The U.S. Securities and Exchange Commission’s Division of Enforcement

U.S. Securities and Exchange Commission pic
U.S. Securities and Exchange Commission
Image: sec.gov

A lawyer who has focused for many years on securities investigations and cases, Sylvia Scott is a partner in the Los Angeles-based law firm of Freeman, Freeman & Smiley, LLP. Sylvia Scott also spent 6 years as an attorney with the U.S. Securities and Exchange Commission (SEC), where she concluded her tenure there as an assistant director.

The SEC encompasses several divisions, including the Division of Enforcement that was created to bring together the enforcement activities of all SEC divisions. The SEC performs independent investigations and recommends prosecution in the federal courts regarding any violations of the federal securities laws.

The Division of Enforcement began in 1972 and seeks injunctions with civil suits, prohibiting violators from continuing the actions that are thought to be in violation of the federal securities laws. The Commission has the ability to use several different administrative proceedings, including cease and desist orders, as well as revocation or suspension of business registration, to achieve its objectives.