Enforcement Statistics

News & Analysis as of

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

EEOC Workplace Discrimination Claims Drop to Lowest Levels in 7 Years

With the lowest monetary penalties since 1997, a 20% drop in settlement awards, half as many new suits filed and going 0-for-2 in jury trials, it may appear the Equal Employment Opportunity Commission (EEOC) suffered...more

DOJ and HHS Annual Report Highlights $3.3 Billion in Settlements and Judgments in FY 2014

On March 19, 2015, the Department of Justice (DOJ) and Department of Health and Human Services (HHS) issued their annual Health Care Fraud and Abuse Control (HCFAC) Program report highlighting that the HCFAC Program obtained...more

Department of Justice Imposes More Than $110 Million in Fines on Medical Device Makers

On March 19, 2015, the U.S. Department of Justice and the U.S. Department of Health and Human Services issued their joint annual report on health care fraud and abuse control. The annual report states that during fiscal year...more

Health Care Fraud and Abuse Control (HCFAC) Program Reports $3.3 Billion in Recoveries

According to the FY 2014 HCFAC program report, more than $3.3 billion was recovered in FY 2014 as a result of the government’s health care fraud judgments and settlements, including $2.3 billion won or negotiated by the...more

More Class Actions Claim GAAP Violations, Less Paralleled by SEC Case

Last year the number of securities class action cases settled remained largely constant compared to the prior year, according to a report by Cornerstone Research. At the same time the number of cases alleging GAAP violations...more

DOJ/OIG Issue FY2014 Report: Health Fraud Recoveries and Case Filings Decline

In an annual report required by Congress and issued today, the Department of Health and Human Services (HHS-OIG) and Department of Justice (DOJ) detailed their FY 2014 results under their coordinated Health Care Fraud and...more

CFPB Supervisory Report Highlights Violations in Debt Collection, Consumer Reporting, Mortgage Origination, and Fair Lending

In its Winter 2015 Supervisory Highlights, which covers supervision work generally completed between July and December 2014, the Consumer Financial Protection Bureau highlights legal violations resolved using non-public...more

Study Finds Whistleblowers Increase Penalties of Regulatory Enforcement Actions

A recent academic paper found that whistleblower involvement in financial misrepresentation enforcement actions tends to increase (1) penalties against firms by an average of $77 million, (2) penalties against employees by an...more

Retaliation Dominated EEOC Charges in 2014, Agency Statistics Show

The number of discrimination charges filed with the U.S. Equal Employment Opportunity Commission (EEOC) in fiscal year 2014 reached the lowest level since 2007, according to recently published statistics from the EEOC....more

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