

Wed, 26 Mar 2025 13:13:08 +0000

This episode of Regulatory Oversight spotlights recent Moving the Metal episode "The Future of Auto Dealership Compliance: A Conversation With Tom Kline." In this episode, Brooke Conkle and Chris Capurso from Troutman Pepper Locke's Consumer Financial Services Practice Group are joined by Tom Kline, lead consultant and founder of Better Vantage Point. Tom shares his extensive experience in the auto industry, discusses the implications of the recent vacating of the CARS Rule by the Fifth Circuit, and provides insights into the most common compliance challenges faced by dealers. He also delves into the importance of having a robust compliance program and the evolving regulatory landscape. Additionally, Tom talks about his book, Tuck the Octopus, which offers valuable strategies for managing dealership operations and mitigating risks. Tune in to gain expert perspectives on staying compliant and competitive in the auto finance industry.

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The People's Protector: A Conversation With AG Jason Miyares

nicole.sparkswatts@troutman.com (Chuck Slemp, Jason Miyaras) — Wed, 12 Mar 2025 04:00:00 +0000

In this episode of Regulatory Oversight, Chuck Slemp welcomes his former boss, Virginia Attorney General (AG) Jason Miyares. With more than two decades of shared history, Chuck and Jason delve into a candid conversation about their journey from young professionals in the AG’s office to their current roles. Jason shares his inspiring journey from intern to becoming the first Hispanic AG of Virginia and the first child of an immigrant to hold the office.

They discuss the importance of mentorship and the value of internship programs in shaping future legal professionals.

While discussing the unique intersection of law and policy within the AG's office, Chuck and Jason consider the concept of the "people's protector," which guides the office's mission to ensure justice and public safety. They highlight significant initiatives such as the opioid crisis response, including the "One Pill Can Kill" campaign and Operation Ceasefire, a comprehensive approach to reducing gun violence, as well as other efforts to protect vulnerable populations.

During the conversation, Jason outlines key priorities for the next term, including ongoing efforts in consumer protection and public safety.

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Bipartisan Leadership and Reform at NAAG: Insights From Brian Kane

nicole.sparkswatts@troutman.com (Clay Friedman, Brian Kane, Stephen Piepgrass) — Wed, 26 Feb 2025 14:00:00 +0000

In this episode of Regulatory Oversight, Clay Friedman, co-leader of the firm's State Attorneys General (AG) practice, welcomes back Brian Kane, executive director of the National Association of Attorneys General (NAAG). They discuss the significant transitions and reforms at NAAG over the past two years, including the implementation of a bipartisan leadership structure and a comprehensive management review.

Clay and Brian also highlight several of NAAG's recent accomplishments, as well as the upcoming NAAG Spring Symposium in Nashville, TN. Key topics at the symposium will include consumer protection, artificial intelligence, cybersecurity, and disaster preparedness.

The conversation then shifts to the challenges of keeping up with technological advancements and the importance of continuous education for AGs and their offices. They also discuss the strategies NAAG employs to train and integrate new members and the collaboration between NAAG and AG Alliance.

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State Regulators Step Up: Responding to the CFPB's New Leadership

Thu, 20 Feb 2025 05:00:00 +0000

In this special joint edition of the Consumer Finance Podcast and the Regulatory Oversight Podcast, host Chris Willis is joined by colleagues Stephen Piepgrass, James Kim, Jesse Silverman, and Lane Page to discuss the ongoing changes at the Consumer Financial Protection Bureau (CFPB) and predict how state regulators and legislatures will react to fill the void. This episode explores the anticipated responses from state attorneys general, financial service regulators, and legislatures, and offers strategic insights for industry players to navigate this complex regulatory environment. Tune in to understand the proactive measures your organization can take to stay compliant and ahead of potential state enforcement actions.

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Balancing Law and Public Service: Insights From AG Formella

nicole.sparkswatts@troutman.com (Stephen Piepgrass, Chuck Slemp, John Formella) — Thu, 6 Feb 2025 05:00:00 +0000

In this episode of Regulatory Oversight, Chuck Slemp is joined by New Hampshire Attorney General (AG) John Formella to discuss his journey to becoming New Hampshire's AG. Formella highlights his career in private practice, his role as legal counsel to Governor Chris Sununu, and his eventual appointment as AG in 2021. As the new president of the National Association of Attorneys General (NAAG), Formella outlines his initiative to combat substance abuse and drug trafficking, emphasizing bipartisan collaboration and support for law enforcement. He also addresses emerging issues such as elder abuse, data privacy, civil rights, and mental health.

Additionally, Chuck and Formella all touch on the unique selection process for the AG in New Hampshire and the structure of his office. They address pressing issues in the state, including elder abuse, data privacy, civil rights, mental health, and drug enforcement. Formella also provides insights into the intersection of law, politics, and policy, and offers advice to the business community on supporting AG offices.

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Behind the Scenes: The Role of Senior Staff in AG Offices

nicole.sparkswatts@troutman.com (Chuck Slemp, Lacey Mase) — Wed, 22 Jan 2025 13:45:00 +0000

In this episode of Regulatory Oversight, Chuck Slemp welcomes Lacey Mase, the chief deputy attorney general (AG) of Tennessee, to explore the inner workings of an AG's office and the pivotal role of its senior staff in driving legal and policy outcomes.

Mase, who previously served for more than nine years in the Texas AG’s office, begins by sharing insights into her journey and responsibilities since joining the Tennessee AG's office in January 2021. She emphasizes the importance of senior staff as the bridge connecting various stakeholders and shaping legal policy across the U.S.

Chuck and Mase also discuss the structure and operations of the Tennessee AG's office, while highlighting its focus on civil law and the diverse legal matters it handles. Mase shares her experiences in handling high-profile cases, such as the NCAA antitrust lawsuit, underscoring the collaborative efforts among AG offices nationwide.

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Understanding Georgia's Civil Justice Climate With Commissioner John King

nicole.sparkswatts@troutman.com (David Dove, John King, Stephen Piepgrass) — Wed, 8 Jan 2025 05:00:00 +0000

In this episode of Regulatory Oversight, David B. Dove, leader of our firm's Regulatory and Economic Investment Practice in Georgia, is joined by Georgia Insurance Commissioner John King to discuss his office's recent report analyzing Georgia's civil justice climate.

King's office produced a report in November 2024 outlining needed tort reforms to keep Georgia's economy moving forward. King walks through the report and highlights his efforts to bring affordable health care to Georgia and address civil justice system abuses that impact small businesses.

King outlines his strategy of collecting data to understand the market and the impact of litigation costs on insurance prices. He emphasizes the need for a stable insurance market and strategic tort reform. King outlines recommendations based on collected data, focusing on phantom damages and premise liability, and underscores ongoing efforts to improve Georgia's insurance market conditions. King also shares his journey to becoming the insurance commissioner, detailing his background and the hurdles he faced in reforming an agency and running for office.

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12 Days of Regulatory Insights: Day 12 - Redefining Online Gaming

nicole.sparkswatts@troutman.com (Stephen Piepgrass, Cole White) — Fri, 20 Dec 2024 13:04:31 +0000

In the 12th and final episode of our 12 Days of Regulatory Insights podcast series, Cole White, a member of Troutman Pepper's Regulatory Investigation, Strategy, and Enforcement (RISE) practice group, is joined by Stephen Piepgrass, RISE practice group leader, to discuss recent developments in the online gaming industry.

Stephen and Cole explore the impact of new technologies such as artificial intelligence (AI) and cryptocurrencies on the gaming experience, highlighting how AI can tailor gaming experiences and predict problem gaming, while cryptocurrencies expand access but pose regulatory challenges. They also examine emerging trends like the gamification of gambling, the influence of social media, and the rise of micro betting. Additionally, they address the evolving regulatory landscape, focusing on how online social and sweepstakes casinos navigate traditional gambling laws and how regulators are adapting to new gaming innovations. The episode concludes with a look at the future of online gaming regulation and industry efforts to work with legislators to create clear legal frameworks.

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12 Days of Regulatory Insights: Day 11 – State AGs on the Antitrust Frontline

nicole.sparkswatts@troutman.com (Ashley Taylor, Brad Weber, Tim Bado) — Thu, 19 Dec 2024 13:54:38 +0000

In the 11th episode of our 12 Days of Regulatory Insights podcast series, Ashley Taylor, co-leader of Troutman Pepper's State Attorneys General team, is joined by Brad Weber, co-chair of Locke Lord's Antitrust practice group, and Tim Bado, a member of Troutman Pepper's Regulatory Investigation, Strategy, and Enforcement (RISE) practice group, to discuss the increasing role of state attorneys general (AGs) in antitrust enforcement.

The group explores the unique strategies employed by state AGs, significant antitrust cases from 2024, and the growing collaboration between state and federal authorities. The discussion highlights how new technologies and evolving market dynamics are influencing antitrust actions. Ashley, Brad, and Tim wrap up the episode with their predictions for 2025, emphasizing the importance of understanding the nonpartisan nature of state AGs and the potential impact of federal budgetary constraints on antitrust enforcement.

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12 Days of Regulatory Insights: Day 10 - Understanding Local Government Dynamics

nicole.sparkswatts@troutman.com (Stephen Piepgrass, Chuck Slemp) — Wed, 18 Dec 2024 14:00:00 +0000

In the 10th episode of our 12 Days of Regulatory Insights podcast series, Stephen Piepgrass, leader of the firm's Regulatory Investigation, Strategy + Enforcement (RISE) practice, is joined by colleague Chuck Slemp to discuss the unique challenges faced by local governments and businesses interacting with them.

Chuck, who has extensive experience as a local government attorney and former Commonwealth attorney, shares insights on a range of issues including compliance with federal and state laws, economic development partnerships, and the impact of local government actions on business strategies. The conversation highlights the importance of skilled legal counsel in navigating complex local government matters, such as land use, zoning, and public-private partnerships. They also delve into the intricacies of local government investigations, public records laws, and the interplay between state AGs and local governments.

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12 Days of Regulatory Insights: Day 9 - Trends in the Tobacco Industry

Tue, 17 Dec 2024 14:00:00 +0000

In the ninth episode of our 12 Days of Regulatory Insights podcast series, Michael Jordan, a member of the firm's Tobacco + Nicotine practice, is joined by colleagues Bryan Haynes and Agustin Rodriguez to delve into the regulatory landscape of the tobacco industry in 2024 and what to expect in 2025. Bryan, head of the firm's Tobacco + Nicotine practice, and Agustin, also a member of the Tobacco + Nicotine practice, discuss the increased state-level actions against illicit flavored e-cigarettes due to FDA's inaction. They highlight efforts by state AGs to combat these products, including issuing letters to retailers and establishing product registries. The conversation also touches on the anticipated regulatory changes under the new administration, the potential impact on nicotine pouches, and the implications of the Tobacco Master Settlement Agreement (MSA) and the upcoming escrow refunds for nonparticipating manufacturers. Bryan and Agustin provide insights into the evolving regulatory environment and the implications for the tobacco industry in the coming year.

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12 Days of Regulatory Insights: Day 8 - Inside the Texas AG's Office

nicole.sparkswatts@troutman.com (Chris Carlson, Lauren Fincher) — Mon, 16 Dec 2024 14:00:00 +0000

In the eighth episode of our special 12 Days of Regulatory Insights podcast series, Chris Carlson, a member of Troutman Pepper's State AG practice, is joined by Lauren Fincher, chair of Locke Lord's Administrative and Regulatory Practice Group, to discuss the major initiatives and actions taken by the Texas AG's office in 2024.

Lauren highlights key areas of focus that we have seen from the Texas AG's office throughout the past year, including opioid litigation, political issues, and AI. Connecting AI to the major data privacy and security initiative the AG launched, Lauren and Chris discuss how the AG's office has been active in addressing issues related to the collection and use of personal biometric data and location data. They also highlight the Texas AG's creative use of the Deceptive Trade Practices Act to address new market issues and protect consumers, as well as significant antitrust efforts to address consumer monopoly concerns across various industries.

Looking ahead to 2025, Lauren predicts that the Texas AG will continue to focus on certain political topics, social media practices, AI, and data privacy and security. They emphasize the importance of data privacy and AI as key focus areas for the Texas AG's office moving forward, highlighting the dynamic and evolving nature of regulatory enforcement.

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12 Days of Regulatory Insights: Day 7 - New Rules in Advertising

nicole.sparkswatts@troutman.com (Mike Yaghi, Natalia Jacobo) — Fri, 13 Dec 2024 14:00:00 +0000

In the seventh episode of our 12 Days of Regulatory Insights podcast series, members of the firm's Advertising + Marketing practice, Mike Yaghi and Natalia Jacobo, examine the evolving landscape of advertising and marketing regulations. The episode focuses on the impact of recent efforts to curb junk fees, state mandates for transparent pricing, and potential regulatory changes anticipated with the new administration in 2025.

Mike and Natalia discuss the significance of the FTC's proposed rule to curb unfair or deceptive fees, the challenges businesses might face in complying with new requirements, and the implications of state regulations like California's Senate Bill 478 on transparent pricing. The episode also highlights similar regulatory initiatives in other states and anticipates future changes in the advertising and marketing space with the new administration.

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12 Days of Regulatory Insights: Day 6 - Regulatory Shifts in Consumer Financial Services

nicole.sparkswatts@troutman.com (Mike Yaghi, Chris Willis, Lane Page) — Thu, 12 Dec 2024 05:00:00 +0000

In the sixth episode of our 12 Days of Regulatory Insights podcast series, Lane Page is joined by Mike Yaghi, a partner in the firm's Regulatory Investigations, Strategy + Enforcement (RISE) practice, and Chris Willis, co-leader of the firm's Consumer Financial Services Regulatory practice, to discuss the anticipated changes in federal and state oversight and enforcement within the consumer financial services industry.

Mike and Chris examine the potential for increased state enforcement in areas like consumer protection, junk fees, and consumer lending, especially if federal agencies like the CFPB and FTC become less aggressive under the new administration. They also highlight the growing scrutiny of AI, redlining, noncredit products, and bank partnership agreements by state regulators.

The episode underscores the compliance challenges companies face due to conflicting state laws and the broad application of state UDAP statutes.

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12 Days of Regulatory Insights: Day 5 - Cannabis Chronicles

nicole.sparkswatts@troutman.com (Jean Smith-Gonnell, Nick Ramos) — Wed, 11 Dec 2024 13:49:48 +0000

In the fifth episode of our 12 Days of Regulatory Insights podcast series, Nick Ramos is joined by Jean Smith-Gonnell, the leader of the firm's Cannabis Industry practice, to discuss significant regulatory updates in the cannabis industry from 2024 and the potential impacts of the recent election on the industry in 2025.

The two begin by reviewing several states' legalization initiatives, including Nebraska's arguably surprising approval measure to legalize medical marijuana. Shifting to the federal outlook for 2025, they highlight public support for legalization and President-elect Donald Trump's stance on state-level legalization and rescheduling marijuana to a Schedule III drug.

Jean and Nick round out their discussion by highlighting legislative proposals that aim to address various regulatory and banking challenges in the cannabis industry, such as the States 2.0 Act, the States Reform Act of 2023, and the Safer Banking Act.

Our Cannabis Industry practice provides advice on issues related to applicable federal and state law. Marijuana remains an illegal controlled substance under federal law.

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12 Days of Regulatory Insights: Day 4 - A Focus on the FCA

nicole.sparkswatts@troutman.com (Amy Williams, Allison O’Neil, Dan Waltz) — Tue, 10 Dec 2024 14:00:00 +0000

In the fourth episode of our 12 Days of Regulatory Insights podcast series, Dan Waltz is joined by colleague Amy Williams, a partner at Troutman Pepper, and Allison O'Neil, co-chair of Locke Lord's White Collar Defense & Investigations practice group. They dive into recent enforcement actions under the False Claims Act (FCA) at both federal and state levels.

The group discusses the FCA, its enforcement mechanisms, and some significant recent cases. Allison explains how the FCA targets those defrauding the government, making it a key tool for fighting fraud. Amy highlights how state-level FCAs, often modeled after the federal statute, can lead to double enforcement in fraud cases.

Looking ahead, Allison predicts more state-level enforcement due to potential uncertainties at the federal level, with states stepping in to fill the gaps. Both Allison and Amy agree that the FCA will stay a crucial enforcement tool, with priorities possibly shifting after changes in administration.

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12 Days of Regulatory Insights: Day 3 - State AG Oversight in the Health Care Industry

nicole.sparkswatts@troutman.com (Barry Boise, Chris Carlson) — Mon, 9 Dec 2024 14:00:00 +0000

In the third episode of our special 12 Days of Regulatory Insights podcast series, Chris Carlson is joined by Barry Boise, a seasoned partner in Troutman Pepper's Health Sciences Litigation practice group, to explore the increasing oversight of the health care industry by state attorneys generals (AGs) in 2024 and what to anticipate in 2025.

Barry begins by explaining the broad statutory authority of state AGs under the Unfair and Deceptive Trade Practices Acts and state equivalents to the False Claims Act. He highlights the historical application of these statutes in heavily regulated industries like health care.

Shifting to the opioid crisis, which has been a significant focus for state AGs, Barry explains how municipalities have stepped in to fill perceived gaps left by federal enforcement and how broader enforcement tools have been used in opioid litigation. The episode also covers state AGs' actions in addressing drug pricing issues, including the use of antitrust tools and transparency laws.

Looking ahead to 2025, Barry and Chris discuss the potential impact of the upcoming presidential administration on state AG enforcement activities.

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12 Days of Regulatory Insights: Day 2 - AI Under Scrutiny

nicole.sparkswatts@troutman.com (Stephen Piepgrass, Michael Yaghi, Cole White) — Fri, 6 Dec 2024 14:00:00 +0000

In the second episode of our special 12 Days of Regulatory Insights podcast series, Cole White, a member of Troutman Pepper's Regulatory Investigation, Strategy, and Enforcement (RISE) practice group, is joined by colleagues Stephen Piepgrass and Mike Yaghi to analyze the rising regulatory scrutiny of artificial intelligence (AI) technologies by state attorneys general (AG).

The conversation kicks off with an analysis of a recent settlement by the Texas AG's office with a health care technology company, which was the first such AG settlement pursuant to a state consumer protection act involving generative AI. Mike provides insights into how state consumer protection laws are being utilized to regulate AI, while Stephen highlights the broader implications for public policy and enforcement.

Following a discussion on the regulation of AI in telemarketing, which highlights a recent Federal Communications Commission (FCC) ruling influenced by a bipartisan group of state AGs, Mike and Stephen conclude with a forward-looking analysis of the legislative and enforcement activities related to AI that can be anticipated over the next year.

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12 Days of Regulatory Insights: Day 1 - The Impact of the 2024 State AG Elections

nicole.sparkswatts@troutman.com (Chuck Slemp, Stephanie Kozol) — Thu, 5 Dec 2024 14:00:00 +0000

In the first episode of our special 12 Days of Regulatory Insights podcast series, Chuck Slemp, counsel at Troutman Pepper and former chief deputy attorney general (AG) of Virginia, is joined by his colleague Stephanie Kozol, senior government relations manager for the State Attorneys General team at the firm. Together, they analyze the recent state AG elections and their potential impact on the regulatory landscape in 2025 and beyond.

They provide an overview of the recent state AG elections, highlighting new leadership changes in North Carolina, Oregon, Pennsylvania, Utah, Washington, and West Virginia. Chuck and Stephanie also discuss the anticipated policy priorities of these new leaders, offering valuable insight into the implications of the elections and what to expect in the regulatory arena moving forward.

Concluding the conversation with a look ahead, Chuck and Stephanie explore the evolving relationship between state AGs and federal regulatory agencies, particularly with the incoming presidential administration.

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Emerging Trends in Consumer Protection: A Conversation With NAAG's Kate Donoven

Wed, 6 Nov 2024 14:34:53 +0000

In this episode of Regulatory Oversight, Clay Friedman, co-leader of the firm's State Attorneys General team, welcomes Kate Donoven, consumer counsel at the National Association of Attorneys General (NAAG). The conversation highlights Kate's extensive career in consumer protection, her transition to NAAG, and the emerging trends and initiatives in consumer protection.

Kate shares insights from her diverse experiences, including her time in Arkansas, California, and Japan, and discusses the evolving landscape of AI, social media, and solar financing. Clayton and Kate also discuss NAAG's role in supporting state attorneys general through training, legislative advocacy, and collaboration with federal agencies.

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A Look Ahead to the 2024 State AG Elections From DAGA President Sean Rankin

nicole.sparkswatts@troutman.com (Clayton Friedman, Sean Rankin, Ashley Taylor) — Wed, 23 Oct 2024 13:00:00 +0000

In this episode of Regulatory Oversight, Democratic Attorneys General Association (DAGA) President Sean Rankin joins Troutman Pepper Partners Ashley Taylor and Clayton Friedman to discuss the upcoming November 5 election and DAGA's key focus states.

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Unveiling the Impact: How Georgia's Open Records Act Affects Private Businesses

nicole.sparkswatts@troutman.com (Stephen Piepgrass, David Dove) — Wed, 16 Oct 2024 04:00:00 +0000

In this episode of Regulatory Oversight, Stephen Piepgrass is joined by his colleague David Dove to discuss a recent Georgia Supreme Court decision that significantly impacts private companies under Georgia's Open Records Act.

Stephen and David examine the Georgia Supreme Court ruling in Milliron vs. Antonakakis, which expands the scope of the Georgia Open Records Act to include private entities. They explore how this ruling affects business owners and contractors, emphasizing the need for compliance and the potential penalties for noncompliance. David offers practical advice for businesses, such as appointing a public records custodian, understanding document retention schedules, and training employees on compliance protocols. The conversation also touches on the broader implications of this ruling and the potential for future case law to further clarify the responsibilities of private entities under the Open Records Act.

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Enhancing Compliance: The Power of Independent Monitorships in Consumer Protection

nicole.sparkswatts@troutman.com (Ashley Taylor, Vincent DiCianni, Kevin Lownds) — Wed, 2 Oct 2024 04:00:00 +0000

In this episode of Regulatory Oversight, Ashley Taylor is joined by Vincent DiCianni, founder of Affiliated Monitors, and Kevin Lownds, deputy chief of the Medicaid Fraud Division at the Massachusetts Attorney General's office, to discuss the value and application of independent monitorships by federal and state agencies, especially in consumer protection and health care fraud cases.

The conversation highlights the practical benefits of monitorships for both companies and regulatory agencies. Vincent and Kevin explain how independent monitors act as neutral third parties to oversee the implementation of corrective actions, ensuring compliance with settlement agreements or other legal mandates. They also stress the importance of forward-looking resolutions in enforcement actions, noting that monitorships can help companies establish or improve their compliance programs.

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Navigating ESG: Preparing for Future Regulations (Part Two)

Thu, 5 Sep 2024 04:00:00 +0000

In this episode of Regulatory Oversight, Mike Yaghi welcomes back Brooke Hopkins and Rob Sayegh of Alvarez & Marsal for the second part of their series on ESG compliance. This time, they dive into how companies can gear up for the upcoming Corporate Sustainability Reporting Directive (CSRD) requirements in Europe, which will take effect in 2026.

The conversation centers around three key areas: people, process, and technology. The group emphasizes the importance of a company-wide cultural buy-in and proper training to ensure effective ESG implementation. He outlines essential steps like conducting materiality assessments, aligning ESG strategies with corporate missions, and establishing robust policies and procedures.

Technology's role is also highlighted as crucial for real-time data capture, reducing human error, and standardizing reporting. The discussion highlights technology will be essential for meeting audit requirements and supporting long-term ESG value creation.

The episode wraps up with a reminder that compliance with European ESG regulations is not just mandatory but also beneficial for long-term profitability. The group encourages companies to embrace ESG not merely for compliance but as a strategic advantage.

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Navigating ESG: The Growing Importance and Compliance Challenges (Part One)

Tue, 20 Aug 2024 04:00:00 +0000

In the first of a two-part series focused on the complexities of environmental, social, and governance (ESG) standards, Troutman Pepper Partner Mike Yaghi is joined by Brooke Hopkins and Rob Sayegh from Alvarez & Marsal. They dive into the growing importance of ESG, particularly in Europe, where stringent regulations like the Corporate Sustainability Reporting Directive (CSRD) are being implemented. The discussion contrasts this with the ongoing political debate in the U.S., highlighting the need for companies to prepare for upcoming ESG requirements by 2026.

Brooke and Rob discuss the need to weave ESG into corporate governance, the hurdles of tracking and reporting, and the risks of fines and brand damage for noncompliance. They share practical tips on navigating the changing ESG landscape, emphasizing the importance of strong compliance programs and staying ahead of regulatory changes.

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Georgia on My Mind: On the Frontlines of Federal Rulemaking With AG Carr

nicole.sparkswatts@troutman.com (Stephen Piepgrass, David Dove, Chris Carr) — Mon, 17 Jun 2024 04:00:00 +0000

In the latest episode of Regulatory Oversight, Troutman Pepper Partner David Dove welcomes Georgia Attorney General (AG) Chris Carr to discuss AG Carr's unique approach to his role. His work is shaped by his experience in the legislative side and economic development, emphasizing the importance of problem-solving and fostering a pro-business environment in Georgia.

They discuss the state AGs' increasing role in pushing back against federal rulemaking, particularly in the absence of congressional action. This leads them to examine the challenges posed by federal regulations, in particular, diving into the Waters of the U.S. rule, the EPA's power plant rule, and the SEC's climate disclosure rule.

They conclude by discussing the evolution of the Georgia AG's office and the future challenges facing AGs, with AG Carr highlighting artificial intelligence and cybercrime as areas of concern.

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Decoding Privacy Laws: Insights for Small to Mid-Sized Businesses

Tue, 28 May 2024 04:00:00 +0000

In the latest episode of Regulatory Oversight, Troutman Pepper attorneys Gene Fishel and Joel Lutz welcome guests Aurelia Lewis and Beth Saunders of Lewis Media Partners to discuss evolving privacy laws and their impact on small to mid-sized businesses. Aurelia, as founder and president, and Beth, as vice-president, highlight their wealth of knowledge and experience guiding companies through effective advertising including media channel planning and buying.

The group discusses pertinent details of a vast array of privacy laws and explore challenges small to mid-sized businesses face in complying with them, while offering guidance on how to navigate this privacy gauntlet. This includes shedding light on potential triggers for regulatory scrutiny and the operational hurdles around digital tracking and data subject rights. Highlighting the critical role of data management and governance, the discussion underscores the need for businesses to thoroughly understand the data they possess and how it is processed in order to avoid privacy law non-compliance and associated penalties.

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FCA Uncovered: Mitigating Risk in the Regulatory Spotlight

Tue, 14 May 2024 04:00:00 +0000

In the latest episode of Regulatory Oversight, Troutman Pepper Partner Amy Williams welcomes Jenelle Beavers and Rob Sayegh from Alvarez & Marsal. Jenelle serves as a managing director and Rob as a senior director of A&M’s Disputes and Investigations practice.

The group discusses state false claims acts, comparing them to their federal counterparts, and strategizing ways to mitigate FCA risk. They also explore potential FCA exposure for private equity firms, the necessity of robust compliance programs, and the role of third-party reviews in compliance effectiveness.

Jenelle underscores the significant implications of these statutes on companies, especially in the health care sector. Rob highlights investigators' focus areas, including compliance, training, management engagement, third-party reviews, and data management's role in investigations and compliance.

Their insights provide practical tips for navigating state false claims acts, emphasizing the importance of strong compliance structures and preparedness for regulatory investigations.

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Navigating Facility Relocation: Legal and Practical Considerations

nicole.sparkswatts@troutman.com (Stephen Piepgrass, David Dove, Chris Willis) — Wed, 24 Apr 2024 04:00:00 +0000

This episode of Regulatory Oversight spotlights a recent episode of The Consumer Finance Podcast, "Navigating Facility Relocation: Legal and Practical Considerations," featuring David Dove from our Regulatory Investigations, Strategy + Enforcement Practice Group. In this episode, podcast host and Consumer Financial Services Partner Chris Willis converses with David about the legal and practical considerations for businesses planning to relocate a facility to a new state. David shares his insights on the various incentives available at the federal, state, and local levels, including grants, tax incentives, and economic development programs. He emphasizes the importance of strategic planning, regulator engagement, and having experienced legal counsel to ensure businesses maximize their opportunities and navigate potential challenges. The discussion provides valuable insights for businesses considering expansion or relocation.

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The Changing Landscape of State AG Antitrust Enforcement

nicole.sparkswatts@troutman.com (Ashley Taylor, Drew Mann) — Tue, 9 Apr 2024 04:00:00 +0000

In this episode of Regulatory Oversight, Ashley Taylor is joined by his colleague Drew Mann to discuss the recent increase in antitrust actions by state attorneys general (AGs) and the potential impact of the State Antitrust Enforcement Venue Act on these enforcement activities.

Drawing from his experience at the Federal Trade Commission (FTC), Drew provides a deep dive into the cooperation among state AGs and the FTC in investigations and litigations. He touches on the role of the National Association of Attorneys General (NAAG) Multistate Antitrust Task Force, the Kroger/Albertsons merger case, and the interplay between private counsel and state AGs in antitrust cases.

Ashley and Drew also discuss the purpose of the State Antitrust Enforcement Venue Act and its potential impact on state AG antitrust enforcement. Drew also talks about the coordination among the FTC, the Department of Justice Antitrust Division, and state AGs, including in labor markets.

Drew closes out the podcast with his thoughts on the initiatives that might emerge from the NAAG Multistate Antitrust Task Force in 2024 and 2025.

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Leading With Purpose: Oregon AG Ellen Rosenblum Discusses Her Role at NAAG

nicole.sparkswatts@troutman.com (Ashley Taylor, Ellen Rosenblum) — Tue, 12 Mar 2024 04:00:00 +0000

In this episode of Regulatory Oversight, Ashley Taylor welcomes Oregon Attorney General (AG) Ellen Rosenblum to discuss her new role as president of the National Association of Attorneys General (NAAG).

Rosenblum, the first female state AG in Oregon's history, has served in the role since 2012. As NAAG president, she plans to engage her fellow AGs in developing bipartisan programming at events, sharing ideas, and fostering collaboration. Her presidential initiative, "America's Youth, AGs looking out for the next generation," focuses on technology, healthy bodies and minds, and financial literacy.

Rosenblum shares the history of NAAG, which was created in 1907 to discuss a common approach to antitrust issues related to the Standard Oil Company. Today, NAAG serves as a platform for AGs to collaborate, share insights, and champion the interests of their respective states.

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Decoding Cyber Threats: Protecting Critical Infrastructure in a Digital World

Tue, 27 Feb 2024 05:00:00 +0000

In the latest episode of Regulatory Oversight, Troutman Pepper Partner Judy Jagdmann and Counsel Gene Fishel are joined by Sam Kaplan, assistant general counsel for public policy for Palo Alto Networks. They engage in an insightful conversation revolving around the government response to cyber incidents and the potential role of AI in combating cybersecurity threats.

Kaplan, a former assistant secretary for cyber, infrastructure, risk, and resilience policy at the U.S. Department of Homeland Security, shares his expert perspective on the evolving cyber threat landscape as it relates to critical infrastructure. He categorizes cyber threats into four principal types: ransomware, industrial control system attacks, vulnerability exploitation, and supply chain attacks.

The discussion also addresses the challenges that critical infrastructure operators face, such as the use of legacy systems, IT/OT convergence, lack of skilled resources, regulatory compliance, and data management. Kaplan emphasizes the importance of understanding the regulatory landscape, the need for holistic cyber incident response, and the increasing sophistication and scale of cyber-attacks.

The discussion concludes with a reminder that cybersecurity is an all-encompassing issue that requires ongoing attention from all stakeholders within an organization.

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From the Courtroom to the Capitol: Oregon AG Ellen Rosenblum Talks Leadership, Advocacy, and the Journey to Public Service

Mon, 12 Feb 2024 05:00:00 +0000

In the latest episode of Regulatory Oversight, Troutman Pepper Partner Judy Jagdmann is joined by Oregon Attorney General (AG) Ellen Rosenblum to discuss her journey from being a federal prosecutor and state trial and appellate judge, to becoming Oregon's AG.

AG Rosenblum describes her role as both the chief law officer of the state and the people's attorney, representing state agencies, boards, commissions, the governor, and legislators, while also advocating for vulnerable populations.

Throughout the conversation, AG Rosenblum reflects on her diverse career path, which includes experiences as a small firm attorney, a federal prosecutor, a trial court judge, and now, AG. She underscores the significance of mastering advocacy, nurturing relationships, and preserving humility as essential attributes for legal professionals. She also shares insights on how career setbacks have often paved the way for new opportunities, ultimately leading her to her current role.

The discussion between Judy and AG Rosenblum also touches on advice for young women attorneys who aspire to leadership roles within the legal sector. AG Rosenblum encourages them not to shy away from leadership and management opportunities. She stresses the importance of actively seeking opportunities, accruing experience, and embracing risks. AG Rosenblum also highlights the importance of building and investing in relationships, sharing examples from her own career of how nurturing relationships has significantly impacted her career.

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Exploring the Future of Open Banking: A Discussion on CFPB's 1033 Proposed Rule

nicole.sparkswatts@troutman.com (Ashley Taylor, Kim Phan, Kristen Eastman) — Thu, 14 Dec 2023 13:30:00 +0000

In the latest episode of Regulatory Oversight, Ashley Taylor is joined by his colleagues Kim Phan and Kristen Eastman to discuss the Consumer Financial Protection Bureau's (CFPB) 1033 proposed rule, also known as the Personal Financial Digital Rights rule. This rule, part of the Dodd-Frank Act, aims to place limits on the ability to access consumer data as well as any subsequent uses of such data. It focuses on entities subject to the Truth in Lending Act (TILA) and Regulation Z, such as depository institutions, credit card companies, and payment processors. The proposed rule requires these entities to make financial records available both to consumers and their authorized third parties.

The group discusses the proposed rule's lack of specificity regarding the "qualified industry standard" that companies must meet. They also discuss the potential of state attorneys general and plaintiffs' lawyers using the proposed rule for enforcement actions and litigation.

The CFPB has not yet issued guidance on the proposed rule's enforcement, and the group anticipates that the proposed rule could be finalized as early as next year. However, they also note that the proposed rule's timeline could be affected by litigation surrounding the CFPB's authority and funding.

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Budding Regulations: Navigating the Cannabis Regulatory Landscape

Thu, 7 Dec 2023 05:00:00 +0000

In the latest episode of Regulatory Oversight, Troutman Pepper RISE attorneys Jean Gonnell and Cole White are joined by AGA's Bruce Turcott, legal editor of the Cannabis Law Deskbook, to discuss the evolution of cannabis regulation in Colorado and Washington, the first two states to legalize marijuana. They discuss the challenges and successes of implementing cannabis laws, including the development of licensing systems, the impact of local authority on licensing, and the role of receiverships in the industry.

Additionally, they cover social equity in the cannabis industry, with both states implementing programs to support those adversely affected by the war on drugs.

The conversation concludes with a look at the future of cannabis regulation, including the potential federal rescheduling of cannabis, the need for national testing standards, and the impact of intoxicating hemp products. The speakers emphasize the importance of learning from the experiences of pioneering states, while recognizing that a one-size-fits-all approach may not be suitable for every state.

* Our Cannabis Practice provides advice on issues related to applicable federal and state law. Marijuana remains an illegal controlled substance under federal law.

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Game On: Navigating the Legal Landscape of Sports Wagering

Tue, 28 Nov 2023 05:00:00 +0000

In the latest episode of Regulatory Oversight, Gene Fishel and Mike Lafleur welcome Pat Moore and Jared Rinehimer from the Massachusetts Attorney General's (AG) Office to discuss online sports wagering. They cover the recently enacted Massachusetts Sports Wagering Act, the associated role of the Massachusetts Gaming Commission, related rules addressing advertising and data privacy, and the overall concerns of the AG's office.

They also highlight the heightened risk of gambling addiction exacerbated by the ease of betting and the introduction of in-game bets. They explore how gaming platforms can utilize user data to reduce such harm.

Finally, the group discusses the enforcement of gaming laws, including newly opened avenues for consumer protection enforcement.

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A Conversation With NAAG Executive Director Brian Kane

nicole.sparkswatts@troutman.com (Ashley Taylor, Brian Kane) — Wed, 12 Jul 2023 13:00:00 +0000

In the latest episode of Regulatory Oversight, the National Association of Attorneys General (NAAG) Executive Director Brian Kane joins co-host Ashley Taylor to discuss the role that NAAG plays among attorneys general. NAAG provides a community for attorneys general and their staff to collaboratively address issues important to their work, as well as training and resources to support attorneys general. From Supreme Court training to a multistate settlement database, NAAG offers a variety of resources to the attorneys general offices.

Brian also discusses how his background as chief deputy in the Idaho attorney general's office helped prepare him for his role, as well as what he sees in the future for NAAG.

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A Conversation With Judge Lawrence VanDyke of the US Court of Appeals for the Ninth Circuit

Wed, 21 Jun 2023 13:00:00 +0000

In this episode of the Regulatory Oversight Podcast, Judge VanDyke joins Troutman Pepper RISE attorneys Ketan Bhirud, Mike Yaghi, and Stephen Piepgrass for an informative discussion on his background and path to becoming a judge, including his time working in several state attorneys general offices.

Additionally, Judge VanDyke shares insightful information about the Ninth Circuit, some expected and unexpected experiences on the bench, and advice for people who want to become a judge.

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AI: Impact and Use in Background Screening (Part Five)

nicole.sparkswatts@troutman.com (Stephen Piepgrass, Ron Raether, Dave Gettings) — Tue, 30 May 2023 04:00:00 +0000

Many companies use machine learning algorithms and artificial intelligence (AI) to assist with employment decisions and tenant screening. In our final episode, Stephen Piepgrass and colleagues Ron Raether and Dave Gettings examine the use and impact of AI in background screening, including the potential risks companies may face with increased reliance on AI.

Our panel also explores the increased focus on AI by various regulators and state attorneys general and offer some best practices to consider when developing or adopting machine learning models into business processes.

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AI: Impact and Use in the Financial Services Industry (Part Four)

nicole.sparkswatts@troutman.com (Stephen Piepgrass, Michael Yaghi, Chris Willis) — Tue, 16 May 2023 04:00:00 +0000

Financial services companies are using AI to assist with many business processes, including underwriting decisions, consumer credit approval, servicing and collections, loss mitigation programs, customer interaction on websites and mobile apps via chatbots, and in detecting fraud. In this fourth episode, Stephen Piepgrass and colleagues Chris Willis and Michael Yaghi examine the use and impact of AI in the financial services industry. They discuss the potential risks financial services companies may face with increased reliance on AI, as well as the increased focus on AI by various regulators and state attorneys general.

Our panel also offers practical suggestions for financial services companies who want to develop or adopt machine learning models into their business processes.

In our final episode of this series, we will discuss the impact and use of AI in Background Screening.

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AI: Impact and Use in the Health Care Industry (Part Three)

nicole.sparkswatts@troutman.com (Stephen Piepgrass, Michael Yaghi, Barry Boise) — Wed, 3 May 2023 04:00:00 +0000

AI continues to capture the headlines. One recent headline noted that ChatGPT passed the medical boards. In this third episode, Stephen Piepgrass and colleagues Michael Yaghi and Barry Boise discuss the potential risks health care companies may face with increased reliance on AI, as well as the increased focus on AI by various regulators and state attorneys general, particularly in the health care space.

Our panel also offers suggestions on how health care companies can engage with state regulators to discuss the issues, share their perspective on how AI could assist the health care industry, and create an ongoing dialogue with regulators to make sure that private industry and the government are working together.

In part four of this podcast series, we will look at the use and impact of AI in the financial services industry.

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AI: Technology, Opportunities, Risks, and Best Practices (Part Two)

nicole.sparkswatts@troutman.com (Stephen Piepgrass, Jim Koenig, Chris Willis) — Wed, 19 Apr 2023 04:00:00 +0000

Artificial intelligence (AI) has captured the imagination and generated excitement with consumers and businesses, but at the same time, developments in AI have also raised public concerns and spawned regulation that sometimes threatens to outpace the technological innovation we are seeing. In this second in our series on AI, Stephen Piepgrass and colleagues Jim Koenig and Chris Willis discuss the background of AI, including the opportunities and associated risks it presents, as well as the emerging global best practices surrounding the collection, use, and sharing of data and its use in AI.

Our panel provides a top 10 list of best practices that companies should be considering if they're thinking about using AI or are already using AI in their business processes.

In part three of this series, we will take a deep dive into the use and impact of AI in the health care industry.

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AI: Overview and Current Regulatory Landscape (Part One)

nicole.sparkswatts@troutman.com (Stephen Piepgrass, Michael Yaghi, Trey Smith) — Wed, 5 Apr 2023 14:04:18 +0000

Join us for the first in a series of episodes covering artificial intelligence (AI). As technology continues to develop, more companies are using AI in their day-to-day business, and with increased use comes increased risk. In this episode, Stephen Piepgrass and colleagues Michael Yaghi and Trey Smith provide an overview of AI, including uses and risks, and the increased focus on AI by various regulators, including state attorneys general, federal agencies, and local governments.

Our panel also offers insights on the potential legal pitfalls that businesses using AI should understand, and what they can do to prevent significant liability exposure to regulators.

Part two of this podcast series will focus on the technology, opportunities, risks, and best practices associated with the use of AI.

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2022 Significant Developments in the Tobacco Industry and What to Expect in 2023 (Part Two)

Mon, 13 Mar 2023 04:00:00 +0000

In this second of a two-part series, Stephen Piepgrass continues his discussion with colleagues Bryan Haynes, Agustin Rodriguez and Nick Ramos about significant developments in the tobacco industry during the past year, and their predictions on what to expect in the months ahead.

Our panel discusses tobacco excise taxes; challenges to flavor bans; FDA's regulation of nicotine levels; potential bans on menthol cigarettes and flavored cigars; enforcement of the PACT Act; and the forecast for litigation in 2023.

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2022 Significant Developments in the Tobacco Industry and What to Expect in 2023 (Part One)

Thu, 16 Feb 2023 13:30:00 +0000

The U.S. tobacco industry is subject to a variety of regulators at the federal and state level. In this first of a two-part series focused on significant regulatory developments in the tobacco industry, Stephen Piepgrass is joined by colleagues Bryan Haynes, Agustin Rodriguez and Nick Ramos to review what happened over the past year, and offer thoughts on what to expect in the months ahead.

Our panel discusses federal regulations including important developments at the FDA, such as leadership changes, the pre-market review process, and actions on non-tobacco nicotine products. They also touch on the premium cigar industry's challenge to FDA's warning label requirement; the tobacco industry's challenge to FDA's graphic cigarette warning label rule; and a court order that resolved the government's long-running civil racketeering lawsuit against the largest U.S. cigarette companies.

Be on the lookout for part two of the podcast series.

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The Evolution of State Attorneys General

nicole.sparkswatts@troutman.com (Paul Nolette, Ashley Taylor) — Wed, 4 Jan 2023 05:00:00 +0000

In this episode of Regulatory Oversight, Ashley Taylor welcomes Professor Paul Nolette from Marquette University to discuss the evolution of state attorneys general and how their roles in government have shifted over the years. Professor Nolette serves as the chair of Marquette's Political Science Department and focuses his teaching and research on the dynamics of contemporary American federalism and the interplay between law and politics. Professor Nolette wrote the book Federalism on Trial: State Attorneys General and National Policy Making in Contemporary America, which examines how state litigators have used lawsuits against large corporations and the federal government as a way to influence national policy.

Over time, we have seen the AG role shift from being a capstone to ones career to more of a steppingstone for politicians. With this change, we also have seen a change in how state AGs approach federal government, federal government regulatory policies, and statutory policies — ultimately impacting numerous industries over the years.

Additionally, Ashley and Professor Nolette discuss what attracted him to study state AGs and the major developments he has seen with multistate settlements throughout his career as a professor and through his involvement with the National Association of Attorney General.

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How Law Firms and Lobbyists Can Work Together: A Look Into Lobbyists’ Role Among State AGs

Tue, 20 Dec 2022 14:05:28 +0000

In this episode of Regulatory Oversight, Stephen Piepgrass welcomes Regulatory Investigations, Strategy + Enforcement Partner Ryan Strasser and Williams & Jensen Partner Matt Hoekstra to discuss how law firms can work with firms like Matt's on behalf of clients during congressional inquiries with parallel AG investigations or consumer litigation.

Additionally, our attorneys and Matt explore how legislative and regulatory initiatives may change now that mid-term elections are over, as well as how federal agencies find ways to work with state AGs to effectively expand their regulatory authority to help advance their enforcement priorities.

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A Look at the Unique Features of State AG Investigations and What Companies Should Consider in Selecting Outside Counsel

Tue, 6 Dec 2022 05:00:00 +0000

In this episode of Regulatory Oversight, Stephen Piepgrass is joined by Nevada First Assistant Attorney General Kyle George and Regulatory Investigations, Strategy + Enforcement attorneys Ketan Bhirud and Michael Yaghi to discuss the use of separate litigation and settlement counsel for AG investigations. Kyle also discusses the unique nature of attorney general investigations as compared to traditional litigation, and the benefits of having deep, meaningful relationships among the AG offices.

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State of the Law: Contours of State False Claims Acts and How to Stay Out of Harm’s Way

nicole.sparkswatts@troutman.com (Asher Funk, Amy Williams, Stephen Piepgrass) — Wed, 16 Nov 2022 05:00:00 +0000

In this episode of Regulatory Oversight, Stephen Piepgrass welcomes Regulatory Investigations, Strategy + Enforcement Partner Amy Williams and Health Sciences Partner Asher Funk to discuss the similarities and differences between the federal False Claims Act and state false claims acts, as well as emerging trends in state false claims act enforcement.

Though many states enacted false claims acts decades ago, we now see more enforcement activity and unique legal theories advanced by attorneys general who rely on false claims acts. Our attorneys discuss this shift, the intersection of matters brought under the federal and state false claims acts, areas ripe for enforcement, how our listeners can proactively avoid being on the receiving end of a CID, and what to do if they are.

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A Look Ahead to the 2022 State AG Elections From RAGA Executive Director Pete Bisbee

nicole.sparkswatts@troutman.com (Ketan Bhirud, Pete Bisbee, Stephen Piepgrass) — Thu, 3 Nov 2022 04:00:00 +0000

In this episode of Regulatory Oversight, Republican Attorneys General Association Executive Director Pete Bisbee joins Troutman Pepper Counsel Ketan Bhirud to discuss the upcoming November 8 election and RAGA's key focus states.

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A Look Ahead to the 2022 State AG Elections From DAGA President Sean Rankin

nicole.sparkswatts@troutman.com (Sean Rankin, Ashley Taylor) — Thu, 3 Nov 2022 04:00:00 +0000

In this episode of Regulatory Oversight, Democratic Attorneys General Association President Sean Rankin joins Troutman Pepper Partner Ashley Taylor to discuss the upcoming November 8 election and DAGA's key focus states.

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A Conversation with Nevada Attorney General Aaron Ford

nicole.sparkswatts@troutman.com (Ketan Bhirud, Aaron Ford, Stephen Piepgrass) — Thu, 15 Sep 2022 12:54:40 +0000

In this episode of the Regulatory Oversight Podcast, Nevada Attorney General Aaron Ford joins Troutman Pepper RISE attorneys Stephen Piepgrass and Ketan Bhirud to discuss a range of topics, including recent consumer protection actions and emerging trends his office examined over the past several years, and the criteria considered when determining to begin an investigation and when to take enforcement action.

Additionally, Attorney General Ford discusses various efforts his office made with the private sector throughout the pandemic and their impact on the community.

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The “Pattern” of Racketeering Activity

Tue, 23 Aug 2022 15:24:17 +0000

This edition of Regulatory Oversight spotlights recent RICO Report Podcast episode “Pattern of Racketeering Activity,” featuring two firm Regulatory Practice Group attorneys Chris Carlson and Mary Grace Metcalfe. In this episode, podcast host and White Collar and Litigation Partner Cal Stein sits down with Chris and Mary Grace to discuss the RICO element requiring a pattern racketeering activity:

Analyzing the definition of “pattern”;
The history of Supreme Court guidance on the element; and
Practical tips on how practitioners can attack the pattern element to defend their clients.

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What Is a Monitorship? A Conversation With Affiliated Monitors President Vin DiCianni

nicole.sparkswatts@troutman.com (Vin DiCianni, Ashley L. Taylor) — Thu, 28 Jul 2022 13:11:31 +0000

In this Regulatory Oversight Podcast episode, Affiliated Monitors President and Founder Vin DiCianni joins Troutman Pepper Partner Ashley Taylor to discuss what role monitorships can play in federal, state, and private enforcement actions. During the episode, Vin and Ashley examine independent monitoring as a viable and effective resource that attorneys general offices should consider as a possible resolution for consumer protection matters.

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What the Budding Cannabis Industry Can Learn From the Established Alcohol Industry

nicole.sparkswatts@troutman.com (Nick Ramos, Christina Sava, Stephen Piepgrass) — Wed, 13 Jul 2022 14:31:52 +0000

In this episode of Regulatory Oversight, Troutman Pepper attorneys Nick Ramos, Christina Sava, and Stephen Piepgrass offer thoughts on how to incorporate, or not incorporate, regulatory approaches from the alcohol industry into the cannabis industry.

The cannabis industry's rapid U.S. evolution poses many unique questions, most interestingly: What cannabis regulation will look like under federal legalization. Although (legal) cannabis is a brand new industry, it is not the first time the United States has come out of a prohibition era. So, learning from the regulatory schemes governing the highly regulated alcohol industry should assist in a smoother transition to a world where recreational cannabis usage is no longer considered a taboo in our society.

Our Cannabis Practice provides advice on issues related to applicable state law. Cannabis remains an illegal controlled substance under federal law.

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State Attorneys General Call on Financial Giants to Eliminate Overdraft Fees

Wed, 22 Jun 2022 04:00:00 +0000

Please join Troutman Pepper Partner Chris Willis and guests Troutman Pepper Associates Chris Carlson and Susan Nikdel as they discuss the multistate coalition of state attorneys general calling on many of the nation's largest banks to eliminate overdraft fees. The conversation focuses on what was done, which state attorneys general participated, the current controversy surrounding overdraft fees, and several key takeaways for the industry going forward.

As a member of the firm's Regulatory Investigations, Strategy + Enforcement (RISE) Practice Group, Chris Carlson represents clients in regulatory, civil, and criminal investigations and litigation. As a member of the firm's Consumer Financial Services Practice Group, Susan Nikdel represents clients in financial services litigation, as well as clients facing regulatory examinations and investigations brought by the CFPB, state attorneys general, and the California Department of Financial Protection and Innovation.

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What Is the Major Questions Doctrine? A Discussion With Ohio Solicitor General Ben Flowers

nicole.sparkswatts@troutman.com (Misha Tseytlin, Ben Flowers) — Thu, 19 May 2022 04:00:00 +0000

In Episode 3 of the Regulatory Oversight Podcast, Ohio Solicitor General Ben Flowers joins Troutman Pepper Partner Misha Tseytlin to discuss the history of the majors question doctrine, recent cases involving the statute, and how the statute has evolved over recent years. Solicitor General Flowers also discusses the recent interest in cutting back Chevron deference and the impact we could see in the regulatory and litigation landscape.

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The Role of Outside Counsel in Crisis Communications

nicole.sparkswatts@troutman.com (Carol Cookerly, Stephen Piepgrass) — Mon, 2 May 2022 12:40:42 +0000

In this Regulatory Oversight Podcast episode, Cookerly PR Founder and President Carol Cookerly joins Troutman Pepper Partner Stephen Piepgrass to examine how outside regulatory counsel can work with crisis communication firms and in-house communications teams to help navigate the public relations aspects of bet-the-business investigations and litigation. During the episode Carol and Stephen discuss best practices and how to use communications in both reactive and proactive ways to protect a client’s interest and communicate effectively to multiple audiences and stakeholders.

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A Conversation with NAAG President and Iowa Attorney General Tom Miller

nicole.sparkswatts@troutman.com (Ashley L. Taylor) — Thu, 7 Apr 2022 14:28:47 +0000

In Episode 1 of Regulatory Oversight, Troutman Pepper Partner Ashley Taylor sits down with National Association of Attorneys General (NAAG) President and Iowa Attorney General Tom Miller to discuss NAAG’s goals and his priorities as NAAG president.

A bipartisan organization, NAAG provides a community for attorneys general and their staff to collaborate and address issues important to their work, as well as training and resources to support attorneys general and protecting the rule of law in the United States. Over the years, attorneys general have worked together on many settlements related bank mortgages, opioids, antitrust, and tobacco.

As NAAG president, Attorney General Miller’s key area of focus is consumer protection, which includes the use of social media to educate consumers on preventing consumer fraud, how to utilize technology as a tool to prevent telemarketing fraud, issues related to the use of algorithms and dark patterns, and others.

This episode also discusses the modern attorney general’s role in our national regulatory landscape and how past settlements have played a large part in the evolution of the modern attorney general.

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Introduction to Regulatory Oversight Podcast

nicole.sparkswatts@troutman.com (Stephen C. Piepgrass, Ashley L. Taylor) — Fri, 1 Apr 2022 14:45:35 +0000

Troutman Pepper’s Regulatory Oversight podcast analyzes the underlying trends that drive enforcement activity and provides expert perspectives on key focus areas. Featuring insights from members of the firm’s Regulatory Practice Group, including its nationally ranked State Attorneys General practice, with guest commentary from business leaders, regulatory experts, and current and former government officials, our podcast examines a range of topics affecting companies operating in highly regulated industries.

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