Securities,
Antitrust & Trade Reg.,
Administrative/Regulatory
Nov. 12, 2014
SEC increases enforcement activity in 2014
The SEC recently announced that it filed a record 755 enforcement actions in fiscal year 2014.
Thomas A. Zaccaro
Senior Counsel
Hueston Hennigan LLP
Phone: (213) 788-4039
Email: tzaccaro@hueston.com
Boston College Law School
Thomas is a partner in the firm's Litigation Department. He served as regional trial counsel in the SEC's Los Angeles office.
The Securities and Exchange Commission recently announced that it filed a record 755 enforcement actions and obtained orders totaling $4.16 billion in disgorgement and penalties in fiscal year 2014 (FY 2014). This number is up from 686 enforcement actions and orders totaling $3.4 billion in disgorgement and penalties in FY 2013. According to SEC Chair Mary Jo White, "The innovative use of technology - enhanced use of data and quantitative analysis - was instrumental in detecting miscondu...
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