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SEC Enforcement Actions

U.S. Securities and Exchange Commission litigation releases sourced from SEC.gov.

10,345 releases indexed · page 55 of 104.

LR-25378 · 4/28/2022
Cattlin et al, Page et al
LR-25377 · 4/27/2022
Steven Chiang a/k/a Cyrus Kong, Eric Tippetts, James Hardy, and Maurice "Butch" Chelliah
LR-25376 · 4/27/2022
Block Bits Capital, LLC, Block Bits Capital GP I, LLC and Japheth Dillman, Civ. Action, David B. Mata
LR-25375 · 4/26/2022
American Equities, Inc., American Eagle Mortgage Management, LLC, Ross C. Miles and Maureen T. Wile
LR-25374 · 4/21/2022
Bernard L. Compton
LR-25373 · 4/19/2022
Moshe Strugano and Rinat Gazit
LR-25371 · 4/18/2022
Shawn E. Good
LR-25372 · 4/18/2022
Domenic Calabrigo et al.
LR-25370 · 4/17/2022
Fernando Passos, Civ. Action
LR-25369 · 4/14/2022
Damon Elliott, et al.
LR-25368 · 4/14/2022
Carl Iberger and Timothy Iberger
LR-25367 · 4/14/2022
Dean Shah et al.
LR-25365 · 4/13/2022
Benja Inc. and Andrew Chapin
LR-25364 · 4/13/2022
Mark Loman
LR-25366 · 4/13/2022
Ronald Bauer et al.
LR-25363 · 4/13/2022
Joseph Salvatore DeVito (a/k/a Salvatore DeVito) and Dean Anthony Esposito (a/k/a Dean Anthony)
LR-25362 · 4/12/2022
Kay X. Yang
LR-25361 · 4/11/2022
Justin Wallace Herman, Anthony Michael Baker, Ian Horn, and Island Capital Inc
LR-25357 · 4/10/2022
Eric A. Alexander, Scott A. Merkelson
LR-25359 · 4/10/2022
Julie Minuskin, Joshua Stoll, Dennis DiRicco, Tom Casey and Golden Genesis, Inc.
LR-25358 · 4/10/2022
Anthony Salandra
LR-25360 · 4/10/2022
Global Investment Strategy UK Ltd. and John William Gunn
LR-25355 · 4/4/2022
Airborne Wireless Network, et al.
LR-25356 · 4/4/2022
David J. Bunevacz et al.
LR-25354 · 3/31/2022
Dow Rockwell LLC and Richard Dow Rockwell
LR-25351 · 3/30/2022
Chatfield PCS Ltd. et al.
LR-25353 · 3/30/2022
Gregory Lemelson, Lemelson Capital Management, LLC, and The Amvona Fund
LR-25352 · 3/30/2022
Richard G. Duncan
LR-25350 · 3/28/2022
Hari Prasad Sure, et al., Civ. Act.
LR-25349 · 3/23/2022
Knox et al.
LR-25348 · 3/16/2022
Francis Biller, et al.
LR-25347 · 3/16/2022
Scott Allen Fries
LR-25343 · 3/14/2022
Eric C. Malley, et al.
LR-25346 · 3/14/2022
Mario E. Rivero
LR-25344 · 3/14/2022
S-Ray Incorporated and Stephen Alexander Baird
LR-25345 · 3/14/2022
Cell Point, LLC, Terry A. Colip, and Greg R. Colip
LR-25342 · 3/8/2022
Stefan H. Qin, et al.
LR-25341 · 3/7/2022
John Barksdale, JonAtina Barksdale
LR-25340 · 3/1/2022
Cambridge Investment Research Advisors, Inc., et al.
LR-25339 · 3/1/2022
Joseph Orazio DeGregorio
LR-25337 · 2/28/2022
Martin Shkreli, et al.
LR-25336 · 2/28/2022
Ofer Abarbanel et al.
LR-25334 · 2/28/2022
Arthur S. Hoffman
LR-25333 · 2/28/2022
John-Michael Havrilla
LR-25331 · 2/28/2022
James Velissaris
LR-25328 · 2/28/2022
Seyed Taher Kameli, et al.
LR-25329 · 2/28/2022
Mark J. Boucher and Strategic Wealth Advisor Group Services Inc.
LR-25330 · 2/28/2022
Nathaniel Brown, Benjamin Wylam, Naveen Sood, Marcus Bannon, Matthew Rauch, And Naresh Ramaiya
LR-25327 · 2/28/2022
Edward S. Walczak
LR-25326 · 2/28/2022
Robert Lenard Booth, Michael D'Urso, Daniel T. Wellcome Jr., Alyssa D'Urso, Antonella Chiaramonte, and Jay Garnock)
LR-25324 · 2/28/2022
George S. Blankenbaker, et al
LR-25325 · 2/28/2022
Michael M. Beck, a/k/a @BigMoneyMike6, and Relief Defendant Helen P. Robinson
LR-25323 · 2/28/2022
Robert Samuel Shumake, Jr., et al
LR-25322 · 2/28/2022
Safeguard Metals LLC and Jeffrey S. Santulan
LR-25321 · 2/28/2022
SeeThruEquity, LLC, Ajay Tandon, and Amit Tandon
LR-25320 · 2/28/2022
HeadSpin, Inc.
LR-25319 · 2/28/2022
Milrud
LR-25317 · 2/28/2022
Gary Pryor, et al
LR-25318 · 2/28/2022
David J.C. Bolton
LR-25316 · 2/28/2022
German Nino
LR-25315 · 2/28/2022
CKB168 Holdings Ltd., et al.
LR-25313 · 2/28/2022
Viktor Gjonaj
LR-25314 · 2/28/2022
Justin W. Keener d/b/a JMJ Financial
LR-25312 · 2/28/2022
Ronald C. Montano, et al.
LR-25310 · 2/28/2022
Peter Baker, et al.
LR-25309 · 2/28/2022
Phillip W. Offill, Jr. and Justin W. Herman
LR-25306 · 2/28/2022
Douglas A. Roth
LR-25305 · 2/28/2022
David S. Sargent and Christopher M. Klundt
LR-25304 · 2/28/2022
Michael F. Shillin
LR-25302 · 2/28/2022
David Schottenstein, Kris Bortnovsky, Ryan Shapiro, Sakal Capital Management, LLC, and Sakal U.S. Fund
LR-25301 · 2/28/2022
Tanmaya Kabra et al.
LR-25300 · 2/28/2022
Russell Craig and OneStep Financial Services, LLC
LR-25299 · 2/28/2022
Bóveda Asset Management, Inc. and George Kenneth Witherspoon, Jr.
LR-25298 · 2/28/2022
Robert Samuel Shumake, Jr., et al
LR-25297 · 2/28/2022
Medallion Financial Corp., Andrew Murstein, Lawrence Meyers, and Ichabod's Cranium Inc.
LR-25296 · 2/28/2022
Timothy Burroughs, Jay Holstine, John Griffin, and Michael Oswald Williams
LR-25293 · 2/28/2022
Marco "Sully" Perez and Permian Basin Proppants, Inc.
LR-25294 · 2/28/2022
James Siniscalchi
LR-25295 · 2/28/2022
Vladislav Kliushin, Nikolai Rumiantcev, Mikhail Irzak, Igor Sladkov, and Ivan Yermakov
LR-25292 · 2/28/2022
John Marques, et al.
LR-25291 · 2/28/2022
Daniel V.T. Catenacci
LR-25290 · 2/28/2022
Alexander Kon
LR-25288 · 2/28/2022
Fusion Hotel Management, LLC, Fusion Hospitality Corporation and Denny T. Bhakta
LR-25289 · 2/28/2022
Sequential Brands Group, Inc.
LR-25287 · 2/28/2022
Jay Scott Kirk Lee, Geoffrey Allen Wall, and Benjamin Thompson Kirk
LR-25285 · 2/28/2022
Mohammed Pithapurwala, Ammar Kutiyanawalla, and Alifiya Kutiyanawalla
LR-25286 · 2/28/2022
BitConnect, et al.
LR-25284 · 2/28/2022
The Heartland Group Ventures, LLC, et al.
LR-25283 · 2/28/2022
Shamoon Omer Rafiq, a/k/a Shamoon Rafiq, Omer Rafiq, and Omar Rafiq
LR-25282 · 2/28/2022
American Renal Associates Holdings, Inc., Jonathan L. Wilcox, Jason M. Boucher, and Karen J. Smith
LR-25277 · 2/28/2022
Auzins
LR-25280 · 2/28/2022
Tom Simeo
LR-25311 · 2/28/2022
David P. Forte, Gregory P. Manning and John D. Younis
LR-25303 · 2/28/2022
Crowd Machine, Inc., Metavine, and Craig Derel Sproule, and Metavine Pty. Ltd. (Relief Defendant)
LR-25338 · 2/28/2022
Andrew T.E. Coldicutt
LR-25335 · 2/28/2022
Marguerite Cassandra Toroian and Bell Rock Capital, LLC
LR-25332 · 2/28/2022
Global Wholehealth Partners Corp., Charles Strongo, Brian M. Volmer, Joshua Yafa, Jamie M. Yafa, and Empire Associates, Inc.
LR-25308 · 2/28/2022
Paul A. Garcia
LR-25307 · 2/28/2022
Anthony M. Cottone, et al.
LR-25153 · 7/29/2021
Edward Wooten., 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.