The Top SEC Settlements of 2011
- The Biggest Payouts
- No. 20: Lawrence R. Goldfarb, Baystar Capital Management
- No. 19: Diageo Plc
- No. 18: Royal Dutch Shell Plc
- No. 17: Michael P. Watson
- No. 16: Pride International
- No. 15: BNY Mellon Securities
- No. 14: AXA Rosenberg Group, AXA Rosenberg Investment Management, and Barr Rosenberg Research Center
- No. 13: RBC Capital Markets
- No. 12: Frontpoint Healthcare Flagship Fund, LP, and Five Other Frontpoint Healthcare Hedge Funds
- No. 11: Banc of America Securities
- No. 10: Joseph P. Nacchio
- No. 9: Alcatel-Lucent S.A.
- No. 8: UBS Financial Services
- No. 7: Johnson & Johnson
- No. 6: J.P. Morgan Securities
- No. 5: Jacob ("Kobi") Alexander
- No. 4: Angelo Mozilo
- No. 3: Morgan Asset Management and Morgan Keegan & Co.
- No. 2: Charles Schwab Investment Management, Charles Schwab & Co.
- Biggest SEC Settlement of 2011
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