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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

 
   
 

Rules

To View Orders

To view an order, click on the firm name.

To Sort Orders

To sort this list by respondent, country or effective date, select from the "Sort By" drop down menu. The list will appear in ascending order. Click the arrow next to the drop down menu to change to descending order.

To Group Orders

To group this list by respondent, country, effective date, or year select from the "Group By" drop down menu. The groupings may be collapsed or expanded by selecting the "-" or "+" sign. The list will appear in ascending order, but can be changed to descending order by clicking the arrow next to the drop down box.

To Filter Orders

To further narrow the selections, filter this list by respondent, country, effective date, or year. Select the "Filter" option to the left of the "Sort By" and "Group By" options, then choose from the drop down menu. Only filter by one option at a time.