News & Analysis as of

Enforcement Actions Reporting Requirements Civil Monetary Penalty

Mitchell, Williams, Selig, Gates & Woodyard,...

Air Enforcement: Tennessee Air Pollution Control Board Proposed Order Addressing South Pittsburg Iron Foundry

The Tennessee Air Pollution Control Board (“Board”) issued a July 31st Proposed Technical Secretary’s Order and Assessment of Civil Penalty (“Order”) to Lodge Manufacturing Company (“Lodge”) addressing alleged violations of a...more

Mitchell, Williams, Selig, Gates & Woodyard,...

Air Enforcement: Mississippi Commission on Environmental Quality and Greenwood Soybean Processing/Oil Extraction Facility Enter...

The Mississippi Commission on Environmental Quality (“MCEQ”) and Oxbow Greenwood, LLC (“OG”) entered into a July 3rd Agreed Order 9 (“AO”) addressing alleged violations of an Air Permit. See Order No. 7520 25....more

Mitchell, Williams, Selig, Gates & Woodyard,...

112(r)/Air Enforcement: U.S. Environmental Protection Agency and Santa Ana, California Chemical Supplier Enter into Expedited...

The United States Environmental Protection Agency (“EPA”) and Gallade Chemical, Inc. (“GCI”) entered into a July 11th Expedited Settlement Agreement (“ESA”) addressing alleged violations of the regulations implementing...more

Mitchell, Williams, Selig, Gates & Woodyard,...

Wastewater Enforcement: Arkansas Department of Energy and Environment - Division of Environmental Quality and Garland County...

The Arkansas Department of Energy and Environment - Division of Environmental Quality (“DEQ”) and Lakeside Gardens Horizontal Property Regime (“Lakeside”) entered into a February 4th Consent Administrative Order (“CAO”)...more

Mitchell, Williams, Selig, Gates & Woodyard,...

Air Enforcement: Arkansas Department of Energy and Environment - Division of Environmental Quality and Grant County Wood Utility...

The Arkansas Department of Energy and Environment – Division of Environmental Quality (“DEQ”) and Stella-Jones Corporation (“SJC”) entered into a May 21st Consent Administrative Order (“CAO”) addressing alleged violations of...more

Skadden, Arps, Slate, Meagher & Flom LLP

OFSI Issues First-Ever Monetary Penalty for a Failure To Provide Information: Key Considerations for Companies

The Offence and Penalty - On 8 May 2025, the UK’s Office of Financial Sanctions Implementation (OFSI) published its 11 April 2025 notice of its first-ever monetary penalty for an information offence relating to financial...more

Mitchell, Williams, Selig, Gates & Woodyard,...

Refrigerant Regulations/Air Enforcement: U.S. Environmental Protection Agency and East Brunswick, New Jersey HVAC Company Enter...

The United States Environmental Protection Agency (“EPA”) and Gold Medal Service (“GMS”) entered into an April 7th Consent Agreement and Final Order (“CAFO”) addressing an alleged violation of the Clean Air Act regulations 40...more

Mitchell, Williams, Selig, Gates & Woodyard,...

Wastewater Enforcement: Arkansas Department of Energy and Environment - Division of Environmental Quality and Saline County...

The Arkansas Department of Energy and Environment - Division of Environmental Quality (“DEQ”) and City of Bauxite, Arkansas entered into a March 10th Consent Administrative Order (“CAO”) addressing alleged violations of the...more

Mitchell, Williams, Selig, Gates & Woodyard,...

Air Enforcement: Arkansas Department of Energy and Environment - Division of Environmental Quality and Springdale Baking Facility...

The Arkansas Department of Energy and Environment - Division of Environmental Quality (“DEQ”) and Newly Weds Foods, LLC (“NWF”) entered into a March 25th Consent Administrative Order (“CAO”) addressing and alleged violation...more

Mitchell, Williams, Selig, Gates & Woodyard,...

Air Enforcement: Missouri Department of Natural Resources and St. Charles Retail Motor Fuel Facility Enter into Administrative...

The Missouri Department of Natural Resources (“MDNR”) and Mac’s Convenience Stores LLC (“Mac’s”) entered into a February 26th Administrative Order on Consent (“AOC”) addressing an alleged violation of the Missouri Air...more

Katten Muchin Rosenman LLP

CFTC Acting Chairman Pham Announces Effort to Quickly Resolve Recordkeeping and Reporting Investigations and Pledges Additional...

During her keynote address at the Futures Industry Association’s International Futures Industry Conference, BOCA50, CFTC Acting Chairman Caroline D. Pham announced a new effort to encourage market participants to resolve open...more

Mitchell, Williams, Selig, Gates & Woodyard,...

Wastewater Enforcement: Alabama Department of Environmental Management and Jefferson County Coal Preparation Plant Enter into...

The Alabama Department of Environmental Management (“ADEM”) and Crimson Oak Grove Resources, LLC (“Crimson”) entered into a February 13th Consent Order (“CO”) addressing alleged violations of the clean water act national...more

Morgan Lewis - As Prescribed

Clinicaltrials.gov: Recent Action May Signal Increased Attention from FDA on Trial Data Reporting Compliance

The US Food and Drug Administration (FDA) recently issued a notice of noncompliance to the FADOI Foundation, citing the organization’s failure to submit required clinical trial results to ClinicalTrials.gov. The notice...more

The Volkov Law Group

Córdoba Music Group Settles with OFAC for $41,591 for Violations of Iran Sanctions Program

The Volkov Law Group on

Córdoba Music Group LLC (Córdoba), a manufacturer of musical instruments based in California, has agreed to pay $41,591 to settle its civil liability for violations of sanctions on Iran. On nine occasions, Córdoba shipped...more

White & Case LLP

FTC Announces Annual Changes to U.S. HSR Thresholds with Highest Filing Fees Now $2.39 Million

White & Case LLP on

The Federal Trade Commission (FTC) announced the annual changes to the Hart-Scott-Rodino (HSR) Act notification and filing fee thresholds, expected to go into effect in February 2025. The FTC is required by law to revise...more

Morrison & Foerster LLP

Three Firms That Engaged in General Solicitation Settle with SEC for Failure to Timely File Forms D

On December 20, 2024, the Securities and Exchange Commission (SEC or the “Commission”) announced charges against several entities that failed to file a Form D within 15 days of a private sale of securities. These entities,...more

BCLP

2024 CFTC Enforcement: Agency Celebrates Record Monetary Relief

BCLP on

On December 4, 2024, the Commodity Futures Trading Commission (“CFTC”) released its enforcement results for Fiscal Year 2024 (“FY 2024”), showcasing record awards of monetary relief totaling more than $17.2 billion....more

Venable LLP

Data Broker Compliance in the Spotlight

Venable LLP on

The California Privacy Protection Agency (CPPA) made headlines on November 14, 2024, by issuing its first significant monetary penalties related to data brokers, totaling nearly $70,000, in settlements with two data brokers,...more

K&L Gates LLP

UK Office of Trade Sanctions Implementation New Enforcement Powers and Increased Reporting Obligations

K&L Gates LLP on

On 12 September 2024, the UK government released the new Trade, Aircraft and Shipping Sanctions (Civil Enforcement) Regulations 2024 (the Regulations), which will come into force on 10 October 2024. The Regulations grant the...more

Foley Hoag LLP - Public Companies & the Law

SEC Announces $3.8 Million in Penalties in Continued Enforcement Sweep of Late Beneficial Ownership and Insider Transaction...

Following its previously announced enforcement sweep in September 2023, the Securities and Exchange Commission (SEC) announced on September 25, 2024, that it had settled charges against 23 entities and individuals for failing...more

Wilson Sonsini Goodrich & Rosati

FTC Issues $1 Million Civil Penalty for HSR Act Violation

While companies wait for the new Hart-Scott-Rodino (HSR) Act filing requirements to be finalized, the Federal Trade Commission (FTC) made headlines by filing an enforcement action against and obtaining nearly $1 million in...more

Mayer Brown

UK Government Launches Office of Trade Sanctions Implementation to Enforce UK Trade Sanctions

Mayer Brown on

On 12 September 2024, the UK Government published the regulatory framework providing the scope and powers of the Office of Trade Sanctions Implementation (OTSI), the authority responsible for the implementation and...more

King & Spalding

PCAOB Division of Enforcement’s First Quarter Continues Record-Setting Pace

King & Spalding on

The PCAOB’s Division of Enforcement and Investigations’ 2024 first quarter activity continued the blistering pace of enforcement since Erica Williams became the Board’s Chair. While the Board’s first quarter enforcement...more

DarrowEverett LLP

Actions vs. J.P. Morgan, Monolith Serve as SEC Compliance Check Reminders

DarrowEverett LLP on

The Securities and Exchange Commission (SEC) recently settled charges against J.P. Morgan Securities LLC (JPMS) for impeding hundreds of advisory clients and brokerage customers from reporting potential securities law...more

WilmerHale

SEC Enforcement Reminds Filers that Beneficial Ownership Reporting Obligations Are Not Optional

WilmerHale on

On September 27, 2023, the Securities and Exchange Commission’s Division of Enforcement announced settled charges against five publicly-traded companies and six individuals for failures to timely report information about the...more

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