Fines

News & Analysis as of

California Environmental Law & Policy Update - July 2015 #4

Environmental and Policy Focus - California State Water Board seeks fines from local water district for alleged drought-related violations: Sacramento Bee - Jul 20 - State drought regulators went on the offensive against...more

A New Concept in Cartel Fining: “Direct EEA Sales Through Transformed Products”

On 9 July 2015, the Court of Justice of the European Union (CJEU) issued its judgment in InnoLux Corp. v Commission C-231/14P, confirming the existence of a new concept in cartel fining: “direct European Economic Area [EEA]...more

FCC Proposes Record $100 Million Penalty for Alleged Violations of Open Internet Transparency Rule

If you work for a broadband service provider and haven’t recently reviewed your FCC-mandated network management “transparency” disclosures posted on your website, we suggest you make that the next thing you do after reading...more

OCAHO Imposes $605,250 Fine for I-9 Violations

On July 8, 2015, the Office of the Chief Administrative Hearing Officer (OCAHO), the administrative court with jurisdiction to review penalties for I-9 violations, issued a decision in the matter of United States v. Hartmann...more

First Water Curtailment Action Filed in California

In the first of possibly many enforcement actions this year, the State Water Resource Control Board issued a draft cease-and-desist order against West Side Irrigation District in Tracy, Calif., demanding the District curb its...more

T-Mobile Agrees to Pay FCC $17.5 Million to Settle 911 Outage Investigation

On July 16th, the Enforcement Bureau (Bureau) of the Federal Communications Commission (Commission) reached a $17.5 million Consent Decree with T-Mobile to resolve an investigation into two separate but related 911 service...more

SEC's Warning — Fund Trustees Are Fair Game

In a cease-and-desist order entered on June 17, 2015, the U.S. Securities and Exchange Commission found that a fund adviser, two independent trustees and an inside trustee willfully violated Section 15(c) of the Investment...more

California Bill Would Complicate Labeling Requirements for Children’s Products

California state law bill SB 763 has stayed relatively under the radar since its introduction in February 2015. However, with recent traction in the state legislature – including passage in the Senate in June and passage in...more

International Traffic and Revenue Reports Due July 31

All US international authorization holders and US international service providers must file International Traffic and Revenue Reports. Common carriers and voice over Internet Protocol (VoIP) providers that offer...more

EU Data Privacy Update: European Council Approves Agreement to Data Privacy Reform

European regulators took another step forward on the protracted and procedurally involved path to EU-wide data privacy reform earlier this month when the European Council (the organization of the individual member states)...more

Use of File-Sharing Service Leads To $218,400 Fine For HIPAA Violations

Internet-based file-sharing services such as Dropbox and Google Drive can be easy and convenient to use, whether via the touch of an app on a mobile device or by opening a browser on a PC. Healthcare professionals are often...more

ECJ Decision in LCD Cartel Case Affirms Potential for Higher Fines to be Imposed on Vertically Integrated Companies

Decision allows Commission to consider sales of products incorporating cartelized goods when calculating cartel fines for a vertically integrated group selling the “transformed product” in Europe. On 9 July 2015, the...more

June FCPA Compliance Digest | BONUS: Global Anti-Corruption and Anti-Money Laundering News

I love writing articles where I get to discuss companies making history. PetroTiger has been exonerated from criminal FCPA prosecution by the DOJ. That’s only happened once before, in the case of Morgan Stanley....more

OIG Adds New Litigation Unit Focused on Fines and Exclusions

On June 30, 2015, the Department of Health and Human Services’ Office of Inspector General (OIG) announced that it would be staffing a new specialty litigation unit whose sole focus will be on levying civil monetary penalties...more

Standing in the antitrust firing line - Regulators investigating antitrust cases are reaching across borders, and fines are on the...

Regulators investigating antitrust cases are working across borders and are getting tougher on transgressors. Corporates at risk need to be more prepared than ever. In 2000, a cartel of companies producing the animal...more

Penalty Clauses: A Question Of Context?

In ParkingEye Ltd v Beavis [2015] EWCA Civ 402, 23 April 2015, a dispute about the non-payment of a GBP 85 parking fine the Court of Appeal has explored the fundamental principles of the rule against penalties and given an...more

Reforming Trade Secret Protections in Japan

Theft of corporate trade secrets continues to dominate the headlines as news abounds of stories ranging from crippling cyber-attacks exposing confidential data to employees stealing trade secrets to share with competitors. ...more

Cavalry Portfolio Services fined $175,000 by Arizona

Cavalry Portfolio Services is a junk debt buyer that files a lot of debt collection lawsuits here in Arizona. Often times they file the lawsuit under names such as Cavalry SPV. On March 30, 2015 the Arizona Department of...more

In Case of Emergency: Handling HazMat Violations

An unexpected fine for a hazardous materials violation can jolt a company. Even companies with robust systems for managing hazardous materials compliance can be surprised with a penalty due to the actions of a single employee...more

Investment Funds Update - Europe: Legal and regulatory updates for the funds industry from the key asset management centres and...

Enforcement – FCA Fines £13.2 Million for Transaction Reporting Failures - The FCA fined Merrill Lynch International (MLI) £13.2 million on 22 April 2015 for incorrectly reporting 35,034,810 transactions and failing to...more

AML Bulletin - Spring 2015

In This Issue: * UK News & Enforcement Action: - HMRC releases AML and CTF supervision report 2013 – 2014 - HM Treasury High Risk Money Laundering List Updated - FCA Thematic Review Into AML And Sanctions...more

FinCrimes Update - April 2015 Summary, Volume 2, Issue 4

OFAC FINES PAYMENT PROCESSING COMPANY FOR PROVIDING SERVICES TO A DESIGNATED NARCOTICS TRAFFICKER - On April 15, OFAC entered into a $23,336 settlement with an Atlanta-based payment processing company for its role in...more

One Dollar of Tax Would Have Avoided $94,671.53 of Penalty

A corporation filed a 2008 income tax return reflecting a tax liability of “$0.00.” In the following year, the Corporation made no estimated income tax payments, based on Internal Revenue Code Section 6655(d)(1)(B) which...more

California Environmental Law & Policy Update - May 2015

Environmental and Policy Focus: Governor Brown touts aggressive plan to cut greenhouse gases: KPCC - Apr 29: California would aggressively reduce greenhouse gas emissions by 2030 under a plan announced Wednesday by...more

Child Injury and Delayed Product Recalls

Graco Fined $10M for Failure to Timely Recall Dangerous Car Seat - Last year saw a number of product recalls. Indeed, the sheer number of vehicles involved in the Takata airbag recall alone has been staggering. Graco,...more

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