SEC Enforcement Activity Up From Last Year; One Case Affected 8,400 Investors November 7, 2019 By Pete Schroeder and Chris Prentice Enforcement activity by the U.S. Securities and Exchange Commission in fiscal 2019 resulted in $4.3 billion in fines and disgorgements,...
Study Alleges SEC Inflates Enforcement Statistics September 29, 2015 By Sarah N. Lynch The U.S. Securities and Exchange Commission’s metrics for computing annual enforcement statistics are “deeply flawed,” making the agency falsely appear...