Enforcement Actions

News & Analysis as of

SEC Sanctions Adviser For Not Fully Disclosing Fee Arrangements

The Commission has brought a series of cases focused on undisclosed conflicts of regulated entities. A number of those cases centered on undisclosed fee and compensation arrangements. In its most recent case the agency went...more

EEOC’s Pattern-Or-Practice Claims Against JBS to Proceed to Trial, Federal Judge Orders

Federal Court Denies Meat Processor's Motion for Summary Judgment on Agency's Title VII Race, National Origin, and Religious Discrimination and Retaliation Case - DENVER - A federal judge has denied, in its entirety, the...more

This Week In Securities Litigation

The SEC filed three actions following-up on its settled proceeding against Oppenheimer for selling millions of shares of unregistered penny stocks. Each individual settled with the agency. In addition, the Commission brought...more

Where’s the Beef Part II: Court Refuses To “Butcher” EEOC’s Religious Discrimination Claim

Our loyal blog readers may recall a post we authored in October 2013 regarding EEOC v. JBS USA, LLC (the “Nebraska Case”), where Chief Judge Laurie Smith Camp of the U.S. District Court for the District of Nebraska entered...more

Advertising Law - July 2015 #4

FTC And Florida AG Team up Against Medical Alert Systems - Together with the Florida Attorney General, the Federal Trade Commission filed suit against Lifewatch for allegedly using deceptive robocalls to urge older...more

Bank Has Standing to Challenge Constitutionality of CFPB

In State National Bank of Big Spring v. Lew, the United States Court of Appeals for the District of Columbia Circuit ruled that the plaintiff had standing to challenge the constitutionality of the CFPB. The Court made quick...more

McLane Foodservice to Pay $40,000 to Settle EEOC Disability Discrimination Lawsuit

Food Supplier Refused to Hire Applicant on the Basis of Disability, Federal Agency Charged - MEMPHIS, Tenn. - McLane Foodservice, Inc., which supplies foodservice deliveries to fast-food chain restaurants, has agreed to...more

DOJ Cracks Down on Cyber Criminals

The Department of Justice (DOJ) recently announced the largest coordinated international law enforcement effort ever directed at an online cyber-criminal forum. Financial institutions and other companies should consider...more

Regulators Sue Four Michigan Hospitals for Agreeing to Restrict Marketing Activities

As most people know, agreements between competitors to fix prices or allocate or divide markets are clear violations of the antitrust laws and can result in serious penalties. In industries as diverse as foreign exchange...more

Building Materials Manufacturing Corp to Pay $62,500 to Settle EEOC Disability Lawsuit

Agency Alleged Company Refused to Permit Disabled Worker to Exercise Bumping Rights in a Layoff - ATLANTA - Building Materials Manufacturing Corporation, a roofing materials manufacturer headquartered in Wayne, N.J.,...more

Private Equity Newsletter - Summer 2015 Edition: SEC Charges Corporate Insiders for Failing to Update Beneficial Ownership...

Enforcement actions raise potential disclosure concerns for private equity sponsors exploring investments in public companies - Earlier this year, the U.S. Securities and Exchange Commission (“SEC”) announced charges...more

EEOC Sues Regis Corporation/Smart Style Family Hair Salon for Unlawful Retaliation

Hair Salon Fired Employees for Complaining About Race Discrimination, Federal Agency Charges - WILMINGTON, N.C. - Regis Corporation, doing business as Smart Style Family Hair Salon, a Minnesota-based company that...more

Subway Franchise in Albany Sued by EEOC for Sexual Harassment of Teen Job Applicants

Restaurant Manager Sent Sexually Offensive Texts Demanding Sex for Jobs, Federal Agency Charged - ALBANY, N.Y. - Draper Development, LLC, doing business as Subway, which operates at least 24 Subway restaurants in the...more

EEOC Sues Vita Plus for Disability Discrimination

Agricultural Company Fired Driver Due to His Diabetes, Federal Agency Charged - DETROIT - Vita Plus Corporation, an agricultural company with a facility in Gagetown, Mich., violated federal law by discriminating against...more

US Chamber Recommends SEC Enforcement Changes

Last week the US Chamber of Commerce, through its Center for Capital Markets Competitiveness, issued a white paper proposing wide-ranging changes to the SEC’s enforcement process. Most of the 28 recommendations were...more

SEC Charges Three For Six Microcap Fraud Manipulations

Microcap fraud has been a priority of SEC Enforcement since at least the formation of the Microcap Task Force about two years ago. The Commission has brought a series of cases focused largely on pump-and-dump schemes....more

SEC Settles With Stock Promoters in Medical Marijuana Stock Manipulation Scheme

On July 9, the Securities and Exchange Commission settled with two stock promoters accused of reaping $2.5 million in illicit profits by manipulating stocks of medical marijuana microcap companies. According to the proposed...more

Add-On Products Continue To Present Litigation Risks For Lenders

The Consumer Financial Protection Bureau’s recent action against two credit card vendors regarding credit monitoring and identity theft protection services is a reminder of the legal risks associated with certain add-on...more

You Can Settle Your Insider Trading Case with a Negligence-based Charge

This is almost certainly not true anymore. But it was true once! Maybe only once. Back in October 1991, the SEC sued Shared Medical Systems, a Pennsylvania health care information services company and three of its officers...more

Class Is in Session: The FTC Launches New Data Security Initiative

Why it matters - The Federal Trade Commission (FTC) kicked off a new educational initiative to provide guidance to businesses in the area of data security. Based on the lessons learned from more than 50 of the agency's...more

SEC’s Whistleblower Program Awards Over $3 million to Company Insider

On Friday, July 17, the Securities and Exchange Commission (SEC) announced that it will award more than $3 million to a company insider who helped the SEC “crack a complex fraud.”...more

FTC's New Consumer Data Security Guidance Offers Businesses Practical Tips

The Federal Trade Commission has issued new guidance on data security for companies that collect, store and use consumer information, gleaned from the more than 50 enforcement actions brought by the agency over the past...more

Enforcement Provides Important Update for Auto Industry

For the last several years, the global auto industry has been rocked by unprecedented investigations and prosecution. Numerous international cartels, involving scores of companies and individuals, have engaged in...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

OCR Settlement with Massachusetts Hospital Over HIPAA Violations

On July 8, 2015, the United States Department of Health and Human Services, Office for Civil Rights (“OCR”), which enforces federal privacy standards for protected health information (“PHI”), settled an enforcement action...more

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