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Record of Enforcement
|
| FY 2000 (full year) |
FY 2001 (full year) |
FY 2002 (10 months) | |
| Financial fraud and issuer reporting actions filed | 103 | 112 | 122 |
| Officer and director bars sought (in all categories of cases) | 38 | 51 | 71 |
| Temporary Restraining Orders filed (in all categories of cases) | 33 | 31 | 42 |
| Asset Freezes (in all categories of cases) |
56 | 43 | 50 |
| Trading Suspensions | 11 | 2 | 10 |
| Subpoena enforcement proceedings | 9 | 13 | 18 |
| Disgorgement of compensation/ bonuses/stock options sought |
n/a | 18 | 17 |
| Disgorgement Ordered (in millions) |
$463 | $530 | $632 |
| Penalties Ordered (in millions) |
$43.7 | $56.1 | $46.9 |
http://www.sec.gov/news/extra/enfrecord2002.htm
| Home | Previous Page | Modified: 07/19/2002 |