Enforcement Actions

News & Analysis as of

FCPA Enforcement – Watching the Enforcement River Flow

FCPA investigations are complex, time-intensive and far-reaching. They take time and resources. DOJ and the SEC have been criticized lately for failing to move their cases in a timely fashion. Criminal Division AAG Leslie...more

CSBS Announces $5.2 Million Multi-State Enforcement Action Against Maryland-Based Mortgage Lender To Resolve Allegations Of...

On April 13, the Conference of State Bank Supervisors (“CSBS”) announced a settlement agreement and consent order following a coordinated enforcement action launched by 43 states against a non-bank mortgage lender after...more

SEC Enforcement Gives Employers a Strong Incentive to Clarify That Their Confidentiality Agreements Do Not Preclude Reporting...

The Securities and Exchange Commission? (“SEC”) has resolved its first enforcement action regarding a potentially overreaching confidentiality agreement following the “voluntary” revision of the agreement to state that it...more

FCC Action Against AT&T Reflects Regulator’s Increasing Focus on Privacy and Data Security

In the wake of the Federal Communications Commission’s (“FCC’s”) first-ever foray last October into fining companies over data security practices, the agency’s Enforcement Bureau Chief, Travis LeBlanc, asserted that the...more

Blog: Fraud Watch: Laboratory Referrals Under Government Scrutiny

Significant recent regulatory and enforcement activity related to laboratory fees and services continues to demonstrate an increased focus on this industry. Government enforcers are active in cases involving both the...more

Appeals Court Affirms Jury Verdict of Over $1.5 Million in EEOC Sexual Harassment and Retaliation Lawsuit Against New Breed...

MEMPHIS, Tenn. - A federal appeals court has upheld a jury verdict of over $1.5 million in the U.S. Equal Employment Opportunity Commission's (EEOC's) lawsuit against a High Point, N.C.-based logistics services provider for...more

SEC Awards More Than One Million Dollars to Compliance Officer

On April 22, 2015, the SEC announced an award of between $1.4 million and $1.6 million to a compliance officer who provided original information to the SEC that led to the successful enforcement of a covered action. Exchange...more

Helmerich & Payne to Pay $59,000 to Settle EEOC Disability Discrimination Suit

Company Made Illegal Medical Inquiries and Violated Confidentiality Requirements, Federal Agency Charged - TULSA, Okla. - Helmerich & Payne, Inc. (H&P), a Tulsa-based drilling contractor, will pay a former employee...more

Between Bridges - April 2015

Navinder Singh Sarao, a London-based trader, was arrested at his home in the United Kingdom on April 21, 2015, and accused by both the US Commodity Futures Trading Commission and the US Department of Justice of engaging in...more

Rinnier Development and Related Companies to Pay $25,000 to Settle EEOC Race Discrimination Lawsuit

Real Estate Management Businesses Underpaid and Refused to Promote Black Assistant Community Manager Because of Her Race, Federal Agency Charged - BALTIMORE - Rinnier Development Company, a commercial and residential...more

Southern District Allows SEC Insider Trading Case to Proceed, Distinguishing Newman

A recent decision from the United States District Court for the Southern District of New York allowing a U.S. Securities and Exchange Commission (SEC) civil enforcement action to proceed against two former stockbrokers for...more

Sanctions Round-Up: First Quarter 2015

In this edition: - US and EU continue targeting Russia for its activity in Ukraine - Cuba-related regulatory reforms announced - P5+1 and Iran reach framework agreement - US enforcement actions:...more

Beware of Confidentiality Agreements with Employees; Make Sure They Don’t Stifle Whistleblowing

On April 1, 2015, the SEC announced its first enforcement action against a company for utilizing language in a confidentiality agreement which could discourage whistleblowing....more

Bridging the Week - April 2015 #3

CFTC Commissioner Bowen Argues for User Fees During House Subcommittee Hearing; Commissioner Wetjen Calls for Bankruptcy Law Amendments to Permit Individual Segregation of Customer Funds - Commodity Futures Trading...more

DOJ Charges A Futures Trader With Contributing To The Flash Crash

Almost five years ago the Dow Jones Industrial Average dropped about 600 points in five minutes, creating chaos in the markets and huge losses for many. The market debacle became known as the flash crash. The causes were...more

Unit Drilling to Pay $400,000 to Settle EEOC Systemic Sex Discrimination Suit

Company Refused to Hire Any Women, Federal Agency Charged - PHOENIX - Unit Drilling Company, a nationwide oil drilling company, will pay $400,000 and furnish other relief to settle a systemic sex discrimination lawsuit...more

SEC Awards Compliance Officer Whistleblower Bounty of Approximately $1.5 Million

Wednesday, the SEC announced that it would pay an unidentified compliance officer a whistleblower bounty award of between $1.4 and $1.6 million. This is the second award that the SEC has made to a whistleblower with internal...more

Corporate Investigations & White Collar Defense - April 2015

It’s Stifling in Here! SEC Rules That Companies Can’t Put Restrictive Language in Confidentiality Agreements That Could Potentially Stifle Whistleblowers - Why it matters: On April 1, 2015, the SEC announced its...more

CFPB Update: CFPB Orders $3.1 Million in Refunds to Military Servicemembers in Fifth Case Involving Military Allotments

On Monday, the Consumer Financial Protection Bureau (CFPB) announced the latest in a series of five enforcement actions involving military allotments: a $3.1 million consent order against a payment processor, Military...more

FTC Settles Radioactive Allegations Against Cardinal Health with a Near Record-Breaking Disgorgement Agreement

In a 3-2 decision, as part of its aggressive antitrust enforcement in health care industries, the Federal Trade Commission (FTC or the Commission) announced that Cardinal Health, Inc. (Cardinal) agreed to pay $26.8 million to...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

SEC Files Two Offering Fraud Actions Tied To A Horse Farm

The Commission filed two settled offering fraud actions centered in part around an entity engaged in the purchase and sale of thoroughbred horses called Raintree Racing. A second involved an offering of interests in a real...more

EEOC Sues McLane Foodservice for Disability Discrimination

Food Supplier Refused to Hire Applicant on the Basis of Disability, Federal Agency Charges - MEMPHIS, Tenn. - McLane Foodservice, Inc., which supplies foodservice deliveries to fast-food chain restaurants, violated...more

Can You Keep a Secret? The SEC Says to Ask Carefully

Employers have a lot to be worried about. Employees are given access to trade secrets, customer lists, financial accounts, and other highly sensitive, confidential information. Most employers attempt to deter improper use of...more

BlackRock, CCO Settle SEC Conflict Charges

Conflicts of interest involving market professionals continue to be a focus of SEC enforcement. In many cases the conflict is uncovered by the inspection staff, OCIE. This time, however, the information came from an article...more

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