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U.S. SEC Enforcement 2022 Year in Review

By Matthew C. Solomon, Robin M. Bergen, Tom Bednar, Alex Janghorbani, Meghan A. Leibold & Nora J. Vallerini on December 7, 2022
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The U.S. Securities and Exchange Commission recently announced the Division of Enforcement’s results for fiscal year 2022, the first full year for the Division under the leadership of both Chair Gary Gensler and Director of Enforcement Gurbir Grewal.

Results were up from the year before, with a record $4.2 billion in civil penalties reflecting the agency’s goal to see penalties “recalibrated” upward across the board. With several blockbuster corporate settlements, the SEC continued to focus on traditional areas such as investment advisers, broker-dealers, and issuer accounting and disclosure, while also prioritizing individual accountability and suits against “gatekeepers” such as auditors and lawyers. The past year has also been notable for the SEC’s willingness to impose third-party compliance consultants, often with broad mandates, to oversee entity-level improvements. Our analysis of the SEC’s enforcement results provides indications of where the agency may focus in the year to come.

Please click here to read the full alert memorandum.

Photo of Matthew C. Solomon Matthew C. Solomon

Matthew C. Solomon has significant experience in complex and high-stakes civil and criminal matters, having served for 15 years with the U.S. Department of Justice and the U.S. Securities and Exchange Commission—including most recently as the SEC’s Chief Litigation Counsel.

Read more about Matthew C. SolomonEmail
Photo of Alex Janghorbani Alex Janghorbani

Alexander Janghorbani’s practice focuses on complex securities issues, litigation and enforcement, informed by nearly nine years of service with the U.S. Securities and Exchange Commission.

Read more about Alex JanghorbaniEmail
  • Posted in:
    Corporate & Commercial, Criminal
  • Blog:
    Cleary Enforcement Watch
  • Organization:
    Cleary Gottlieb Steen & Hamilton LLP
  • Article: View Original Source

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