49 U.S.C. § 14916 — Unlawful brokerage activities

(a) Prohibited Activities. A person may provide interstate brokerage services as a broker only if that person (1) is registered under, and follows, section 13904; and (2) meets the financial security requirements in section 13906. (b) Exceptions. This rule does not apply to: (1) a non-vessel-operating common carrier or ocean freight forwarder (as defined in section 40102 of title 46), when arranging inland transportation as part of an international shipment that also involves ocean transport between the U.S. and a foreign port; (2) a customs broker licensed under 19 C.F.R. § 111.2, but only when doing customs work under a customs bond or handling "customs business" as defined in 19 C.F.R. § 111.1; or (3) an indirect air carrier with a Transportation Security Administration-approved Standard Security Program, but only when acting as an air carrier under section 40102(2) or doing the activities defined in section 40102(3). (c) Civil Penalties and Private Cause of Action. Anyone who knowingly authorizes, agrees to, or permits a violation of subsection (a) — alone or together with someone else — is liable (1) to the U.S. government, for a civil penalty of up to $10,000 per violation; and (2) to the injured party, for the full amount of their valid claims, with no dollar limit. (d) Liable Parties. Liability for these civil penalties and claims applies jointly and severally to (1) any corporation or partnership involved, and (2) the individual officers, directors, and principals of that entity.