Enforcement Actions

News & Analysis as of

Federal Court Approves EEOC Subpoena in Investigation of Union Pacific

Agency Can Use Subpoena to Continue Investigation of Discrimination Even After Complainants' Private Lawsuit Has Been Dismissed - MILWAUKEE - A federal judge has approved a subpoena allowing the U.S. Equal Employment...more

The Announcement of Criminal Charges against Lumber Liquidators Underscores the Need for Lacey Act Compliance

On Wednesday, April 29, 2015, Lumber Liquidators announced in its most recent 10Q that the United States Department of Justice plans to pursue criminal charges surrounding allegations the company illegally imported wood in...more

EEOC Has a Limited Duty to Conciliate, Supreme Court Rules

Before filing suit against an employer, the Equal Employment Opportunity Commission has a duty to notify the employer of the claim and give the employer an opportunity to discuss the matter. But the EEOC has no duty to engage...more

Recent Court and Agency Actions Suggest Increased Antitrust Risk Over Disgorgement, Particularly in the Pharmaceutical Industry

Recent court and agency rulings highlight important takeaways involving disgorgement in antitrust proceedings. Companies, especially those in the pharmaceutical industry, increasingly should ensure they properly calibrate...more

SCOTUS: Courts Have Power To Review EEOC Conciliation Efforts

On April 29, 2015, the United States Supreme Court issued its decision in a legal battle over judicial oversight of the Equal Employment Opportunity Commission’s obligation to pursue conciliation prior to filing a lawsuit...more

Retail Tracking Firm Slammed with FTC Consent Order

The Federal Trade Commission last month announced a proposed consent order settling claims against Nomi Technologies, a third-party mobile tracking service that collects data about consumers' in-store shopping behavior. The...more

Father-Daughter Conclude Settlement With SEC

The SEC concluded its litigation with a father – daughter combination that solicited investors to purchase promissory notes based on representations that there would be risk free returns from forex trading. There were no...more

Is the EEOC Rushing Your Company to Court? SCOTUS Says Not So Fast

The U. S. Supreme Court unanimously ruled on April 29 that courts can review whether the EEOC has satisfied its obligation under Title VII to conciliate before running to court. Title VII dictates that when the EEOC believes...more

Bridging the Week - May 2015

CME Group Summarily Suspends Trading Privileges of Two Traders Without Hearing for Alleged Spoofing and Non-Cooperation - Less than two weeks after civil and criminal charges were filed by the Commodity Futures Trading...more

Registrants Penalized for Actions of Third-Party Pesticide Distributor

On April 20, 2015, the U.S. Environmental Protection Agency (EPA) announced it had reached settlements with three major pesticide registrants, for the actions of a third-party pesticide distributor, Harrell’s LLC (Harrell’s),...more

FCA Fines Individual For Committing Market Abuse Based On Information Provided By A Third Party

We consider here the FCA's enforcement action against Kenneth Carver for committing market abuse (insider dealing) in breach of section 118(2) of the Financial Services and Markets Act 2000 (FSMA) when purchasing shares on...more

Schlumberger OFAC Enforcement Action – A New Threat?

I have been writing lately about the rise of OFAC sanctions enforcement. OFAC and the Justice Department have started to build a close working relationship similar to that between the SEC and the Justice Department relating...more

Suit Challenging Constitutionality of CFPB Fails for Lack-of-Standing and Other Procedural Defects, D.C. Circuit Holds; Morgan...

Last week, in Morgan Drexen, Inc. v. Consumer Financial Protection Bureau, a divided panel of the D.C. Circuit Court of Appeals affirmed the dismissal of an action challenging the constitutionality of the CFPB. The court did...more

CFPB Goes Public and Steps Up Enforcement Activity

The Consumer Financial Protection Bureau (CFPB) recently announced what may be its boldest move yet: a $63 million enforcement action in coordination with the Federal Trade Commission (FTC) against Minnesota-based mortgage...more

EEOC Denied Inspection Of Employer’s Premises

In EEOC v. Vicksburg Healthcare, LLC, No. 13-CV-895 (S.D. Miss. Apr. 22, 2015), Magistrate Judge Michael T. Parker of the U.S. District Court for the Southern District of Mississippi denied the EEOC’s request to be allowed to...more

Insider Trading After United States v. Newman, the Second Circuit’s Landmark Decision Limiting Liability of Downstream Recipients...

The Second Circuit recently dealt a major setback to federal prosecutors’ recent crackdown on insider trading, overturning two high-profile convictions and simultaneously placing the most significant new limits on insider...more

CFPB and FTC Announce Settlement with National Mortgage Servicing Company

On April 21, the CFPB and the FTC announced a joint enforcement action against a national mortgage servicing company, ordering the company to pay roughly $63 million in relief and penalties for allegedly mishandling home...more

Complaint to a Harassing Supervisor Is Enough to Support a Title VII Retaliation Claim

An employee’s harassment complaint made directly to the harassing supervisor can be sufficient “protected activity” to support a Title VII retaliation claim, the 6th Circuit ruled last week in EEOC v. New Breed Logistics....more

Sixth Circuit Finds that Verbal Demand to Supervisor to Cease Harassing Behavior is Protected Activity Under Title VII

Most practitioners know that Title VII prohibits retaliation against any employee because he or she “opposed any practice made an unlawful employment practice [by the statute].”...more

Inspections Expose Unsafe Product Imports

The United States Department of Justice recently filed a product liability lawsuit in federal court against Toys Distribution Inc., BLI Apparel Inc., All Seasons Sales Inc. and S&J Merchandise Inc., as well as six of the...more

SEC Announces a Maximum Whistleblower Award to an Employee Who Faced Employment Retaliation as a Consequence of Reporting...

In June of last year, Paradigm Capital Management agreed to pay the SEC nearly $2 million to settle allegations that it violated the Dodd-Frank Act’s conflict-of-interest rules and unlawfully retaliated against the...more

Supreme Court: The EEOC Must Answer For Its Efforts To Conciliate

On Wednesday, April 29, 2015, the United States Supreme Court unanimously held that courts may review whether the United States Equal Employment Opportunity Commission (“EEOC”) fulfilled its obligations to engage in...more

Supreme Court Requires Review Of EEOC Conciliation Effort

Before suing an employer for discrimination, the Equal Employment Opportunity Commission (“EEOC”) must try to remedy unlawful workplace practices through informal methods of conciliation. The EEOC sued Mach Mining in federal...more

CFPB Tackles Payment Processor for Charging Servicemembers Hidden Fees, Orders Over $3 Million in Consumer Relief

On April 20, the CFPB announced an enforcement action against a Kentucky-based third-party processor of military allotments and its subsidiary – together “Respondents” – for allegedly charging servicemembers millions of...more

Mediation Pilot Program Caps Year of OSC Enforcement Developments

On May 1, 2015, the Enforcement Branch of the Ontario Securities Commission (OSC) will launch a mediation pilot program. This program caps a year that has seen significant changes to the OSC’s approach to initiating and...more

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