2015
2
0
9
sec ONLY
17
SEC
Enforcement Action
Case Count
2010
SEC
2016
1990
2004
0
3
1995
SEC
12
4
SEC
2010
SEC
1990 - 2003
2004
4
40
SEC
2006
SEC
12
SEC
SEC
2017
0
DOj ONLY
SEC
SEC
SEC
7
2002
2000
1
2
2006
3
2008
20
2007
2014
2001
SEC
2004 - 2017
2009
17
0
1994
2012
1999
1992
2005
4
1992
1
20
DOJ
SEC
3
0
2012
7
1998
1994
2
10
1990 - 2003
3
21
1
SEC ONLY
2014
4
12
8
SEC
2000
10
0
1
DOJ
24
DOJ
7
2016
9
1996
14
SEC
0
1997
1
8
SEC
3
1993
SEC
SEC
2003
2004 - 2017
DOJ
1998
SEC
2008
2002
1
1
2
SEC
13
2013
1
SEC
SEC
13
1996
1991
29
1990
2011
SEC
DOJ
Corporate
30
2007
2006
2013
4
2000
1
2005
DOJ
10
0
2001
1999
DOJ
2
2017
2008
DOJ
DOJ
1991
0
2
DOJ
3
4
2004
SEC
DOJ
1993
2011
1991
1998
12
10
2015
DOJ
DOJ
3
1994
1
2009
20
DOJ
DOj ONLY
both
DOJ
individual
7
DOJ
BOTH
DOJ
8
2005
14
24
2016
0
50
2009
4
0
2003
DOJ
DOJ
2011
13
1997
1
2017
9
2007
1
2001
2002
DOJ
4
hover to see counts
1992
Case Counts
1
8
1990 - 2003
2
DOJ
1990
1995
2010
1
21
DOJ
0
10
DOJ
DOJ
2012
0
2
12
DOJ
3
2013
SEC
17
9
1999
7
DOJ
29
1993
1997
1
2
DOJ
2003
7
SEC
0
12
1995
DOJ
2004 - 2017
1996
DOJ
2015
2
SEC
17
SEC
13
2014
40
2
3
1
Case Counts
3
1993
SEC
7
1991
DOJ
both
1993
DOJ
2007
SEC
SEC
DOj ONLY
DOJ
2015
8
5
2014
2017
9
1
1991
DOJ
1997
SEC
0
2
4
1992
3
DOJ
2011
2008
12
1998
1
2016
8
8
5
2009
2002
0
SEC
4
2005
2010
0
DOJ
sec ONLY
DOJ
1
SEC
SEC
4
1997
SEC
2011
SEC
8
individual
3
Enforcement Action
Case Count
2009
1994
0
SEC
2
SEC
SEC
1
DOJ
SEC
1990
1999
1999
1
SEC
SEC
4
5
SEC
SEC
7
2003
2007
5
SEC
2004
8
SEC
2001
2003
20
DOJ
5
5
2
DOJ
1
1996
DOJ
DOJ
2015
2004 - 2017
SEC
1
2013
2000
3
2012
1995
1995
SEC
2005
SEC
1990 - 2003
2013
2006
8
2001
5
SEC
DOJ
2017
DOJ
44
9
SEC
10
2010
DOJ
2003
2017
9
9
DOJ
1993
2012
2009
1999
2
7
1
1998
SEC
3
2012
19
0
0
1
DOJ
2011
2006
5
2004
DOJ
14
9
5
DOj ONLY
9
1992
1994
10
2008
11
6
1990
19
30
6
50
1994
BOTH
0
DOJ
1992
4
19
1998
DOJ
12
DOJ
2004 - 2017
2
12
2004
2016
1
2015
44
Corporate
SEC
2016
11
12
0
2014
DOJ
1997
2
2
10
1990 - 2003
14
DOJ
1990
DOJ
2001
3
2002
SEC
SEC
5
2004 - 2017
19
2007
2014
1996
1996
2013
5
2006
3
2002
0
4
DOJ
1
SEC ONLY
1991
2000
2000
0
SEC
2010
0
hover to see counts
1995
0
DOJ
DOJ
1
2008
1990 - 2003
12
5
DOJ
2005
12
DOJ
3
1
1
7
2
DOJ
DOJ
2017
$19,885,520
4
$11,300,000
1998
1990 - 2003
$147,927,294
1990
$497,613,200
2013
DOJ
DOJ
20
DOJ
DOJ
SEC
12
$209,348,018
$69,225,201
SEC
1
$526,473,269
$4,445,486,311
2000
SEC
1998
2006
2004 - 2017
both
$1,253,460,474
2015
2013
1992
2007
$435,301,600
DOJ
1990
2009
0
2017
SEC
2005
0
sec ONLY
DOJ
$1,016,056,000
$11,300,000
2015
1
0
$392,812,310
$4,445,486,311
2010
2009
$451,000
2000
$300,677,033
12
$1,253,460,474
1992
1994
$59,363,395
1996
$18,000,000
2002
2002
2014
$360,914,000
1996
$69,225,201
$118,937,524
1992
1998
$312,627,067
1990
1994
1
29
$112,944,666
$59,363,395
9
$19,885,520
DOJ
$2000
$526,473,269
2007
$1,525,103,817
$392,812,310
SEC
$118,937,524
$420,411,869
$546,366,065
17
DOJ
$650,000
$5000
$1,261,997,770
$147,927,294
Total Penalty (in Millions USD)
$6,415,405
$300,677,033
1990 - 2003
BOTH
2
2008
$135,826,799
DOJ
1994
Corporate
hover to see counts
2005
DOJ
2012
2011
2002
DOJ
SEC
$3000
7
DOJ
DOJ
$209,348,018
SEC
$100,000
$24,200,000
2016
$112,944,666
$1,261,997,770
SEC
2004
1996
DOJ
DOJ
3
2000
SEC ONLY
2011
SEC
1990 - 2003
DOJ
1
2004
DOJ
2016
SEC
$4,901,500
SEC
2006
$100,000
DOJ
2008
1991
2010
$75,000
2004 - 2017
SEC
$435,301,600
$1,525,103,817
1997
$497,613,200
SEC
DOJ
2003
2015
2003
1995
1993
$300,000
2010
2011
2001
$24,200,000
$312,627,067
14
1993
2014
1991
$135,826,799
$85,616,963
2014
$4,901,500
1
1999
2
0
$4,901,500
$300,000
2004 - 2017
$18,000,000
$6,415,405
4
9
DOJ
2007
1999
0
DOj ONLY
2016
DOJ
2001
DOJ
8
$650,000
$2,000,000
$1,016,056,000
$185,616,963
$360,914,000
1
0
DOJ
1997
2
$300,000
DOJ
$1000
10
DOj ONLY
2
2003
2012
1995
0
0
AMOUNT OF MONETARY SANCTIONS
2013
0
2006
SEC
0
4
$16,450,400
2001
individual
0
2012
0
1997
2017
DOJ
$75,000
$420,411,869
$300,000
2005
SEC
DOJ
2009
SEC
8
SEC
2004
$16,450,400
2008
SEC
SEC
21
1993
$451,000
SEC
1999
SEC
SEC
1995
1991
SEC
SEC
SEC
$6000
SEC
SEC
10
SEC
$546,366,065
$4000
DOJ
SEC
0
12
$2,000,000
0
1
2010
both
2014
$20,000
1990
$1,541,957
$11,000
1
2011
$18,530,360
1993
1998
$18,530,360
1
1995
2016
2007
2013
2002
1
2014
1994
$3,676,532
2015
1999
$142,395
$10,800,200
1
2017
1
2006
2004 - 2017
2010
$41,132
2004 - 2017
2008
2016
1
2000
2008
$41,132
2002
1
2004
1990 - 2003
2012
1996
5
2003
$10,800,200
1
$5,050
$3,676,532
1990
1998
$5,100
sec ONLY
$5,562,137
DOJ
2000
$5,100
DOJ
DOJ
$5,562,137
$8M
5
$479,036
$85,000
DOJ
$35,000
$5,050
$3,857,613
$142,395
$35,000
1991
$2,513,668
$75,000
$20,000
2006
1997
$16M
$1,029,037
$1,460,144
$70,000
$148,182
$24M
1994
2005
SEC ONLY
Corporate
1
2012
$261,700
$85,000
1990 - 2003
2009
1992
$188,453
$3,857,613
$20,000
BOTH
1996
2004
$235,050
$235,050
$2,700
1992
5
2001
$261,700
$142,395
$1,541,957
Total Penalty (in Millions USD)
$1,029,037
2017
$5,050
2009
2001
2009
$235,050
1
2007
DOJ
2011
$479,036
2003
DOJ
1
DOJ
1991
1999
DOJ
1990 - 2003
2005
1
2013
1
1997
2004 - 2017
$3,857,613
2012
$11,000
DOJ
1
1999
1994
$188,453
DOJ
2011
5
DOj ONLY
2015
1991
DOJ
1990
5
2016
$70,000
2000
$2,513,668
$65,000
1995
2015
2017
1996
2008
2014
$20,000
2003
$1,460,144
2004
5
1
2010
1993
DOJ
2013
1995
$20M
2006
individual
1
hover to see counts
DOJ
AMOUNT OF MONETARY SANCTIONS
DOJ
1993
2002
$299,675
$75,000
1
DOJ
DOJ
$18,530,360
SEC
1997
1
2005
DOJ
$188,453
$65,000
1
DOJ
DOJ
DOJ
$11,000
$4M
$75,000
DOj ONLY
2001
DOJ
$299,675
DOJ
1
DOJ
$85,000
$12M
DOJ
DOJ
DOJ
1998
2007
$148,182
DOJ
1992
DOJ
$2,700