Enforcement Actions

News & Analysis as of

SEC Insider Trading Cases as Administrative Proceedings – A New Trend?

Traditionally, the SEC has brought insider trading cases as civil injunctive actions. The recent emphasis on administrative proceedings, however, appears to be changing that. Earlier this week the agency brought an insider...more

Blog: OCR Rep Discusses HIPAA Violations, Enforcement Actions, and Upcoming Audit Program

Last week, the National Institute of Standards and Technology (“NIST”), in conjunction with the U.S. Department of Health and Human Services’ Office for Civil Rights (“OCR”), hosted a conference entitled “Safeguarding Health...more

Employment Law Summer Recap 2014: Part 11 of 11 – GOOOOOOOOOOOOOOOOOOOOOAL: the World Cup and Onionhead Capture America’s...

This summer, the EEOC sued a healthcare company based out of Long Island (pronounced Lawn Guy-land) alleging religious discrimination under Title VII and the New York State Human Rights Law after the owners required employees...more

Harrison Poultry Sued by EEOC for Disability Discrimination

Poultry Hatchery Fired Employee While on Approved Leave, Federal Agency Charged - ATLANTA - Harrison Poultry, Inc. a poultry hatchery located in Bethlehem, Ga., unlawfully terminated an employee with a disability who...more

Kroger Sued by EEOC for Violating ADA

Grocery Giant Fired Cashier at Howell Store Because of Back Impairment, Federal Agency Charges - DETROIT - The Kroger Company of Michigan violated federal law by failing to provide a reasonable accommodation to an...more

SEC Charges Broker-Dealer for Failure to Protect Against Insider Trading by Employees

The Securities and Exchange Commission for the first time brought charges against a broker-dealer for failure to adequately protect against insider trading by its employees. The charges stem from a broker’s use of a...more

What public companies and their Officers, Directors and Significant Shareholders should do about the SEC’s crackdown on the...

Earlier this month, the Securities and Exchange Commission announced enforcement charges against 28 officers, directors and significant shareholders, including hedge funds and large financial institutions, for failing to...more

Papa John’s Discriminated Against Employee with Down Syndrome, EEOC Charges in Suit

Pizza Delivery Company Unlawfully Refused Job Coach for Worker With Intellectual Disability and Then Fired Him, Federal Agency Charges - PHOENIX - PJ Utah LLC, PJ Cheese, Inc., and PJ United, Inc., collectively doing...more

A Compilation of Enforcement and Non-Enforcement Actions

Non-Enforcement - Cost of Proposed User Fees by Registered Investment Advisers Further Discussed - SEC Valuation Guidance for All Funds - Update on Insider Trading in Mutual Fund...more

Bernstein Shur Business and Commercial Litigation Newsletter #44

We are pleased to present the 44th edition of the Bernstein Shur Business and Commercial Litigation Newsletter. This month, we highlight recent cases that address subpoena enforcement, a rejected class action settlement, and...more

EEOC Sues AutoZone for Harassment Based on National Origin

Hispanic Employee Subjected to Egregious Slurs and Forced to Resign, Federal Agency Charges - WILMINGTON, N.C. - AutoZoners, LLC, the company that operates AutoZone stores nationwide, unlawfully subjected a Hispanic...more

Bridging the Week - September 2014 #3

Court Permits Customer and IB Claims to Proceed Against U.S. Bank Over Peregrine Collapse - A US federal court in Illinois authorized two lawsuits arising from the collapse of Peregrine Financial Group to proceed...more

Bit Bites: Latest Legal Developments in Digital Currencies

When Is Bitcoin “Money” Versus a “Security”? In motions involving a high-profile criminal prosecution with ties to Silk Road and a Securities and Exchange Commission (SEC) enforcement action, two federal courts have clarified...more

Expect Focus - Regulators Are Watching: New Products, New Opportunities, New Risks - Volume III, Summer 2014

In This Issue: - IN THE SPOTLIGHT ..Standard CGL Policy Form Adds Data Breach Coverage Exclusion - LIFE INSURANCE ..Class Claims Against Lincoln National Barred in Section 419 Action – Again ...more

SEC Awards $30 Million to Overseas Whistleblower

Last week, the SEC announced its largest-ever whistleblower award – more than $30 million. Indeed, the SEC order in the case indicates that the final award could be as high as $35 million, depending on the amount of...more

SEC Charges Wells Fargo Analyst, Trader With Insider Trading

Analysts reports frequently move the market and are thus considered inside information prior to publication. That is the predicate for an SEC administrative proceeding which charges a Wells Fargo analyst and trader with...more

U.S. Steel Subsidiary Sued By EEOC for Religious Discrimination and Retaliation

Manufacturing Company Revoked Job Offer and Refused to Accommodate Applicant Whose Religious Beliefs Prohibited Hair from Being Cut From His Scalp, Agency Says - HOUSTON -- U.S. Steel Tubular Products, Inc., a...more

BREAKING: EEOC files first transgender suits against private employers

Bloomberg BNA reports this afternoon that the Equal Employment Opportunity Commission filed two transgender discrimination lawsuits yesterday, the agency’s first ever against private-sector employers. One is against a...more

Risks of Over-Medicating Residents and Potential Liability Under the FCA

According to the Complaint, Country Villa Watsonville East Nursing Center (now Watsonville Nursing Center) and Country Villa Watsonville West Nursing and Rehabilitation Center (now Watsonville Post-Acute Center) “persistently...more

This Week In Securities Litigation

The Commission announced its largest whistleblower action this week – an award to a person overseas of over $30 million. The agency also filed a series of actions this week....more

Broken Windows: SEC Enforcement Reminds Officers, Directors and 5% Shareholders to Comply with Reporting Requirements

On September 10, 2014, the United States Securities and Exchange Commission (the “SEC”) announced enforcement proceedings against officers, directors and major shareholders and publicly-traded companies for violations related...more

China Amps Up Anti-Corruption Effort – What This Means for Your Company

Last Friday, China’s 15-month-long bribery investigation into British multinational pharmaceutical GlaksoSmithKline (GSK) ended after a one-day trial in which the court found GSK’s local subsidiary guilty of bribing doctors...more

EEOC Sues Detroit Funeral Home Chain for Sex Discrimination Against Transgender Employee

Lawsuit Is One of Two the Agency Filed Today - the First Suits in Its History - Challenging Transgender Discrimination Under 1964 Civil Rights Act - DETROIT- Detroit-based R.G. & G.R. Harris Funeral Homes, Inc....more

EEOC Charges Strategic Legal Solutions with Age Discrimination and Retaliation

Company Rescinds Job Offer After Learning Attorney's Age And Bans Her for Complaining About Ageism, Federal Agency Says - NEW YORK - Strategic Legal Solutions, a national legal staffing and legal project management...more

Baker Concrete Construction Sued by EEOC for Disability Discrimination

Federal Agency Charges Concrete Company Refused to Accommodate Payroll Manager, Then Fired Her Because of Disability - HOUSTON - Baker Concrete Construction, Inc. violated federal law by refusing to accommodate and...more

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