Enforcement Statistics

News & Analysis as of

Foreign Corrupt Practices Act 2014 Year End Update

Over the course of 2014, the Department of Justice (“DOJ”) and the Securities and Exchange Commission (“SEC”) have continued their aggressive enforcement of the Foreign Corrupt Practices Act (“FCPA”). This has led to critical...more

SEC Speaks 2015: Enforcement Highlights

On February 20, 2015, the Securities and Exchange Commission (SEC) held its annual SEC Speaks conference, which updated the public regarding the staff’s work over the last year and its plans for 2015. ...more

A Small Barracuda in a Big Pond: New York's Department of Financial Services

World-wide financial institutions take notice – New York has a new regulator on the scene. Newsweek describes him as “body-slamming” one of the world’s largest banks, “the man the banks fear most.” The Wall Street Journal has...more

Director Cordray speaks to the National Association of Attorneys General

As he has done in prior years, Director Cordray spoke earlier this week to the National Association of Attorneys General. His prepared remarks focused on the familiar theme of “the four Ds” that create obstacles for consumers...more

The Employment Law Authority - January/February 2015

In This Issue: - High Tech, High Risk: Protecting Health Plan Data: Recent Cyber Attack Reminds Employers to Take Swift Action - EEOC FY 2014 Statistics Are Here: What Do They Mean for Employers? - State...more

FCA Matters: Department of Justice Touts Record Recoveries in False Claims Act Cases (2/15)

The U.S. Department of Justice collected a record $5.69 billion through settlements and judgments in False Claims Act cases during the fiscal year ending September 30, 2014, according to a recent announcement by DOJ...more

DOJ Continues to Set Records with Antitrust Enforcement in 2014

The Department of Justice’s Antitrust Division (DOJ) recently reported its criminal prosecution of companies and individuals engaged in cartel, price-fixing or bid-rigging behavior resulted in $1.861 billion in criminal...more

2014 EEOC Enforcement and Litigation Statistics: Retaliation Claims on the Rise

On February 4, the EEOC released a comprehensive set of private sector data for fiscal year 2014. The data tables provide detailed breakdowns of the 88,778 charges of workplace discrimination filed with the agency. While the...more

FCPA Compliance and Ethics Report-Episode 131, The FCPA Professor Takes a Look Back at 2014 [Video]

In this episode I visit with the FCPA Professor over some of his observations from the 2014 FCPA year just pass. We discuss the Esquenazi decision, Opinion Releases and several enforcement actions. ...more

We Know What the EEOC Did in 2014

The U.S. Equal Employment Opportunity Commission (EEOC) recently issued a statistical report in regard to its performance during its fiscal year 2014. The EEOC is the federal agency that enforces Title VII, the ADA, and other...more

EEOC Releases Stats on 2014 Enforcement and Litigation

The EEOC recently released several data tables showing their activity in fiscal year 2014 (October 1, 2013 through September 30, 2014). The Commission received 88,778 charges of workplace discrimination during FY 2014, which...more

Government Shutdown Leads to Fewer EEOC Charges, But Retaliation Claims Continue to Lead the Pack

The EEOC released its FY2014 (Oct. 1, 2013 – Sept. 30, 2014) enforcement statistics last week. Overall, the EEOC reported a decrease in filed charges compared with recent years. The agency attributed the 5.2 percent...more

EEOC Reports Statistics on Employee Filings for 2014

At the beginning of every year, the Equal Employment Opportunity Commission reports statistics on types of charges filed by employees and former employees over the course of the preceding year. These statistics help employers...more

EEOC Releases Fiscal Year 2014 Enforcement and Litigation Data

Percentage of Claims Alleging Retaliation Reaches Record High, While Number of Charges Decrease - WASHINGTON-The U.S. Equal Employment Opportunity Commission (EEOC) today released a comprehensive set of fiscal year...more

EPA’s Fiscal Year 2014 Civil Enforcement Results Reveal Agency’s Shifting Focus

Despite a decline in civil environmental enforcement results, EPA remains poised to continue pursuing high stakes enforcement cases in 2015. On December 18, 2014, the US Environmental Protection Agency (EPA) released...more

A Compilation of Enforcement and Non-Enforcement Actions

Non-Enforcement Advisers to Private Funds Among Targets of the SEC’s 2015 Examination Program The U.S. Securities and Exchange Commission (SEC) recently announced the 2015 examination priorities for its Office of Compliance...more

Securities Class Actions as an Adjunct to SEC Enforcement Actions

The SEC has long considered securities enforcement actions a necessary adjunct to its enforcement program. The Commission has repeatedly noted this point in briefs. The Supreme Court acknowledged the fact. ...more

Securities Enforcement 2014 Year-End Review

Fiscal year 2014 proved to be another eventful and record-breaking year for the Division of Enforcement (Enforcement Division) of the United States Securities and Exchange Commission (SEC or the Commission). Indeed, the...more

False Claims Act – 2014 Year in Review

The False Claims Act (FCA) imposes liability on individuals and companies who defraud or submit false claims to the federal government. The FCA allows the federal government to seek treble damages, civil penalties and...more

FLSA Minimum Wage, Overtime Lawsuits Smash Records in 2014, Sharp Growth Continues

The dawning of a new year means it is time to look back at the number of cases filed in federal courts during the past year under the Fair Labor Standards Act. Every year seemingly without fail, that number goes up. 2014 was...more

2015 Trends: #5 Regulatory Enforcement Moves Down Market

While ethics and compliance scandals that implicate brand name companies tend to grab the headlines, smaller organizations have always borne the brunt of regulatory enforcement. Over the years, U.S. Sentencing Commission data...more

OECD Foreign Bribery Report: Leveraging The How, Where And Why Of Bribery To Bolster Your Ethics And Compliance Training Program

In my last blog post, “The OECD Foreign Bribery Report: 7 Insights To Improve Your Ethics And Compliance Training Program,” I identified the seven bribery trends covered in OECD’s Foreign Bribery Report. The report listed...more

The Year in White-Collar Crime: A Look Back Helps Us See Ahead

The Justice Department’s white-collar agenda in 2014 was marked by skyrocketing corporate settlements and continued reliance on deferred and non-prosecution agreements, coupled with compliance monitors. Several significant...more

Does SEC Enforcement Treat Bigger Companies Differently?

I’m stealing the title of this post from Broc Romanek, who asked this question on January 2nd. He was responding to a study authored by Jonas Heese, an assistant professor at Harvard Business School who has authored a study...more

FTC Report Tallies Hatch-Waxman Settlements for FY2013

On December 22, 2014, the Federal Trade Commission (FTC or the Commission) released an overview of pharmaceutical patent settlements filed with the Commission in Fiscal Year 2013 (October 1, 2012–September 30, 2013). The FTC...more

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