The Securities and Exchange Commission has compiled a list of their most viewed stories for 2014. As you may guess the list is rather heavy on enforcement. The SEC dedicates considerable resources tracking down crooks and fraudsters. The SEC may bring a variety of administrative proceedings including Cease & Desist Orders (C&Ds). These proceedings may be heard by administrative law judges and the Commission itself. In civil suits the SEC may fine, seek returns of illegally gained profits or ship the offender off to prison.
The number one story for 2104 was a pyramid scheme targeting immigrants from Brazil and the Dominican Republic. An interesting aside were the two articles regarding Marijuana related investments – a hot topic overall for 2014.
