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Browse: Home / Reports

Reports

Takeaways from the SEC Division of Enforcement’s FY 2021 Report and Predictions for FY 2022 | Patterson Belknap Webb & Tyler LLP 

By Securities Docket on January 26, 2022, 9:47 am

The report revealed mixed numerical trends.  Although the Division brought fewer total enforcement actions, it nevertheless collected a sizeable amount of money in penalties and generously rewarded whistleblowers.  In FY 2021, the Commission filed 434 new enforcement actions of 697 total enforcement actions.  New enforcement actions increased by 7% from FY 2020, but the total […]

Posted in SEC, Top | Tagged Reports

SEC Announces Enforcement Results for FY 2021

By Securities Docket on November 18, 2021, 5:28 pm

The Securities and Exchange Commission today announced that it filed 434 new enforcement actions in fiscal year 2021, representing a 7 percent increase over the prior year. Seventy percent of these new or “stand-alone” actions involved at least one individual defendant or respondent. The new actions spanned the entire securities waterfront, including against emerging threats […]

Posted in SEC, Top | Tagged Reports

NERA: 2020 Securities Suit Filings Down vs. 2019, But Above Long-Term Levels | The D&O Diary

By Securities Docket on January 26, 2021, 9:52 am

Federal court securities class action lawsuit filings declined 22% in 2020 compared to 2019, but the 2020 filings were still above the long-term historical average annual numbers of filings, according to NERA Economic Consulting’s annual securities litigation report. The 2020 securities suit filing drop-off reflected a decline in the number of federal court merger objection […]

Posted in Class Actions, Top | Tagged Reports

Securities Suit Filings Declined in 2020 But Remained Above Historical Levels | The D&O Diary

By Securities Docket on January 4, 2021, 11:56 am

The number of federal court securities class action lawsuit filings declined in 2020 relative to the most recent prior years, largely due to short-term filing lulls during the second and fourth quarters of the year. Though the number of filings last year was below the record-setting levels seen during the years 2017 to 2019, the […]

Posted in Class Actions, Top | Tagged Reports

SEC Division of Enforcement Publishes Annual Report for Fiscal Year 2020

By Securities Docket on November 2, 2020, 2:18 pm

The Securities and Exchange Commission’s Division of Enforcement issued its annual report for fiscal year 2020 today. The report provides a comprehensive view of the Division’s accomplishments over the past year, discusses significant actions and key areas of strategic change, and details the Division’s COVID-19-related enforcement efforts. via SEC.gov | SEC Division of Enforcement Publishes Annual […]

Posted in SEC, Top | Tagged Reports

First Half 2019 Securities Suits Against Foreign Issuers Outpaced Overall Filing Levels | The D&O Diary

By Securities Docket on September 14, 2020, 11:42 am

The AIG report is based on data from Cornerstone Research. The report shows that during the year’s first six months, there were 35 core filings (that is, securities class action lawsuit filings excluding merger objection lawsuits) against non-U.S. companies with U.S. listings. (This filings tally does not include the several securities class action lawsuits that […]

Posted in Class Actions, Top | Tagged Reports

NERA: Securities Suit Filings Down in the Year’s First Half | The D&O Diary

By Securities Docket on July 26, 2020, 7:38 pm

Securities class action lawsuit filings in the first half of 2020 were more than 15% below the number of filings in the first half of each of the last three years, according to a new report from NERA Economic Consulting. The report, entitled “Recent Trends in Securities Class Action Litigation: 2020 H1 Update” (here), projects […]

Posted in Class Actions, Top | Tagged Reports

IN BRIEF: Securities class actions dropped in May amid pandemic, data shows – Reuters

By Securities Docket on June 3, 2020, 8:58 am

The number of new federal lawsuits seeking class action status on behalf of investors seeking to recoup losses from stock drops or challenge mergers fell in May to their lowest level in four years, data released by Stanford University on Tuesday showed. Stanford’s Securities Class Action Clearinghouse, which maintains a database on securities class action […]

Posted in Class Actions, Top | Tagged Reports

NERA Economic Consulting: Federal Securities Suit Filings Remain at Recent Elevated Levels | The D&O Diary

By Securities Docket on January 23, 2020, 10:06 am

Securities class action lawsuit filings remained at elevated levels in 2019, but the mix of cases changed during the year, according to the recently published annual report from NERA Economic Consulting. According to the report, which is entitled “Recent Trends in Securities Class Action Litigation: 2019 Full-Year Review,” there were relatively fewer merger objection lawsuits […]

Posted in Class Actions, Top | Tagged Reports

SEC Public Company Enforcement Actions Highest in Ten Years | The D&O Diary

By Securities Docket on December 2, 2019, 9:26 am

Due to an increase in the number of enforcement actions resulting from an agency initiative during the year, the number of enforcement actions brought by the SEC against public companies was at the highest level in at least ten years, according to a recent report. The report, entitled “SEC Enforcement Activity: Public Companies and Subsidiaries […]

Posted in SEC, Top | Tagged Reports, Statistics

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