Non-Judicial Settlement Agreements

News & Analysis as of

Judge Approves $2.4 Million EEOC Settlement with Four Hawaii Farms for over 500 Thai Farmworkers

Laborers Kept in Debt Bondage, Housed in Unsanitary Facilities, Threatened, and Denied Adequate Food and Water, Federal Agency Charged - LOS ANGELES - U.S. District Judge Leslie E. Kobayashi in Hawaii has approved...more

Bank Settles With OFAC Regarding Civil Action for Apparent Violation of Sudanese Sanctions Regulations

The Office of Foreign Assets Control (“OFAC”) posted a summary of a settlement with a bank (the “Bank”) relating to a transaction that OFAC alleged was processed by the Bank in violation of OFAC’s Sudanese Sanctions...more

EEOC Sues Kone for Retaliation and Breach of Mediation Agreement

Elevator Manufacturer Refused to Rehire Applicant in Retaliation for a Previous Discrimination Complaint, Federal Agency Charges - MEMPHIS, Tenn. - Kone, Inc., a manufacturer and servicer of elevators and escalators,...more

Recent HUD Enforcement Actions Highlight Risks of Loan Discrimination Against Those on Maternity/Paternity Leave

The U. S. Department of Housing and Urban Development (“HUD”) recently entered into settlement agreements with two lenders that allegedly discriminated against mortgage loan applicants based on their maternity leave status....more

NYDFS Enters Settlement Agreement With PwC Under Which PwC Pays $25 Million Fine, Accepts 24-Month Consulting Suspension and Will...

The New York State Department of Financial Services (“DFS”) entered into a settlement agreement (the “Settlement Agreement”) with PricewaterhouseCoopers LLP (“PwC”) related to consulting services performed by PwC for the...more

House Oversight Commitee Seeks DOJ Documents On RMBS Settlements

On July 24, House Oversight Committee Chairman Darrell Issa (R-CA) sent a letter to Attorney General Holder raising questions about the DOJ’s “inclination to enter into settlement agreements with respect to mortgage...more

SEC Enforces First-Ever Dodd-Frank Whistleblower Retaliation Claim

The U.S. Securities and Exchange Commission recently entered into a $2.2 million settlement agreement with Paradigm Capital Management Inc. and its owner Candace King Weir, in its first-ever action enforcing whistleblower...more

SEC’s First Advisers Act Pay-To-Play Action

The Commission brought its first pay-to-play action involving political campaign contributions under the Investment Advisers Act. The proceeding is predicated on the integration of two firms which claimed to be exempt from...more

Motion to Compel Settlement Agreements Denied Where Document Requests Only Requested License Agreements

Echostar Satellite L.L.C. ("Echostar") moved to compel the production of settlement agreements from the plaintiff. Several issues arose on the motion, including whether the Magistrate Judge had jurisdiction to grant the...more

“Skeletons Leave the Closet” June 23, 2014

On June 23, 2014, BrokerCheck Information makes publicly available information regarding investment-related civil action(s) brought by a state or foreign financial regulatory authority dismissed pursuant to a settlement...more

U.S. Appellate Court Overturns Decision Rejecting SEC’s No-Contest Settlement

The United States Court of Appeals for the Second Circuit held on June 4, 2014 that the U.S. Southern District Court of New York “abused its discretion” when it refused to approve a “no-contest” settlement agreement between...more

Enforcement Case Shows SEC’s Increased Focus on Internal Controls

The SEC recently announced the settlement of charges against DGSE Companies Inc. and its former CFO for accounting fraud resulting primarily from his manipulation of the company’s accounting for inventory. DGSE disclosed in...more

Mortgage Lead Generator To Pay $250,000 in FTC Settlement on Deceptively Advertised Mortgage Rate Charges

GoLoansOnline.com, Inc., a Houston, Texas-based mortgage lead generator, will pay the Federal Trade Commission $250,000 under a settlement announced earlier this month of claims it operated mortgage lending websites that...more

Message To Companies from DOJ and SEC: Take FCPA Compliance Seriously

Federal regulators have been particularly aggressive in enforcing the Foreign Corrupt Practices Act (FCPA), making it crucial for companies to take anti-corruption training seriously. Beauty products giant Avon...more

Insurance Recovery Law - May 2014

New York Court Strictly Applies Draconian Policy Language, Holding Excess Coverage Forfeited By Settling With Underlying Insurers For Less Than Policy Limits - Why it matters: A New York appellate court has...more

Illinois Court Holds Insured Cannot Deselect Insurer In Connection With Underlying Settlement

In its recent decision in AMCO Ins. Co. v. Cincinnati Ins. Co., 2014 Ill. App. LEXIS 296 (May 5, 2014), the Appellate Court of Illinois, First District, had occasion to consider whether an insurer selected by an insured’s...more

Sprint Gets a Wallop of a Reminder – Company-Specific Do Not Call Lists Still Matter – $7.5 Million Record Do Not Call Consent...

Yesterday, the Federal Communications Commission (“FCC”) announced a consent decree with Sprint Corporation for federal do not call violations. Specifically, under the terms of the agreement, Sprint will make a $7.5 million...more

Snap Judgment: FTC Alleges Snapchat Did Not Keep Its Privacy and Security Promises, But Suggests Broad New Duty in the Process

Snapchat’s recent settlement with the Federal Trade Commission (FTC) generally provides a comprehensive but not groundbreaking roadmap to the FTC’s privacy and data security expectations in the mobile environment under...more

New York Hospitals to Pay Record $4.8 Million for HIPAA Data Breach

In the largest Health Insurance Portability and Accountability Act (HIPAA) settlement to date, two New York hospitals have agreed to pay $4.8 million to settle allegations that they failed to secure thousands of patients’...more

Two Health Care Organizations Pay Largest HIPAA Fine at $4.8 Million Resulting from Unsecured Shared Network

New York-Presbyterian Hospital and Columbia University entered into a settlement with the Department of Health and Human Services’ Office of Civil Rights (OCR) to resolve allegations that the organizations had violated the...more

$4.8 Million – Largest HIPAA Settlement to Date

On May 7, 2014, the U.S. Department of Health and Human Services, Office for Civil Rights (“OCR”) issued a press release announcing that two health care organizations—New York and Presbyterian Hospital (“NYP”) and Columbia...more

Server Breach Makes ePHI Accessible on Google, Costs Covered Entities $4.8 Million

It would be pretty unsettling if your patient status, vital signs, medications, and laboratory results were available for the world to see on Google, wouldn’t it? According to recent settlement agreements announced by the...more

The Downside To Sharing – Two Hospitals To Pay Largest HIPAA Fine Yet

On May 7, 2014, the U.S. Department of Health and Human Services Office for Civil Rights ("OCR") announced the largest settlement to date under the Health Insurance Portability and Accountability Act of 1996 ("HIPAA"). New...more

When Is My Child Emancipated?

The question of when your child is emancipated is extremely fact sensitive. As an example of this, the Appellate Division recently released an unpublished opinion Rybak-Petrolle v. Karcz. In that case the parties had a 21...more

Ex-husband charged on credit card and is not paying. Is it bankruptcy for me?

Ex-husband kept one credit card, I kept another. Both of us signed onto both cards. He charged $30,000 on "his" card and is not making payments. That credit card company is coming after me. Am I responsible for his charges on...more

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