SEC Enforcement Actions
U.S. Securities and Exchange Commission litigation releases sourced from SEC.gov.
10,345 releases indexed · page 18 of 104.
- LR-22217Edward L. Moskop and Financial Services Moskop & Associates, Inc.
- 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-18417Ronald J. Hottovy
- 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.
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.