Enforcement Statistics

News & Analysis as of

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

BNA INSIGHTS: Enforcement Actions Decline But Fines Hit Historic Highs in 2014

During 2014, the number of enforcement actions brought by federal banking agencies1 continued a downward trend that began in 2011. Federal banking agencies issued 661 formal enforcement actions, representing more than a 55...more

CFPB issues seventh Semi-Annual Report

The CFPB has issued its seventh Semi-Annual Report to the President and Congress covering the period from October 1, 2014 through March 31, 2015. The 190-page report recycles information from previously-issued CFPB reports...more

FTC provides 2014 enforcement report to CFPB

The Federal Trade Commission has provided its annual Financial Acts Enforcement Report to the CFPB covering the FTC’s enforcement activities in 2014 related to compliance with Regulation Z (Truth in Lending), Regulation M...more

Despite Fewer Citations Issued Since 2008, the Percentage of “Significant and Substantial” Citations Is Holding Steady

The Mine Safety and Health Administration (MSHA) recently released mining industry and enforcement data that reflects noteworthy changes the industry has experienced over the last six years. Of particular significance in the...more

Retaliation Claims Set Record High at EEOC

According to data released by the U.S. Equal Opportunity Commission, Claimants filed a record-high 37,955 retaliation charges with the EEOC in 2014. Retaliation charges accounted for almost 43 percent of all charges filed...more

Current Developments and Future Trends in False Claims Act Litigation

This past year marked another wildly successful year for the Department of Justice (DOJ) in recovering nearly six billion dollars as a result of False Claims Act (FCA) enforcements, settlements and qui tam whistleblower...more

Polsinelli Podcast - The Climate for I9 Audits in 2015 [Video]

Employers are required by law to verify an employee's identity and authorization to work in the United States by completing a Form I-9. This responsibility should be taken seriously as companies can face fines for paperwork...more

Also In The News - Health Headlines - April 2015 #4

CMS Announces Round 1 2017 DMEPOS Competitive Bidding System – On April 21, 2015, CMS announced plans for a new bidding process for the supplier contracts awarded in the Round 1 Recompete of the DMEPOS Competitive Bidding...more

A Compilation of Enforcement and Non-Enforcement Actions

The SEC announced that a compliance professional has been awarded $1.4 million to $1.6 million for reporting misconduct inside his firm to the SEC. The SEC recently noted that it has paid $50 million to 17 whistleblowers, out...more

CFPB issues 2014 fair lending report

The CFPB has issued a fair lending report covering its fair lending activities during 2014. The report states that in 2014, CFPB fair lending supervisory and public enforcement actions required institutions to provide...more

AML Compliance Developments in the Gaming Industry

Executives of regulated entities often lament that fulfilling compliance obligations interferes with their ability to operate their business. However, an extensive (and extended) regulator investigation with the potential for...more

HIPAA Enforcement Action, Breaches and Pilot Audits

During the HCCA Compliance on Monday, April 20, 2015, Iliana Peters, Senior Advisor for HIPAA Compliance and Enforcement, HHS Office of Civil Rights, presented “Lessons Learned from Recent HIPAA Enforcement Action, Breaches...more

DOJ Submits 2014 Equal Credit Opportunity Act Annual Report to Congress

On April 13, the DOJ released its 2014 Annual Equal Credit Opportunity Act (ECOA) Report highlighting its activities to address credit discrimination. The twenty-page report highlights discrimination lawsuits and settlements...more

This Week In Securities Litigation

The SEC filed another FCPA action, this time against the company that financed a “world tour” as part of the bribes paid by employees to secure business. Previously, the Commission filed an action against the employees. ...more

Alert: FCC Continues Aggressive Action on Data Breaches

As noted in previous alerts, the FCC has dramatically increased its enforcement of data security practices and breaches resulting from what the FCC considers to be inadequate security measures. ...more

No Room for Companies to Gamble as the Feds Double Down on FCPA Enforcement

In 2014, a record-setting year for Foreign Corrupt Practices Act (FCPA) enforcement, the Department of Justice (DOJ) announced the largest-ever DOJ FCPA resolution—an over $772 million criminal fine for French power company...more

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