Exchange Act s.32(a) (15 U.S.C. 78ff)

Sets the criminal penalties for wilful violations of the Exchange Act and its rules; the usual companion to a criminal securities-fraud charge. 10 records cite it, filed 2013 to 2024.

United States · Securities Exchange Act of 1934 · 15 U.S.C. 78ff

Official text: 15 U.S.C. 78ff (LII)

Counts

By year filed

2013: 1
2014: 4
2017: 2
2018: 1
2020: 1
2024: 1

By agency

SEC: 8
CFTC: 1
OSC: 1

By status

Settled: 6
Judgment entered: 3
Status unknown: 1

Technique mix

Most recent matched records

SEC v. Shaohua (Michael) Yin, et al. (insider trading, 2024) (2024-08-30)
OSC v. Dino Paolucci (pump and dump, 2020) (2020-08-05)
SEC v. Delaney Equity Group LLC, David C. Delaney and Ian C. Kass (reverse merger schemes, 2018) (2018-08-29)
SEC v. Sheldon Rose and MKJJ Consulting LLC (reverse merger schemes, 2017) (2017-03-23)
SEC v. Shaohua (Michael) Yin, et al. (insider trading, 2017) (2017-02-10)
CFTC v. SAC LP (insider trading, 2014) (2014-09-16)
SEC v. S.A.C. Capital Advisors, L.P. and affiliated entities (2014) (2014-06-27)
SEC v. Shawn C. Hegedus (insider trading, 2014) (2014-05-30)
SEC v. John W. Femenia (insider trading, 2014) (2014-02-26)
SEC v. Ward Onsa (ponzi schemes, 2013) (2013-06-17)

All 10 matched records

What this does not show

These are statutes cited in the record's document where it charges, finds or alleges a violation, not necessarily proven ones. Dismissed and pending matters count as alleged. A release that names no section is not matched, so counts understate use of this provision. The plain-language meaning is a summary, not legal advice.