Topic
Enforcement
987 published works
FCPA Professor
General Cable In Coverage Dispute With Insurers Regarding Prior FCPA Matter
By Mike Koehler
In 2016, General Cable Corporation (a Kentucky based manufacturer and distributor of cable and wire) resolved a parallel DOJ and SEC enforcement action concerning conduct in Angola, Bangladesh, Indonesia, Thailand,…
Public Chatter
SCOTUS’ Securities Fraud Ruling Further Limits SEC’s Enforcement Authority (With Rippling Effects on the Administrative State)
By Broc Romanek
Here's the teaser for this Client Update: "In the recent 6-3 decision in SEC v. Jarkesy, the Supreme Court of the United States ruled that respondents to a U.S. Securities…
Subject to Inquiry
Supreme Court Holds That SEC Must Seek Civil Penalties in Federal Court
By E. Andrew Southerling, John S. Moran, Jonathan Ellis, Louis D. Greenstein
In SEC v. Jarkesy, No. 22-859, 603 U.S. __ (2024), the Supreme Court held that the Seventh Amendment prohibits the Securities and Exchange Commission (SEC or Commission) from seeking civil…
Global Investigations & Compliance Review
The Chevron Reversal and Sanctions Litigation
With the recent SCOTUS decision overturning Chevron, lawyers involved in administrative litigation are considering how the decision will affect their matters. Sanctions litigation is one area which will be impacted.…
Free Writings + Perspectives
Supreme Court Holds That SEC In-House Courts Cannot Adjudicate Enforcement Actions Seeking Civil Penalties For Securities Fraud Violations
By Mayer Brown Supreme Court & Appellate Practice
SEC v. Jarkesy, No. 22-859 Introduction: In a decision with significant, wide-ranging consequences for federal agency enforcement authority, the Supreme Court today held that the Seventh Amendment bars the Securities and Exchange Commission…
SEC Actions
SEC Precluded From Seeking Penalty in Administrative Action
The Securities and Exchange Commission suffered a significant loss in the Supreme Court today. The High Court held that those charged with fraud by the agency have a right to…
FCPA Professor
“Hey, Look, There’s A Hoof Cleaner!” – SEC Commissioners Again Criticize Recent Internal Controls Enforcement Theory
By Mike Koehler
Yesterday’s post highlighted the SEC’s enforcement action against R.R. Donnelley & Sons Company (RRD) and how – in the non-FCPA, FCPA enforcement action – the SEC “pushed the internal controls envelope”…
Sustainability in Business
Reflection on ASIC v Vanguard – ASIC’s First Court Enforcement Decision on “Greenwashing”
In late March 2024, the Australian Securities and Investments Commission (ASIC) won its first “greenwashing” court enforcement action against Vanguard Investments Australia Limited (Vanguard). While “greenwashing” (the practice of a…
Food Safety News
Civil actions mark FSIS enforcement during the first three months of 2024
By Dan Flynn
USDA’s Food Safety and Inspection Service (FSIS) is more than halfway through its federal fiscal year. While it hasn’t taken any new criminal actions, it has reported various civil injunctive…
Tucker Arensberg Blog
Updated Process for Enforcement of Pennsylvania’s School Bus Stop-Arm Camera Program
Ashley J. Puchalski, Esq. apuchalski@tuckerlaw.com, (412) 594-5509 Pennsylvania law requires motorists coming from any direction to stop at least ten (10) feet from a school bus with its lights flashing and stop-arm…