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Enforcement Statistics Dodd-Frank Wall Street Reform and Consumer Protection Act

Dechert LLP

CFTC’s Enforcement Division Releases 2019 Annual Report

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The CFTC’s Division of Enforcement (Division) released its Annual Report on November 25, 2019, summarizing the Division’s activities over the past year.1 In FY 2019, the CFTC filed 69 enforcement actions, down from 83 in FY...more

Ballard Spahr LLP

FTC provides 2018 enforcement report to CFPB

Ballard Spahr LLP on

The Federal Trade Commission recently provided its annual letter to the CFPB concerning its enforcement activities relating to compliance with Regulation Z (Truth in Lending Act), Regulation M (Consumer Leasing Act), and...more

Proskauer - Whistleblower Defense

SEC Releases FY 2018 Whistleblower Program Annual Report

On November 15, 2018, the U.S. Securities and Exchange Commission (“SEC”) published its statutorily mandated fiscal year report to Congress covering the agency’s whistleblower program. The report, which covers the period...more

WilmerHale

SEC Enforcement: 2016 in Review and Looking Ahead to 2017

WilmerHale on

Enforcement activity increased again in fiscal year 2016, and the U.S. Securities and Exchange Commission (“SEC”) continued to pursue a broad agenda. Consistent with former Chair Mary Jo White’s “broken windows” enforcement...more

Jackson Lewis P.C.

CFTC Has Banner Year For Enforcement Actions in FY2016

Jackson Lewis P.C. on

The U.S. Commodity Futures Trading Commission (CFTC) recently released its enforcement results for fiscal year 2016. In FY 2016, the CFTC filed 68 enforcement actions and obtained restitution, disgorgement and penalty orders...more

Ballard Spahr LLP

FTC provides 2014 enforcement report to CFPB

Ballard Spahr LLP on

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

NAVEX

SEC’s 2014 Report on Dodd-Frank Whistleblowing Program: Key Takeaways and Trends Companies Should Expect for 2015

NAVEX on

On November 17, the U.S. Securities and Exchange Commission issued its 2014 Annual Report to Congress on the Dodd-Frank Whistleblower Program and it is clear that the program is going strong. Following are six key takeaways...more

BakerHostetler

An Instant Message from the CFTC: Preserve Communications – Enforcement Is Up!

BakerHostetler on

The U.S. Commodity Futures Trading Commission (“CFTC”) released its annual enforcement review for 2014. The results—an impressive list of enforcement action success coupled with record fines. There were over $3.27 billion in...more

Cooley LLP

Blog: Study Shows Whistleblower Complaints Lead To Increased Penalties And Likelihood Of Enforcement

Cooley LLP on

An academic study, first reported by the WSJ, concludes that, in regulatory enforcement actions brought by the SEC and DOJ alleging financial misrepresentation, employee whistleblowers have a consequential impact on...more

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