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Foreign Corrupt Practices Act (FCPA) › Financial Markets › Securities Violations

Troutman Pepper Locke

SEC 2024 Enforcement Results: A Decline in Total Enforcement, but a Record-Breaking Recovery of Financial Remedies

Troutman Pepper Locke on

On November 22, the Securities and Exchange Commission (SEC) announced its enforcement results for fiscal year (FY) 2024. As compared to FY 2023, the Division of Enforcement (the division) reported a 26% decline in the total...more

Proskauer - The Capital Commitment

SEC Announces Record Number of Investment Adviser Cases for FY 2016

Proskauer - The Capital Commitment on

The Securities and Exchange Commission today announced its enforcement results for fiscal year 2016, reaching new highs in the number of actions filed and money ordered forfeited through disgorgement and penalties. The SEC...more

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