BROWSE BY TOPIC
- Bad Brokers
- Compliance Concepts
- Investor Protection
- Investments - Unsuitable
- Investments - Strategies
- Investments - Private
- Features/Scandals
- Companies
- Technology/Internet
- Rules & Regulations
- Crimes
- Investments
- Bad Advisors
- Boiler Rooms
- Hirings/Transitions
- Terminations/Cost Cutting
- Regulators
- Wall Street News
- General News
- Donald Trump & Co.
- Lawsuits/Arbitrations
- Regulatory Sanctions
- Big Banks
- People
TRENDING TAGS
Stories of Interest
- Sarah ten Siethoff is New Associate Director of SEC Investment Management Rulemaking Office
- Catherine Keating Appointed CEO of BNY Mellon Wealth Management
- Credit Suisse to Pay $47Mn to Resolve DOJ Asia Probe
- SEC Chair Clayton Goes 'Hat in Hand' Before Congress on 2019 Budget Request
- SEC's Opening Remarks to the Elder Justice Coordinating Council
- Massachusetts Jury Convicts CA Attorney of Securities Fraud
- Deutsche Bank Says 3 Senior Investment Bankers to Leave Firm
- World’s Biggest Hedge Fund Reportedly ‘Bearish On Financial Assets’
- SEC Fines Constant Contact, Popular Email Marketer, for Overstating Subscriber Numbers
- SocGen Agrees to Pay $1.3 Billion to End Libya, Libor Probes
- Cryptocurrency Exchange Bitfinex Briefly Halts Trading After Cyber Attack
- SEC Names Valerie Szczepanik Senior Advisor for Digital Assets and Innovation
- SEC Modernizes Delivery of Fund Reports, Seeks Public Feedback on Improving Fund Disclosure
- NYSE Says SEC Plan to Limit Exchange Rebates Would Hurt Investors
- Deutsche Bank faces another challenge with Fed stress test
- Former JPMorgan Broker Files racial discrimination suit against company
- $3.3Mn Winning Bid for Lunch with Warren Buffett
- Julie Erhardt is SEC's New Acting Chief Risk Officer
- Chyhe Becker is SEC's New Acting Chief Economist, Acting Director of Economic and Risk Analysis Division
- Getting a Handle on Virtual Currencies - FINRA
ABOUT FINANCIALISH
We seek to provide information, insights and direction that may enable the Financial Community to effectively and efficiently operate in a regulatory risk-free environment by curating content from all over the web.
Stay Informed with the latest fanancialish news.
SUBSCRIBE FOR
NEWSLETTERS & ALERTS
Select SEC and Market Data for F/Y 2010
The Select SEC and Market Data for Fiscal Year 2010, that includes such chapters as "Enforcement Milestones," and "Ten Most Common Complaints During Fiscal 2010." Overall, seems like good commuter reading. [C-I Note: Perhaps the SEC uses the word "Select" to indicate they might've excluded or excerpted certain data that didn't quite shine a good light on SEC staffers. Or maybe, there's an explanation in the footnotes.]
The Index.
- Enforcement Milestones
- Enforcement Action Summary by Primary Classification
- Fiscal 2010 Enforcement Cases by Program Area
- Investigations of Possible Violations of the Acts Administered by the Commission
- Right to Financial Privacy
Table 1: ENFORCEMENT MILESTONES. In Fiscal 2010, federal prosecutors filed indictments, informations, or contempts in 139 SEC-related criminal cases.
- Obtained disgorgement orders in SEC judicial and administrative proceedings totaling over $1.8 billion, and $1 billion in penalties.
- Sought orders barring 71 defendants and respondents from serving as officers or directors of public companies.
- Sought emergency relief - temporary restraining orders - in 37 actions; sought asset freezes in 57 actions.
- Filed 6 actions to enforce investigative subpoenas.
- Halted trading in securities of 254 issuers about which there was inadequate public disclosure.
If that whetted your appetite, continue reading at: [2010 SEC and Market Data, January 2011]

