Firms

2012 (as of January 31)

2011

2010

2009

2008

2007

2006

Decisions

0

15

6

15

8

7

11

Fines

-

$1,300,000

$1,297,500

$32, 530,000

$2,682,500

$1,045,000

$1,930,651

Costs

-

$147,000

$85,000

$369,853

$158,500

$85,000

$98,241

Disgorgement

-

$1,768

-

-

-

-

-

Total

-

$1,448,768

$1,382,500

$32, 899,853

$2,841,000

$1,130,000

$2,028,892

Permanent suspension

-

1

1

4

1

1

-

Termination

-

2

-

1

-

1

3

Warning letter

-

1

2

6

2

4

11

Individuals

Decisions

5

55

45

28

22

43

32

Fines

$5,495,022

$6,360,629

$1,535,000

$622,500

$1,837,712

$3,092,500

Costs

$83,500

$822,950

$422,178

$303,836

$493,718

$490,744

Disgorgement

$47,383

$627,039

-

$29,076

-

$133,669

$507,055

Total

$5,625,905

$7,810,618

$1,986,254

$926,336

$2,465,099

$4,090,299

Suspension

4

19

17

8

9

14

14

Permanent bar

1

11

17

7

4

10

9

Warning letter

2

5

17

8

16

8

22

Conditions

2

25

15

16

12

26

28