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Administrative Law Judge (ALJ) Fines

Fox Rothschild LLP

Compliance Personnel Cannot Stick Their Head In The Sand

Fox Rothschild LLP on

Compliance personnel– especially, chief compliance officers– cannot ignore problems because, as one SEC ALJ determined, it will lead to censure and fines for ignoring compliance obligations...more

Fisher Phillips

Breaking The ICE: How Employers Can Push Back Against Punitive I-9 Fines

Fisher Phillips on

Climate change may make our summers hotter, but the ICEman still cometh. Since late 2017, Immigration and Customs Enforcement (ICE) has significantly increased the number of Notices of Inspections issued to employers...more

Jackson Lewis P.C.

Elevated Fine Lacks Justification, Mine Safety Agency Attorney Concedes

Jackson Lewis P.C. on

A government attorney agreed with opposing counsel that the Mine Safety and Health Administration had not justified a proposed 127 percent increase in fines against an Illinois coal operator. The two sides disagreed, however,...more

Morrison & Foerster LLP

Investment Management Legal + Regulatory Update -- February 2013

In This Issue: Regulatory Updates - FINRA overhaul of communications rules becomes effective and ICI and CoC appeal Rule 4.5 ruling. Enforcement + Litigation - Enforcement Division priorities target hedge...more

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