U.S. SEC enforcement cases hit record high in 2011

SEC Enforcement Division Produces Record Results in ...

9, 2011 — The Securities and Exchange Commission today announced that the agency filed a record 735 enforcement actions in the fiscal year that ...

U.S. SEC enforcement cases hit record high in 2011 | Reuters

SEC brought 735 cases in fiscal 2011 vs 677 in 2010 · Collected $2.8 billion in sanctions, down from last year · SEC credits restructuring of ...

The Top 10 SEC Enforcement Events of 2011 | WilmerHale

The Division continued its three-year trend of increased activity by filing a record 735 enforcement actions in fiscal year 2011. The Division ...

SEC's Enforcement Program Continues to Show Strong Results in ...

Building on last year's record results, the Securities and Exchange Commission today announced that it filed 734 enforcement actions in the ...

The Top 10 SEC Enforcement Events Of 2011 - vLex

Record-setting Enforcement Year. The Division continued its three-year trend of increased activity by filing a record 735 enforcement actions in fiscal year ...

FY 2011 Performance and Accountability Report - SEC.gov

Analysis: The Division of Enforcement conducts many enforcement actions each year that can be characterized as high impact . ... at the heart of ...

SEC accounting of record enforcement year in 2011 doesn't add up

Excluding those actions, such as barring people who've already been found guilty of fraud from working in the industry, the SEC filed 499 ...

Enforcement Director Robert Khuzami to Leave SEC

High-profile defendants in SEC cases alleging wrongdoing during the financial crisis include Goldman Sachs, J.P. Morgan, Credit Suisse, ...

SEC Enforcement in the Second Term of the Obama Administration

It announced that last year it brought 734 enforcement actions, nearly equaling the record number of 735 in 2011, and that it obtained more than ...

Archives: SEC Enforcement Cases - | Federal Securities Law Source

SAC Capital Breaks Its Own Record, Settles Insider Trading Charges For $1.2 Billion · Porter Wright · November 6, 2013 ; Mark Cuban Wins Insider Trading Trial.

SEC Obtains Record $92.8 Million Penalty Against Raj Rajaratnam

8, 2011 – The Securities and Exchange Commission today obtained a record financial penalty of $92.8 million against billionaire hedge fund ...

SEC to Continue Aggressive Enforcement Efforts in 2024 After ...

The SEC also obtained orders barring 133 individuals from serving as officers or directors of public companies – marking the highest number in a ...

Reporting Agency Performance: Behind the SEC's Enforcement ...

COMM'N, supra note 178, at 144 (breaking down enforcement actions into 18. R ... larly, at the end of fiscal 2011, the SEC celebrated record numbers of ...

Admissions in SEC Enforcement Cases - Iowa Law Review

bring enforcement actions at a record pace. In fiscal 2016, the SEC brought ... COMM'N., SELECT SEC AND MARKET. DATA FISCAL 2011, at 3 (2012), https ...

SEC Announces Enforcement Results for FY 2013

The Securities and Exchange Commission today announced that the agency's enforcement actions in fiscal year 2013 resulted in a record $3.4 billion in monetary ...

SEC News Digest (Issue 2011-31

On Jan. 20, 2011, the Securities and Exchange Commission charged three affiliated New York-based investment firms and four former senior ...

U.S. SEC enforcement activity hits second-highest level ever in 2019

WASHINGTON/NEW YORK (Reuters) - Enforcement activity by the U.S. Securities and Exchange Commission in fiscal 2019 resulted in $4.3 billion ...

FERPA - Protecting Student Privacy - Department of Education

Secretary means the Secretary of the U.S. Department of Education or an ... (i) Records created by a law enforcement unit for a law enforcement purpose ...

SEC Spotlight: Enforcement and Regulatory Developments in the ...

The SEC obtained record-breaking monetary awards (in the form of money ordered, disgorgement, and pre-judgment interest) in excess of $6.4 ...

Trends in SEC enforcement actions - PwC Viewpoint

The drivers of the violations spanned a range of topics including improper accounting, misleading disclosures, and earnings manipulation. The ...