At a glance
- The cases split into 235 standalone actions and 113 follow-on administrative proceedings seeking bars or suspensions based on criminal convictions, civil injunctions or other qualifying orders.
- Two-thirds of the 235 standalone actions included charges against at least one individual.
- For advisory firms vetting operating principals, bars and suspensions attach to individuals, and a court deemed $235 million of the ordered disgorgement satisfied in a separate non-SEC action, not collected by the SEC.
The SEC obtained $1.095 billion in monetary relief from 348 enforcement actions in the fiscal year ended Sept. 30, according to its annual enforcement release: $752 million in disgorgement and prejudgment interest and $343 million in civil penalties.
The cases split into 235 standalone actions and 113 follow-on administrative proceedings seeking bars or suspensions based on criminal convictions, civil injunctions or other qualifying orders. The agency also instituted 13 trading suspensions over suspected manipulation involving securities of Asia-based issuers.
Two-thirds of the 235 standalone actions included charges against at least one individual.
For advisory firms vetting operating principals, bars and suspensions attach to individuals, and a court deemed $235 million of the ordered disgorgement satisfied in a separate non-SEC action, not collected by the SEC. That is about a third of the $752 million disgorgement figure.
The SEC said it returned approximately $731 million to more than 250,000 harmed investors over the fiscal year.
$235M of the $1.095B was deemed satisfied
SEC monetary relief ordered, fiscal year 2026, $M
- Added
- Taken away
- Total
- Relief ordered$1.1K
- Deemed satisfied elsewhere−$235M
- Remaining orders$860M
Show as table
| Step | Change | Running total |
|---|---|---|
| Relief ordered | $1.1K | $1.1K |
| Deemed satisfied elsewhere | −$235M | $860M |
| Remaining orders | $860M |
Reported by the Manager Selection desk from SEC. Published . Corrections