SEC Enforcement Actions Addressing Misconduct That Led to or Arose From the Financial Crisis

Concealed from investors risks, terms, and improper pricing
in CDOs and other complex structured products:

 

Made misleading disclosures to investors
about mortgage-related risks and exposure:

 

Concealed the extent of risky mortgage-related and other investments
in mutual funds and other financial products:

 

Others

 

Stats (as of Oct. 7, 2016)

Number of Entities and Individuals Charged 204
Number of CEOs, CFOs, and Other Senior Corporate Officers Charged 93
Number of Individuals Who Have Received Officer and Director Bars, Industry Bars, or Commission Suspensions 54
Penalties Ordered or Agreed To > $1.93 billion
Disgorgement and Prejudgment Interest Ordered or Agreed To > $1.47 billion
Additional Monetary Relief Obtained for Harmed Investors $418 million*
Total Penalties, Disgorgement, and Other Monetary Relief > $3.76 billion

* In settlements with Evergreen, J.P. Morgan, State Street, TD Ameritrade, and Claymore Advisors

 

http://www.sec.gov/spotlight/enf-actions-fc.shtml
 


HOME