SEC Enforcement Actions
U.S. Securities and Exchange Commission litigation releases sourced from SEC.gov.
10,345 releases indexed · page 18 of 104.
- LR-22212Shawn R. Merriman et al.
- LR-22213Magyar Telekom Plc. and Deutsche Telekom AG and Straub, et al.
- LR-22211Evolution Capital Advisors, et al.
- LR-22209Alfred S. Teo, Sr., et al.
- LR-22205John R. Easom, et al.
- LR-22206Myron Weiner
- LR-22207Robert A. Walker, et al; Gary A. Collyard, et al
- LR-22204Heart Tronics, Inc., et al.
- LR-22201Mudd, Syron et. al.,
- LR-22202Enrica Cotellessa-Pitz
- LR-22203Aon Corporation
- LR-22196Frederick J. O'Meally et al.
- LR-22197FTN Financial Securities Corp.
- LR-22199Stuart W. Fuhlendorf
- LR-22200OCC Holdings, Ltd., et al.
- LR-22193Securities Investor Protection Corporation
- LR-22194All Know Holdings Ltd, et al.
- LR-22195Management Solutions, Inc, Wendell A. Jacobson and Allen R. Jacobson
- LR-22190Uriel Sharef, Ulrich Bock, Carlos Sergi, Stephan Signer, Herbert Steffen, Andres Truppel and Bernd Regendantz
- LR-22191Marcin Malarz et al.
- LR-22192Michael Resnick et al.
- LR-22187Stiefel Laboratories Inc. and Charles W. Stiefel
- LR-22188Geoffrey J. Eiten and National Financial Communications Corp.
- LR-22189Alternative Green Technologies, Inc.
- LR-22186Cutillo et al.
- LR-22184Glenn Grossman, Lawrence Steven Cohen, Shay Keren, And John Zanic
- LR-22185Galleon Management, LP, et al.
- LR-22183Wachovia Bank, N.A., now known as Wells Fargo Bank, N.A., successor by merger
- LR-22182Giuseppe Pino Baldassarre, Robert Mouallem, and Malcolm Stockdale
- LR-22179Integrity Financial AZ, LLC, Steven R. Long, Stanley M. Paulic, Walter W. Knitter, and Robert C. Koeller
- LR-22174Nancy S.W. Chu et al.
- LR-22175Richard Dalton and Universal Consulting Resources LLC, Defendants, and Marie Dalton, Relief Defendant
- LR-22176Michael R. Balboa and Gilles T. De Charsonville
- LR-22177Michael Lee and ZipGlobal Holdings, Inc.; James Wheeler and Microholdings US, Inc.; and Edward Henderson and Paul Desjourdy
- LR-22173William J. Reilly
- LR-22171Cheng Yi Liang, et al.
- LR-22172Jeffrey R. Neufeld and Paridon Capital Management LLC f/k/a Tritone Capital Management, LLC
- LR-22169Jeffrey S. Richardson
- LR-22168Myron Weiner
- LR-22165David Ronald Allen, et al.
- LR-22166David Kugel
- LR-22167Patrick G. Rooney and Solaris Management, LLC
- LR-22163Randall Merk, et al.
- LR-22164Brian Hollnagel and BCI Aircraft leasing, Inc.
- LR-22161Mark A. Konyndyk
- LR-22162Garfield Taylor, Inc., et al.
- LR-22157Frank C. Calmes, Lynn D. Rowntree, James E. Pratt, and Manny J. Shulman
- LR-22158Joseph F. “Chip” Skowron III, et al.
- LR-22159New Futures Trading International Corporation and Henry Roche
- LR-22160John A. Mattera, Bradford Van Siclen, The Praetorian Global Fund, et al.
- LR-22156J.T. Battenberg, III and Paul Free
- LR-22153Mark Anthony Longoria, et al.
- LR-22065Evolution Capital Advisors, et al.
- LR-22152Tyrone L. Gilliams, Jr. and TL Gilliams, LLC
- LR-22151Chetan Kapur; Lilaboc, LLC d/b/a ThinkStrategy Capital Management, LLC
- LR-22150Joseph S. Amundsen
- LR-22149James N. Fry, Michelle W. Palm, and Arrowhead Capital Management LLC
- LR-22148Trade-LLC, et al.
- LR-22147Fernando J. Espuelas et al.
- LR-22145Drake Asset Management, LLC and Oliver R. Grace, Jr.
- LR-22142Scott I. Kupersmith and Frederick C. Chelly
- LR-22140Rajat Gupta and Raj Rajaratnam
- LR-22141Andrey C. Hicks and Locust Offshore Management, LLC, as Defendants, and Locust Offshore Fund, Ltd., as Relief Defendant
- LR-22139Arnold McClellan and Annabel McClellan
- LR-22137H. Clayton Peterson, Drew Clayton Peterson, Drew K. Brownstein, and Big 5 Asset Management, LLC
- LR-22138Koss Corporation and Michael J. Koss
- LR-22135Cutillo et al.
- LR-22136Charles P. Copeland, Copeland Wealth Management, A Financial Advisory Corporation, and Copeland Wealth Management, A Real Estate Corporation
- LR-22134Citigroup Global Markets Inc.; Brian H. Stoker
- LR-22132Lisa C. Berry
- LR-22133Long Term-Short Term, Inc. and Freddie Rick
- LR-22128Ryan M. Reynolds, et al.
- LR-22129Thomas L. Kivisto
- LR-22130James G. Temme and Stewardship Fund LP
- LR-22131David B. Welliver and Dblaine Capital, LLC
- LR-22125Wall Street Capital Funding LLC, Philip Cardwell, Roy Campbell, and Aaron Hume
- LR-22126Joseph P. Cillo
- LR-22123Koji Goto et al.
- LR-22119Gregory L. Reyes, et al.
- LR-22120Murdoch Security and Investigations, Inc., Robert Goldstein, and William Vassell
- LR-22121Thomas S. Wu, Ebrahim Shabudin, Thomas T. Yu, and Craig S. On
- LR-22122Gregory E. Webb and InfrAegis, Inc.
- LR-22115StratoComm Corporation., et al.
- LR-22116Christopher Sells and Timothy Murawski
- LR-22117Eric Aronson, et al.
- LR-22114Galleon Management, LP, et al.
- LR-22113David Ronald Allen, et al.
- LR-22112Richard A. Hansen, et al.
- LR-22111Stephen Amella, et al.
- LR-22107Kurt S. Hovan, Lisa B. Hovan, Edward J. Hovan, Jr., and Hovan Capital Management, LLC
- LR-22108Christopher A. Seeley and Justin G. Dickson
- LR-22109John Michael Kelly, Steven E. Rindner, Joseph A. Ripp, and Mark Wovsaniker
- LR-22110Alfred Clay Ludlum, III, et. al.
- LR-22106The NIR Group, LLC, et al.
- LR-22105Shreyans Desai, et al.
- LR-22104Larry Langford, et al.
- LR-22101Doris E. Nelson
- LR-22100Feinblatt, et al.
- LR-22097Christopher W. Bass,Swiss Capital Harbor-USA, LLC, Swiss Capital Harbor Fund A Partners, L.P., Swiss Capital Harbor Fund B Partners, L.P., and Swiss Capital Harbor Fund C Partners, L.P.
- LR-22098K2 Unlimited, Inc., 211 Ventures, LLC, Diane Glatfelter, Robert Rice, and Robert Anderson
This is legal information, not legal advice. Laws vary by jurisdiction and change frequently. Always verify current law with official sources and consult a licensed attorney in your jurisdiction for advice on your specific situation.