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    FINANCIAL CRISIS ENFORCEMENT ACTIONS SEC MONETARY RECOVERIES Goldman Sachs State Street Citigroup (10/19/11) J.P. Morgan Securities Bank of America Charles Schwab Morgan Keegan Citigroup (7/29/10) Evergreen RBC Capital Markets Wachovia Capital Markets TD Ameritrade Credit Suisse This chart contains SEC monetary recoveries in enforcement actions against companies whose misconduct occurred leading up to or during the financial crisis. ** Total includes $56.7 million in additional monetary relief by Distressed Volatility (http://dvolatility.com | http://distressedvolatility.com)

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    FINANCIAL CRISIS ENFORCEMENT ACTIONS SEC MONETARY RECOVERIES Goldman Sachs State Street Citigroup (10/19/11) J.P. Morgan Securities Bank of America Charles Schwab Morgan Keegan Citigroup (7/29/10) Evergreen RBC Capital Markets Wachovia Capital Markets TD Ameritrade Credit Suisse This chart contains SEC monetary recoveries in enforcement actions against companies whose misconduct occurred leading up to or during the financial crisis. ** Total includes $56.7 million in additional monetary relief by Distressed Volatility (http://dvolatility.com | http://distressedvolatility.com)

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    Download as PDF, TXT or read online from Scribd
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    11 views1 page

    SEC Monetary Recoveries Chart

    Uploaded by

    DvNet
    FINANCIAL CRISIS ENFORCEMENT ACTIONS SEC MONETARY RECOVERIES Goldman Sachs State Street Citigroup (10/19/11) J.P. Morgan Securities Bank of America Charles Schwab Morgan Keegan Citigroup (7/29/10) Evergreen RBC Capital Markets Wachovia Capital Markets TD Ameritrade Credit Suisse This chart contains SEC monetary recoveries in enforcement actions against companies whose misconduct occurred leading up to or during the financial crisis. ** Total includes $56.7 million in additional monetary relief by Distressed Volatility (http://dvolatility.com | http://distressedvolatility.com)

    Copyright:

    Attribution Non-Commercial (BY-NC)
    Download as PDF, TXT or read online from Scribd
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    of 1

    FINANCIAL CRISIS

    ENFORCEMENT

    ACTIONS

    SEC MONETARY RECOVERIES


    Goldman Sachs State Street Citigroup (10/19/11) J.P. Morgan Securities Bank of America Charles Schwab Morgan Keegan Citigroup (7/29/10) Evergreen RBC Capital Markets Wachovia Capital Markets TD Ameritrade Credit Suisse
    This chart contains SEC monetary recoveries in enforcement actions against companies whose misconduct occurred leading up to or during the financial crisis. ** Total includes $56.7 million in additional monetary relief obtained for harmed investors.

    $550 MILLION $300 MILLION $285 MILLION $210 ** MILLION $150 MILLION $118 MILLION $100 MILLION $75 MILLION $40 MILLION $30.4 MILLION $11 MILLION $10 MILLION $2.5 MILLION

    Source: U.S. Securities and Exchange Commission 10/19/11

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