Settlement factors guide determination of settlement terms, weighing applicant conduct, role, gravity, investor harm and deterrence measures. Determination of settlement terms requires assessment of the applicant's conduct and role, nature, gravity and impact of the alleged default, extent of investor harm or applicant gain, status of other proceedings or prior enforcement, and whether default is minor or major; it also accounts for remedial measures introduced, proposed compliance schedules, conditions to deter future non compliance, satisfaction of investor claims, and other case specific factors.
Cases where this provision is explicitly mentioned in the judgment/order text; may not be exhaustive. To view the complete list of cases mentioning this section, Click here.
Provisions expressly mentioned in the judgment/order text.
Settlement factors guide determination of settlement terms, weighing applicant conduct, role, gravity, investor harm and deterrence measures.
Determination of settlement terms requires assessment of the applicant's conduct and role, nature, gravity and impact of the alleged default, extent of investor harm or applicant gain, status of other proceedings or prior enforcement, and whether default is minor or major; it also accounts for remedial measures introduced, proposed compliance schedules, conditions to deter future non compliance, satisfaction of investor claims, and other case specific factors.
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