{"id":4504,"date":"2007-10-08T01:21:33","date_gmt":"2007-10-08T01:21:33","guid":{"rendered":"https:\/\/www.stockbrokerfraudblog.com\/2007\/10\/enforcement_actions_against_br"},"modified":"2022-03-28T14:16:28","modified_gmt":"2022-03-28T19:16:28","slug":"enforcement-actions-against-br","status":"publish","type":"post","link":"https:\/\/www.investorlawyers.com\/blog\/enforcement-actions-against-br\/","title":{"rendered":"Enforcement Actions Against Brokerage Firms And Individuals Went Down in 2006, Says Study"},"content":{"rendered":"

\t\t\t\tLast week, a securities law journal published a study illustrating how securities regulators went “soft” last year. According to the study, NYSE and NASD fined securities companies and individuals $111 million in 2006, which was lower than the $184 million in collective fines that their two regulatory units issued in 2005. Regulators only issued 19 actions of $1 million or greater. There were 25 such actions the year prior.<\/p>\n

The report cited a similar decrease in penalties at the SEC. Penalties issued in 2005 were $1.5 billion. Penalties went down to $974 million in 2006. <\/p>\n

Barbara Roper, Consumer Federation of America’s Director of Communications, says, however, that public-company managements and brokerage firms actually outdid themselves in their handling of research-analyst conflict, accounting scandals, and mutual fund-trading scandals. <\/p>\n

Continue Reading \u203a<\/a><\/div>\n","protected":false},"excerpt":{"rendered":"

Last week, a securities law journal published a study illustrating how securities regulators went “soft” last year. According to the study, NYSE and NASD fined securities companies and individuals $111 million in 2006, which was lower than the $184 million in collective fines that their two regulatory units issued in 2005. Regulators only issued 19 […]<\/p>\n","protected":false},"author":2,"featured_media":0,"comment_status":"closed","ping_status":"closed","sticky":false,"template":"","format":"standard","meta":{"jetpack_post_was_ever_published":false,"footnotes":""},"categories":[3789],"tags":[],"class_list":["post-4504","post","type-post","status-publish","format-standard","hentry","category-stockbroker-regulation"],"yoast_head":"\nEnforcement Actions Against Brokerage Firms And Individuals Went Down in 2006, Says Study — Investor Lawyers Blog — October 8, 2007<\/title>\n<meta name=\"description\" content=\"Last week, a securities law journal published a study illustrating how securities regulators went "soft" last year. 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