Regulatory Litigation

Agency and administrative litigation

At O’Sullivan McCormack Jensen & Bliss, we handle a wide range of investigations and litigation involving Connecticut state agencies, as well as litigation under a variety of complex regulatory schemes and federal government investigations. We bring together the firm’s substantive regulatory experience and its familiarity with litigation involving the government and regulatory agencies. As part of our intake process, we analyze the issues presented by the agency action, outline a plan, and discuss the plan with the client. As part of the overall process, we provide our clients with reasoned advice about resolving regulatory investigations through alternative means including mediation and negotiated settlements.

Key Regulatory Authorities We Engage With

• Connecticut Public Utilities Regulatory Authority (PURA)
• Connecticut Department of Public Health (DPH)
• Connecticut Siting Council
• Connecticut Department of Banking
• Connecticut Department of Insurance
• Financial Industry Regulatory Authority (FINRA)

We have represented clients in investigations brought by the United States Department of Justice (DOJ), the Securities and Exchange Commission (SEC), the United States Attorney’s Office, and the State of Connecticut Attorney General’s Office.

Our clients include telecommunications companies, water companies, renewable and alternative energy companies, financial advisors, securities broker-dealers, and insurance professionals. We work with companies – large and small – and individuals.

We are often called upon to challenge agency actions under the Administrative Procedure Act (APA) and other applicable laws, as well as the constitutionality of legislative and regulatory schemes. Our experience extends to pursuing relief from agency orders under the APA and appealing final decisions to the state and federal courts. With our seasoned understanding of the standards and burdens the courts apply on appeal, we are able to craft a successful strategy to overturn adverse agency decisions.

Reach Out to Our Regulatory Litigation Experts

Please contact one of the experienced attorneys at O’Sullivan McCormack Jensen & Bliss with your administrative law issues.

O’Sullivan McCormack Jensen & Bliss handles matter in and around Hartford, Middletown, New Haven, and all other parts of Connecticut. We litigate cases in the state and federal trial courts and appellate courts. A number of our attorneys are also admitted and represent clients in Massachusetts courts.

FAQ’s

Regulatory Litigation

• Q: “What is Regulatory Litigation, and how does it impact businesses and individuals
  in Connecticut?”
  • A: Regulatory litigation overview: regulatory litigation involves representing and defending businesses against enforcement actions and investigations brought by Connecticut agencies related to legal compliance requirements under the Administrative Procedure Act. Without proper oversight and a plan to meet regulatory compliance obligations, the impact on businesses could be significant and lead to penalties and fines. Examples include complying with PURA regulations and banking department regulations, following DPH regulatory oversight and insurance department oversight, and FINRA regulations.
• Q: “What are the common challenges faced by businesses dealing with regulatory
  investigations and enforcement actions in Connecticut?”
  • A: Regulatory investigation challenges and enforcement actions involve agency proceedings to review compliance with statutes and regulations and in some cases assess penalties and fines. Businesses subject to regulation often find it difficult to understand and interpret statutes and regulations. A regulatory litigation lawyer can help navigate and defend businesses in investigations and enforcement actions.
• Q: “What are the key considerations for businesses seeking to stay compliant with
  regulatory requirements and avoid regulatory litigation in Connecticut?”
  • A: It is important for businesses to follow compliance best practices to avoid regulatory litigation, investigations and enforcement actions. Regulatory litigation counsel can help businesses to practice regulatory risk management and prevent legal disputes in the first instance.
• Q: “What is Alternate Dispute Resolution (ADR) and how does it differ from traditional
  litigation in Connecticut?“
  • A: There are two primary Connecticut dispute resolution options—arbitration and mediation. The definition of ADR is an alternative to lawsuits in civil court as a way to resolve disputes. Mediation involves using a current or former judge, a lawyer or even an expert in a particular field to meet with the two sides to try and work out a settlement of the dispute. Arbitration, on the other hand, involves presenting evidence to one or more arbitrators in a quasi-court like setting. Which is better, ADR v. litigation, is not always an easy choice. A lawyer familiar with both ADR and litigation can help clients make that determination.
• Q: “What are the benefits of choosing ADR over traditional court proceedings for
  resolving disputes in Connecticut?“
  • A: Advantages of ADR v. litigation include a potentially more cost-effective dispute resolution process and a quicker and more streamlined process to get to a final resolution. ADR may also limit costly and lengthy discovery. There are many ADR benefits and advantages to consider when making the decision to choose ADR or litigation.
• Q: “What are the main types of ADR methods available in Connecticut, such as
  mediation and arbitration?“
  • A: Arbitration and mediation are the two main conflict resolution methods. It is not necessarily mediation v. arbitration as the two ADR techniques often work together. A contract that requires arbitration of a dispute may also require the parties to mediate the dispute as a first step. If mediation is not successful, the parties will arbitrate their dispute before one or more arbitrators.