Close

Are you in compliance?

Don't miss out! Sign up today for our weekly newsletters and stay abreast of important GRC-related information and news.

×

Status message

Start your free, no obligation 5-day trial to continue exploring with full access.

Final trial scorecard for FY 2016: SEC goes 4-1-1 in 6 trials

Bruce Carton | November 21, 2016

This blog has been tracking the SEC's federal court trials going back to the beginning of FY 2014, and the results in each case. In the SEC's FY 2016 that ended September 30, 2016, its record in federal court trials was 4-1-1*. That is, in its six federal court trials, the SEC had four outright victories in which it won on all of its claims, one loss, and one mixed verdict in which it won on some claims and lost on others.

The SEC's FY 2016 record of 4-1-1 comes with an asterisk, the need for which was highlighted in a statement made last week by SEC Chair Mary Jo White. In a speech she made on Friday, November 18, 2016, Chair White asserted that the agency had "not lost a jury trial in federal district court in two and a half years."...

Read this single article for $49, or click the subscribe button below to review subscription options.

Enjoy unlimited access to thousands of articles, browse five years of digital magazines, qualify for reduced admission to events, and more.