News & Analysis as of

Settlement Agreements Enforcement Actions Recordkeeping Requirements

Eversheds Sutherland (US) LLP

FINRA proposes revisions to SEC-mandated heightened supervision plans for off-channel communications

On May 8, the Financial Industry Regulatory Authority (FINRA) published a blog announcing that it intends to modify the heightened supervision plans (HSPs) imposed as part of certain broker-dealers’ settlements with the US...more

Holland & Hart LLP

Target and Whole Foods Settle Over Hazardous Waste Mismanagement

Holland & Hart LLP on

On December 5, 2018, the Minnesota-based Target Corp. store chain settled with a coalition of California governmental entities for $7.4 million, which included enhanced environmental compliance measures and injunctive...more

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

Air Enforcement: U.S. Environmental Protection Agency and Winchester, Kentucky Dairy Enter into Expedited Settlement Agreement

The United States Environmental Protection Agency (“EPA”) and Kroger Limited Partnership II d/b/a Winchester Farms Dairy (“Winchester”) entered into an August 14th Expedited Settlement Agreement (“ESA”) addressing alleged...more

Akin Gump Strauss Hauer & Feld LLP

Red Notice Newsletter - September 2018

ANTICORRUPTION DEVELOPMENTS - Petrobras Settles with U.S. Authorities Over Alleged FCPA Violations - On September 27, 2018, the U.S. Department of Justice (DOJ) and the Securities and Exchange Commission (SEC)...more

Mintz - Consumer Product Safety Viewpoints

CPSC Suspends Over 90% of $3.5 Million Civil Penalty Due to Company’s Inability to Pay; phil&teds USA to Pay $200,000

At the very beginning of this year, we wrote that we expected the CPSC to remain active in bringing enforcement actions against companies for violations of the Consumer Product Safety Act (CPSA). About one month later, CPSC...more

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