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SEC Enforcement Actions

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

10,345 releases indexed · page 56 of 104.

LR-25152 · 7/28/2021
Lupo Securities, LLC
LR-25149 · 7/27/2021
Mine Shaft Brewing, LLC et al.
LR-25150 · 7/27/2021
Joseph Taub et al.
LR-25151 · 7/27/2021
George Heckler
LR-25147 · 7/21/2021
Charlie Abujudeh
LR-25148 · 7/21/2021
Outdoor Capital Partners, LLC
LR-25146 · 7/20/2021
Rahulkumar "Rahul" M. Patel
LR-25145 · 7/20/2021
Suneet Singal, First Capital Real Estate Investments, LLC, First Capital Real Estate Advisors LP, and First Capital Real Estate Trust Inc.
LR-25144 · 7/19/2021
Profit Connect Wealth Services, Inc., Joy I. Kovar, and Brent C. Kovar
LR-25142 · 7/14/2021
Jefferey A. Gordon, Blue Rock Ventures, LLC, and Windy City Accelerated Returns Venture I
LR-25143 · 7/14/2021
Marlon Muller
LR-25141 · 7/14/2021
Michael Palleschi and David Lethem
LR-25140 · 7/12/2021
Jonathan Mimun a/k/a Jonathan Maymon and Ronn BenHarav
LR-25139 · 7/12/2021
Shimon Rosenfeld
LR-25138 · 7/6/2021
Westport Capital Markets, LLC and Christopher E. McClure
LR-25137 · 7/6/2021
Parallax Health Sciences, Inc., Paul Arena and Nathaniel Bradley
LR-25135 · 7/1/2021
Michael Barry Carter
LR-25132 · 7/1/2021
Gerardo de Nicolás et al.
LR-25134 · 7/1/2021
Lambert Vander Tuig, Ben Schactschneider, Capital Development Resources f/k/a Biosynetics, and Biosynetics Management, and Relief Defendant Galileo Labs, Inc.
LR-25136 · 7/1/2021
Dropil, Inc., Jeremy McAlpine, Zachary Matar, and Patrick O'Hara
LR-25133 · 7/1/2021
Roger Nils-Jonas Karlsson
LR-25131 · 6/30/2021
Contrarian Press, LLC, Scott S. Fraser, and Nathan Yeung
LR-25130 · 6/30/2021
Shawn F. Hackman
LR-25129 · 6/29/2021
Ron Phillips
LR-25125 · 6/28/2021
John Robert Jones, Jr.
LR-25127 · 6/28/2021
Matthew J. Skinner, et al.
LR-25128 · 6/28/2021
SkiHawk Capital Partners, LLC, et al.
LR-25126 · 6/28/2021
Gregory David Paris and Barrington Asset Management, Inc.
LR-25123 · 6/24/2021
Nathaniel Brown, Benjamin Wylam, Naveen Sood, Marcus Bannon, Matthew Rauch, and Naresh Ramaiya
LR-25122 · 6/24/2021
Wang
LR-25124 · 6/24/2021
Princeton Alternative Funding LLC, Microbilt Corporation, Philip N. Burgess, Jr., Walter Wojciechowski, and John Cook, Defendants
LR-25121 · 6/22/2021
Asante K. Berko
LR-25120 · 6/22/2021
Joseph Geromini
LR-25119 · 6/21/2021
Ramiro Jose Sugranes, UCB Financial Advisers, Inc. and UCB Financial Services Limited
LR-25118 · 6/20/2021
Mark A. Miller
LR-25117 · 6/14/2021
Ali Asif Hamid, Michael Gietz, and Cristine Page a/k/a Cristina Page
LR-25116 · 6/14/2021
Robert Joseph Armijo, et al.
LR-25113 · 6/10/2021
Cell>Point, LLC, Terry A. Colip, and Greg R. Colip
LR-25115 · 6/10/2021
Edgar M. Radjabli, et. al.
LR-25114 · 6/10/2021
Wellness Matrix Group, Inc. and George Todt
LR-25112 · 6/9/2021
Luca International Group, LLC, et al.
LR-25111 · 6/8/2021
Matthew O. Clason
LR-25110 · 6/8/2021
Edward E. Matthes
LR-25108 · 6/6/2021
Thomas Nicholas Salzano
LR-25106 · 6/1/2021
The Estate of Kenneth J. Casey
LR-25105 · 6/1/2021
Jeffrey C. Mack and Lawrence C. Blaney
LR-25107 · 6/1/2021
Kevin T. Carney, Jonathan D. Freeze, and Robert J. Irey
LR-25104 · 5/31/2021
James K. Couture
LR-25101 · 5/27/2021
LJM Funds Management, Ltd. and LJM Partners, Ltd. et al.
LR-25100 · 5/27/2021
Gomes et al.
LR-25102 · 5/27/2021
Harmel S. Rayat and RenovaCare, Inc.
LR-25103 · 5/27/2021
Eric Pulier
LR-25099 · 5/26/2021
Mohammed A. Bari
LR-25098 · 5/24/2021
Kai Christian Petersen, et al.
LR-25097 · 5/24/2021
The Legacy Group, Inc. et al.
LR-25096 · 5/20/2021
Emil Botvinnik
LR-25095 · 5/20/2021
Carlos R. Irizarry Santiago, CPA
LR-25094 · 5/20/2021
The Premier Healthcare Solution, LLC, Josiah David, Defendants, and Provision Corporation LLC, and Denis Joachim, Relief Defendants
LR-25093 · 5/19/2021
LFS Funding Limited Partnership, et al.
LR-25092 · 5/19/2021
BTIG, LLC
LR-25091 · 5/16/2021
Roy Y. Gagaza
LR-25090 · 5/16/2021
Kirk Sperry and Sperry and Sons Capital Investments, LLC
LR-25089 · 5/12/2021
Knight Nguyen Investments, Christopher Knight Lopez, Forrest Andrew Jones, and Jayson Lopez
LR-25088 · 5/12/2021
DaRayl D. Davis and Affluent Advisory Group, LLC
LR-25087 · 5/6/2021
David N. Osegueda, et al.
LR-25086 · 5/2/2021
Richard Randall
LR-25085 · 4/28/2021
Rahsaan King and Students of Strength, Inc.
LR-25084 · 4/27/2021
Mark Ahn
LR-25082 · 4/26/2021
Jonathan P. Maroney, Et. Al
LR-25083 · 4/26/2021
Peter R. Quartararo, Defendant, and Private Equity Solutions, Inc., Leonard Quartararo, Paul Casella, and Lisa Eckert, Relief Defendants
LR-25081 · 4/22/2021
Andrew T. Franzone and FF Fund Management, LLC
LR-25080 · 4/22/2021
Gregory Altieri
LR-25075 · 4/21/2021
Ubong Uboh and Tyler Crockett
LR-25079 · 4/21/2021
Corbyn W. Jones, Esq.
LR-25077 · 4/20/2021
Edward J. Kosinski
LR-25078 · 4/20/2021
Lester Burroughs, Civ. Action
LR-25074 · 4/19/2021
Hai Khoa Dang
LR-25076 · 4/19/2021
Sheng-Wen Cheng
LR-25072 · 4/18/2021
Morrie Tobin et al.
LR-25073 · 4/18/2021
Spot Tech House, Ltd., formerly known as Spot Option, Ltd., Malhaz Pinhas Patarkazishvili and Ran Amiran
LR-25070 · 4/14/2021
Martin Silver
LR-25071 · 4/14/2021
Lev Parnas and David Correia
LR-25069 · 4/12/2021
Hughe Duwayne Graham, Donald Howard, Larry Louis Matyas
LR-25068 · 4/7/2021
Clarence Dean Alford
LR-25067 · 4/7/2021
Zachary J. Horwitz, et al.
LR-25066 · 4/6/2021
William C. Skelley and Sohin S. Shah, Defendants
LR-25065 · 4/5/2021
Martin Shkreli, et al.
LR-25064 · 3/31/2021
Richard J. Randolph, III, Civ. Action
LR-25063 · 3/31/2021
George S. Blankenbaker, et al.
LR-25062 · 3/29/2021
Kevin R. Kuhnash and Jason P. Jimerson
LR-25061 · 3/29/2021
Douglas E. Elstun
LR-25060 · 3/28/2021
LBRY, Inc.
LR-25059 · 3/22/2021
Jason P. Wootten, et al.
LR-25057 · 3/21/2021
John W. Fisher
LR-25058 · 3/21/2021
MintBroker International Ltd., f/k/a Swiss America Securities, Ltd. and d/b/a SureTrader, and Guy Gentile
LR-25054 · 3/18/2021
Seth P. Levine
LR-25055 · 3/18/2021
Chatfield PCS Ltd. et al.
LR-25056 · 3/18/2021
Jessica Richman and Zachary Apte
LR-25052 · 3/16/2021
Andrew L. Fassari
LR-25053 · 3/16/2021
Chris A. Dantin, and Christopher D. Dantin, David P. Ortiz, Andrew L. White

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.