Settled Disciplinary Orders

The disciplinary orders below represent all of the settlements that the Board has reached with registered non-U.S. firms or their associated persons, against which the Board has instituted disciplinary proceedings.

As required by the Sarbanes-Oxley Act, contested Board disciplinary proceedings are confidential and nonpublic, unless and until there is a final decision imposing sanctions.

 Non-U.S. Settled Disciplinary Orders