Back to Main Theme


Securities & Exchange Commission of the United States

Advanced Filters
Clear All
US SEC Fines Surged in the Past Year

by Starling Insights


Nov 10, 2022

In the past year, the US Securities and Exchange Commission (SEC) has collected some of its largest fines ever, levying 13 penalties of over $100 million on publicly traded firms. These numbers represent a dramatic increase over the prior year, when the SEC issued just three fines over that amount.

The 2022 Compendium is available now!

Now in its 5th year, Starling's Compendium features over 60 contributors from across the industry as well as detailed analysis of the latest trends in culture & conduct risk supervision.

EY Fined $100 Million for Ethics Exam Cheating

by Starling Insights


Jul 13, 2022

Ernst & Young (EY) recently agreed to pay a $100 million fine to the U.S. Securities and Exchange Commission (SEC) after regulators learned its auditors had cheated on ethics exams and the firm failed to intervene. Regulators accused EY of misleading investigators, withholding evidence, and violating public accounting rules.

All Tags US SECAudit