2013 Enforcement Results Released

January 17, 2014

The SEC announced that the agency’s enforcement actions in fiscal year 2013 resulted in a record $3.4 billion in monetary sanctions ordered against wrongdoers. The SEC filed 686 enforcement actions in the 2013 fiscal year, which ended in September.  This was down from 734 in 2012 and 735 in 2011. However, the $3.4 billion in disgorgement and penalties resulting from those actions was 10% higher than 2012 and 22% higher than FY 2011.  The number of enforcement actions in the investment adviser/investment company category were 140, down from 147 in 2012.

Click http://www.sec.gov/news/newsroom/images/enfstats.pdf to access the general enforcement statistics.

Click http://www.sec.gov/news/newsroom/images/enfstats2.pdf to access the year-by-year monetary sanction amounts.


Investment Advisers, Investment Companies