According to an SEC press release, in the 2014 fiscal year that ended on September 30, 2014, the SEC achieved a record-breaking year by filing 755 enforcement actions and obtaining orders that totaled $4.16 billion in disgorgement and penalties. The SEC attributed...
Representing financial professionals, financial institutions and investors in investment loss, employment and disclosure matters, and in regulatory investigations nationwide.
Month: December 2014
Recent Posts
- FINRA enforcement chief outlines plans for protecting investors and markets
- SEC fines and censures 5 investment advisers over marketing rule violations
- OMB review completed on Department of Labor’s proposed fiduciary rule
- FINRA penalizes Florida broker-dealer and CEO over texting violations
- SEC charges Senvest Management with widespread recordkeeping violations
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