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Fines Enforcement Actions

Proskauer - Whistleblower Defense

SEC Announces Slew of Enforcement Actions Regarding Whistleblower Protection Rule

The SEC recently announced the settlement of multiple enforcement actions for violations of its whistleblower protection rule, which prohibits “any action to impede an individual from communicating directly with the...more

The Volkov Law Group

DOJ Awards Declination to Proterial Cable America for Fraud — Proterial Pays $15.1 Million in Disgorgement

The Volkov Law Group on

DOJ is pushing hard for voluntary disclosures and urging companies to take advantage  of its Voluntary Disclosure Program.  The carrot is significant — a declination in exchange for cooperation, remediation and disgorgement....more

The Volkov Law Group

DOJ Issues New FCPA Declination: Boston Consulting Group Pays $14.4 Million

The Volkov Law Group on

The Justice Department is encouraging companies to voluntarily disclose criminal violations — “Come in and confess” and DOJ offers promises of a declination.  But even a declination comes with a requirement — the company has...more

SEC Compliance Consultants, Inc. (SEC³)

Regulatory Roundup for August 2024

More Flack on WhatsApp, Hypothetical Performance SmackDown, A Timely Warning on the Pay-to-Play Rule, and Updates to Qualifying Venture Capital Fund Exemption - This month's big news from the SEC was more piggy-bank breaking...more

Pillsbury - CommLawCenter

FCC Enforcement Monitor ~ August 2024

Pillsbury’s communications lawyers have published the FCC Enforcement Monitor monthly since 1999 to inform our clients of notable FCC enforcement actions against FCC license holders and others....more

Ius Laboris

Massive fine for Uber of EUR 290 million

Ius Laboris on

On 26 August the Dutch Data Protection Authority (DPA) fined Uber EUR 290 million for a breach of the General Data Protection Regulation (GDPR). Following a number of complaints from French Uber drivers, the DPA found that...more

Jones Day

Directors Take Note: English Court Awards Substantial Judgment Under New "Trading Misfeasance" Law

Jones Day on

The £150 million judgment makes clear the full impact of the trading misfeasance offence for directors....more

Holland & Knight LLP

Modificación del régimen sancionatorio ambiental en Colombia

Holland & Knight LLP on

Hay siete novedades relevantes que las empresas en Colombia deben tener en cuenta con ocasión de la sanción de la Ley 2387 del 25 de julio de 2024, que modifica el régimen sancionatorio ambiental contenido en la Ley 1333 de...more

Pillsbury - CommLawCenter

FCC Enforcement Monitor ~ July 2024

Pillsbury’s communications lawyers have published the FCC Enforcement Monitor monthly since 1999 to inform our clients of notable FCC enforcement actions against FCC license holders and others....more

Foley & Lardner LLP

Employers Get Ready: I-9 Fine Increases Are Here — and More I-9 Inspections Are on the Horizon

Foley & Lardner LLP on

The United States Department of Homeland Security (DHS) recently announced that it will impose higher fines against employers that fail to comply with the complex rules governing Form I-9 (Employment Eligibility...more

Pillsbury - CommLawCenter

FCC Enforcement Monitor ~ June 2024

Pillsbury’s communications lawyers have published the FCC Enforcement Monitor monthly since 1999 to inform our clients of notable FCC enforcement actions against FCC license holders and others....more

Sheppard Mullin Richter & Hampton LLP

CFPB Files $3.95M Proposed Order to Settle HMDA Lawsuit Against Florida-Based Mortgage Company

On June 18, the CFPB filed a proposed final judgment that would require a Florida-based nonbank mortgage originator and servicer to pay a $3.95 million civil money penalty and implement corrective actions requiring the...more

The Volkov Law Group

CFTC Fines Trafigura $55MM for Market Abuses, Interfering with Whistleblower Communications

The Volkov Law Group on

On June 17, 2024, the U.S. Commodity Futures Trading Commission (CFTC) announced that trading giant Trafigura had agreed to pay a $55 million fine to settle charges of fraud and manipulation. The conduct at issue allegedly...more

Pillsbury - CommLawCenter

FCC Enforcement Monitor ~ May 2024

Pillsbury’s communications lawyers have published the FCC Enforcement Monitor monthly since 1999 to inform our clients of notable FCC enforcement actions against FCC license holders and others....more

Thomas Fox - Compliance Evangelist

Internal Controls and Humans in the Loop: Lessons from Citigroup’s $126 Million Mistake

In the world of compliance and ethics, the Citigroup internal control debacle serves as a glaring reminder of the critical importance of robust, well-designed, functioning and effective internal controls. The U.K. Financial...more

Goodwin

FTC Files Suit Against Third-Party Bill Payment Company

Goodwin on

On April 25, 2024​, the FTC announced​ that it filed a suit against a Washington-based ​third-party bill payment company​ and two of its chief executives ​​for engaging in allegedly ​deceptive ​and misleading ​​practices​ in...more

Robinson+Cole Data Privacy + Security Insider

FCC Fines Wireless Carriers $200M for Sharing Location Data with Third Parties

The Federal Communications Commission (FCC) has announced that it has levied almost $200 million in fines against “the nation’s largest wireless carriers for illegally sharing access to customers’ location information without...more

Pillsbury - CommLawCenter

FCC Enforcement Monitor ~ April 2024

Pillsbury’s communications lawyers have published the FCC Enforcement Monitor monthly since 1999 to inform our clients of notable FCC enforcement actions against FCC license holders and others....more

Akin Gump Strauss Hauer & Feld LLP

“Round 2” of Marketing Rule Enforcement Actions — Focus on Hypothetical Performance

On April 12, 2024, the U.S. Securities and Exchange Commission imposed fines and other sanctions on five registered investment advisers (RIAs) for violations of the Investment Adviser Marketing Rule (Rule 206(4)-1), which has...more

The Volkov Law Group

JP Morgan Fined $348 Million for Deficient Record-Keeping

The Volkov Law Group on

Regulators with the Federal Reserve and the Office of the Comptroller of the Currency (“OCC”) have fined JP Morgan Chase & Co. a combined total of $348.2 million over the bank’s failure to monitor client trading activities...more

Pillsbury - CommLawCenter

FCC Enforcement Monitor ~ March 2024

Pillsbury’s communications lawyers have published the FCC Enforcement Monitor monthly since 1999 to inform our clients of notable FCC enforcement actions against FCC license holders and others....more

The Volkov Law Group

TradeStation Settles Securities Violations Stemming From its Crypto Yield Product

The Volkov Law Group on

On February 7, 2024, the U.S. Securities and Exchange Commission (“SEC”) announced charges and a related cease-and-desist order (the “Order”) against TradeStation Crypto, Inc. (“TradeStation”) for failing to register the...more

Pillsbury - CommLawCenter

FCC Enforcement Monitor ~ February 2024

Pillsbury’s communications lawyers have published FCC Enforcement Monitor monthly since 1999 to inform our clients of notable FCC enforcement actions against FCC license holders and others....more

Mayer Brown

ANPD Applies First Sanctions of 2024

Mayer Brown on

The Brazilian Data Protection Authority (Autoridade Nacional de Proteção de Dados, “ANPD”), applied its first two sanctions of 2024 against two Brazilian governmental institutions. It is worth noting that, as both are public...more

Bilzin Sumberg

FTC Fines Avast Limited for Collection and Sale of Consumer Browsing Data

Bilzin Sumberg on

​​​​​​​Avast Limited, a United Kingdom-based company that marketed its browser extensions and antivirus software to protect consumer privacy did just the opposite—storing consumer browsing data indefinitely and selling it...more

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