Civil Monetary Penalty

News & Analysis as of

HHS Releases Inflation Adjusted Federal Civil Penalties

The Department of Health and Human Services has issued new interim final rules to adjust a variety of Federal Civil Penalties for inflation. The Federal Civil Penalties Inflation Adjustment Act Improvements Act of 2015...more

Recent Regulatory Actions Against TPAs

Recently, two state insurance departments took action against third party administrators in their respective states based on their failure to be properly licensed. These regulatory actions demonstrate the importance for TPAs...more

In Effort to Increase Both Transparency and Safety, PHMSA Releases Civil Penalty Framework

The Department of Transportation’s Pipeline and Hazardous Materials Safety Administration (“PHMSA”) issued a General Policy Statement for civil penalties (“Penalty Framework”) on October 17, 2016. The Penalty Framework...more

Still Serious About Sanctions: OFAC Settles Violations Involving Cuba and Iran

Lest U.S. companies think that Cuba and Iran are entirely open for business, a U.S. government settlement announced earlier this month with National Oilwell Varco, Inc. (NOV), a U.S. oilfield services company, will serve as a...more

Civil Penalties Up For Some Aviation Violations

The Department of Transportation (DOT) recently issued an interim final rule to increase the maximum aviation-related civil penalty amounts to adjust for inflation. The rule became effective on August 10, 2016, and will apply...more

Bridging the Week - November 2016 #3

Federal District Court Approves Flash Crash Spoofer’s US $38 Million Settlement; Federal Appeals Court Appears Sympathetic to Michael Coscia’s Claim That Spoofing Prohibition Is Too Vague - The US federal court handling...more

Breaking: Court Rules Positively For CPSC In Federal Civil Penalty Case Against Spectrum Brands

We do not get many court decisions in the CPSC world, but yesterday we received one. Last evening, a Wisconsin federal district court essentially held in the Government’s case against Spectrum Brands, Inc. (Spectrum) that...more

"Skadden Energy Law Handbook: Fourth Edition (November 2016)"

Skadden’s Energy Regulation and Litigation Group is pleased to provide the fourth edition of the Skadden Energy Law Handbook, which includes a summary of recent developments. The handbook contains 16 chapters covering a broad...more

Optometrists Who Leased Space at Texas Wal-Mart Stores Cannot Recover Damages for Technical Violation of State Licensing Law Under...

The United States Court of Appeals for the Fifth Circuit, in a per curium decision issued October 27, 2016 in Forte v. Wal-Mart Stores, Inc., vacated approximately $1.4 million in statutory civil penalties awarded by the...more

FTC Settles With Sales Lead Generators For $100,000

Last week, the Federal Trade Commission (“FTC”) settled a claim against the Consumer Education Group for $100,000 regarding alleged violations of the FTC’s Telemarketing Sales Rule (“TSR”) and Section 5(a) of the FTC Act. The...more

Federal Court Revives Suspended Judgment Against Text Message Marketing Company Principal        

In a decision that should grab the attention of marketers who operate through all media, a federal court has lifted a suspended judgment awarded to the Federal Trade Commission (“FTC”) against the owner of a text message...more

NRC Announces Updates to Enforcement Policy

The updates involve a change in the way the NRC implements its enforcement mandate. The US Nuclear Regulatory Commission (NRC) announced on November 7 a number of changes to the NRC Enforcement Policy (Policy). This...more

Provider Self-Disclosure Decisions – Voluntary Disclosure Process

The decision whether or not to voluntarily disclose non-compliance to the government can be very difficult. Not every case is clear. Clearly not every situation where there has been a billing error amounts to fraud or...more

Eight Ways Your Wine Business Can Avoid, Survive Unfair-Competition Actions

California counties in winemaking regions are increasingly using the state’s Unfair Competition Act (Business & Professions Code Section 17200 and 17500) to bring government enforcement actions against local wine industry...more

New Prop 65 warning rules impose additional burdens on California businesses

The California Office of Environmental Health Hazard Assessment (OEHHA), the lead Proposition 65 enforcement agency, recently adopted new Prop 65 regulations. (Title 27, California Code of Federal Regulations, Article 6). The...more

The (much!) Higher Cost of Non-Compliance: Federal Civil Penalties Increase

EPA has released an interim final rule with penalty adjustments mandated by a new law (“Interim Rule” or “Rule”). Most importantly, the “catch up” adjustments under the Interim Rule carry quite a wallop for those subject to...more

Directors’ Duties in the UK (England and Wales)

A director who breaches the obligations and duties imposed on him by his office may be liable to compensate the company for breach of duty, may incur personal liability for the company’s debts, may also face criminal or civil...more

How to Avoid Being the Next OCR Target for a HIPAA CMP

In 2016, the Office for Civil Rights (“OCR”) imposed civil monetary penalties (“CMPs”) of over $22.8 million on 12 entities, including a business associate. The most frequent violations of the Health Insurance Portability and...more

Don’t Roll the Dice: FinCEN Assesses Significant Penalties on Regulated Entity for Failing to Implement a Comprehensive AML...

The U.S. Treasury Department’s Financial Crimes Enforcement Network (FinCEN) imposed a civil money penalty of $12 million against a Nevada based casino, CG Technology, L.P. (CGT) for alleged violations of the Bank Secrecy Act...more

The Lawyers' Lawyer Newsletter - Halloween Issue October 2016

TRICK OR TREAT! The editors of the Halloween edition of the Lawyers' Lawyer Newsletter invite you to enjoy frightening tales of shocking assaults by non-clients on an unsuspecting law firm; a lawyer's nail-biting escape from...more

FCPA Enforcement Action Highlights Risks for the Financial Services Industry and Individual Executives

New York-based hedge fund Och-Ziff Capital Management Group (the “Hedge Fund”) agreed to pay approximately $412 million to resolve charges brought by the U.S. Securities and Exchange Commission (“SEC”) and Department of...more

HHS Issues Final Rule that Expands the Requirements for Disclosure of Clinical Trial Data to ClinicalTrials.gov

On September 21, 2016, the Department of Health and Human Services (HHS) published a final rule that greatly expands the information that sponsors of “applicable drug clinical trials” and “applicable device clinical trials”...more

SEC and DOJ Charge Board Member with Trading on Inside Information . . . During a Board Meeting

On Friday, the SEC filed a complaint against James C. Cope, a former member of the Executive Committee of Pinnacle Financial Partners’ (“PFP”) board of directors, alleging that he engaged in insider trading. The same day,...more

CFPB enters into consent order with credit union

The CFPB announced that it has entered into a consent order with Navy Federal Credit Union to settle allegations that the credit union engaged in unfair and deceptive collection practices in violation of the Consumer...more

SEC Says Mobile Phone Game is an Illegal Security-Based Swap

I previously discussed an SEC Investor Alert which said fantasy stock trading for small amounts of money can violate provisions of securities laws implemented by the Dodd-Frank Act. According to the SEC, the terms “swap,”...more

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