在2014财政年度，SEC档案记录执法措施数量

According to the U.S. Securities and Exchange Commission, the agency filed a record number of enforcement actions in 2014. Concluding the fiscal year on September 30, the regulator announced that it filed 755SEC enforcement actions和obtained orders of $4.16 billion in disgorgement and penalties. Last year, the agency filed 686 actions and brought in $3.4 billion in fines.

The SEC credited new investigative strategies and innovations with analytical tools and data as playing a part in contributing to what it considers a solid year for enforcement. There were also first-ever cases, including actions over market access rules, “pay-to-play” for investment advisers, whistleblower retaliation, and stopping a municipal bond offering.

During fiscal year 2014, the SEC said that it charged over 135 parties with reporting and disclosure-related actions, focused resources on fightingmicrocap fraud和market manipulation-including penny stock scams-fought international fraud schemes, pursued firms for not setting up adequate risk controls, obtained the biggest penalty yet against an alternative trading system, enhanced oversight of dark pools, and imposed penalties for net capital rule violations.

SEC今年的其他行动包括：

• Filing charges for Regulation SHO violations over securities lending practices • Pursuing the NYSE and others for not complying with exchange rules
• Filing cases over hidden customer fees and failure to protect client’s material nonpublic data.
• Filing claims against investment advisory firms for not maintaining adequate controls on custody of customer accounts • Pursuing asset managers for wrongdoing • Issuing $35 million in awards to whistleblowers • Bringing charges against a hedge fund advisory firm for retaliating against a whistleblower • Holding auditors, accountants, and lawyers accountable for deficiencies or wrongdoings
• Charging 80 people with insider trading • Holding local and state governments accountable for maintaining standards of disclosure in securities issuances • Filing enforcement actions over misconduct related to collateralized debt obligations and mortgage-backed securities • Filing actions under the Foreign Corrupt Practice Act • Obtaining successfulsecurities fraud判决，包括命令德克萨斯州威利兄弟的法院裁决，命令他们支付1.87亿美元和判决前利息
在SEC成功的行动中，有反对的案件Merrill Lynch，Pierce，Fennel和Smith Inc., RBS Securities Inc. (RBS), threeMorgan Stanley (MS)实体，富国银行（WFC，美国银行公司（BAC）, and others.

SEC Chairperson Mary Jo White also credited the Municipalities Continuing Disclosure Cooperation (MCDC) Initiative. Among the settlements reached because of it were with a California school district accused of misleading bond investors.

如果您是由于证券欺诈或证券行业专业人士或实体所犯下的其他形式的不法行为而遭受损失的投资者，则可能有理由寻求索赔来收回bob200体育您的资金。请联系Shepherd Smith Edwards and Kantas, LTD LLP今天。

SEC的2014财年执法行动涵盖了证券行业，并包括有史以来第一个案件bob200体育, SEC, October 16, 2014

更多的博客文章:
UBS Brokers Are Still Selling Puerto Rico Muni Bonds，股票经纪人欺诈博客，2014年10月20日

Wells Fargo to Pay $5M Over Inadequate Controls, Altered Documents, October 21, 2014

Pension Fund Securities Lawsuits: JPMorgan to Face MBS Case, PERSM Files Class Action Case, & Institutional Clients Can Sue BP, Institutional Investor Securities Blog, October 17, 2014