Civil Monetary Penalty

News & Analysis as of

Charity's Patient Assistance Program Passes OIG Muster in Advisory Opinion 15-17

On December 28, 2015, the Department of Health and Human Services, Office of Inspector General (OIG) issued OIG Advisory Opinion 15-17, approving a charity’s proposal to unveil a new patient assistance program dedicated to...more

CFPB Orders "Buy Here, Pay Here" Auto Dealer to Pay $800,000 for "Abusive" Financing Schemes

Why it matters - Continuing to keep a close eye on the auto lending industry, the Consumer Financial Protection Bureau (CFPB) ordered a "Buy Here, Pay Here" car dealer to pay $700,000 in restitution to customers, with a...more

Lincare, Inc. ordered to pay civil monetary fines for HIPAA violations

In an unusual scenario, in fact, only the second time in history, the Office for Civil Rights (OCR) was successful before an Administrative Law Judge (ALJ) in obtaining an order for the payment of civil monetary fines as a...more

2015 in Review: ERISA Civil Enforcement Recoveries Remain Low, Criminal Investigations Continue to Rise

The United States Department of Labor (DOL) recently published its Fiscal Year 2015 “Fact Sheet” documenting civil and criminal enforcement activities under the Employee Retirement Income Security Act of 1974 (ERISA)....more

Second CMP Assessed for HIPAA Violations: Do You Know Where Your Data Is?

For only the second time in its history, the U.S. Department of Health and Human Services’ (HHS) Office for Civil Rights (OCR) has imposed a civil money penalty (CMP) on a covered entity for allegedly violating the HIPAA...more

Blog: ALJ Upholds OCR Enforcement Against Lincare, Inc. of $239,800

A U.S. Department of Health and Human Services (HHS) administrative law judge (ALJ) recently sustained an earlier HHS Office of Civil Rights (OCR) decision to impose a civil money penalty (CMP) of $239,800 against Lincare...more

Historic Moment: Husband Reports Wife’s HIPAA Violation Triggering Six Figure Penalty Against Employer

For the second time in history, the Office for Civil Rights (“OCR”) has imposed a civil monetary penalty (“CMP”) against a covered entity for violations of the Health Insurance and Portability Act (“HIPAA”). Lincare, Inc., a...more

Raising the Stakes for AML Compliance Officers: Court Refuses to Rule Out Potential Liability for Role in Employer's BSA...

Why it matters - A federal court judge in Minnesota has rejected the motion of a former chief compliance officer to dismiss the U.S. government's claim that he is liable under the federal Bank Secrecy Act for his...more

SEC Announces Settlement with Loan Servicer for Misstating Financial Results

On January 20, the SEC announced a settlement with a residential and commercial loan servicer for allegedly misstating its financial results for the last three quarters of 2013 and the first quarter of 2014, the consequence...more

CPSC Recall Snapshot: Year in Review

Welcome to the Alston & Bird 2015 CPSC Recall Snapshot Year in Review. 2015 saw a significant increase in activity at the CPSC. Although the number and product-type for recalls in 2015 were substantially similar to...more

OSHA and DOJ to Join Forces on Safety Violations/Penalties to Increase

Employers that violate safety-related laws are likely to face more aggressive enforcement and steeper penalties in the future under new legislation allowing the Occupational Safety & Health Administration (“OSHA”) to increase...more

Texas Takes a Stance Against Patent Trolls

Since the U.S. Congress began implementing reforms to the patent system, states too have been considering measures to protect their residents and business from abusive patent litigation. While the federal government has...more

Calculating SEC Civil Money Penalties: Do Hundreds of Related Acts Constitute a Single Course of Conduct or Hundreds of Separate...

In addition to going to court to seek sanctions, the Securities and Exchange Commission may impose civil money penalties in its own administrative proceedings on any person who violates, or causes a violation of, the federal...more

Financial Regulatory Developments Focus - January 2016 #2

In this week's newsletter, we provide a snapshot of the principal US, European and global financial regulatory developments of interest to banks, investment firms, broker-dealers, market infrastructure providers, asset...more

Non-Telco Company Agrees to $135,000 Civil Penalty to Settle Investigation into Unauthorized Operations of Wireless Stations

Last week, the Enforcement Bureau of the Federal Communications Commission (“FCC”) announced a $135,000 settlement with Constellium Rolled Products Ravenswood, LLC (“Constellium”) regarding the company’s unauthorized radio...more

FinCEN Assesses Civil Money Penalty Against LA-Based Precious Metals Business for AML Violations

On December 30, FinCEN announced a civil money penalty of $200,000 against a Los Angeles-based precious metals business – a financial institution as defined by the BSA – and its owner and compliance officer. The company and...more

False Marking Alert: Could International Product Sales, Shipments, Or Manufacturing Land You In Prison?

Do you manufacture, ship, or sell products abroad that contain the ® trademark registration symbol on the products, labels, or packaging? If so, did you know that you may face criminal liability, imprisonment, fines, seizure...more

AB 622 Restricts the Use of E-Verify

Assembly Bill 622, which takes effect on January 1, 2016, adds section 2814 to the California Labor Code. Section 2814 prohibits employers from using E-Verify to check the employment authorization status of an existing...more

CPSC Recall Snapshot: CPSC Goes International

Welcome to the December edition of the Alston & Bird CPSC Recall Snapshot. In November, the CPSC, Health Canada and Mexico’s Consumer Protection Federal Agency (PROFECO) held their Third North America Consumer Product...more

Revised Capital Markets Act: Amendments to Regulatory and Criminal Enforcement Provisions

The recently released revised consultation draft of the Capital Markets Act (CMA) for the proposed Cooperative Capital Markets Regulatory System (Cooperative System) includes changes to the proposed rules around regulatory...more

Regulatory Update: It's OK to Agree: The High Court of Australia Endorses Agreed Civil Penalties

Regulators and businesses can once again make joint submissions to the court proposing agreed penalties in civil penalty proceedings, after the High Court of Australia unanimously reversed a Full Federal Court decision that...more

FCC Commissioner O’Rielly Questions Commission’s Forfeiture Calculations in Recent Forfeiture Order

On December 7, 2015 the FCC released a Forfeiture Order against PTT Phone Cards, Inc. (formerly Star Pinless) (PTT or the Company), a prepaid calling card service provider that resells international telecommunications...more

CFPB Hits Credit Reporting Agency with $8 Million Penalty for FCRA Violations

The Consumer Financial Protection Bureau (“CFPB” or “Bureau”) recently ordered a Florida subprime credit reporting company and its owner to pay an $8 million civil penalty and to halt illegal practices in a December 3 Consent...more

OSHA Penalties to Increase in 2016

As a result of the Bipartisan Budget Act of 2015 (Budget Act), the Occupational Safety and Health Administration (OSHA) will increase its maximum civil monetary penalties for the first time since 1990....more

Passive Owner Fined Nearly $160MM for DWH Spill

One unanswered question from the Deepwater Horizon litigation was the Clean Water Act civil penalty liability that would be imposed – or not – on Anadarko Petroleum, a passive owner of a 24% interest in the BP lease. On...more

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