8 big SEC enforcement trophies in fiscal 2018
Earlier this month, the Securities and Exchange Commission released its annual enforcement report for fiscal 2018, which ended Sept. 30. The agency touted what it called a “high level of activity” comprising 821 enforcement actions that resulted in $3.9 billion in disgorgement and penalties. The SEC said it returned more than $794 million to investors and obtained 550 bars and suspensions.
At the end of the report, the SEC listed “noteworthy enforcement actions.”
Click through to see some of its trophy cases that involved financial advice firms and retail investors.