SEC© breaks down FY 2014 Enforcement Results, Highlights

Last week, the SEC© issued a press release summarizing its enforcement results for the agency’s fiscal year 2014, which ended September 30^th of this year.

The SEC© emphasized it filed a record 755 enforcement actions in 2014. Listed below are some of the highlights.

Charges against more than 135 parties with violations relating to reporting and disclosure, including Bank of America Corporation; Fifth Third Bancorp; Diamond Foods Inc.; five executives and finance professionals from collapsed law firm Dewey & LeBouef LLP; AgFeed Industries Inc.; and CVS Caremark Corp.;
First-ever actions under a rule requiring firms to establish adequate risk controls before providing customers with market access (Knight Capital Americas LLC, and Wedbush Securities Inc.);
Significant enforcement actions against the New York Stock Exchange and brokerage subsidiaries for their failure to comply with exchange rules;

For full details on the rest of the highlights, please click here.