News & Analysis as of

Regulatory Violations Penalties Enforcement Actions

Jones Day

Landmark Enforcement Under U.S. CPSA Leads to Sentencing of Corporate Executives for Failure to Report Product Hazards

Jones Day on

In June 2025, two former executives were each sentenced to more than three years in prison for conspiracy and failure to report hazardous products to the U.S. Consumer Product Safety Commission ("CPSC"), marking the first...more

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

Storage Tank Enforcement: Tennessee Department of Environment and Conservation Proposed Order Addressing Covington, Tennessee...

The Tennessee Department of Environment and Conservation (“TDEC”) issued a June 18th Proposed Order and Assessment (“Order”) to Diamond Investments of TN Inc. (“Diamond”) addressing an alleged violation of underground storage...more

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

Energy Efficiency Enforcement: California Energy Commission and Battery Charger Manufacturer Enter into Settlement Agreement and...

The California Energy Commission (“CEC”) and Stanley Black & Decker, Inc. (“Black & Decker”) entered into a May 21st Settlement Agreement and Release (“Agreement”) addressing alleged violations of the California Appliance...more

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

Storage Tank Enforcement: U.S. Environmental Protection Agency and Washington, D.C. Department of Corrections Enter into Consent...

The United States Environmental Protection Agency (“EPA”) and Washington, D.C. Department of Corrections (“D.C.”) entered into a June 10th Consent Agreement (“CA”) addressing alleged violations of the federal Underground...more

Troutman Amin LLP

SCAMMERS OR DUMMIES?: Selling Limited Benefits Plans to Consumers Seeking Health Insurance Lands Four Dudes In Hot Water–BUT Are...

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The lead generation industry is fascinating. If there is one over arching mantra it is this– monetize all data available. And sometimes that can get folks into BIG trouble, especially when lead buyers end up pitching...more

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

Hazardous Waste Enforcement: Tennessee Division of Solid Waste Management Proposed Order and Assessment Addressing Ripley...

The Tennessee Division of Solid Waste Management (“TDSWM”) issued a February 7th Proposed Director’s Order and Assessment (“Order”) to SRG Global Coatings, LLC (“SRG”). See Case No. HWM 24-0024. The Order provides that...more

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

OSHA Enforcement: Penalty Assessment Addressing Conyers, Georgia Biolab

The Occupational Safety and Health Administration (“OSHA”) issued a news release stating that it is proposing to impose penalties against Bio-Lab Inc. (“BLI”). The news release states that OSHA determined that the BLI...more

Katten Muchin Rosenman LLP

What the CFTC's Operating Divisions Will Consider When Making Enforcement Referrals

The three operating divisions of the CFTC (Division of Market Oversight, Market Participants Division, and the Division of Clearing and Risk, together the Operating Divisions) issued an advisory on April 17, explaining the...more

A&O Shearman

PRA fines former notified non-executive director of Wyelands Bank

A&O Shearman on

The UK Prudential Regulation Authority (PRA) has fined a former non-executive director of Wyelands Bank GBP72,000 for failing to act with due skill, care and diligence in connection with regulatory failings previously...more

The Volkov Law Group

Lafarge and Syrian Subsidiary Pay $778 Million in Fines and Forfeiture for Supporting ISIS Terrorist Organization

The Volkov Law Group on

The Justice Department continues to push an aggressive agenda against businesses.  It is committed to demonstrating its resolve to prosecute companies and individuals from the business community.  Whether it is antitrust,...more

BakerHostetler

CFIUS Issues Long-Awaited Enforcement and Penalty Guidelines

BakerHostetler on

The U.S. Department of the Treasury on October 20, 2022, issued its first-ever Committee on Foreign Investment in the United States (CFIUS) Enforcement and Penalty Guidelines. Publishing of the Guidelines reinforces recent...more

Robinson+Cole Health Law Diagnosis

Fifth Circuit Overturns “Arbitrary and Capricious” $4.3 Million HIPAA Penalty Against Hospital

On January 14, 2021, the U.S. Court of Appeals for the Fifth Circuit overturned a $4.348 million penalty for alleged HIPAA violations assessed by the U.S. Department of Health & Human Services (HHS) against the University of...more

Troutman Pepper Locke

CFTC Issues Civil Monetary Penalties Guidance for the First Time in More Than 25 Years

Troutman Pepper Locke on

On May 20, the Commodity Futures Trading Commission’s (CFTC’s) Division of Enforcement issued new public guidance on civil monetary penalties that is designed to increase transparency in penalty determinations. ...more

Ballard Spahr LLP

Investors Bring 10b-5 Action Against Westpac Over Money Laundering Scandal

Ballard Spahr LLP on

AML Scandals Seem to Inevitably Spawn Investor Lawsuits - As we recently blogged, Westpac, Australia’s second-largest retail bank, has been embroiled in a scandal arising from approximately 23 million alleged breaches of...more

Thomas Fox - Compliance Evangelist

Airbus Settlement: Part 2 – The Paper Compliance Program

Last week, Airbus SE (Airbus) settled a long-standing corruption scandal by agreeing to enforcement actions in three countries; France, the United Kingdom and the US. The matter involved a massive, worldwide, long running...more

The Volkov Law Group

Airbus Agrees to Pay $4 Billion in Global Settlement of Foreign Bribery and ITAR Violations (Part I of IV)

The Volkov Law Group on

In a blockbuster case, the Justice Department announced a global settlement with Airbus SE, a manufacturer of civilian and military aircraft, under which Airbus agreed to pay over $4 billion (yes, with a “B”) to resolve...more

Thomas Fox - Compliance Evangelist

Airbus Settlement: Part 1 – Introduction

Last week, Airbus SE (Airbus) settled a long-standing corruption scandal by agreeing to enforcement actions in three countries; France, the United Kingdom and the US. The matter involved a massive, worldwide, long running...more

Orrick - On the Chain

SEC Settles with BCOT on Alleged Violations of the Securities Act

Orrick - On the Chain on

On December 18, 2019, the Securities and Exchange Commission announced settled charges against blockchain technology company Blockchain of Things Inc. (BCOT) for conducting an unregistered initial coin offering (ICO) of...more

Skadden, Arps, Slate, Meagher & Flom LLP

Ericsson Agrees To Pay Over USD $1 Billion To Settle FCPA Charges

On December 6, 2019, Telefonaktiebolaget LM Ericsson (Ericsson or the Company), resolved long-running investigations by the U.S. Department of Justice (DOJ) and the U.S. Securities and Exchange Commission (SEC) into the...more

Thomas Fox - Compliance Evangelist

Top Five Department of Justice FCPA Enforcement Actions in 2019

Welcome to the 2020’s. The past decade helped shape both Foreign Corrupt Practices Act (FCPA) enforcement and corporate compliance programs. 2019 FCPA enforcements bore out many of the developments from the preceding years of...more

Thomas Fox - Compliance Evangelist

Billion Dollar Baby: Ericsson FCPA Enforcement Action - Part 4: The Double Whammy in Penalties

Last week the Justice Department (DOJ) announced a resolution of the long standing Foreign Corrupt Practices Act (FCPA) enforcement action involving Telefonaktiebolaget LM Ericsson (Ericsson), a multinational networking and...more

Thomas Fox - Compliance Evangelist

Lessons Learned from the Samsung FCPA Enforcement Action

Last week, another Foreign Corrupt Practices Act (FCPA) case was resolved. It involved Samsung Heavy Industries Company Limited (SHI), a South Korea-based engineering company that provides shipbuilding, offshore platform...more

The Volkov Law Group

Samsung Agrees to Pay $75 Million to Resolve FCPA Violations (Part I of II)

The Volkov Law Group on

Samsung Heavy Industries agreed with the Justice Department to pay $75 million to settle FCPA charges. Under a three-year deferred prosecution agreement (DPA), Samsung agreed to filing of a criminal information in the Eastern...more

Hogan Lovells

HUD and DOJ Signal Easing of FCA Enforcement in FHA Residential Mortgage Lending Through Interagency Memorandum

Hogan Lovells on

On October 28, 2019 the U.S. Department of Housing and Urban Development (HUD) and the U.S. Department of Justice (DOJ) released a Memorandum of Understanding (MOU) announcing their joint approach to False Claims Act (FCA)...more

Thomas Fox - Compliance Evangelist

The Panalpina Settlement Day Record May Finally Be Broken: The Unaoil Execs Guilty Pleas

Nine years ago today, on November 4, 2010, was Panalpina Settlement Day which made history for the single largest number of companies to simultaneously settle Foreign Corrupt Practices Act (FCPA)-related violations. It was...more

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