2012 Annual Report (March 28, 2013)
Executive Director Ellen Biben; Chair Janet DiFiore
"Investigation and Enforcement": pp. 45-48

p. 46:  In 2012, the Commission reviewed more than 300 potential matters, including at least 60 investigative matters that were transferred to the Commission from the former Commission on Public Integrity. The Commission commenced 48 substantial basis investigations in 2012. As of the date of this report, the Commission has 47 open investigations and 61 matters pending review. In 2012, the Commission resolved 27 enforcement actions that resulted in settlements and penalties totaling more than $52,000. These dispositions are summarized in the following chart.

2013 Annual Report (April 3, 2014)
Executive Director Letizia Tagliafierro; Chair Daniel Horwitz
"Investigation and Enforcement"  pp. 45-50

p. 46:  In 2013, the Commission reviewed nearly 200 potential matters....
As of the date of this report, the Commission has 21 open investigations and 69 matters pending review.  In 2013, the Commission's investigations and enforcement actions, including the assessment by the LEC, resulted in penalties totaling approximately $450,000. ...Some noteworthy matters are highlighted below, followed by a chart summarizing all of the Commission's enforcement activity in 2013...

**2016 Annual Report (June 8, 2017)
Executive Director Seth Agata  Acting Chair Michael Rozen
"Investigations and Enforcement"  pp. 49-56

"The Commission processed more than 200 matters in 2016. ...
 In 2016, the Commission issued 32 fifteen-day letters, commenced 25 investigations, settled eight matters, and issued two Substantial Basis Investigation Reports, as discussed in more detail below.5 For the first time, the Commission referred two matters for criminal investigation, one to the Albany County District Attorney and the other to New York State Attorney General. Of the 32 fifteen-day letters, two were sent to members/employees of the Legislature, 15 to Executive Branch officials/employees, and 15 to registered lobbyists or clients of registered lobbyists. Of the 25 investigations that were commenced, 12 involved Executive Branch officials/employees, 11 involved registered lobbyists or clients of registered lobbyists, and two involved members/employees of the Legislature. The Commission commenced the investigations by a unanimous vote in all but five matters. At the end of 2016, the Commission had 27 open investigations (11 relating to Executive Branch officials/employees, 13 relating to lobbying entities, and three relating to members/employees of the Legislature) and 47 matters pending review. In addition, the Commission voted on two matters involving elected officials, both relating to members of the Legislature and both remain open. The Commission’s investigations and enforcement actions in 2016 resulted in penalties totaling approximately $566,500. As mentioned above, the Commission entered into settlement agreements to resolve eight matters, six involving violations of the Public Officers Law by Executive Branch employees and two involving alleged violations of the Lobbying Act by registered lobbyists or their clients. These enforcement actions encompassed a range of violations, including abuse of office, nepotism, accepting prohibited gifts, and failing to file required disclosures with the Commission.

2018 Annual Report (April 11, 2019)
Executive Director Seth Agata  Chair Michael Rozen
"Investigation and Enforcement" pp. 49-54

"The Commission processed 257 matters in 2018. ...
In 2018, the Commission issued 35 fifteen-day letters, commenced 27 investigations, and settled 10 matters. Of the 35 fifteen-day letters, 6 were sent to members/employees of the Legislature, 3 were sent to candidates for the Legislature, 19 went to current and former Executive Branch officials/employees, and 7 were sent to registered lobbyists or clients of registered lobbyists. Of the 27 investigations that were commenced, 17 involved current and former Executive Branch officials/employees, 7 involved registered lobbyists or clients of registered lobbyists, and 3 involved members/employees of the Legislature or candidates for the Legislature. Of the 27 investigations commenced by the Commission, all but three were by a unanimous vote. At the end of 2018, the Commission had 38 open investigations (18 relating to current and former Executive Branch officials/employees, 13 relating to lobbying entities, and 7 relating to members/employees of the Legislature or candidates for the Legislature) and 93 matters pending review. The Commission’s investigations and enforcement actions in 2018 resulted in penalties totaling $73,037. As mentioned above, the Commission entered into settlement agreements to resolve 10 matters, 6 involving violations of the Public Officers Law by Executive Branch employees and four involving alleged violations of the Lobbying Act by registered lobbyists or their clients."

2019 Annual Report (July 30, 2020)
Executive Director       Chair Michael Rozen
"Investigations and Enforcements" pp. 48-55

"The Commission processed 209 matters in 2019. ...
 In 2019, the Commission issued 17 fifteen-day letters, commenced 12 investigations, and settled 21 matters. Commission settlements are not necessarily precipitated by a fifteen-day letter and/or commencement of an investigation, where the subject party voluntarily cooperates, as was the case with some matters settled in 2019. Moreover, of the 21 settlements in 2019, 14 arose from matters initiated by a fifteen-day letter and/or commenced in years prior to 2019.  Of the 17 fifteen-day letters sent in 2019, 2 were sent to members/employees of the Legislature, 14 went to current and former executive branch officials/employees, and 1 concerned unregistered lobbying activity. A total of 12 investigations were commenced in 2019, 5 of which were initiated by fifteen-day letters in 2018. Of those, 6 involved current and former executive branch officials/employees, 2 involved clients of registered lobbyists, and 4 involved members/employees of the Legislature or candidates for the Legislature. Of the 12 investigations commenced by the Commission, 11 were by a unanimous vote. At the end of 2019, the Commission had 28 open investigations (12 relating to current and former executive branch officials/employees, 12 relating to lobbying entities, and 4 relating to members/employees of the Legislature) and 65 matters pending further review. The Commission’s investigations and enforcement actions in 2019 resulted in penalties and settlement payments totaling $172,550. As mentioned above, the Commission entered into settlement agreements to resolve 21 matters: 11 involving violations of the Public Officers Law by executive branch employees, 5 involving violations of the Public Officers Law by members/employees/candidates of or for the Legislature, and 5 involving alleged violations of the Lobbying Act by clients of lobbyists....

2020 Annual Report  (July 8, 2021)
Executive Director  Sanford Berland   Chair Camille Joseph Varlack
"Investigation and Enforcement"  pp. 53-57

"The Commission processed 209 investigative matters in 2020.
In 2020, the Commission issued 20 15-day letters, commenced 12 investigations and settled four matters, two of which had been initiated or commenced in years prior to 2020. Of the 20 15-day letters sent in 2020, two were sent to candidates for the Legislature, and the remaining 18 went to current and former Executive Branch officials/employees. A total of 12 investigations were commenced in 2020. Of those, 10 involved current and former Executive Branch officials/employees and two involved candidates for the Legislature. Of the 12 investigations commenced by the Commission, 10 were commenced by a unanimous vote. At the end of 2020, the Commission had 37 open investigations (19 relating to current and former  Executive Branch officials/employees, 12 relating to lobbying entities and six relating to members/employees of or candidates for the Legislature) and 62 matters pending further review. The Commission’s investigations and enforcement actions in 2020 resulted in penalties totaling $25,000. As noted above, the Commission entered into settlement agreements to resolve four matters, all of which involved violations of the Public Officers Law by Executive Branch employees.