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SEC on Track for Record Enforcement Activity in 2017
Given that these preliminary numbers clearly point toward another strong year, it’s curious that the SEC and other agencies were criticized by some in a Wall Street Journal article for levying less in penalties in the first half of the year compared to 2016. Having spent more than 15 years in the enforcement division of […]
Record Number of Settlements Added to Top 100 Securities Suits Settlement List in 2016 | The D&O Diary
Thirteen of the 100 all-time largest securities class action lawsuit settlements were finalized in 2016, the highest number of settlements during any one year period, according to a recent report from Institutional Shareholder Services (ISS). Two of the 2016 settlements among the top 100 were among the eleven largest of all times. The report, which […]
Securities Class Action Activity Remains High: Cornerstone Research
U.S. Securities and Exchange Commission (SEC) enforcement activity remained elevated through the first half of fiscal year 2017, according to Cornerstone Research. The data show an increase in actions involving broker-dealers, issuer reporting and disclosure, and securities offerings. via Securities Class Action Activity Remains High: Cornerstone Research
SEC Keeps up High Rate of Enforcement Activity — CFO
U.S. Securities and Exchange Commission enforcement activity continued at a strong pace during the first half of fiscal 2017 despite the uncertainty hanging over the agency since President Donald Trump took office. Between Oct. 1 and March 31, the SEC filed 334 total enforcement actions, compared to 372 during the same period in fiscal 2016, according […]
PwC Annual Study Reports Record Number of Securities Suits | The D&O Diary
Largely driven by a “dramatic” increase in the number of federal court merger objection lawsuits, securities class action litigation filings rose to the highest level ever in 2016, according to PwC’s most recent annual securities litigation report. The report also noted that for the first time securities litigation rose though the stock market performance during […]
Cornerstone Research Report: SEC Enforcement Activity Strong through First Half of FY 2017
U.S. Securities and Exchange Commission enforcement activity remained elevated through the first half of fiscal year 2017, according to new research from Cornerstone Research. The data show an increase in actions involving broker-dealers, issuer reporting and disclosure, and securities offerings. According to SEC Enforcement Activity—First Half FY 2017 Update, the SEC filed 334 enforcement actions […]
2016 Year-End Securities Enforcement Update — HLS
Any attempt to assess the past six months is undeniably going to be overshadowed by what lies ahead. The change in administration is likely to be as tumultuous and unpredictable for the SEC as for any other federal agency, and the differences between the enforcement priorities under Chair Mary Jo White and Enforcement Division Director […]
Cornerstone Research: Securities Lawsuit Filings Rise to Highest Level in 20 Years | The D&O Diary
According to the latest annual securities litigation survey, securities class action lawsuit filings were at “record” levels in 2016. A surge of federal court merger objection lawsuit filings during the year accounted for much of the activity, but even so-called “traditional” securities lawsuit filings were at elevated levels, according to report, which was release jointly […]
2016 Securities Lawsuit Filings Surge to Record Levels | The D&O Diary
Largely driven by a surge in the number of federal court merger objection class action lawsuits, the number of securities class action lawsuit filings during 2016 reached record high levels. The number of filings in 2016 accelerated as the year increased, with a significantly greater number of filings in the year’s second half, compared to […]
SEC Breaks Record for Number of Enforcement Cases – WSJ
The Securities and Exchange Commission announced Tuesday it has again shattered its record for the number of enforcement cases it is brought—adding to a string of broken records that, in part, is thanks to the likes of City of Devils Lake, N.D. The SEC brought 868 cases for the 12 months through September, its highest-ever […]