November 6, 2019 / 1:36 PM / 6 days ago

U.S. SEC assesses $4.3 bln in fines, disgorgement in fiscal 2019

WASHINGTON, Nov 6 (Reuters) - The U.S. Securities and Exchange Commission reported Wednesday that it had assessed roughly $4.3 billion in disgorgement and fines in fiscal 2019.

That amount, gathered across 862 enforcement actions, represents a slight uptick in activity for the regulator, which tallied $3.9 billion from 821 cases in fiscal 2018. It is also the highest number of cases and largest amount collected under SEC Chairman Jay Clayton, who took over the agency in 2017. (Reporting by Pete Schroeder; editing by David Evans)

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