Ethics: UPA Alleged Violations

Actions Under the UAPA for Alleged Violations of the Code of Ethics

for Lobbyists

 

- 2013-

       

Docket Nos. 2013-01UL to 2013-157UL:  In 2013, the Enforcement Division of the Office of State Ethics prosecuted 157 matters against client and communicator lobbyists who did not meet the statutory deadlines for filing lobbyist registrations and/or financial reports with the Office of State Ethics, as required by law. All matters were settled or dismissed prior to administrative hearings, resulting in the imposition and collection of penalties in the amount of $9,233.50 These actions were filed against 26 communicator lobbyists who failed to file the 2012 Annual Compensation Report for Communicator lobbyists; 26 client lobbyist that failed to timely file their 2012 3rd and 4th Quarter Report for Client Lobbyists; 14 client lobbyists that failed to timely file their 2013 1st Quarter Report; and 5 client lobbyists that failed to timely file their 2nd Quarter Report for 2013.

      

-2012-

Docket Nos. 2012-1UL to 2012-103UL:   In 2012, the Enforcement Division prosecuted 101 matters against client and communicator lobbyists who did not meet the statutory deadlines for filing lobbyist registrations and/or financial reports with the Office of State Ethics, as required by law.  All matters were settled or dismissed prior to administrative hearings, resulting in the imposition and collection of penalties in the amount of $19,965.  These actions were filed against 23 communicator lobbyists who failed to file the 2011 Annual Compensation Report for Communicator lobbyists; 32 client lobbyist that failed to timely file their 2011 3rd and 4th Quarter Report for Client Lobbyists; 33 client lobbyists that failed to timely file their 2012 1st Quarter Report; 13 client lobbyists that failed to timely file their 2nd Quarter Report for 2012; and, two client lobbyists that failed to timely file their 2010 and 2011 registrations and financial reports.

-2011-

Docket Nos. 2011-1UL to 2011-29UL:  In 2011, the Enforcement Division prosecuted 28 matters against client and communicator lobbyists who did not meet the statutory deadlines for filing lobbyist registrations and/or financial reports with the Office of State Ethics, as required by law.  All matters were settled or dismissed prior to administrative hearings, resulting in the imposition and collection of penalties in the amount of $4,385.  These actions were filed against nine communicator lobbyists who failed to file the 2010 Annual Compensation Report for Communicator lobbyists; five client lobbyist that failed to file their 2010 3rd and 4th Quarter Report for Client Lobbyists; twelve client lobbyists that failed to file their 2011 1st Quarter Report; two client lobbyists that failed to file their 2nd Quarter Report for 2011; and, one client lobbyist that failed to timely file its 2011 registration and financial reports.

-2010-

Docket Nos:  2010-01UL to 2010-35UL:  Thirty-five enforcement actions have been filed against delinquent client and communicator lobbyists who did not meet statutory deadlines for filing registrations and financial reports with the Office of State Ethics.  All matters but two have been settled or dismissed prior to administrative hearings, with 18 lobbyists paying penalties in the amount of $9,215.  One matter remains open, under investigation, and one contested hearing was conducted under the Uniform Administrative Procedure Act on May 18, 2010:

Docket No. 2010-14:  In the Matter of Blackrock Realty, LLC.  The Office of State Ethics alleged that Blackrock Realty, LLC, a registered client lobbyist, had failed to timely file its mandatory ETH-2D disclosure report for the first quarter of 2010.  Following a contested hearing, the Citizen’s Ethics Advisory Board issued a final decision finding that Blackrock Realty, LLC’s report was not timely filed and imposed a fine of $10 per day for each day the report was delinquent.

-2009-
Docket Nos. 2009-1UL to 2009-54UL: In 2009, the Enforcement Division prosecuted fifty-four matters against client and communicator lobbyists who did not meet the statutory deadlines for filing lobbyist registrations and/or financial reports with the Office of State Ethics.  All matters but one were settled or dismissed prior to administrative hearings, resulting in the imposition and collection of penalties in the amount of $12,020.  These enforcement actions were filed against client and communicator lobbyists who failed to file their 2008 third and fourth quarter reports (7 actions), 2009 first quarter reports (11 actions), 2009 second quarter reports (5 actions), and 2008 yearly disclosure report for communicator lobbyists (21 actions). Ten actions were filed against communicator lobbyists and client lobbyists for failing to timely file their lobbyist registrations for 2007-2008 and 2009.  One contested hearing was conducted under the Uniform Administrative Procedure Act on June 16, 2009.
Docket No. 2009-41UL:  In the Matter of a Complaint by the Ethics Enforcement Officer Against the CT Coalition of Property Owners (“Coalition”).  The Office of State Ethics alleged that the Coalition, a registered client lobbyist, had failed to file its mandatory ETH-2D disclosure report for the first quarter of 2009 in a timely manner.  Following a contested hearing, the Citizen’s Ethics Advisory Board issued a final decision finding that the Coalition’s report was not timely filed and imposed a fine of $120. 
 
-2008-
 

Docket Nos. 2008-1UL to 2008-85UL: Enforcement Actions Against Delinquent Lobbyist Filers.  In 2008, the Enforcement Division prosecuted eighty-five matters against client and communicator lobbyists who did not meet the statutory deadlines for filing lobbyist registrations and/or financial reports with the Office of State Ethics.  All but three matters were settled or dismissed prior to administrative hearings, resulting in the imposition and collection of penalties in the amount of $64,803.  These enforcement actions were filed against client and communicator lobbyists who failed to file their 2007/2008 Lobbyist Registrations (“ETH-1B”), 2007 Annual Communicator Lobbyist Reports (“ETH-2A”), 2007 Third and Fourth Quarter Report for Client Lobbyist (“ETH-2D”), and 2008 First and Second Quarter Report for Client Lobbyist (“ETH-2D”).  Three contested hearings were conducted under the Uniform Administrative Procedure Act on April 2, 2008:

Docket No. 2008-14UL: In the Matter of Connecticut Assisted Living Association (“CALA”).  The Office of State Ethics alleged that CALA had failed to file a registration with the Office of State Ethics in 2007 prior to engaging in lobbying, and that it had failed to file mandatory quarterly disclosure reports for the same year.  Following a contested hearing, the Citizen’s Ethics Advisory Board issued a final decision finding that CALA had failed to register with the Office of State Ethics prior to engaging in lobbying in 2007, and had failed to timely file the disclosure reports.  The Board imposed a fine of $5,025.

 
Docket No. 2008-20UL:  In the Matter of Chamber of Commerce of Eastern Connecticut, Inc. (“CCEC”).  The Office of State Ethics alleged that CCEC had failed to file a registration with the Office of State Ethics in 2007 prior to engaging in lobbying, and that it had failed to file mandatory quarterly disclosure reports for the same year.  Following a contested hearing, the Citizen’s Ethics Advisory Board issued a final decision finding that CCEC had failed to register with the Office of State Ethics prior to engaging in lobbying in 2007, and had failed to timely file the disclosure reports.  The Board imposed a fine of $4,810.
 
Docket No. 2008-45UL:  In the Matter of a Complaint by the Ethics Enforcement Officer Against Maria Cahill.  The Office of State Ethics alleged that Ms. Cahill, a registered communicator lobbyist, had failed to file her mandatory annual disclosure report for 2007 (“ETH-2A”) in a timely manner.  Following a contested hearing, the Citizen’s Ethics Advisory Board issued a final decision finding that Ms. Cahill’s report was not timely filed, imposed a fine of $430. 

-2007-

   

Docket Nos. 2007-1UL to 2007-13UL: Enforcement Actions Against Delinquent Lobbyist Filers.  Multiple enforcement actions, including four contested hearings conducted under the Uniform Administrative Procedure Act, from August to October of 2007 resulted in the imposition and collection of $7,340 in fines for lobbyists who did not meet statutory deadlines for filing financial reports with the Office of State Ethics. The contested hearings were:

     

Docket No. 2007-1UL: In the Matter of AFT Connecticut and Susan Heller Williams. The Office of State Ethics alleged that the second quarter ETH-2D lobbyist financial report was filed late. After a contested hearing, the hearing officer recommended and the Citizen’s Ethics Advisory Board imposed a fine of $100.
 
Docket No. 2007-2UL: In the Matter of Conn PIRG and Christopher Phelps. The Office of State Ethics alleged that the second quarter ETH-2D lobbyist financial report was filed late. After a contested hearing, the hearing officer recommended and the Citizen’s Ethics Advisory Board imposed a fine of $640.
 
Docket No. 2007-3UL: In the Matter of CT Propane Coalition and T. Michael Morrissey. The Office of State Ethics alleged that the second quarter ETH-2D lobbyist financial report was filed late. After a contested hearing, the hearing officer recommended and the Citizen’s Ethics Advisory Board imposed a fine of $610.
 
Docket No. 2007-4UL: In the Matter of CT Library Association and Barry Williams. The Office of State Ethics alleged that the second quarter ETH-2D lobbyist financial report was filed late. After a contested hearing, the hearing officer recommended and the Citizen’s Ethics Advisory Board imposed a fine of $100.


Content Last Modified on 12/4/2014 8:38:37 AM