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To settle enforcement matters, the U.S. Securities and Exchange Commission (“SEC”) often seeks to require non-monetary conditions on top of civil monetary penalties from companies that have allegedly violated federal securities laws.

February 4, 2021
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It was only a matter of time. On January 12, 2021, the Department of Justice (“DOJ”) announced that it had reached its first civil settlement regarding allegations of fraud related to the Paycheck Protection Program (“PPP”).

January 27, 2021
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Unlike the year most of us have had, FY2020 was a banner year for the Commodities Futures Trading Commission’s (“CFTC” or the “Commission”) Division of Enforcement. According to the Division of Enforcement’s Annual Report, which was released on December 1, 2020, the CFTC broke multiple records this fiscal year.

December 11, 2020
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On November 9, 2020, the U.S. Federal Trade Commission (“FTC”) announced a proposed settlement with Zoom Video Communications, Inc. (“Zoom”), a video conferencing provider, to resolve claims that Zoom deceived users about the extent and nature of its software’s encryption and secretly installed software that circumvented a browser security safeguard.

November 19, 2020
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Despite never paying any of the compensation at issue and without admitting or denying the allegations, the Nissan Motor Co., Ltd. (“Nissan”) agreed to pay the Securities and Exchange Commission…

September 25, 2019
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On May 30, 2019, the DOJ’s Antitrust Division charged Heritage Pharmaceuticals Inc., a generic pharmaceutical company, for conspiring with its competitors to fix prices, rig bids, and allocate…

June 6, 2019
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P. T. Barnum is credited as saying “There is no such thing as bad publicity.” That may be true in running a circus, but it is demonstrably untrue in running a public company.

April 11, 2019
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On March 21, 2019, the Department of Justice (“DOJ”) announced that the University of Wisconsin-Madison (the “University”) agreed to pay $1.5 million to settle allegations that it had violated the…

March 27, 2019
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On October 26, Walmart announced a $160 million settlement with a class of shareholders who sued the company for disclosing too little too late about possible FCPA violations.

December 4, 2018