Who was sanctioned, and for what?

From 2016 to 2025, the operator of the OTC Link ATS trading system lacked complete policies on systems security, access control and vulnerability management as required under Regulation SCI. Although the examiners of the U.S. Securities and Exchange Commission (SEC) had criticised the gaps in several examinations, drafts remained unfinished; the SEC issued a censure and imposed 575,000 USD.

Authority / court

U.S. Securities and Exchange Commission (SEC)

Area of law

Information security and cyber · Critical infrastructure

Legal basis

Regulation SCI, Rule 1001(a)(1)–(3)

Action

Fine

Status of proceedings

final

Sector

Financial services and insurance

Repeat case

yes

Original amount 575,000 USD, converted at the ECB reference rate of 22 Sep 2026.

Checked against the official source on 25 Sep 2026 · Direct link

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In 2023, a federal court found by way of summary judgment that the fuel card provider had charged its predominantly small business customers hidden or unauthorised fees and misrepresented savings; an appeals court upheld this in 2026. According to the FTC, the fees added up to hundreds of millions of dollars, and late fees were also charged despite punctual payment. Under the settlement resolving the administrative proceedings, FleetCor and CEO Ronald Clarke are paying 100 million USD for refunds; the order is not yet final.

Authority / court

Federal Trade Commission (FTC)

Area of law

Consumer protection and online retail · Misleading advertising and pricing

Legal basis

Section 5 FTC Act

Action

Disgorgement of profits

Status of proceedings

unknown

Sector

Financial services and insurance

Liability of senior managers

CEO Ronald Clarke is named in the press release as a party involved.

Published

17 Sep 2026

Original amount 100,000,000 USD, converted at the ECB reference rate of 17 Sep 2026.

Checked against the official source on 25 Sep 2026 · Direct link

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From 2018 to 2021, the pharmaceutical manufacturer allegedly used two patient assistance foundations to fund Medicare beneficiaries’ co-payments for its drug Oxervate in order to promote its sales. Following a self-disclosure, Dompé paid 32 million USD.

Authority / court

U.S. Department of Justice / U.S. Attorney's Office, District of Massachusetts

Area of law

Bribery and corruption · Gifts, hospitality and benefits

Legal basis

Anti-Kickback Statute (42 U.S.C. § 1320a-7b(b)); False Claims Act (31 U.S.C. §§ 3729 ff.)

Action

Other

Status of proceedings

final

Sector

Chemicals and pharmaceuticals

Mitigating circumstances

Self-disclosure.

Original amount 32,000,000 USD, converted at the ECB reference rate of 10 Sep 2026.

Checked against the official source on 25 Sep 2026 · Direct link

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On board the MSC Samira III, senior engineering officers had oily bilge water pumped overboard via the sewage tank, bypassing the oily water separator, in 2024/2025, manipulated the oil content monitoring and falsified the oil record book, which was presented to the Coast Guard in Philadelphia. The operator and the owner each pleaded guilty to two counts under the Act to Prevent Pollution from Ships (APPS) and are paying a combined 1.75 million USD; in addition, there are four years of probation.

Authority / court

U.S. District Court for the Eastern District of Pennsylvania (Anklage: DOJ Environment and Natural Resources Division)

Area of law

Environment and sustainability · Waste and hazardous substances

Legal basis

Act to Prevent Pollution from Ships (APPS), 33 U.S.C. § 1908

Action

Fine

Status of proceedings

unknown

Sector

Transport, logistics and shipping

Employees

10,000 or more

Culpability

intentional

Liability of senior managers

Second Engineer Mikhail Tsurikov also pleaded guilty; sentencing scheduled for 10 September 2026.

Published

28 Aug 2026

Original amount 1,750,000 USD, converted at the ECB reference rate of 28 Aug 2026.

Checked against the official source on 25 Sep 2026 · Direct link

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Between March 2023 and March 2025, the Ohio manufacturer of presses for beverage can ends (nine employees) supplied, in ten instances, spare parts for aluminium forming tools worth around 264,700 USD – partly via the UAE and Turkey – without a licence to a Russian customer whose group also supplies defence precursors. In two instances, the company acted with knowledge of the violation; it admitted the allegations, which were brought by the US Commerce Department's Bureau of Industry and Security (BIS).

Authority / court

U.S. Department of Commerce, Bureau of Industry and Security (BIS)

Area of law

Sanctions and export control · Export control and dual-use goods

Legal basis

Export Administration Regulations, § 746.8(a)(5) (HTS-Codes Supplement No. 4 to Part 746), §§ 764.2(a), 764.2(e)

Action

Fine

Status of proceedings

final

Sector

Manufacturing and mechanical engineering

Employees

Under 50

Mitigating circumstances

Full cooperation; compliance programme subsequently expanded with screening, an approval process and additional export control training

Published

24 Aug 2026

Original amount 1,000,000 USD, converted at the ECB reference rate of 24 Aug 2026.

Checked against the official source on 25 Sep 2026 · Direct link

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At the food plant in Janesville (Wisconsin), the lids of pressurised industrial kettles opened in February and March 2026, scalding workers with steam and hot liquid; three people died. The U.S. Occupational Safety and Health Administration (OSHA) proposed a total of $364,100 for both inspections combined, including repeat violations relating to fall protection and lockout/tagout.

Authority / court

U.S. Department of Labor – Occupational Safety and Health Administration (OSHA)

Area of law

Health and safety and employment law · Workplace safety and accidents

Legal basis

Occupational Safety and Health Act of 1970; 29 CFR 1910 (u. a. Lockout/Tagout, Absturzsicherung, persönliche Schutzausrüstung)

Action

Fine

Status of proceedings

unknown

Sector

Food and agriculture

Repeat case

yes

Published

20 Aug 2026

Original amount 364,100 USD, converted at the ECB reference rate of 20 Aug 2026.

Checked against the official source on 25 Sep 2026 · Direct link

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A jury found Sioux Erosion Control, co-owner BG Dale Biscoe and employee Randall David Shelton guilty of having fixed prices for erosion control services, allocated contracts regionally and rigged bids on publicly funded road construction projects in Oklahoma (more than 100 million USD) from 2017 to 2023. Sentencing was still pending.

Authority / court

U.S. Department of Justice, Antitrust Division

Area of law

Competition law · Cartels and collusion

Legal basis

Section 1 Sherman Act

Status of proceedings

unknown

Sector

Construction and real estate

Liability of senior managers

Guilty verdict against co-owner BG Dale Biscoe and employee Randall David Shelton

Published

20 Aug 2026

Checked against the official source on 25 Sep 2026 · Direct link

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Henkel wanted to buy the construction adhesive brand Liquid Nails for 725 million USD from the financial investor American Industrial Partners, thereby taking over the main competitor of its Loctite brand. After a seven-day trial, the federal court, on application by the Federal Trade Commission (FTC), issued a permanent injunction against the acquisition.

Authority / court

U.S. District Court for the Southern District of New York (auf Antrag der FTC)

Area of law

Competition law · Merger control

Legal basis

Section 7 Clayton Act; Section 13(b) FTC Act (Permanent Injunction)

Action

Order

Status of proceedings

unknown

Sector

Chemicals and pharmaceuticals

Employees

10,000 or more

Published

17 Aug 2026

Checked against the official source on 25 Sep 2026 · Direct link

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In eight instances in 2019–2021, the Italian subsidiary Dini Argeo supplied weighing equipment worth around 121,500 USD to a trader in the UAE, although it knew that the goods would be passed on to a former direct Iranian customer. The parent company had passed on the Iran ban only by an English-language e-mail without explanation; the US Treasury's Office of Foreign Assets Control (OFAC) considered it a non-egregious, voluntarily self-disclosed case.

Authority / court

U.S. Department of the Treasury, Office of Foreign Assets Control (OFAC)

Area of law

Sanctions and export control · Breaches of sanctions and embargoes

Legal basis

Iranian Transactions and Sanctions Regulations, § 560.215 (Auslandstöchter von US-Personen)

Action

Fine

Status of proceedings

final

Sector

Manufacturing and mechanical engineering

Culpability

negligent

Repeat case

no

Mitigating circumstances

Voluntary self-disclosure, immediate internal investigation, low significance for turnover, no prior violations, cooperation; subsequent training of the subsidiary's employees and screening of traders

Published

12 Aug 2026

Original amount 60,764 USD, converted at the ECB reference rate of 12 Aug 2026.

Checked against the official source on 25 Sep 2026 · Direct link

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From 2016 to 2023, Veloxis provided transplant professionals with expensive meals and alcohol, trips and stays at luxury resorts, gifts and consultancy fees without consideration, and paid specialty pharmacies concealed remuneration in order to promote prescriptions and purchases of the immunosuppressant Envarsus XR. The company entered into a Deferred Prosecution Agreement with a criminal payment of more than 10 million USD, is paying 34.45 million USD under civil law (21,211,251 USD to the federal government, 13,238,749 USD to states) and a penalty of 1.55 million USD under the Sunshine Act (Open Payments) – the highest to date – totalling over 46 million USD.

Authority / court

U.S. Department of Justice / U.S. Attorney's Office, District of Massachusetts

Area of law

Bribery and corruption · Gifts, hospitality and benefits

Legal basis

Anti-Kickback Statute; False Claims Act; Physician Payments Sunshine Act (Open Payments)

Action

Other

Status of proceedings

final

Sector

Chemicals and pharmaceuticals

Checked against the official source on 25 Sep 2026 · Direct link

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The licensed money transmitter had no adequate policies for system updates and insufficient risk assessments under New York's cybersecurity regulation, as found by the New York State Department of Financial Services (NYDFS). The company has already remedied the deficiencies.

Authority / court

New York State Department of Financial Services (NYDFS)

Area of law

Information security and cyber · Security measures and risk management

Legal basis

23 NYCRR Part 500 (Cybersecurity Regulation)

Action

Fine

Status of proceedings

final

Sector

Financial services and insurance

Mitigating circumstances

Because of its low turnover, the company was exempt from many Part 500 obligations; deficiencies already remedied.

Published

5 Aug 2026

Original amount 250,000 USD, converted at the ECB reference rate of 5 Aug 2026.

Checked against the official source on 25 Sep 2026 · Direct link

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The US Financial Crimes Enforcement Network (FinCEN) imposed 125 million USD on the broker-dealer – the highest BSA penalty against a broker-dealer to date. UBSFS admitted wilful infringements: the AML programme was inadequate, more than 50,000 foreign currency transfers totalling more than 10 billion USD were not adequately monitored and suspicious activity reports were not filed; it is already the second enforcement action after 2018.

Authority / court

Financial Crimes Enforcement Network (FinCEN)

Area of law

Money laundering and terrorist financing · Internal controls

Legal basis

Bank Secrecy Act (BSA)

Action

Fine

Status of proceedings

final

Sector

Financial services and insurance

Employees

10,000 or more

Culpability

intentional

Repeat case

yes

Mitigating circumstances

Up to 15 million USD (remaining amount due by 31 May 2028) may be waived to the extent that UBSFS bears the costs of the independent review of its AML programme and implements its recommendations

Published

3 Aug 2026

Original amount 125,000,000 USD, converted at the ECB reference rate of 3 Aug 2026.

Checked against the official source on 25 Sep 2026 · Direct link

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The U.S. Forced Labor Enforcement Task Force (FLETF) added the frozen food manufacturer to the Uyghur Forced Labor Prevention Act (UFLPA) Entity List because it works with the Xinjiang government to take in Uyghurs, Kazakhs, Kyrgyz or members of other persecuted groups under state labour transfer programmes. The company's goods are therefore presumed to have been produced with forced labour on import into the US unless the importer rebuts this.

Authority / court

U.S. Department of Homeland Security (Forced Labor Enforcement Task Force)

Area of law

Supply chain and human rights · Forced and child labour

Legal basis

Uyghur Forced Labor Prevention Act, Section 2(d)(2)(B)(ii)

Action

Order

Status of proceedings

unknown

Sector

Food and agriculture

Published

3 Aug 2026

Checked against the official source on 25 Sep 2026 · Direct link

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The U.S. Forced Labor Enforcement Task Force (FLETF) listed the manufacturer of cephalosporin antibiotics because it sources antibiotic intermediates from Yili Chuanning Biotechnology in Xinjiang. The company's goods are therefore presumed to have been produced with forced labour on import into the US unless the importer rebuts this.

Authority / court

U.S. Department of Homeland Security (Forced Labor Enforcement Task Force)

Area of law

Supply chain and human rights · Forced and child labour

Legal basis

Uyghur Forced Labor Prevention Act, Section 2(d)(2)(B)(v)

Action

Order

Status of proceedings

unknown

Sector

Chemicals and pharmaceuticals

Published

3 Aug 2026

Checked against the official source on 25 Sep 2026 · Direct link

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The U.S. Forced Labor Enforcement Task Force (FLETF) added the cotton and textile producer to the Uyghur Forced Labor Prevention Act (UFLPA) Entity List because it sources cotton from Xinjiang. The company's goods are therefore presumed to have been produced with forced labour on import into the US unless the importer rebuts this.

Authority / court

U.S. Department of Homeland Security (Forced Labor Enforcement Task Force)

Area of law

Supply chain and human rights · Forced and child labour

Legal basis

Uyghur Forced Labor Prevention Act, Section 2(d)(2)(B)(v)

Action

Order

Status of proceedings

unknown

Sector

Other

Published

3 Aug 2026

Checked against the official source on 25 Sep 2026 · Direct link

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The Houston laboratory, its former CEO Michael Stewart and the businessman Harold Shatz allegedly paid kickbacks and billed Medicare and Medicaid for medically unnecessary genetic tests. The three settlements add up to 36.4 million USD; the laboratory is subject to a Corporate Integrity Agreement.

Authority / court

U.S. Department of Justice

Area of law

Bribery and corruption · Commercial bribery

Legal basis

Anti-Kickback Statute (42 U.S.C. § 1320a-7b(b)); False Claims Act (31 U.S.C. §§ 3729 ff.)

Action

Other

Status of proceedings

final

Sector

Healthcare

Liability of senior managers

Former CEO pays under a separate settlement.

Original amount 36,400,000 USD, converted at the ECB reference rate of 30 Jul 2026.

Checked against the official source on 25 Sep 2026 · Direct link

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On 21.01. and 10 March 2026, the U.S. Occupational Safety and Health Administration (OSHA) found at two residential construction sites in Rockledge that employees of the roofing contractor were working on roofs without fall protection; training records, eye protection when using nail guns and ladders extending sufficiently above the roof edge were also missing. The company had been inspected seven times since 2023, each time with fall protection violations. Proposed: $349,754 (2 wilful, 4 repeat violations).

Authority / court

U.S. Department of Labor – Occupational Safety and Health Administration (OSHA)

Area of law

Health and safety and employment law · Workplace safety and accidents

Legal basis

29 CFR 1926 Subpart M (Fall Protection), Subpart X (Ladders)

Action

Fine

Status of proceedings

unknown

Sector

Construction and real estate

Culpability

intentional

Repeat case

yes

Published

23 Jul 2026

Original amount 349,754 USD, converted at the ECB reference rate of 23 Jul 2026.

Checked against the official source on 25 Sep 2026 · Direct link

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The Florida laboratory provided referring physicians with consulting services below market value and paid independent consultants referral-based remuneration for recruiting physicians. Following a self-disclosure, NeoGenomics paid 9,813,260 USD.

Authority / court

U.S. Department of Justice

Area of law

Bribery and corruption · Commercial bribery

Legal basis

Anti-Kickback Statute (42 U.S.C. § 1320a-7b(b)); False Claims Act (31 U.S.C. §§ 3729 ff.)

Action

Other

Status of proceedings

final

Sector

Healthcare

Mitigating circumstances

Self-disclosure of the remuneration arrangements.

Original amount 9,813,260 USD, converted at the ECB reference rate of 20 Jul 2026.

Checked against the official source on 25 Sep 2026 · Direct link

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Between January 2019 and March 2023, the pharmaceutical manufacturer allegedly paid kickbacks to ambulatory surgery centres to induce them to purchase and use the injectable drug DEXYCU for cataract surgery. To resolve the False Claims Act allegations, EyePoint paid 4,657,463.18 USD and entered into a Corporate Integrity Agreement with HHS-OIG.

Authority / court

U.S. Department of Justice

Area of law

Bribery and corruption · Commercial bribery

Legal basis

Anti-Kickback Statute (42 U.S.C. § 1320a-7b(b)); False Claims Act (31 U.S.C. §§ 3729 ff.)

Action

Other

Status of proceedings

final

Sector

Chemicals and pharmaceuticals

Original amount 4,657,463.18 USD, converted at the ECB reference rate of 20 Jul 2026.

Checked against the official source on 25 Sep 2026 · Direct link

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From 2013 to 2019, Scoular had customs brokers pay around 400,000 USD to Mexican border and inspection officials so that trains carrying contaminated maize and grain would pass inspections; some of the money went to individuals close to cartels. Three-year DPA with a criminal penalty of 9,769,521 USD and forfeiture of 414,351 USD.

Authority / court

U.S. Department of Justice (Criminal Division, Fraud Section; USAO Western District of Texas)

Area of law

Bribery and corruption · Bribery of public officials

Legal basis

FCPA (Verschwörung zur Verletzung der Anti-Bestechungsvorschriften); Deferred Prosecution Agreement

Action

Fine

Status of proceedings

final

Sector

Food and agriculture

Culpability

intentional

Mitigating circumstances

Cooperation and remediation (including an overhaul of compliance, third-party management, financial controls and anti-corruption training); 25 % reduction off the low end of the sentencing guidelines range.

Liability of senior managers

The customs broker Carlos Leopoldo Alvelais has pleaded guilty.

Published

17 Jul 2026

Original amount 10,183,872 USD, converted at the ECB reference rate of 17 Jul 2026.

Checked against the official source on 25 Sep 2026 · Direct link

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According to the FTC, employees of the dietary supplement provider wrote thousands of five-star reviews, customers received free products or discounts in return for five-star reviews, and bot profiles posed as real users; in addition, there were unsubstantiated growth claims for children and adolescents. The final settlement order provides for a judgment of 4 million USD, which is partially suspended on account of limited ability to pay after payment of 750,000 USD.

Authority / court

Federal Trade Commission (FTC)

Area of law

Consumer protection and online retail · Fake reviews

Legal basis

Section 5 FTC Act; FTC Rule on the Use of Consumer Reviews and Testimonials

Action

Disgorgement of profits

Status of proceedings

final

Sector

Food and agriculture

Mitigating circumstances

Partial suspension of the judgment on account of limited ability to pay.

Liability of senior managers

The co-founders and co-CEOs Eden Stelmach and Justin Rapoport are personally parties to the order.

Published

15 Jul 2026

Original amount 750,000 USD, converted at the ECB reference rate of 15 Jul 2026.

Checked against the official source on 25 Sep 2026 · Direct link

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At the truck parts distributor's Corpus Christi (Texas) site, an employee was asphyxiated while inspecting a tank trailer. The U.S. Occupational Safety and Health Administration (OSHA) found no confined space programme, deficiencies in the respiratory protection programme and electrical hazards, and proposed $264,380 (16 serious, 3 other violations).

Authority / court

U.S. Department of Labor – Occupational Safety and Health Administration (OSHA)

Area of law

Health and safety and employment law · Workplace safety and accidents

Legal basis

29 CFR 1910.146 (Permit-required confined spaces); 29 CFR 1910.134 (Respiratory protection)

Action

Fine

Status of proceedings

unknown

Sector

Retail and e-commerce

Published

15 Jul 2026

Original amount 264,380 USD, converted at the ECB reference rate of 15 Jul 2026.

Checked against the official source on 25 Sep 2026 · Direct link

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U.S. Customs and Border Protection (CBP) issued a Withhold Release Order: clothing from Needle Craft Ltd.; Casual Wear Apparel LLC (Jordan) is being detained at all US ports of entry because there are indications of forced labour (ILO indicators including physical and sexual violence, retention of identity documents, restriction of movement and withholding of wages). These are two parallel orders against both manufacturers.

Authority / court

U.S. Customs and Border Protection

Area of law

Supply chain and human rights · Forced and child labour

Legal basis

19 U.S.C. § 1307 (Tariff Act of 1930, Section 307)

Action

Order

Status of proceedings

unknown

Sector

Other

Published

23 Jun 2026

Checked against the official source on 25 Sep 2026 · Direct link

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The Huntsville-based defence services provider allegedly invoiced two Navy contracts from May 2021 to March 2025 even though it had not implemented the security controls under NIST SP 800-171 required by the contracts. The settlement under the False Claims Act with the U.S. Department of Justice amounts to 507,144 USD.

Authority / court

U.S. Department of Justice (Civil Division) / USAO Northern District of Alabama

Area of law

Other

Legal basis

False Claims Act (31 U.S.C. §§ 3729 ff.); DFARS-Cybersicherheitsklauseln

Action

Other

Status of proceedings

final

Sector

Defence and security

Published

18 Jun 2026

Original amount 507,144 USD, converted at the ECB reference rate of 18 Jun 2026.

Checked against the official source on 25 Sep 2026 · Direct link

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The Arkansas pathology laboratory, its management company and the owners Kevin Hannah, Donell Burkett and Daniel Hunter Pledger allegedly granted unlawful kickbacks and ordered medically unnecessary tests. Together they paid 30 million USD; the laboratory entered into a Corporate Integrity Agreement.

Authority / court

U.S. Department of Justice

Area of law

Bribery and corruption · Commercial bribery

Legal basis

Anti-Kickback Statute (42 U.S.C. § 1320a-7b(b)); False Claims Act (31 U.S.C. §§ 3729 ff.)

Action

Other

Status of proceedings

final

Sector

Healthcare

Liability of senior managers

The owners contribute personally as parties to the settlement.

Original amount 30,000,000 USD, converted at the ECB reference rate of 17 Jun 2026.

Checked against the official source on 25 Sep 2026 · Direct link

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Between September 2020 and September 2024, Bosch exported MEMS sensors and vehicle software worth around 72.4 million USD from outside the US without a licence to Huawei and affiliated companies on the Entity List (Foreign Direct Product Rule). Bosch voluntarily disclosed the violations; around 3.6 million USD of the penalty imposed by the US Commerce Department's Bureau of Industry and Security (BIS) is credited against a disgorgement agreed with the DOJ.

Authority / court

U.S. Department of Commerce, Bureau of Industry and Security (BIS)

Area of law

Sanctions and export control · Export control and dual-use goods

Legal basis

Export Administration Regulations (Foreign Direct Product Rule, Entity List)

Action

Fine

Status of proceedings

final

Sector

Automotive

Employees

10,000 or more

Mitigating circumstances

Voluntary self-disclosure and cooperation

Published

17 Jun 2026

Original amount 36,184,680 USD, converted at the ECB reference rate of 16 Jun 2026.

Checked against the official source on 25 Sep 2026 · Direct link

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U.S. Customs and Border Protection (CBP) issued a Withhold Release Order: copper and copper products from Serbia Zijin Copper D.O.O. (Serbia) are being detained at all US ports of entry because there are indications of forced labour (ILO indicators including withholding of wages, intimidation, restriction of movement and retention of identity documents).

Authority / court

U.S. Customs and Border Protection

Area of law

Supply chain and human rights · Forced and child labour

Legal basis

19 U.S.C. § 1307 (Tariff Act of 1930, Section 307)

Action

Order

Status of proceedings

unknown

Sector

Steel and metals

Published

16 Jun 2026

Checked against the official source on 25 Sep 2026 · Direct link

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According to the complaint by the US Federal Trade Commission (FTC), Illuminate promised schools data security but did not adequately protect its cloud databases, even though a service provider had pointed out vulnerabilities almost two years earlier; a hacker accessed data on 10.1 million students, including health information. The order requires an information security programme, data minimisation and a public deletion schedule, and prohibits misrepresentations about security and notification deadlines.

Authority / court

Federal Trade Commission (FTC)

Area of law

Data protection · Data breaches and data security

Legal basis

FTC Act (Verbot unlauterer und irreführender Praktiken)

Action

Order

Status of proceedings

final

Sector

Telecoms, IT and software

Culpability

negligent

Published

5 Jun 2026

Checked against the official source on 25 Sep 2026 · Direct link

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The non-profit hospital group Ascension wanted to acquire AmSurg for 3.9 billion USD. Owing to overlaps in outpatient surgery in five regions, the Federal Trade Commission (FTC) requires the sale of seven AmSurg centres to SC Affiliates and a gastroenterology practice, as well as transitional support.

Authority / court

Federal Trade Commission (FTC)

Area of law

Competition law · Merger control

Legal basis

Section 7 Clayton Act; Section 5 FTC Act (Consent Order)

Action

Order

Status of proceedings

unknown

Sector

Healthcare

Employees

10,000 or more

Checked against the official source on 25 Sep 2026 · Direct link

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From July 2020 to June 2024, around 148 departing employees – including managers and staff from finance, legal and supply chain – signed separation agreements containing a waiver of SEC whistleblower awards. Foot Locker had itself phased out the clause from March 2024 but had not amended all templates; the U.S. Securities and Exchange Commission (SEC) imposed 148,000 US dollars.

Authority / court

U.S. Securities and Exchange Commission

Area of law

Whistleblower protection · Retaliation against whistleblowers

Legal basis

Securities Exchange Act of 1934, Rule 21F-17(a)

Action

Fine

Status of proceedings

final

Sector

Retail and e-commerce

Employees

10,000 or more

Mitigating circumstances

Clause phased out before contact by the SEC; cooperation and prompt remediation

Published

22 May 2026

Original amount 148,000 USD, converted at the ECB reference rate of 22 May 2026.

Checked against the official source on 25 Sep 2026 · Direct link

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From November 2023 to June 2025, the Indian conglomerate bought allegedly Omani and Iraqi liquefied petroleum gas (LPG) via a trader in Dubai which in fact originated from Iran; 32 payments totalling around 192 million USD were routed through US banks. The US Treasury's Office of Foreign Assets Control (OFAC) assessed the violations as egregious and not voluntarily self-disclosed; Adani had recklessly ignored numerous warning signs (AIS manipulation by the tankers, implausible loading ports, conspicuous price discounts, irregularities in the certificates of origin).

Authority / court

U.S. Department of the Treasury, Office of Foreign Assets Control (OFAC)

Area of law

Sanctions and export control · Breaches of sanctions and embargoes

Legal basis

Iranian Transactions and Sanctions Regulations (31 C.F.R. part 560); IEEPA

Action

Fine

Status of proceedings

final

Sector

Energy and utilities

Mitigating circumstances

Remedial measures after discovery and cooperation with OFAC

Published

18 May 2026

Original amount 275,000,000 USD, converted at the ECB reference rate of 18 May 2026.

Checked against the official source on 25 Sep 2026 · Direct link

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Around 10,000 heavy-duty Volvo diesel engines from model years 2010 to 2016 used auxiliary emission control devices (AECDs) that were not disclosed during certification and emitted more NOx than permitted. The settlement with the California Air Resources Board (CARB) comprises 17.5 million USD in penalties and costs, 71 million USD for mitigation measures and 108 million USD for emission reduction projects in California.

Authority / court

California Air Resources Board (CARB)

Area of law

Environment and sustainability · Emissions and permits

Legal basis

Kalifornische Emissions- und Zertifizierungsvorschriften für schwere Nutzfahrzeugmotoren

Action

Fine

Status of proceedings

final

Sector

Automotive

Employees

10,000 or more

Mitigating circumstances

Cooperation during the investigation; recall and extended warranty for engines from model years 2014 to 2016.

Published

18 May 2026

Original amount 196,500,000 USD, converted at the ECB reference rate of 18 May 2026.

Checked against the official source on 25 Sep 2026 · Direct link

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From 2014 to 2020, Takeda allegedly selected physicians specifically for its speaker programme for the antidepressant Trintellix and provided them with fees and meals at expensive restaurants to promote prescriptions; some participants attended the same event several times without any educational benefit. Takeda paid 13,670,921 USD.

Authority / court

U.S. Department of Justice / U.S. Attorney's Office, Eastern District of California

Area of law

Bribery and corruption · Gifts, hospitality and benefits

Legal basis

Anti-Kickback Statute (42 U.S.C. § 1320a-7b(b)); False Claims Act (31 U.S.C. §§ 3729 ff.)

Action

Other

Status of proceedings

final

Sector

Chemicals and pharmaceuticals

Employees

10,000 or more

Original amount 13,670,921 USD, converted at the ECB reference rate of 14 May 2026.

Checked against the official source on 25 Sep 2026 · Direct link

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The Californian provider of mobile PET scans allegedly paid referring cardiologists excessive fees for supervising the examinations in order to secure referrals. The settlement of 8,334,350.71 USD plus revenue-based payments is based on ability to pay; in addition, there is a Corporate Integrity Agreement.

Authority / court

U.S. Department of Justice / U.S. Attorney's Office, Central District of California

Area of law

Bribery and corruption · Commercial bribery

Legal basis

Anti-Kickback Statute (42 U.S.C. § 1320a-7b(b)); False Claims Act (31 U.S.C. §§ 3729 ff.)

Action

Other

Status of proceedings

final

Sector

Healthcare

Original amount 8,334,350.71 USD, converted at the ECB reference rate of 30 Apr 2026.

Checked against the official source on 25 Sep 2026 · Direct link

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In 2023, attackers exploited a zero-day vulnerability in MOVEit Transfer to steal files containing social security, driving licence, account and health data. The New York State Department of Financial Services (NYDFS) criticised inadequate retention settings, policies and controls as well as the late notification of the cybersecurity incidents to the supervisory authority.

Authority / court

New York State Department of Financial Services (NYDFS)

Area of law

Information security and cyber · Security measures and risk management

Legal basis

23 NYCRR Part 500 (Cybersecurity Regulation)

Action

Fine

Status of proceedings

final

Sector

Financial services and insurance

Culpability

negligent

Published

30 Apr 2026

Original amount 2,250,000 USD, converted at the ECB reference rate of 29 Apr 2026.

Checked against the official source on 25 Sep 2026 · Direct link

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Following its 2020 guilty plea, the opioid manufacturer was sentenced in Newark to a criminal fine of 3.544 billion USD (asserted in the insolvency proceedings) and forfeiture of 2 billion USD; up to 1.775 billion USD can be credited against the forfeiture if Purdue emerges from insolvency as a public benefit company. Purdue had deceived the DEA and paid kickbacks to prescribers via its speaker programme and to an electronic health records platform in order to increase opioid prescriptions.

Authority / court

U.S. District Court, District of New Jersey (Anklage: U.S. Department of Justice)

Area of law

Bribery and corruption · Gifts, hospitality and benefits

Legal basis

Verschwörung zum Betrug der USA und zur Verletzung des Food, Drug, and Cosmetic Act; zwei Fälle Verschwörung zur Verletzung des Anti-Kickback Statute (Schuldbekenntnis vom 24.11.2020)

Action

Fine

Status of proceedings

unknown

Sector

Chemicals and pharmaceuticals

Culpability

intentional

Original amount 5,544,000,000 USD, converted at the ECB reference rate of 28 Apr 2026.

Checked against the official source on 25 Sep 2026 · Direct link

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The metal fabrication companies and their CEO Edward Walker allegedly knowingly overcharged the Air Force and the Navy for welding tables for the modernisation of a large welding facility; the project was financed in part with funds under the Defense Production Act. The settlement under the False Claims Act amounts to 10.5 million USD; a former employee received 1,863,750 USD as a whistleblower.

Authority / court

U.S. Department of Justice (Civil Division) / USAO District of South Carolina

Area of law

Other

Legal basis

False Claims Act (31 U.S.C. §§ 3729 ff.)

Action

Other

Status of proceedings

final

Sector

Steel and metals

Liability of senior managers

CEO Edward Walker is personally a party to the settlement.

Published

17 Mar 2026

Original amount 10,500,000 USD, converted at the ECB reference rate of 17 Mar 2026.

Checked against the official source on 25 Sep 2026 · Direct link

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Through sham consultancy agreements, fictitious invoices and purported bonus payments, around 602,000 USD in bribes flowed from 2017 to 2023 via a Belgian consultant to a physician in a senior position at a French public hospital, so that the hospital would purchase embolisation coils from Balt. The DOJ declined to prosecute on account of voluntary self-disclosure, cooperation and remediation (declination of 17 March 2026); Balt is disgorging 1,214,797 USD in profits.

Authority / court

U.S. Department of Justice (Criminal Division, Fraud Section)

Area of law

Bribery and corruption · Bribery of public officials

Legal basis

FCPA; Corporate Enforcement and Voluntary Self-Disclosure Policy (Declination)

Action

Disgorgement of profits

Status of proceedings

final

Sector

Healthcare

Culpability

intentional

Mitigating circumstances

Voluntary self-disclosure (including to the French national financial prosecutor's office, PNF), full cooperation, timely remediation, disciplinary measures, parallel resolution in France.

Liability of senior managers

A former manager of the US subsidiary (David Ferrera) and a consultant (Marc Tilman) were charged with FCPA violations and money laundering.

Published

19 Mar 2026

Original amount 1,214,797 USD, converted at the ECB reference rate of 17 Mar 2026.

Checked against the official source on 25 Sep 2026 · Direct link

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The US Financial Crimes Enforcement Network (FinCEN) imposed 80 million USD on the broker-dealer, which admitted wilful BSA infringements: no effective AML programme, no due diligence on correspondent accounts of foreign financial institutions and failure to file suspicious activity reports in connection with securities fraud. Remedial measures that had been promised were not implemented for years.

Authority / court

Financial Crimes Enforcement Network (FinCEN)

Area of law

Money laundering and terrorist financing · Customer due diligence

Legal basis

Bank Secrecy Act (BSA)

Action

Fine

Status of proceedings

final

Sector

Financial services and insurance

Culpability

intentional

Published

6 Mar 2026

Original amount 80,000,000 USD, converted at the ECB reference rate of 6 Mar 2026.

Checked against the official source on 25 Sep 2026 · Direct link

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Between January and June 2023, the Sarasota laboratory paid independent marketers to steer laboratory samples from Medicare beneficiaries to it. It self-disclosed the conduct, cooperated extensively and paid 980,000 USD.

Authority / court

U.S. Attorney's Office, Middle District of Florida

Area of law

Bribery and corruption · Commercial bribery

Legal basis

Anti-Kickback Statute (42 U.S.C. § 1320a-7b(b)); False Claims Act (31 U.S.C. §§ 3729 ff.)

Action

Other

Status of proceedings

final

Sector

Healthcare

Mitigating circumstances

Voluntary self-disclosure, detailed disclosure and cooperation.

Original amount 980,000 USD, converted at the ECB reference rate of 5 Mar 2026.

Checked against the official source on 25 Sep 2026 · Direct link

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The manufacturer of militarily relevant thermal imaging technology admitted 19 violations to the US Commerce Department's Bureau of Industry and Security (BIS): incorrect de minimis calculations for cameras that went to China via Sweden, pricing arranged with a Chinese drone manufacturer to circumvent the licence requirement, missing records and eight deliveries in 2024 to a Hong Kong address on the Entity List that the screening software did not detect.

Authority / court

U.S. Department of Commerce, Bureau of Industry and Security (BIS)

Area of law

Sanctions and export control · Export control and dual-use goods

Legal basis

Export Administration Regulations, §§ 734.4 (De minimis), 744.16, 764.2(a), (b), (h), (i)

Action

Fine

Status of proceedings

final

Sector

Defence and security

Mitigating circumstances

Voluntary self-disclosures for some of the violations

Published

26 Feb 2026

Original amount 1,000,000 USD, converted at the ECB reference rate of 26 Feb 2026.

Checked against the official source on 25 Sep 2026 · Direct link

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In June 2025, an employee in San Jose lost a finger on a press brake without guarding – identical to an accident in June 2024 for which the business had already been fined $43,500. The California Division of Occupational Safety and Health (Cal/OSHA) imposed $212,850 (including a wilful repeat violation); the employer appealed.

Authority / court

California Division of Occupational Safety and Health (Cal/OSHA)

Area of law

Health and safety and employment law · Workplace safety and accidents

Legal basis

California Code of Regulations, Title 8 (Maschinenschutz)

Action

Fine

Status of proceedings

under appeal

Sector

Steel and metals

Culpability

intentional

Repeat case

yes

Published

26 Feb 2026

Original amount 212,850 USD, converted at the ECB reference rate of 26 Feb 2026.

Checked against the official source on 25 Sep 2026 · Direct link

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In 2021 and 2022, Applied Materials and its Korean subsidiary exported ion implanters for semiconductor manufacturing worth around 126 million USD via Korea without a licence to a Chinese company placed on the Entity List in 2020. The penalty imposed by the US Commerce Department's Bureau of Industry and Security (BIS) corresponds to twice the transaction value and thus the statutory maximum; the compliance staff and executives responsible are no longer with the company.

Authority / court

U.S. Department of Commerce, Bureau of Industry and Security (BIS)

Area of law

Sanctions and export control · Export control and dual-use goods

Legal basis

Export Administration Regulations (Entity List)

Action

Fine

Status of proceedings

final

Sector

Manufacturing and mechanical engineering

Employees

10,000 or more

Liability of senior managers

According to BIS, the responsible compliance staff and senior executives from sales and production are no longer employed.

Published

12 Feb 2026

Original amount 252,500,300 USD, converted at the ECB reference rate of 11 Feb 2026.

Checked against the official source on 25 Sep 2026 · Direct link

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Disney implemented objections to the sale and sharing of data only for individual services or devices rather than across the whole account, continued to disclose data via embedded ad-tech providers and offered no opt-out in connected TV apps. It was the largest CCPA settlement at the time of the agreement with the Attorney General of California.

Authority / court

Attorney General of California (California Department of Justice)

Area of law

Data protection · Cookies and tracking

Legal basis

California Consumer Privacy Act (CCPA)

Action

Fine

Status of proceedings

final

Sector

Media and online platforms

Employees

10,000 or more

Published

11 Feb 2026

Original amount 2,750,000 USD, converted at the ECB reference rate of 11 Feb 2026.

Checked against the official source on 25 Sep 2026 · Direct link

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Following a guilty plea to charges including conspiracy to operate an unlicensed money transmitting business and to violate the AML obligations of the Bank Secrecy Act, the peer-to-peer crypto platform was sentenced to a penalty of 4 million USD. 112.5 million USD would have been appropriate, but the US Department of Justice (DOJ) found an inability to pay; in December 2025, FinCEN had additionally imposed a civil penalty of 3.5 million USD.

Authority / court

U.S. Department of Justice

Area of law

Money laundering and terrorist financing · Internal controls

Legal basis

Travel Act; Verschwörung zum Betrieb eines nicht lizenzierten Geldtransfergeschäfts und zur Verletzung der AML-Pflichten des Bank Secrecy Act

Action

Fine

Status of proceedings

final

Sector

Financial services and insurance

Culpability

intentional

Mitigating circumstances

Penalty limited from 112.5 million to 4 million USD because of proven inability to pay

Published

11 Feb 2026

Original amount 4,000,000 USD, converted at the ECB reference rate of 10 Feb 2026.

Checked against the official source on 25 Sep 2026 · Direct link

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Following the COVID death of a farmworker in employer-provided housing, the California Labor Commissioner's Office sued the agricultural business in Santa Maria in 2021: more than 10,000 farmworkers, including H-2A seasonal workers, had not been informed of their entitlement to paid sick leave; in addition, there was unpaid travel time as well as overtime and minimum wage violations. The settlement of $6,175,000 (of which $4.2 million goes directly to workers) includes posting and reporting obligations.

Authority / court

California Labor Commissioner's Office (Division of Labor Standards Enforcement)

Area of law

Health and safety and employment law · Minimum wage and undeclared work

Legal basis

California Labor Code (Paid Sick Leave, COVID-19 Supplemental Paid Sick Leave, Mindestlohn, Überstunden)

Action

Other

Status of proceedings

final

Sector

Food and agriculture

Published

4 Feb 2026

Original amount 6,175,000 USD, converted at the ECB reference rate of 4 Feb 2026.

Checked against the official source on 25 Sep 2026 · Direct link

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U.S. Customs and Border Protection (CBP) issued a Withhold Release Order: coffee from Finca Monte Grande (Mexico) is being detained at all US ports of entry because there are indications of forced labour (ILO indicators including debt bondage, withholding of wages, retention of identity documents and excessive overtime).

Authority / court

U.S. Customs and Border Protection

Area of law

Supply chain and human rights · Forced and child labour

Legal basis

19 U.S.C. § 1307 (Tariff Act of 1930, Section 307)

Action

Order

Status of proceedings

unknown

Sector

Food and agriculture

Published

29 Jan 2026

Checked against the official source on 25 Sep 2026 · Direct link

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ADM and former executives had artificially inflated the results of the Nutrition segment through retroactive intra-group rebates and price adjustments in order to show growth targets of 15–20 %. ADM is paying a civil penalty of 40 million USD; two former managers are paying a combined 979,953 USD in disgorgement including interest and 200,000 USD in penalties, while litigation continues against a third.

Authority / court

U.S. Securities and Exchange Commission (SEC)

Area of law

Capital markets and financial supervision · Disclosure and reporting obligations

Legal basis

Antifraud-, Reporting-, Buchführungs- und interne Kontrollvorschriften der US-Bundeswertpapiergesetze (Settled Order der SEC)

Action

Fine

Status of proceedings

unknown

Sector

Food and agriculture

Mitigating circumstances

ADM's cooperation and remedial measures were taken into account

Liability of senior managers

Vince Macciocchi: 404,343 USD disgorgement/interest, 125,000 USD penalty, 3-year officer-and-director bar; Ray Young: 575,610 USD disgorgement/interest, 75,000 USD penalty; action against Vikram Luthar pending

Original amount 41,179,953 USD, converted at the ECB reference rate of 27 Jan 2026.

Checked against the official source on 25 Sep 2026 · Direct link

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According to the FTC, Instacart advertised free delivery but charged mandatory service fees of up to 15 %, promised a "100 % satisfaction guarantee" without providing full refunds and did not sufficiently point out the subsequent charges for trial subscriptions. Under the settlement, the company is paying 60 million USD for refunds and must discontinue the practices complained of.

Authority / court

Federal Trade Commission (FTC)

Area of law

Consumer protection and online retail · Misleading advertising and pricing

Legal basis

Section 5 FTC Act; Restore Online Shoppers' Confidence Act (ROSCA)

Action

Disgorgement of profits

Status of proceedings

final

Sector

Retail and e-commerce

Published

18 Dec 2025

Original amount 60,000,000 USD, converted at the ECB reference rate of 13 Jan 2026.

Checked against the official source on 25 Sep 2026 · Direct link

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Without registering as a data broker, the Texas reseller traded in the names and contact details of millions of people, sorted by illnesses such as Alzheimer's or addiction, by age, presumed ethnicity and political views. In addition to the fine, the California Privacy Protection Agency (CPPA) requires it to stop selling data on all Californians.

Authority / court

California Privacy Protection Agency (CPPA)

Area of law

Data protection · Marketing and consent

Legal basis

California Delete Act (Registrierungspflicht für Datenhändler)

Action

Fine

Status of proceedings

final

Sector

Other

Published

8 Jan 2026

Original amount 45,000 USD, converted at the ECB reference rate of 30 Dec 2025.

Checked against the official source on 25 Sep 2026 · Direct link

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The hospital (until 2015 Hudson Valley Hospital Center) allegedly paid an oncology practice in Westchester millions of dollars to induce it to refer patients to the hospital; the hospital billed the services to Medicare and Medicaid. The U.S. Attorney’s Office filed a complaint and at the same time concluded a settlement of 6.8 million USD.

Authority / court

U.S. Attorney's Office, Southern District of New York

Area of law

Bribery and corruption · Commercial bribery

Legal basis

Anti-Kickback Statute (42 U.S.C. § 1320a-7b(b)); False Claims Act (31 U.S.C. §§ 3729 ff.)

Action

Other

Status of proceedings

final

Sector

Healthcare

Original amount 6,800,000 USD, converted at the ECB reference rate of 22 Dec 2025.

Checked against the official source on 25 Sep 2026 · Direct link

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U.S. Customs and Border Protection (CBP) issued a Withhold Release Order: car tyres from Linglong International Europe D.O.O. Zrenjanin (Serbia) are being detained at all US ports of entry because there are indications of forced labour (ILO indicators including deception, debt bondage, isolation, retention of identity documents and withholding of wages (nine indicators in total)).

Authority / court

U.S. Customs and Border Protection

Area of law

Supply chain and human rights · Forced and child labour

Legal basis

19 U.S.C. § 1307 (Tariff Act of 1930, Section 307)

Action

Order

Status of proceedings

unknown

Sector

Automotive

Published

18 Dec 2025

Checked against the official source on 25 Sep 2026 · Direct link

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According to the FTC, the telemedicine company advertised GLP-1 weight-loss programmes with monthly prices that did not include medication, laboratory costs and medical consultations, concealed the minimum term and cancellation fees, published fake testimonials from employees and relatives, and induced customers to delete negative reviews by offering vouchers or refunds. Under the final settlement order, the company and its management are paying 150,000 USD, which is earmarked for refunds.

Authority / court

Federal Trade Commission (FTC)

Area of law

Consumer protection and online retail · Fake reviews

Legal basis

Section 5 FTC Act; Restore Online Shoppers' Confidence Act (ROSCA)

Action

Disgorgement of profits

Status of proceedings

final

Sector

Healthcare

Liability of senior managers

Founder Robert Epstein and CEO Frank Leonardo III are named in the press release as parties involved.

Published

3 Dec 2025

Original amount 150,000 USD, converted at the ECB reference rate of 3 Dec 2025.

Checked against the official source on 25 Sep 2026 · Direct link

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For the 8.3 billion USD takeover of the fuselage and wing supplier Spirit AeroSystems, the Federal Trade Commission (FTC) required Boeing to divest Spirit’s Airbus businesses to Airbus and the plant in Subang, Malaysia, to CTRM, to provide transitional services and to continue supplying defence competitors. A monitor oversees implementation.

Authority / court

Federal Trade Commission (FTC)

Area of law

Competition law · Merger control

Legal basis

Section 7 Clayton Act; Section 5 FTC Act (Consent Order)

Action

Order

Status of proceedings

unknown

Sector

Defence and security

Employees

10,000 or more

Checked against the official source on 25 Sep 2026 · Direct link

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In 2017/2018, the Chicago fund manager specialising in data centres took in capital from the Russian oligarch Suleiman Kerimov via nested structures and continued to manage this investment for four years after his designation in April 2018. The US Treasury's Office of Foreign Assets Control (OFAC) assessed the case as non-egregious and not voluntarily self-disclosed.

Authority / court

U.S. Department of the Treasury, Office of Foreign Assets Control (OFAC)

Area of law

Sanctions and export control · Breaches of sanctions and embargoes

Legal basis

Ukraine-/Russia-Related Sanctions Regulations (31 C.F.R. part 589); IEEPA

Action

Fine

Status of proceedings

final

Sector

Financial services and insurance

Mitigating circumstances

No prior violations in five years; cooperation improved significantly only after initially insufficient engagement (including waiver of attorney-client privilege), hence only limited credit

Published

2 Dec 2025

Original amount 11,485,352 USD, converted at the ECB reference rate of 2 Dec 2025.

Checked against the official source on 25 Sep 2026 · Direct link

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On 13 November 2025, the Nevada Gaming Control Board (NGCB) filed a disciplinary complaint for unsuitable methods of operation in connection with the illegal bookmaker Mathew Bowyer and at the same time concluded a settlement of 7.8 million USD with conditions attached to the gaming licences. The conditions relate primarily to improving the AML programme and to additional training and awareness-raising for employees; the Nevada Gaming Commission (NGC) adopted the settlement as its order on 20 November 2025 (Case No. 25-03).

Authority / court

Nevada Gaming Commission (NGC) auf Beschwerde des Nevada Gaming Control Board (NGCB)

Area of law

Money laundering and terrorist financing · Customer due diligence

Legal basis

Glücksspielrecht Nevada (unsuitable methods of operation)

Action

Fine

Status of proceedings

final

Sector

Other

Employees

10,000 or more

Mitigating circumstances

Numerous remedial measures already implemented

Published

13 Nov 2025

Original amount 7,800,000 USD, converted at the ECB reference rate of 20 Nov 2025.

Checked against the official source on 25 Sep 2026 · Direct link

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U.S. Customs and Border Protection (CBP) issued a Withhold Release Order: clothing and textiles from Firemount Group Ltd. (Mauritius) are being detained at all US ports of entry because there are indications of forced labour (ILO indicators including abuse of vulnerability, debt bondage, deception, and intimidation and threats).

Authority / court

U.S. Customs and Border Protection

Area of law

Supply chain and human rights · Forced and child labour

Legal basis

19 U.S.C. § 1307 (Tariff Act of 1930, Section 307)

Action

Order

Status of proceedings

unknown

Sector

Other

Published

18 Nov 2025

Checked against the official source on 25 Sep 2026 · Direct link

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Valvoline wanted to acquire around 200 Oil Changers shops from Greenbriar for 625 million USD. Because the two competed directly in 25 local markets, under the proposed consent order the acquisition may only be completed if 45 shops are sold to Main Street Auto.

Authority / court

Federal Trade Commission (FTC)

Area of law

Competition law · Merger control

Legal basis

Section 7 Clayton Act; Section 5 FTC Act (Consent Order)

Action

Order

Status of proceedings

unknown

Sector

Automotive

Checked against the official source on 25 Sep 2026 · Direct link

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From 2012 to 2018, the Guatemalan mobile network operator made monthly cash payments to members of Congress or their security staff in order to obtain legislative support; part of the funds came from laundered drug money. Two-year Deferred Prosecution Agreement with a criminal penalty of 60 million USD and administrative forfeiture of 58,198,343 USD.

Authority / court

U.S. Department of Justice (Criminal Division, Fraud Section; USAO Southern District of Florida)

Area of law

Bribery and corruption · Bribery of public officials

Legal basis

FCPA, 15 U.S.C. § 78dd-3 (Verschwörung, 18 U.S.C. § 371); Deferred Prosecution Agreement

Action

Fine

Status of proceedings

final

Sector

Telecoms, IT and software

Culpability

intentional

Mitigating circumstances

Voluntary self-disclosure by the parent company Millicom in 2015; subsequently extensive cooperation and remediation (including dismissals of staff and an 800 % increase in compliance personnel).

Liability of senior managers

According to the DOJ, the scheme was directed by the then Guatemalan shareholder and other senior individuals; four individuals had already been charged (not named).

Published

12 Dec 2025

Original amount 118,198,343 USD, converted at the ECB reference rate of 12 Nov 2025.

Checked against the official source on 25 Sep 2026 · Direct link

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Texas, represented by the Office of the Attorney General, had sued Google for unlawfully collecting location data, activity in incognito mode and biometric identifiers. Google signed a settlement of $1.375 billion, concluding two sets of proceedings.

Authority / court

Office of the Attorney General of Texas

Area of law

Data protection · Cookies and tracking

Action

Other

Status of proceedings

final

Sector

Telecoms, IT and software

Employees

10,000 or more

Published

31 Oct 2025

Original amount 1,375,000,000 USD, converted at the ECB reference rate of 31 Oct 2025.

Checked against the official source on 25 Sep 2026 · Direct link

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According to the allegations of the attorneys general, the online fashion retailer enrolled buyers in a paid VIP membership programme without their express consent, presented prices in a misleading way and made cancellation difficult. Under the settlement with 32 states and D.C., TFG is providing around 3.8 million USD in automatic refunds and paying 1 million USD to the states; the settlement does not constitute an admission of guilt.

Authority / court

Attorney General of Pennsylvania (verhandelt mit Maryland, Texas und D.C.; Vergleich mit 33 Attorneys General)

Area of law

Consumer protection and online retail · Information duties in online retail

Legal basis

Verbraucherschutzgesetze der beteiligten Bundesstaaten

Action

Disgorgement of profits

Status of proceedings

final

Sector

Retail and e-commerce

Published

23 Oct 2025

Original amount 4,800,000 USD, converted at the ECB reference rate of 23 Oct 2025.

Checked against the official source on 25 Sep 2026 · Direct link

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More than 90 cleaners in industrial, laboratory and healthcare facilities often worked beyond scheduled hours without overtime pay, received no compensation for split shifts and travel time and were unable to take breaks because of excessive workloads. A web of companies owned by the Hong family concealed the employer; the Notice of Final Findings of 21 October 2025 established 438,204 USD, with OptumCare jointly liable as the client.

Authority / court

California Labor Commissioner's Office (Division of Labor Standards Enforcement)

Area of law

Health and safety and employment law · Working time

Legal basis

California Labor Code § 2810.3; Overtime, Split Shift, Meal and Rest Periods, Mindestlohn

Action

Other

Status of proceedings

unknown

Sector

Other

Liability of senior managers

Members of the owning family and an acquaintance cited personally.

Published

24 Nov 2025

Original amount 438,204 USD, converted at the ECB reference rate of 21 Oct 2025.

Checked against the official source on 25 Sep 2026 · Direct link

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Attackers harvested driving licence numbers and dates of birth via inadequately secured online quoting tools and agent portals. According to the New York State Department of Financial Services (NYDFS), Farmers infringed the cybersecurity regulation and did not report the incident in time; the penalty is part of a package totalling $19 million against eight motor insurers.

Authority / court

New York State Department of Financial Services (NYDFS)

Area of law

Information security and cyber · Security measures and risk management

Legal basis

23 NYCRR Part 500 (Cybersecurity Regulation)

Action

Fine

Status of proceedings

final

Sector

Financial services and insurance

Culpability

negligent

Published

14 Oct 2025

Original amount 2,775,000 USD, converted at the ECB reference rate of 14 Oct 2025.

Checked against the official source on 25 Sep 2026 · Direct link

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Attackers extracted driver’s licence numbers in plain text via the motor insurer’s instant quote applications. Infinity discovered the anomalies on 9 February 2021 but only reported the cybersecurity event to the New York State Department of Financial Services (NYDFS) on 14 April 2021; the supervisor also criticised the lack of MFA and insecure development practices.

Authority / court

New York State Department of Financial Services (NYDFS)

Area of law

Information security and cyber · Incident reporting obligations

Legal basis

23 NYCRR § 500.17(a), § 500.12(a) u. a.

Action

Fine

Status of proceedings

final

Sector

Financial services and insurance

Culpability

negligent

Original amount 2,250,000 USD, converted at the ECB reference rate of 14 Oct 2025.

Checked against the official source on 25 Sep 2026 · Direct link

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The rural retail giant inadequately informed consumers and job applicants about their rights, offered no effective means of opting out of the sale and sharing of data (including no Global Privacy Control) and passed data on to third parties without the required contracts. An officer must certify compliance annually for four years, as required by the California Privacy Protection Agency (CPPA).

Authority / court

California Privacy Protection Agency (CPPA)

Area of law

Data protection · Data subject rights and transparency

Legal basis

California Consumer Privacy Act (CCPA)

Action

Fine

Status of proceedings

final

Sector

Retail and e-commerce

Employees

10,000 or more

Published

30 Sep 2025

Original amount 1,350,000 USD, converted at the ECB reference rate of 26 Sep 2025.

Checked against the official source on 25 Sep 2026 · Direct link

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According to the U.S. Federal Trade Commission (FTC), Amazon used confusing order screens to push millions of customers into Prime subscriptions without their consent and deliberately made cancellation difficult. The settlement comprises a civil penalty of 1 billion USD and 1.5 billion USD in refunds, as well as a clear decline button and simple cancellation.

Authority / court

Federal Trade Commission (FTC)

Area of law

Consumer protection and online retail · Information duties in online retail

Legal basis

Restore Online Shoppers' Confidence Act (ROSCA); Section 5 FTC Act

Action

Fine

Status of proceedings

final

Sector

Retail and e-commerce

Employees

10,000 or more

Liability of senior managers

The press release names Senior Vice President Neil Lindsay and Vice President Jamil Ghani.

Published

25 Sep 2025

Original amount 2,500,000,000 USD, converted at the ECB reference rate of 25 Sep 2025.

Checked against the official source on 25 Sep 2026 · Direct link

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U.S. Customs and Border Protection (CBP) issued a Withhold Release Order: bicycles, bicycle parts and accessories from Giant Manufacturing Co. Ltd. (Taiwan) are being detained at all US ports of entry because there are indications of forced labour (ILO indicators including debt bondage, withholding of wages, excessive overtime and abusive working and living conditions). Detained shipments can be destroyed, re-exported or released upon proof of admissibility.

Authority / court

U.S. Customs and Border Protection

Area of law

Supply chain and human rights · Forced and child labour

Legal basis

19 U.S.C. § 1307 (Tariff Act of 1930, Section 307)

Action

Order

Status of proceedings

unknown

Sector

Manufacturing and mechanical engineering

Published

24 Sep 2025

Checked against the official source on 25 Sep 2026 · Direct link

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According to the FTC complaint, the education provider hid the cancellation option for its automatically renewing subscriptions on its website and, since October 2020, continued to charge almost 200,000 customers even after they had cancelled. Under the settlement, Chegg is paying 7.5 million USD for refunds and must offer simple cancellation.

Authority / court

Federal Trade Commission (FTC)

Area of law

Consumer protection and online retail · Information duties in online retail

Legal basis

Restore Online Shoppers' Confidence Act (ROSCA); Section 5 FTC Act

Action

Disgorgement of profits

Status of proceedings

final

Sector

Telecoms, IT and software

Repeat case

yes

Published

15 Sep 2025

Original amount 7,500,000 USD, converted at the ECB reference rate of 18 Sep 2025.

Checked against the official source on 25 Sep 2026 · Direct link

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The Koreatown restaurant regularly denied 48 employees meal and rest breaks, required them to remain available for guests even during the lunch break, did not pay split-shift premiums and did not pay all wages. The California Labor Commissioner’s Office imposed 680,238 USD, of which 538,638 USD for the benefit of the employees.

Authority / court

California Labor Commissioner's Office (Division of Labor Standards Enforcement)

Area of law

Health and safety and employment law · Working time

Legal basis

California Labor Code (Meal and Rest Periods, Split Shift Premium, Lohnabrechnung)

Action

Fine

Status of proceedings

unknown

Sector

Food and agriculture

Liability of senior managers

Owner Byung Kwan Lee named in the announcement.

Original amount 680,238 USD, converted at the ECB reference rate of 4 Sep 2025.

Checked against the official source on 25 Sep 2026 · Direct link

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In May 2022, bypassing internal compliance procedures, the Houston freight forwarder engaged a blocked Venezuelan state-owned airline for a shipment from Mexico to Argentina; the aircraft used, which was also blocked, was operated by Iran's Mahan Air. The US Treasury's Office of Foreign Assets Control (OFAC) classified the case as egregious and not voluntarily self-disclosed, partly because two vice presidents bypassed the screening under time pressure.

Authority / court

U.S. Department of the Treasury, Office of Foreign Assets Control (OFAC)

Area of law

Sanctions and export control · Breaches of sanctions and embargoes

Legal basis

Venezuela-, Iran-, Proliferations- und Terrorismus-Sanktionsprogramme (OFAC); IEEPA

Action

Fine

Status of proceedings

final

Sector

Transport, logistics and shipping

Culpability

negligent

Repeat case

no

Mitigating circumstances

No prior violations in five years, immediate remediation, substantial cooperation

Liability of senior managers

According to OFAC, the violation was driven primarily by two vice presidents who bypassed internal screening processes.

Published

3 Sep 2025

Original amount 1,610,775 USD, converted at the ECB reference rate of 3 Sep 2025.

Checked against the official source on 25 Sep 2026 · Direct link

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On board the tanker M/T Swift Winchester, a hose connected the incinerator's waste oil tank to the sewage tank from February to August 2022, so that oily waste bypassed the pollution prevention equipment and went into the sea; in August 2022, an oily water separator filter was also hosed down with degreaser on deck and the oily mixture ran overboard. The vessel called at Baton Rouge and Port Arthur with a knowingly falsified oil record book. The ship management company pleaded guilty and is paying a fine of 2 million USD.

Authority / court

U.S. District Court for the Eastern District of Texas (Anklage: DOJ Environment and Natural Resources Division)

Area of law

Environment and sustainability · Waste and hazardous substances

Legal basis

Act to Prevent Pollution from Ships (APPS)

Action

Fine

Status of proceedings

unknown

Sector

Transport, logistics and shipping

Culpability

intentional

Published

27 Aug 2025

Original amount 2,000,000 USD, converted at the ECB reference rate of 27 Aug 2025.

Checked against the official source on 25 Sep 2026 · Direct link

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An employee of the dental insurance service provider disclosed his login credentials via a phishing e-mail; the mailbox containing over 100,000 e-mails with health and social security data was accessible. Healthplex had known about the incident since November 2021 but only reported it to the New York State Department of Financial Services (NYDFS) in April 2022 instead of within 72 hours; in addition, there was no MFA for web access and no data retention and deletion policy.

Authority / court

New York State Department of Financial Services (NYDFS)

Area of law

Information security and cyber · Incident reporting obligations

Legal basis

23 NYCRR § 500.17(a), § 500.12(b), § 500.13, § 500.17(b)

Action

Fine

Status of proceedings

final

Sector

Financial services and insurance

Culpability

negligent

Original amount 2,000,000 USD, converted at the ECB reference rate of 14 Aug 2025.

Checked against the official source on 25 Sep 2026 · Direct link

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The New York State Department of Financial Services (NYDFS) imposed a penalty of 26.5 million USD on the crypto trust company because Paxos did not maintain an effective BSA/AML programme before 2023: KYC checks and risk ratings were inadequate, and transaction monitoring and suspicious activity reporting procedures had gaps, including in connection with the business relationship with Binance, contrary to a 2020 agreement. In addition, Paxos must invest at least 22 million USD in its compliance programme.

Authority / court

New York State Department of Financial Services (NYDFS)

Area of law

Money laundering and terrorist financing · Customer due diligence

Legal basis

New York Banking Law §§ 39, 44; AML-Vorschriften des NYDFS und Bank Secrecy Act

Action

Fine

Status of proceedings

final

Sector

Financial services and insurance

Published

7 Aug 2025

Original amount 26,500,000 USD, converted at the ECB reference rate of 7 Aug 2025.

Checked against the official source on 25 Sep 2026 · Direct link

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From 2017 to 2022, the Indian subsidiary Liberty General Insurance paid around 1.47 million USD to employees of six state-owned banks so that they would refer bank customers to its insurance products; the payments were booked as marketing expenses and routed through third parties. The DOJ declined to prosecute; Liberty Mutual is disgorging 4,699,088 USD in profits.

Authority / court

U.S. Department of Justice (Fraud Section; USAO District of Massachusetts)

Area of law

Bribery and corruption · Bribery of public officials

Legal basis

FCPA, 15 U.S.C. § 78dd-2; Corporate Enforcement and Voluntary Self-Disclosure Policy (Declination)

Action

Disgorgement of profits

Status of proceedings

final

Sector

Financial services and insurance

Employees

10,000 or more

Culpability

intentional

Mitigating circumstances

Voluntary self-disclosure (March 2024), full cooperation, root cause analysis, termination of those involved, improved controls including rules on messaging apps.

Published

7 Aug 2025

Original amount 4,699,088 USD, converted at the ECB reference rate of 7 Aug 2025.

Checked against the official source on 25 Sep 2026 · Direct link

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From 2018 to 2020, the engine maintenance company allegedly failed to implement the NIST controls of an Air Force contract and, in 2019, together with its private equity owner, passed files containing sensitive defence data to an unauthorised software company in Egypt. The companies had made several written self-disclosures, cooperated and remedied the issues promptly; the U.S. Department of Justice (DOJ) granted them cooperation credit for this. Settlement of 1.75 million USD.

Authority / court

U.S. Department of Justice (Civil Division) / USAO Eastern District of California

Area of law

Other

Legal basis

False Claims Act; NIST SP 800-171

Action

Other

Status of proceedings

final

Sector

Defence and security

Mitigating circumstances

Several written self-disclosures, cooperation and prompt remedial measures.

Published

31 Jul 2025

Original amount 1,750,000 USD, converted at the ECB reference rate of 31 Jul 2025.

Checked against the official source on 25 Sep 2026 · Direct link

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From 2015 to 2021, the San José provider of chip design software supplied hardware, software and semiconductor IP at least 59 times to the National University of Defense Technology (NUDT), a military university on the Entity List, disguised under the alias Central South CAD Center. Cadence pleaded guilty before the US Department of Justice to conspiracy to commit export control violations; criminal penalties of almost 118 million USD and civil penalties of more than 95 million USD imposed by the Bureau of Industry and Security (BIS) result, after crediting, in a net total of more than 140 million USD.

Authority / court

U.S. Department of Justice; Bureau of Industry and Security (BIS)

Area of law

Sanctions and export control · Export control and dual-use goods

Legal basis

Export Administration Regulations (Entity List); ECRA; Verschwörung zu Exportkontrollverstößen

Action

Fine

Status of proceedings

unknown

Sector

Telecoms, IT and software

Employees

10,000 or more

Culpability

intentional

Published

28 Jul 2025

Original amount 140,000,000 USD, converted at the ECB reference rate of 28 Jul 2025.

Checked against the official source on 25 Sep 2026 · Direct link

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In a coordinated multistate proceeding brought by six states – the New York State Department of Financial Services (NYDFS) with the supervisory authorities of CA, MN, NE, TX and MA – the money transmitter must pay 4.2 million USD. An examination (July 2022 to September 2023) found, among other things, a lack of independent AML reviews at an appropriate frequency, late suspicious activity reports, data quality problems in transaction monitoring and unremedied earlier findings; Wise does not admit any legal infringements and must conduct a lookback.

Authority / court

New York State Department of Financial Services (NYDFS) mit den Aufsichtsbehörden von CA, MN, NE, TX und MA

Area of law

Money laundering and terrorist financing · Suspicious activity reports

Legal basis

Bundes- und einzelstaatliches Recht zu Geldtransfer und BSA/AML (u. a. 31 CFR 1022.320)

Action

Fine

Status of proceedings

final

Sector

Financial services and insurance

Mitigating circumstances

Remedial measures already initiated and lookback

Published

9 Jul 2025

Original amount 4,200,000 USD, converted at the ECB reference rate of 9 Jul 2025.

Checked against the official source on 25 Sep 2026 · Direct link

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After the acquisition of a Colombian logistics company in December 2021, the latter organised 36 freight shipments to Cuba worth around 3.06 million USD up to July 2023. Neither the US parent nor the subsidiary had a sanctions compliance programme for foreign companies; the US Treasury's Office of Foreign Assets Control (OFAC) assessed the case as non-egregious and voluntarily self-disclosed.

Authority / court

U.S. Department of the Treasury, Office of Foreign Assets Control (OFAC)

Area of law

Sanctions and export control · Breaches of sanctions and embargoes

Legal basis

Cuban Assets Control Regulations (31 C.F.R. part 515)

Action

Fine

Status of proceedings

final

Sector

Transport, logistics and shipping

Culpability

negligent

Repeat case

no

Mitigating circumstances

Voluntary self-disclosure, no prior violations, remedial measures after discovery

Published

2 Jul 2025

Original amount 608,825 USD, converted at the ECB reference rate of 2 Jul 2025.

Checked against the official source on 25 Sep 2026 · Direct link

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Despite objections, the health portal continued to pass data to advertising partners and transmitted article titles suggestive of diagnoses for targeted advertising; the consent banner did not stop the tracking. In addition, the required contractual clauses with advertising partners were missing. The settlement was reached with the Attorney General of California.

Authority / court

Attorney General of California (California Department of Justice)

Area of law

Data protection · Cookies and tracking

Legal basis

California Consumer Privacy Act (CCPA), Unfair Competition Law

Action

Fine

Status of proceedings

final

Sector

Media and online platforms

Published

1 Jul 2025

Original amount 1,550,000 USD, converted at the ECB reference rate of 1 Jul 2025.

Checked against the official source on 25 Sep 2026 · Direct link

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In 2016–2021, the Texas supplier of catalysts for refineries and steelworks supplied products and advice to customers in Iran via its former CEO, employees and agents, and sold goods to a blocked Venezuelan company. The US Treasury's Office of Foreign Assets Control (OFAC) considered it an egregious but voluntarily self-disclosed case; there were parallel settlements with the DOJ and BIS, which were taken into account in determining the amount.

Authority / court

U.S. Department of the Treasury, Office of Foreign Assets Control (OFAC)

Area of law

Sanctions and export control · Breaches of sanctions and embargoes

Legal basis

Iranian Transactions and Sanctions Regulations; Venezuela Sanctions Regulations; IEEPA

Action

Fine

Status of proceedings

final

Sector

Chemicals and pharmaceuticals

Culpability

intentional

Mitigating circumstances

Voluntary self-disclosure, cooperation and remedial measures after discovery

Liability of senior managers

According to OFAC, the violations were carried out by the former CEO and co-founder as well as former employees.

Published

16 Jun 2025

Original amount 3,882,797 USD, converted at the ECB reference rate of 16 Jun 2025.

Checked against the official source on 25 Sep 2026 · Direct link

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Between October 2006 and February 2014, the Communications System West division allegedly failed to disclose complete and current cost and pricing data when selling ROVER, VORTEX and SIR receivers to the Air Force, Army, Navy and other agencies. Settlement under the False Claims Act and the Truth in Negotiations Act of 62 million USD.

Authority / court

U.S. Department of Justice (Civil Division) / USAO District of Utah

Area of law

Other

Legal basis

False Claims Act; Truth in Negotiations Act

Action

Other

Status of proceedings

final

Sector

Defence and security

Employees

10,000 or more

Published

22 May 2025

Original amount 62,000,000 USD, converted at the ECB reference rate of 22 May 2025.

Checked against the official source on 25 Sep 2026 · Direct link

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In the view of the U.S. Environmental Protection Agency (EPA), the freight railway operated locomotives without a certificate of conformity, did not comply with the conditions of a testing exemption for several locomotives and operated locomotives in breach of the applicable emission standards. Under the settlement (Consent Agreement and Final Order), the company is paying a civil penalty of 299,000 USD.

Authority / court

U.S. Environmental Protection Agency (EPA), Region 3

Area of law

Environment and sustainability · Emissions and permits

Legal basis

Clean Air Act §§ 203(a), 213(d) (42 U.S.C. §§ 7522(a), 7547(d)); 40 C.F.R. § 1068.101

Action

Fine

Status of proceedings

final

Sector

Transport, logistics and shipping

Employees

10,000 or more

Original amount 299,000 USD, converted at the ECB reference rate of 14 May 2025.

Checked against the official source on 25 Sep 2026 · Direct link

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For 40 days, the fashion retailer’s misconfigured privacy portal did not process objections to the sale and sharing of personal data; in addition, the company required too much data and identity verification before an opt-out. The California Privacy Protection Agency (CPPA) imposed 345,178 USD and required correct configuration of consent management and employee training.

Authority / court

California Privacy Protection Agency (CPPA), Board

Area of law

Data protection · Cookies and tracking

Legal basis

California Consumer Privacy Act (CCPA)

Action

Fine

Status of proceedings

final

Sector

Retail and e-commerce

Original amount 345,178 USD, converted at the ECB reference rate of 6 May 2025.

Checked against the official source on 25 Sep 2026 · Direct link

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Between 2015 and 2021, the companies allegedly failed to prepare a system security plan for an internal development system used for 29 Department of Defense contracts and did not comply with the clauses DFARS 252.204-7012 and FAR 52.204-21. Settlement under the False Claims Act of 8.4 million USD; a former director of engineering received 1.512 million USD as a whistleblower.

Authority / court

U.S. Department of Justice (Civil Division) / USAO District of Columbia

Area of law

Other

Legal basis

False Claims Act; DFARS 252.204-7012; FAR 52.204-21

Action

Other

Status of proceedings

final

Sector

Defence and security

Employees

10,000 or more

Published

1 May 2025

Original amount 8,400,000 USD, converted at the ECB reference rate of 30 Apr 2025.

Checked against the official source on 25 Sep 2026 · Direct link

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Gilead paid physicians who spoke at or attended events on its HIV medicines fees, meals and travel expenses to promote prescriptions; high prescribers received hundreds of thousands of dollars, and events took place at luxury restaurants. The court-approved settlement of 202 million USD contains extensive admissions of fact.

Authority / court

U.S. Attorney's Office, Southern District of New York; U.S. District Court (S.D.N.Y.)

Area of law

Bribery and corruption · Gifts, hospitality and benefits

Legal basis

Anti-Kickback Statute (42 U.S.C. § 1320a-7b(b)); False Claims Act (31 U.S.C. §§ 3729 ff.)

Action

Other

Status of proceedings

final

Sector

Chemicals and pharmaceuticals

Employees

10,000 or more

Published

29 Apr 2025

Original amount 202,000,000 USD, converted at the ECB reference rate of 28 Apr 2025.

Checked against the official source on 25 Sep 2026 · Direct link

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The New York State Department of Financial Services (NYDFS) imposed 40 million USD on the operator of Cash App for serious gaps in its BSA/AML programme, including insufficient customer due diligence, a lack of risk-based controls and untimely transaction monitoring. Rapid growth in 2019/2020 led to a considerable backlog of alerts; an independent monitor is being appointed.

Authority / court

New York State Department of Financial Services (NYDFS)

Area of law

Money laundering and terrorist financing · Customer due diligence

Legal basis

BSA/AML-, Geldtransfer- und Virtual-Currency-Vorschriften des NYDFS

Action

Fine

Status of proceedings

final

Sector

Financial services and insurance

Employees

10,000 or more

Mitigating circumstances

Cooperation and remedial measures already initiated

Published

10 Apr 2025

Original amount 40,000,000 USD, converted at the ECB reference rate of 10 Apr 2025.

Checked against the official source on 25 Sep 2026 · Direct link

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U.S. Customs and Border Protection (CBP) issued a Withhold Release Order: sea salt products from Taepyung Salt Farm (South Korea) are being detained at all US ports of entry because there are indications of forced labour (ILO indicators including physical violence, debt bondage, deception, restriction of movement and withholding of wages (ten indicators)).

Authority / court

U.S. Customs and Border Protection

Area of law

Supply chain and human rights · Forced and child labour

Legal basis

19 U.S.C. § 1307 (Tariff Act of 1930, Section 307)

Action

Order

Status of proceedings

unknown

Sector

Food and agriculture

Published

3 Apr 2025

Checked against the official source on 25 Sep 2026 · Direct link

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Between 2010 and 2019, the Toyota subsidiary submitted false certification applications, altered emissions data and fabricated test results; more than 105,000 non-compliant diesel engines were imported into the USA. The court imposed a fine of 521.76 million USD and forfeiture of 1.087 billion USD, plus five years of probation with an import ban on Hino diesel engines.

Authority / court

U.S. District Court for the Eastern District of Michigan (Ermittlungen: EPA Criminal Investigation Division, FBI)

Area of law

Environment and sustainability · Emissions and permits

Legal basis

Clean Air Act; Verschwörung zum Betrug der Vereinigten Staaten und Schmuggel (Schuldbekenntnis)

Action

Fine

Status of proceedings

unknown

Sector

Automotive

Employees

10,000 or more

Culpability

intentional

Published

19 Mar 2025

Original amount 1,608,760,000 USD, converted at the ECB reference rate of 19 Mar 2025.

Checked against the official source on 25 Sep 2026 · Direct link

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Honda required excessive information for opt-out requests, used a cookie tool without equivalent choices, made it harder to appoint authorised agents and passed data on to ad-tech firms without the required contracts. The order of the California Privacy Protection Agency (CPPA) requires, among other things, a simplified procedure and training for employees.

Authority / court

California Privacy Protection Agency (CPPA)

Area of law

Data protection · Data subject rights and transparency

Legal basis

California Consumer Privacy Act (CCPA)

Action

Fine

Status of proceedings

final

Sector

Automotive

Employees

10,000 or more

Published

12 Mar 2025

Original amount 632,500 USD, converted at the ECB reference rate of 7 Mar 2025.

Checked against the official source on 25 Sep 2026 · Direct link

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From 2013 to 2015, Lockheed Martin allegedly failed to provide the Joint Program Office with accurate cost and pricing data for five production and sustainment contracts for the F-35 programme and thereby obtained inflated prices. The settlement amounts to 29.74 million USD, in addition to 11.3 million USD that had already been paid to the Department of Defense; it was triggered by a qui tam action.

Authority / court

U.S. Department of Justice (Civil Division) / USAO Eastern District of Texas

Area of law

Other

Legal basis

False Claims Act; Truth in Negotiations Act

Action

Other

Status of proceedings

final

Sector

Defence and security

Employees

10,000 or more

Published

6 Feb 2025

Original amount 29,740,000 USD, converted at the ECB reference rate of 6 Feb 2025.

Checked against the official source on 25 Sep 2026 · Direct link

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When changing data flows for 1099-K tax forms, insufficiently trained teams bypassed security processes; criminals with compromised credentials were able to retrieve forms containing social security numbers. According to the New York State Department of Financial Services (NYDFS), qualified personnel, training, access policies as well as MFA, CAPTCHA and rate limiting were lacking.

Authority / court

New York State Department of Financial Services (NYDFS)

Area of law

Information security and cyber · Security measures and risk management

Legal basis

23 NYCRR Part 500 (Cybersecurity Regulation)

Action

Fine

Status of proceedings

final

Sector

Financial services and insurance

Employees

10,000 or more

Culpability

negligent

Mitigating circumstances

PayPal has since remedied the deficiencies.

Published

23 Jan 2025

Original amount 2,000,000 USD, converted at the ECB reference rate of 23 Jan 2025.

Checked against the official source on 25 Sep 2026 · Direct link

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From December 2019 to March 2022, the Californian machine tool manufacturer indirectly supplied, via its dealer network, one CNC machine, 13 spare parts orders and seven unlock codes for machines of blocked Russian defence and energy companies. The US Treasury's Office of Foreign Assets Control (OFAC) imposed 1,044,781 USD (eight of the 21 violations egregious, no voluntary self-disclosure); at the same time, Haas paid 1.5 million USD to the US Commerce Department's Bureau of Industry and Security (BIS).

Authority / court

U.S. Department of the Treasury, Office of Foreign Assets Control (OFAC); parallel U.S. Department of Commerce, Bureau of Industry and Security (BIS)

Area of law

Sanctions and export control · Breaches of sanctions and embargoes

Legal basis

Ukraine-/Russia-Related Sanctions Regulations (31 C.F.R. part 589; E.O. 13662); Export Administration Regulations

Action

Fine

Status of proceedings

final

Sector

Manufacturing and mechanical engineering

Mitigating circumstances

Substantial remedial measures and extensive cooperation

Published

17 Jan 2025

Original amount 2,544,781 USD, converted at the ECB reference rate of 17 Jan 2025.

Checked against the official source on 25 Sep 2026 · Direct link

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Employees identified weaknesses in investment models that could affect client returns by March 2019 at the latest, but Two Sigma only acted in August 2023; there were no policies, and one employee made unauthorised changes to more than a dozen models. In addition, separation agreements required employees to declare that they had not filed any complaint with authorities. The U.S. Securities and Exchange Commission (SEC) imposed 90 million USD; Two Sigma had already repaid 165 million USD to clients.

Authority / court

U.S. Securities and Exchange Commission (SEC)

Area of law

Capital markets and financial supervision · Organisational requirements

Legal basis

Investment Advisers Act of 1940 (Antifraud, Compliance Rule 206(4)-7); Exchange Act Rule 21F-17(a)

Action

Fine

Status of proceedings

final

Sector

Financial services and insurance

Culpability

intentional

Mitigating circumstances

Voluntary repayment of 165 million USD to affected funds and accounts.

Original amount 90,000,000 USD, converted at the ECB reference rate of 16 Jan 2025.

Checked against the official source on 25 Sep 2026 · Direct link

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From 2010 to 2019, the Toyota subsidiary altered test data, carried out tests improperly or fabricated them entirely for more than 50 engine families (around 105,000 on-road and 5,700 off-road diesel engines). The resolution with the U.S. Environmental Protection Agency (EPA) and the U.S. Department of Justice comprises a civil penalty of 525 million USD and a criminal fine of 521.76 million USD (together 1.047 billion USD), five years of probation and an import ban on diesel engines; including the recall and mitigation measures, the overall resolution totals more than 1.6 billion USD.

Authority / court

U.S. Environmental Protection Agency / U.S. Department of Justice

Area of law

Environment and sustainability · Emissions and permits

Legal basis

Clean Air Act

Action

Fine

Status of proceedings

unknown

Sector

Automotive

Culpability

intentional

Original amount 1,046,760,000 USD, converted at the ECB reference rate of 15 Jan 2025.

Checked against the official source on 25 Sep 2026 · Direct link

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The U.S. Forced Labor Enforcement Task Force (FLETF) added the manufacturer of silicon ingots, wafers and solar modules from Jiangsu Province to the Uyghur Forced Labor Prevention Act (UFLPA) Entity List because it sources material from Xinjiang. The company's goods are therefore presumed to have been produced with forced labour on import into the US unless the importer rebuts this.

Authority / court

U.S. Department of Homeland Security (Forced Labor Enforcement Task Force)

Area of law

Supply chain and human rights · Forced and child labour

Legal basis

Uyghur Forced Labor Prevention Act, Section 2(d)(2)(B)(v)

Action

Order

Status of proceedings

unknown

Sector

Energy and utilities

Published

15 Jan 2025

Checked against the official source on 25 Sep 2026 · Direct link

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The U.S. Forced Labor Enforcement Task Force (FLETF) listed the mining company from Kizilsu Prefecture on two grounds: for working with the Xinjiang government on the recruitment and transfer of persecuted groups, and for sourcing material from Xinjiang. The company's goods are therefore presumed to have been produced with forced labour on import into the US unless the importer rebuts this.

Authority / court

U.S. Department of Homeland Security (Forced Labor Enforcement Task Force)

Area of law

Supply chain and human rights · Forced and child labour

Legal basis

Uyghur Forced Labor Prevention Act, Section 2(d)(2)(B)(ii) und (v)

Action

Order

Status of proceedings

unknown

Sector

Steel and metals

Published

15 Jan 2025

Checked against the official source on 25 Sep 2026 · Direct link

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In July 2024, nitrogen dioxide above the exposure limit was released during chemical processing at the plant of Zep subsidiary AFCO in Chambersburg (Pennsylvania); twelve employees were examined in hospital and two were admitted. The U.S. Occupational Safety and Health Administration (OSHA) criticised the lack of an emergency action plan, deficient respiratory protection and hazard communication programmes and a delayed evacuation, and proposed $161,310 (including one repeat violation).

Authority / court

U.S. Department of Labor – Occupational Safety and Health Administration (OSHA)

Area of law

Health and safety and employment law · Workplace safety and accidents

Legal basis

29 CFR 1910.120, 1910.134, 1910.1200

Action

Fine

Status of proceedings

unknown

Sector

Chemicals and pharmaceuticals

Repeat case

yes

Published

14 Jan 2025

Original amount 161,310 USD, converted at the ECB reference rate of 14 Jan 2025.

Checked against the official source on 25 Sep 2026 · Direct link

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From December 2020 to May 2023, staff on the agency CMO bond desk sold mortgage-backed bonds worth around 3 billion USD using misleading metrics; the broker-dealer’s supervisory procedures contained no requirements for the structuring and sale of these bonds. BMO paid 19,417,908 USD in disgorgement, 2,241,507 USD in interest and a civil penalty of 19 million USD.

Authority / court

U.S. Securities and Exchange Commission (SEC)

Area of law

Capital markets and financial supervision · Organisational requirements

Legal basis

Securities Exchange Act of 1934, Section 15(b)(4)(E) (Failure to supervise)

Action

Fine

Status of proceedings

final

Sector

Financial services and insurance

Employees

10,000 or more

Original amount 40,659,415 USD, converted at the ECB reference rate of 13 Jan 2025.

Checked against the official source on 25 Sep 2026 · Direct link

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During the HSR waiting period for the 1.4 billion USD acquisition of EP Energy, XCL and Verdun already took control of day-to-day operations: they halted drilling projects, managed customer contracts in Utah and coordinated prices in Texas (94 days). In a settlement filed by the DOJ on behalf of the FTC, the companies agreed to a civil penalty of 5.6 million USD – the highest ever for gun-jumping in the US; court approval under the Tunney Act was still pending at the time of publication.

Authority / court

Federal Trade Commission (Klage durch das U.S. Department of Justice)

Area of law

Competition law · Merger control

Legal basis

Hart-Scott-Rodino Act

Action

Fine

Status of proceedings

unknown

Sector

Energy and utilities

Published

7 Jan 2025

Original amount 5,600,000 USD, converted at the ECB reference rate of 7 Jan 2025.

Checked against the official source on 25 Sep 2026 · Direct link

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According to the FTC, the AI-powered review platform collected star ratings for its business customers at the time of purchase, before customers had received the product or service, thereby inflating average ratings and review counts, including in search engine results. The FTC issued a final settlement order prohibiting such misrepresentations.

Authority / court

Federal Trade Commission (FTC)

Area of law

Consumer protection and online retail · Fake reviews

Legal basis

Section 5 FTC Act

Action

Order

Status of proceedings

final

Sector

Media and online platforms

Published

3 Jan 2025

Checked against the official source on 25 Sep 2026 · Direct link

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Through an agent and a joint venture partner, AAR paid sham commissions to public officials in order to secure the sale of two Airbus A330s to Nepal Airlines and maintenance services for South African Airways Technical. SEC: 23,451,100 USD in disgorgement and 5,785,524 USD in interest; DOJ criminal penalty of 26,363,029 USD under a Non-Prosecution Agreement.

Authority / court

U.S. Securities and Exchange Commission (SEC); U.S. Department of Justice

Area of law

Bribery and corruption · Bribery of public officials

Legal basis

FCPA (Anti-Bestechung, Buchführung, interne Kontrollen); Non-Prosecution Agreement

Action

Fine

Status of proceedings

final

Sector

Transport, logistics and shipping

Employees

1,000 to 9,999

Culpability

intentional

Mitigating circumstances

Disclosure following press reports, cooperation (forensics, translations, witnesses) and remedial measures.

Liability of senior managers

A former senior employee of an AAR subsidiary, Deepak Sharma (named in the SEC order), was involved.

Published

19 Dec 2024

Original amount 55,599,653 USD, converted at the ECB reference rate of 19 Dec 2024.

Checked against the official source on 25 Sep 2026 · Direct link

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The medical technology manufacturer misled investors about regulatory risks of the Alaris infusion pump, which had more than 25 software defects, and did not record the remediation costs, as a result of which operating income in the fourth quarter of 2019 was overstated by 82 %. BD is paying 175 million USD and must appoint an independent compliance consultant.

Authority / court

U.S. Securities and Exchange Commission (SEC)

Area of law

Capital markets and financial supervision · Disclosure and reporting obligations

Legal basis

Antifraud-, Reporting-, Buchführungs-, interne Kontroll- und Disclosure-Controls-Vorschriften der US-Wertpapiergesetze

Action

Fine

Status of proceedings

final

Sector

Healthcare

Original amount 175,000,000 USD, converted at the ECB reference rate of 16 Dec 2024.

Checked against the official source on 25 Sep 2026 · Direct link

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From November 2018 to February 2022, five foreign subsidiaries of the logistics group acquired through takeovers brokered or transported a total of 82 shipments involving Iranian or Cuban goods or an Iranian airline. The main cause was that their booking systems had not yet been integrated into the group's screening processes; the US Treasury's Office of Foreign Assets Control (OFAC) considered the case non-egregious and voluntarily self-disclosed.

Authority / court

U.S. Department of the Treasury, Office of Foreign Assets Control (OFAC)

Area of law

Sanctions and export control · Breaches of sanctions and embargoes

Legal basis

Iranian Transactions and Sanctions Regulations; Cuban Assets Control Regulations

Action

Fine

Status of proceedings

final

Sector

Transport, logistics and shipping

Employees

10,000 or more

Culpability

negligent

Repeat case

no

Mitigating circumstances

Voluntary self-disclosure, no prior violations, swift remediation

Published

13 Dec 2024

Original amount 257,690 USD, converted at the ECB reference rate of 13 Dec 2024.

Checked against the official source on 25 Sep 2026 · Direct link

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UPS based the valuation of UPS Freight on a consultant's appraisal of around 2 billion USD, although its own analyses had arrived at only about 650 million USD, and did not record a required goodwill impairment. UPS is paying 45 million USD and must introduce training for certain executives, board members and employees and engage an independent compliance consultant.

Authority / court

U.S. Securities and Exchange Commission (SEC)

Area of law

Capital markets and financial supervision · Disclosure and reporting obligations

Legal basis

Section 17(a)(2),(3) Securities Act; Reporting-, Buchführungs-, interne Kontroll- und Disclosure-Controls-Vorschriften des Exchange Act

Action

Fine

Status of proceedings

final

Sector

Transport, logistics and shipping

Original amount 45,000,000 USD, converted at the ECB reference rate of 22 Nov 2024.

Checked against the official source on 25 Sep 2026 · Direct link

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In January 2024, insecurely stacked steel pipes weighing around 900 kg fell at the plant in Bay Saint Louis (Mississippi); a 25-year-old died and a 20-year-old lost both legs. In a settlement with the U.S. Occupational Safety and Health Administration (OSHA), the manufacturer of large steel pipes is paying $442,815 and must implement external safety consultants, monthly audits, safety professionals on every shift and three years of accident reporting; there had been 46 OSHA citations in five years.

Authority / court

U.S. Department of Labor – Occupational Safety and Health Administration (OSHA)

Area of law

Health and safety and employment law · Workplace safety and accidents

Legal basis

Occupational Safety and Health Act of 1970; 29 CFR 1910 (Maschinenschutz, Absturzsicherung, brennbarer Staub u. a.)

Action

Fine

Status of proceedings

final

Sector

Steel and metals

Employees

250 to 999

Repeat case

yes

Published

22 Nov 2024

Original amount 442,815 USD, converted at the ECB reference rate of 22 Nov 2024.

Checked against the official source on 25 Sep 2026 · Direct link

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Following the partial amputation of two fingers on an automatic blade, the U.S. Occupational Safety and Health Administration (OSHA) had inspected the bakery in Paterson in June 2023; at the follow-up inspection in May 2024, lockout/tagout procedures were still missing, and in addition exit routes were blocked and fall edges unprotected. Proposed: $385,221 (including failure to abate, 2 wilful and 1 repeat violation).

Authority / court

U.S. Department of Labor – Occupational Safety and Health Administration (OSHA)

Area of law

Health and safety and employment law · Workplace safety and accidents

Legal basis

29 CFR 1910.147 (Lockout/Tagout), 1910.37 (Fluchtwege), 1910.212 (Maschinenschutz)

Action

Fine

Status of proceedings

unknown

Sector

Food and agriculture

Culpability

intentional

Repeat case

yes

Published

19 Nov 2024

Original amount 385,221 USD, converted at the ECB reference rate of 19 Nov 2024.

Checked against the official source on 25 Sep 2026 · Direct link

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From 2020 to 2022, Invesco told clients that 70 to 94 per cent of the parent company's assets under management were ‘ESG integrated’, but counted passive ETFs that did not take ESG into account and had no written definition of ESG integration. The U.S. Securities and Exchange Commission (SEC) imposed 17.5 million USD, a censure and a cease-and-desist order.

Authority / court

U.S. Securities and Exchange Commission (SEC)

Area of law

Environment and sustainability · Misleading environmental and sustainability claims

Legal basis

Investment Advisers Act of 1940

Action

Fine

Status of proceedings

final

Sector

Financial services and insurance

Culpability

intentional

Published

8 Nov 2024

Original amount 17,500,000 USD, converted at the ECB reference rate of 8 Nov 2024.

Checked against the official source on 25 Sep 2026 · Direct link

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In May 2024, inspectors saw carpenters of the Crystal Lake company working on residential buildings in Elburn at heights of over 6 feet without fall protection three times within one month; training records and forklift certifications were also missing, and rigging equipment was damaged. The company had already been cited in 2022 and 2023. Proposed: $287,465.

Authority / court

U.S. Department of Labor – Occupational Safety and Health Administration (OSHA)

Area of law

Health and safety and employment law · Workplace safety and accidents

Legal basis

29 CFR 1926 Subpart M (Fall Protection) u. a.

Action

Fine

Status of proceedings

unknown

Sector

Construction and real estate

Culpability

intentional

Repeat case

yes

Published

6 Nov 2024

Original amount 287,465 USD, converted at the ECB reference rate of 6 Nov 2024.

Checked against the official source on 25 Sep 2026 · Direct link

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In mandatory disclosures, Unisys presented cyber risks as hypothetical, although it had suffered two intrusions with data exfiltration connected with the SolarWinds compromise. On the same day, the US Securities and Exchange Commission (SEC) also imposed penalties on Avaya ($1 million), Check Point ($995,000) and Mimecast ($990,000).

Authority / court

U.S. Securities and Exchange Commission (SEC)

Area of law

Capital markets and financial supervision · Disclosure and reporting obligations

Legal basis

Securities Act of 1933, Securities Exchange Act of 1934 (inkl. Disclosure Controls)

Action

Fine

Status of proceedings

final

Sector

Telecoms, IT and software

Culpability

negligent

Mitigating circumstances

Cooperation in the proceedings and improvement of cybersecurity controls.

Published

22 Oct 2024

Original amount 4,000,000 USD, converted at the ECB reference rate of 22 Oct 2024.

Checked against the official source on 25 Sep 2026 · Direct link

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The US Financial Crimes Enforcement Network (FinCEN) imposed 900,000 USD on the Californian card club, which admitted wilful infringements over more than four and a half years: no effective AML programme, missing currency transaction reports (CTR) and suspicious activity reports (SAR), and record-keeping deficiencies. The infringements stemmed from decisions by management.

Authority / court

Financial Crimes Enforcement Network (FinCEN)

Area of law

Money laundering and terrorist financing · Suspicious activity reports

Legal basis

Bank Secrecy Act (BSA) und Durchführungsbestimmungen

Action

Fine

Status of proceedings

final

Sector

Other

Culpability

intentional

Liability of senior managers

According to FinCEN, the infringements were based on decisions by management

Published

23 Oct 2024

Original amount 900,000 USD, converted at the ECB reference rate of 22 Oct 2024.

Checked against the official source on 25 Sep 2026 · Direct link

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From 2011 to 2017, Raytheon paid almost 2 million USD via sham subcontracts to Qatari military and other public officials and more than 30 million USD to an agent from the ruling family. SEC order: disgorgement of 37,400,090 USD, interest of 11,786,208 USD and a penalty of 75 million USD (of which 22.5 million USD was credited against the DOJ payment); under the DPA with the DOJ, 267,096,068 USD (230.4 million penalty, 36,696,068 forfeiture) is attributable to the FCPA part, combined with an Arms Export Control Act violation and a three-year monitorship. Total without double counting: 368,782,366 USD.

Authority / court

U.S. Securities and Exchange Commission (SEC); U.S. Department of Justice

Area of law

Bribery and corruption · Bribery of public officials

Legal basis

FCPA (Anti-Bestechung, Buchführung, interne Kontrollen, Sections 30A, 13(b)(2)(A)/(B) Exchange Act); Arms Export Control Act; DPA

Action

Fine

Status of proceedings

final

Sector

Defence and security

Employees

10,000 or more

Culpability

intentional

Published

16 Oct 2024

Original amount 368,782,366 USD, converted at the ECB reference rate of 16 Oct 2024.

Checked against the official source on 25 Sep 2026 · Direct link

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From 2020 to 2022, employees of the Indian subsidiary of the aerospace and defence supplier bribed Indian public officials via agents and distributors, among other things to tailor tenders in Moog's favour; the payments were booked as business expenses. Payment of 504,926 USD in disgorgement, 78,889 USD in interest and a penalty of 1.1 million USD.

Authority / court

U.S. Securities and Exchange Commission (SEC)

Area of law

Bribery and corruption · Bribery of public officials

Legal basis

FCPA Buchführungs- und interne Kontrollvorschriften (Sections 13(b)(2)(A)/(B) Exchange Act)

Action

Fine

Status of proceedings

final

Sector

Manufacturing and mechanical engineering

Culpability

intentional

Mitigating circumstances

Cooperation (sharing of internal investigation findings) and remediation, including termination of employees and third parties.

Published

11 Oct 2024

Original amount 1,683,815 USD, converted at the ECB reference rate of 11 Oct 2024.

Checked against the official source on 25 Sep 2026 · Direct link

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The Board of Governors of the Federal Reserve System imposed 123.5 million USD on the Canadian parent company because it neglected risk management and oversight of its US retail business, so that a US subsidiary was used to launder hundreds of millions of dollars. TD must move the AML programme to the US and commission an independent review of the board and management; the sanctions of all authorities involved (DOJ, FinCEN, OCC) add up to around 3.09 billion USD.

Authority / court

Board of Governors of the Federal Reserve System

Area of law

Money laundering and terrorist financing · Internal controls

Legal basis

US-Anti-Geldwäschegesetze (laut Federal Reserve)

Action

Fine

Status of proceedings

final

Sector

Financial services and insurance

Employees

10,000 or more

Liability of senior managers

Independent review of board and management ordered

Published

10 Oct 2024

Original amount 123,500,000 USD, converted at the ECB reference rate of 10 Oct 2024.

Checked against the official source on 25 Sep 2026 · Direct link

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The swap trading platform did not fully inform its board of the results of emergency, technology risk and penetration tests, did not regularly test its business continuity and disaster recovery capabilities and had no adequate risk management. It also failed to produce documents requested during an examination on time despite extensions of deadlines; the Commodity Futures Trading Commission (CFTC) imposed 875,000 USD.

Authority / court

Commodity Futures Trading Commission (CFTC)

Area of law

Information security and cyber · Critical infrastructure

Legal basis

Commodity Exchange Act; CFTC-Regeln zu System Safeguards für Swap Execution Facilities

Action

Fine

Status of proceedings

final

Sector

Financial services and insurance

Original amount 875,000 USD, converted at the ECB reference rate of 1 Oct 2024.

Checked against the official source on 25 Sep 2026 · Direct link

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According to the FTC, the largest US landlord of single-family homes advertised monthly rents without mandatory additional fees (for example for smart home technology or utility management), which could add up to more than 1,700 USD a year and only appeared in the lease; further allegations concerned withheld security deposits and evictions. Under the settlement, Invitation Homes is paying 48 million USD for refunds and must include mandatory fees in the advertised price.

Authority / court

Federal Trade Commission (FTC)

Area of law

Consumer protection and online retail · Misleading advertising and pricing

Legal basis

Section 5 FTC Act

Action

Disgorgement of profits

Status of proceedings

final

Sector

Construction and real estate

Published

24 Sep 2024

Original amount 48,000,000 USD, converted at the ECB reference rate of 27 Sep 2024.

Checked against the official source on 25 Sep 2026 · Direct link

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The asset manager had twelve job applicants sign NDAs that prohibited voluntary reports to authorities, and, in a settlement agreement, required a former employee who had announced a report to the SEC to confirm that he had not initiated any investigation and to withdraw statements already made. The U.S. Securities and Exchange Commission (SEC) took cooperation and remediation into account and imposed 500,000 US dollars.

Authority / court

U.S. Securities and Exchange Commission

Area of law

Whistleblower protection · Retaliation against whistleblowers

Legal basis

Securities Exchange Act of 1934, Rule 21F-17(a); Investment Advisers Act Section 203(e)

Action

Fine

Status of proceedings

final

Sector

Financial services and insurance

Employees

50 to 249

Mitigating circumstances

Cooperation with the SEC and prompt remedial measures

Published

26 Sep 2024

Original amount 500,000 USD, converted at the ECB reference rate of 26 Sep 2024.

Checked against the official source on 25 Sep 2026 · Direct link

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Since 2015, the Austin-based manufacturer has sold more than 81,000 tuners that deactivate emission controls, as well as 8,400 exhaust pipes with fewer or weaker catalytic converters. The proposed settlement with the U.S. Environmental Protection Agency (EPA) and the U.S. Department of Justice (subject to court approval) provides for a civil penalty of 2,914,000 USD in four instalments, as well as a ban on defeat devices, removal of the ‘delete’ functions, information for dealers and customers, buy-back and destruction of such devices held by employees, and Clean Air Act training for the workforce.

Authority / court

U.S. Environmental Protection Agency / U.S. Department of Justice (U.S. District Court, Western District of Texas)

Area of law

Environment and sustainability · Emissions and permits

Legal basis

Clean Air Act § 203(a)(3)(B), 42 U.S.C. § 7522(a)(3)(B)

Action

Fine

Status of proceedings

unknown

Sector

Automotive

Mitigating circumstances

Amount of the penalty based on demonstrated limited ability to pay; payment in instalments.

Original amount 2,914,000 USD, converted at the ECB reference rate of 16 Sep 2024.

Checked against the official source on 25 Sep 2026 · Direct link

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The franchisee ran five Wingstop outlets in Bakersfield as separate companies and deployed employees at several locations on the same day. As a result, they lost out on overtime premiums after eight hours a day or 40 hours a week, premiums for missed meal breaks, paid travel time and the higher minimum wage for larger employers; the settlement of 1.7 million USD concerns around 550 employees.

Authority / court

California Labor Commissioner's Office (Division of Labor Standards Enforcement)

Area of law

Health and safety and employment law · Working time

Legal basis

California Labor Code (Overtime, Meal Periods, Mindestlohn)

Action

Other

Status of proceedings

final

Sector

Food and agriculture

Culpability

intentional

Liability of senior managers

Owner Clinton Lewis personally responsible.

Original amount 1,700,000 USD, converted at the ECB reference rate of 16 Sep 2024.

Checked against the official source on 25 Sep 2026 · Direct link

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From 2014 to 2019, the North Carolina company and its CEO Aaron Rudolf manufactured, sold or installed over 250,000 parts for Ford, GM and Dodge diesel pickups in order to remove emission controls – according to the U.S. Environmental Protection Agency (EPA), producing as much in emissions as more than 11 million additional vehicles. A total of 10 million USD: a civil penalty of 7 million USD in instalments (settlement subject to court approval), a criminal fine of 2.4 million USD against the company together with three years' probation, and a fine of 600,000 USD against the CEO.

Authority / court

U.S. Environmental Protection Agency / U.S. Department of Justice

Area of law

Environment and sustainability · Emissions and permits

Legal basis

Clean Air Act § 203(a)(3)

Action

Fine

Status of proceedings

unknown

Sector

Automotive

Culpability

intentional

Mitigating circumstances

Payment in instalments because of demonstrated limited ability to pay.

Liability of senior managers

CEO Aaron Rudolf: three years' probation and a fine of 600,000 USD in the criminal proceedings; personally a party to the civil settlement.

Original amount 10,000,000 USD, converted at the ECB reference rate of 10 Sep 2024.

Checked against the official source on 25 Sep 2026 · Direct link

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From 2017 to 2020, the acquired subsidiary Wirtgen Thailand provided public officials, including officials of the Royal Thai Air Force and the Department of Highways, with cash, sham consultancy fees, luxurious "factory visit trips", meals and entertainment, and also engaged in commercial bribery. Deere is paying 4,343,401 USD in disgorgement, 1,086,954 USD in interest and a penalty of 4.5 million USD.

Authority / court

U.S. Securities and Exchange Commission (SEC)

Area of law

Bribery and corruption · Gifts, hospitality and benefits

Legal basis

FCPA Buchführungs- und interne Kontrollvorschriften (Sections 13(b)(2)(A)/(B) Exchange Act)

Action

Fine

Status of proceedings

final

Sector

Manufacturing and mechanical engineering

Employees

10,000 or more

Culpability

intentional

Liability of senior managers

According to the SEC, senior regional managers who have since left the company were involved (not named).

Published

10 Sep 2024

Original amount 9,930,355 USD, converted at the ECB reference rate of 10 Sep 2024.

Checked against the official source on 25 Sep 2026 · Direct link

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In its 2019 and 2020 annual reports, Keurig claimed that tests confirmed the recyclability of the K-Cup pods, but failed to disclose that two of the largest US recycling companies had expressed significant concerns and stated that they did not currently intend to accept the pods. Keurig is paying a civil penalty of 1.5 million USD.

Authority / court

U.S. Securities and Exchange Commission (SEC)

Area of law

Capital markets and financial supervision · Disclosure and reporting obligations

Legal basis

Section 13(a) Securities Exchange Act 1934, Rule 13a-1

Action

Fine

Status of proceedings

final

Sector

Food and agriculture

Original amount 1,500,000 USD, converted at the ECB reference rate of 10 Sep 2024.

Checked against the official source on 25 Sep 2026 · Direct link

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