Enforcement Statistics

News & Analysis as of

SEC Chair Mary Jo White – FCPA Enforcement Remains a Top Priority in the Increasingly Interconnected Global Marketplace

On September 21, 2016, Mary Jo White, Chair of the U.S. Securities and Exchange Commission (SEC) spoke at a Legal Practice Division Luncheon at the International Bar Association Annual Conference. She discussed the...more

OSHA Reports Many State Programs Did Not Meet 2015 Performance Goals

Most state workplace safety programs did not meet performance goals, an annual report by the federal Occupational Safety and Health Administration studying 21 state programs in fiscal year 2015 has found. This is largely...more

Benchmarking Your FCPA Compliance Program

After a relatively slow year of Foreign Corrupt Practices Act (FCPA) prosecutions in 2015, this year started out with a landmark settlement against telecommunications provider VimpelCom Ltd. DC Partner Mark Srere, Denver...more

Securities Enforcement: 2016 Mid-Year Review

The Securities and Exchange Commission (the SEC or the Commission) brought over 400 enforcement actions in the first half of 2016 and is on pace to surpass its record of 807 enforcements actions in a single fiscal year, which...more

Recent Trends and Patterns in the Enforcement of the Foreign Corrupt Practices Act (FCPA) / FCPA Digest

Shearman & Sterling’s bi-annual Trends & Patterns report provides insightful analysis of recent enforcement trends and patterns in the US, the UK, and elsewhere as well as helpful guidance on emerging best practices in FCPA...more

Final EEOC Charge Statistics for FY 2015 Show Increase in Retaliation Claims

Earlier this month, the Equal Employment Opportunity Commission released final statistics on charges of discrimination filed during the most recent fiscal year. The total charges rose slightly over 2014, but remained well...more

DAMITT – How Long Does it Take to Conduct U.S. Antitrust Merger Investigations? (Update)

Dechert’s Antitrust Merger Investigation Timing Tracker (DAMITT) is at it again compiling data from 2015. Fast Facts - - Merger investigations in 2015 took an average of 9.6 months to conduct (more than 1/3...more

Retaliation and Disability Charges are on the Rise, According to EEOC Litigation and Charge Statistics for FY 2015

The number of charges filed with the Equal Employment Opportunity Commission (EEOC) is once again climbing, according to newly released litigation and enforcement statistics for FY 2015. During the past fiscal year, 89,385...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

Securities Enforcement 2015 Year-End Review

The Securities and Exchange Commission (the SEC or the Commission) filed a record 807 enforcement actions in fiscal year 2015, 52 more than it filed in 2014. It also set a record by obtaining approximately $4.2 billion in...more

Global Anti-Bribery Year-in-Review: 2015 Developments and Predictions for 2016

I. Introduction: Enforcement Trends and Priorities - Among other significant developments, 2015 saw the U.S. Department of Justice (the “DOJ” or the “Department”) document a policy priority of holding individuals...more

This Week In Securities Litigation

Washington spent much of this week digging out from a monster snow storm which left the government closed for two full days and reporting for work on a delayed based for two others. Two recent reports from Cornerstone...more

SEC Trends: More Enforcement Actions, More Administrative Proceedings, Less Sanctions

SEC enforcement is brining more actions, more administrative proceedings but obtaining lower amounts of penalties and disgorgement, according to a recent report by Cornerstone Research. SEC Enforcement Activity Against Public...more

2015 Global Cartel Enforcement Report

Global Competition Agencies Continue To Aggressively Enforce Cartel Laws - Although some major US Department of Justice (DOJ) investigations are ending, increased international cooperation and new probes confirm...more

WHD Collects Nearly $247 Million in Back Wages

As the calendar year draws to a close, many federal agencies release their statistics for the preceding fiscal year, which ended on September 30. As part of this year-ending wave of information, the Department of Labor’s Wage...more

FERC Investigations and Enforcement Remain Focused on Market Manipulation

The Office of Enforcement (OE) of the Federal Energy Regulatory Commission (FERC) recently released its annual report for the past fiscal year. The report provides FY2015 statistics on the investigative and enforcement...more

SEC’s 2015 annual report on the Dodd-Frank whistleblower program: four points of note

The SEC’s Office of the Whistleblower has released its annual report for fiscal year 2015, reporting that it received nearly 4,000 whistleblower tips in the year ended September 30, 2015 (up from 3,620 the prior year). ...more

OSHA Vows Continued Enforcement As Work Fatalities Rise

Secretary of Labor Thomas E. Perez has sworn to continue the Occupational Safety & Health Administration’s (“OSHA) stepped up enforcement campaign in the construction and oil and gas industries after newly released data...more

OSHA’s Top 10 Safety Violations for FY 2015

On September 29, 2015, OSHA issued its preliminary list of the agency’s top 10 cited standards for fiscal year 2015. The list was presented at the National Safety Council’s 2015 Congress & Expo in Atlanta, Georgia by Patrick...more

FERC considers 2015 enforcement report

The Federal Energy Regulatory Commission is scheduled to consider its 2015 Report on Enforcement when it meets later this week. The FERC is an independent federal agency charged with regulating certain U.S. energy...more

FTC Unveils Nationwide Debt-Collection Enforcement Action

The Federal Trade Commission (FTC) on Wednesday announced that it would launch its first-ever coordinated, nationwide law enforcement effort targeting abusive and deceptive debt-collection practices. The initiative is known...more

FY2015 SEC Enforcement Report

Late last week, the Securities and Exchange Commission (SEC) announced its enforcement results for fiscal year 2015, reporting a record number of enforcement actions and the highest amount of fines collected by the SEC to...more

This Week In Securities Litigation

The Manhattan U.S. Attorney announced the filing of motions to dismiss the insider trading conviction of Michael Steinberg, formerly a portfolio manager at SAC Capitol, and six others in the wake of the Second Circuit’s...more

OSHA Releases Annual Top Ten Citations List

Last month, the federal Occupational Safety and Health Administration issued its annual list of the ten most cited safety standards for the fiscal year that ended September 30. The list was unchanged from the prior year, and...more

Study Says SEC Inflates Enforcement Statistics

A recent study by Urska Velikonja, Emory University School of Law; University of Chicago – Law School, analyzes the enforcement statistics the SEC publishes. The abstract to the study reads as follows: “Every October, after...more

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