Published by Herskovits PLLC

FINRA Lawyer Blog



SEC Announces Record Enforcement Actions for FY2016

SEC Announces Record Enforcement Actions for FY2016

On October 11, 2016, the U.S. Securities and Exchange Commission (SEC) released its fiscal year 2016 (FY2016) enforcement results, reporting collections totaling over $4 billion in disgorgement and penalties out of a record 868 enforcement actions against executives, companies and...

VisitHerskovitsLaw.com
HerskovitsLaw.com
Securities Defense Lawyers & High Stakes Comp Disputes