Tag: statistics

SEC enforcement is brining more actions, more administrative proceedings but obtaining lower amounts of penalties and disgorgement, according to a recent report by Cornerstone Research. SEC Enforcement Activity Against Public Company Defendants, Fiscal Years 2010 — 2015 (here). The number …

SEC Trends: More Enforcement Actions, More Administrative Proceedings, Less Sanctions Read More »

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In the last two years SEC Enforcement has filed record numbers of cases. This is a significant accomplishment. A critical question about those statistics, however, is the composition of the case load. Stated differently, in what areas is the newly …

Trends In SEC Enforcement Read More »

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