Administrative Enforcement Defense

<h2>Federal Administrative Enforcement</h2><p>Federal regulatory agencies have broad enforcement powers, including the ability to bring administrative proceedings before their own administrative law judges (ALJs). These proceedings can result in cease-and-desist orders, civil penalties, disgorgement, industry bars, and other sanctions.</p><h2>Key Agencies</h2><ul><li><strong>SEC:</strong> Securities fraud, registration violations, investment adviser misconduct</li><li><strong>CFTC:</strong> Commodities fraud, market manipulation, swap dealer violations</li><li><strong>FTC:</strong> Unfair or deceptive trade practices, antitrust violations</li><li><strong>CFPB:</strong> Consumer financial protection violations</li><li><strong>OFAC:</strong> Sanctions violations and export control enforcement</li></ul>