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Top 10 SEC Settlements |
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In recent years the SEC has imposed unprecedented penalties in its enforcement actions. Prior to the passage of SOX, the largest penalty imposed in an SEC enforcement action against a publicly traded company for financial fraud was the $10 million penalty against Xerox in April 2002. NERA's research has shown that since SOX, the SEC has imposed penalties of $10 million or more against 115 parties, including 14 that were penalized at least $100 million. In February 2006, the SEC reached an $800 million settlement with American International Group, the largest penalty since SOX. Lists of the most recent and largest settlements identified in our study are listed below.
Top 10 |
Top 10 with Individuals |
Top 10 Companies by Market Cap |
Top 10 Companies by Market Cap %
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