Enforcement Actions

News & Analysis as of

Bridging the Week - August 2015

ESMA Says “No for Now” to Granting Passport Rights to US Fund Managers Under AIFMD: The European Securities and Markets Authority told the European Commission last week that it was premature to grant passport rights to...more

Sanctions Round Up: Second Quarter 2015

After almost two years of negotiations, the P5+1 and Iran reach a final comprehensive agreement regarding Iran’s nuclear program, which will likely result in the gradual lifting of international and US sanctions by early next...more

EEOC Issues Overview on LGBT Rights Under Title VII

As reported in EmployNews, over the past year the Equal Employment Opportunity Commission has aggressively shifted its position on the extent of coverage of LGBT workers under Title VII. In federal employee cases where the...more

What is Crowdfunding Anyway?

Rarely has a capital markets concept been more ambiguous, and potentially more confusing, than crowdfunding. It seems that everyone has his or her own definition, which sometimes varies depending on the circumstances. ...more

The Financial Report - Volume 4, No. 14 • July 2015 (Global)

US lawmakers seek push out details. US Senators Elizabeth Warren and Elijah Cummings sent a letter to the country’s banking regulators asking for information concerning the effect of an amendment to the Dodd-Frank act...more

HIPAA Security Requirements Aren't Cloudy, Especially to Whistleblowers

Earlier this month, the U.S. Department of Health and Human Services Office for Civil Rights (HHS OCR) announced that it had entered into a settlement agreement with St. Elizabeth's Medical Center (SEMC) in Brighton,...more

Federal Court Holds Neither Janus, Nor Statute of Limitations Shields Alleged “Pump-And-Dump” Fraudsters From Civil Liability in...

In another example of the limits to which defendants may successfully rely on the Supreme Court’s decision in Janus Capital Group, Inc. v. First Derivative Traders, 131 S. Ct. 2296 (2011), earlier this summer, District Judge...more

This Week In Securities Litigation

The Government requested that the Supreme Court overturn U.S. v. Newman, the Second Circuit’s decision on tipping and the personal benefit test. Previously, the Second Circuit had declined a request to either rehear the case...more

US CHINA TRADE WAR–CHINA STOCK MARKET CRASH, TRADE, IP/PATENT, SECURITIES

Since the last blog post focused on trade policy and trade and customs issues, with extensive coverage of the Trade Promotion Authority fight in the US Congress, after addressing the trade area briefly, this blog post plays...more

Check Up or Pay Up: I-9 Compliance Fines Hit CA Company

On July 8, 2015, the Office of the Chief Administrative Hearing Officer (OCAHO), issued a decision finding Hartmann Studios, Inc. “liable for 808 violations of 8 U.S.C. § 1324a(a)(1)(B)”, namely hiring workers in the United...more

SEC Settles Unregistered Broker Charges Tied To Offering Fraud

The SEC entered into partial settlements with three persons charged with acting as brokers without registering. The charges were tied to an offering fraud which centered on selling interests in a firm that claimed to be...more

The CFPB & UDAAP: A “Know It When You See It” Standard?

The Consumer Financial Protection Bureau’s (CFPB) exercise of its sweeping authority to prohibit unfair, deceptive, and abusive acts or practices (UDAAP) continues to command the attention of financial institutions and...more

SEC Settles FCPA Charges Tied to Payments to Health Care Professionals

The SEC filed another settled action in which payments to health care professionals at state owned entities in China were alleged to be violations of the Foreign Corrupt Practices Act. Although the company furnished extensive...more

What Would Dr. Seuss Say about an Allowance?

Earlier this month we had the release of a second book by Harper Lee, “Go Set a Watchman”, which was miraculously discovered having been written some 50+ years ago. This week, there was another release from a (now deceased)...more

Hillshire Brands Company Sued by EEOC For Racial Harassment at Sara Lee Plant

Federal Agency Charges Racist Comments and Graffiti in the Worksite - DALLAS - Hillshire Brands Company (formerly known as the Sara Lee Corporation) violated federal law by subjecting a class of African-American...more

Court Prevents Peters’ Bakery from Firing Employee Alleging Discrimination in EEOC Suit

Federal Agency Obtains Preliminary Injunction to Protect Latina Clerk's Job - SAN JOSE, Calif. - Peters' Bakery, a family-owned business in East San Jose, may not terminate a sales clerk whose allegations of ethnic and...more

Condo Association Sued for Sexual Harassment National Origin Discrimination and Retaliation

Management Company Also Sued; Vulnerable Workers Subjected to Abuse, Including Attempted Rape, and Retaliation for Complaining, EEOC Charged - DENVER - Vail Run Community Resort Association, Inc., a condominium complex...more

EEOC Sues IDEX Corporation for Disability Discrimination

Company Terminated Regional Manager Because of His Disability, Federal Agency Charged - MIAMI - IDEX Corporation, a manufacturer and supplier of fluidics systems with locations nationwide, including multiple posts in...more

EEOC Issues Ruling on Workplace Sexual Orientation Discrimination

On July 15, 2015, the U.S. Equal Employment Opportunity Commission (“EEOC”) issued its ruling in Complainant v. Foxx finding that all types of discrimination based on sexual orientation are forms of sex discrimination...more

SEC Sanctions Adviser For Not Fully Disclosing Fee Arrangements

The Commission has brought a series of cases focused on undisclosed conflicts of regulated entities. A number of those cases centered on undisclosed fee and compensation arrangements. In its most recent case the agency went...more

EEOC’s Pattern-Or-Practice Claims Against JBS to Proceed to Trial, Federal Judge Orders

Federal Court Denies Meat Processor's Motion for Summary Judgment on Agency's Title VII Race, National Origin, and Religious Discrimination and Retaliation Case - DENVER - A federal judge has denied, in its entirety, the...more

This Week In Securities Litigation

The SEC filed three actions following-up on its settled proceeding against Oppenheimer for selling millions of shares of unregistered penny stocks. Each individual settled with the agency. In addition, the Commission brought...more

Where’s the Beef Part II: Court Refuses To “Butcher” EEOC’s Religious Discrimination Claim

Our loyal blog readers may recall a post we authored in October 2013 regarding EEOC v. JBS USA, LLC (the “Nebraska Case”), where Chief Judge Laurie Smith Camp of the U.S. District Court for the District of Nebraska entered...more

Advertising Law - July 2015 #4

FTC And Florida AG Team up Against Medical Alert Systems - Together with the Florida Attorney General, the Federal Trade Commission filed suit against Lifewatch for allegedly using deceptive robocalls to urge older...more

Bank Has Standing to Challenge Constitutionality of CFPB

In State National Bank of Big Spring v. Lew, the United States Court of Appeals for the District of Columbia Circuit ruled that the plaintiff had standing to challenge the constitutionality of the CFPB. The Court made quick...more

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