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SEC Enforcement Actions

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

10,345 releases indexed · page 59 of 104.

LR-24734 · 3/1/2020
Timothy W. Crawford, et al.
LR-24733 · 3/1/2020
Charlie Jinan Chen and Shui Foon Mok
LR-24731 · 3/1/2020
Michael Douglas Billings and MDB Group, LLC
LR-24732 · 3/1/2020
Bill Tsai
LR-24730 · 3/1/2020
Alex C. Procopio, Mark S. Zouvas, and Christian R. Hansen
LR-24728 · 3/1/2020
Philip E. Riehl
LR-24729 · 3/1/2020
DFRF Enterprises LLC, et al.
LR-24727 · 3/1/2020
Eric T. Landis et al.
LR-24726 · 3/1/2020
Edward E. Matthes
LR-24725 · 3/1/2020
David Aubel and Robert Raffa
LR-24724 · 3/1/2020
Jeffrey P. Carpoff and Paulette Carpoff
LR-24723 · 3/1/2020
Sergii "Sergey" Grybniak, Opporty International, Inc., and Clever Solution Inc.
LR-24721 · 3/1/2020
Daniel Markel
LR-24719 · 3/1/2020
Allan L. Lundervold
LR-24718 · 3/1/2020
Drake et al., Messier et al., Brooks
LR-24717 · 3/1/2020
Todays Growth Consultant Inc. and Kenneth D. Courtright, III
LR-24716 · 3/1/2020
Lidingo Holdings, LLC, et al.
LR-24715 · 3/1/2020
Diane D. Dalmy et al.
LR-24714 · 3/1/2020
Michael B. Rothenberg
LR-24713 · 3/1/2020
Robert O. Carr and Katherine M. Hanratty
LR-24712 · 3/1/2020
Bajic et al., Ciapala et al.
LR-24710 · 3/1/2020
ARO Equity, LCC et al.
LR-24711 · 3/1/2020
Donald G. Blakstad
LR-24708 · 3/1/2020
Edward Espinal and Cash Flow Partners, LLC
LR-24709 · 3/1/2020
Jay Costa Kelter
LR-24707 · 3/1/2020
Steven A. Schwartz
LR-24705 · 3/1/2020
Ulrik Debo
LR-24706 · 3/1/2020
Longfin Corp. and Venkata S. Meenavalli
LR-24702 · 3/1/2020
Benjamin Mekawy and Alan D. Seidel
LR-24704 · 3/1/2020
Pinto-Thomaz, et al.
LR-24703 · 3/1/2020
James V. Mazzo, et al.
LR-24701 · 3/1/2020
Timothy J. Atkinson, et al.
LR-24700 · 3/1/2020
Navnoor S. Kang, Gregg Z. Schonhorn, and Deborah D. Kelley
LR-24698 · 3/1/2020
Amir Waldman, et al.
LR-24699 · 3/1/2020
Thomas J. Connerton and Safety Technologies LLC
LR-24696 · 3/1/2020
S. Paul Kelley, et al.
LR-24695 · 3/1/2020
Keith Springer and Springer Investment Management, Inc. dba Springer Financial Advisors
LR-24697 · 3/1/2020
Songjiang Wang
LR-24693 · 3/1/2020
Janardhan Nellore et al.
LR-24694 · 3/1/2020
Sam A. Antar
LR-24738 · 3/1/2020
Criterion Wealth Management Insurance Services, Inc., Robert Allen Gravette, and Mark Andrew MacArthur
LR-24722 · 3/1/2020
Guy Scott Griffithe, Robert William Russell, Renewable Technologies Solution, Inc., Green Acres Pharms, LLC, and SMRB, Defendants, and Sonja Marie Russell, Relief Defendant
LR-24692 · 3/1/2020
Robert A. Karmann
LR-24690 · 3/1/2020
John Special, Defendant, and Michael Murphy, Relief Defendant, John Kenneth Davidson
LR-24689 · 3/1/2020
Palm Beach Atlantic Financial Group, LLC and William A. Smith
LR-24688 · 3/1/2020
Nanotech Engineering, Inc., Michael James Sweaney (also known as Michael Hatton), David Sweaney, and Jeffery Gange
LR-24686 · 3/1/2020
Harpreet Grewal
LR-24687 · 3/1/2020
Christopher Collins, et al.
LR-24683 · 3/1/2020
William Eric Meek and Bobby Peavler
LR-24684 · 3/1/2020
Jeffrey O. Friedland, Global Corporate Strategies LLC., and Intiva Pharma, LLC
LR-24685 · 3/1/2020
Diane D. Dalmy et al.
LR-24681 · 3/1/2020
Lester Burroughs
LR-24682 · 3/1/2020
Iconix Brand Group, Inc., Neil R. Cole and Seth Horowitz
LR-24680 · 3/1/2020
SBB Research Group LLC, et al.
LR-24679 · 3/1/2020
NIT Enterprises, Inc., et al.
LR-24678 · 3/1/2020
MiMedx Group, Inc., Parker H. Petit, William C. Taylor, and Michael J. Senken
LR-24677 · 3/1/2020
The Nutmeg Group LLC and Randall Goulding
LR-24674 · 3/1/2020
Kevin B. Merrill, et al.
LR-24720 · 3/1/2020
Hill International, Inc. et al.
LR-24691 · 3/1/2020
Suneet Singal, First Capital Real Estate Investments LLC, First Capital Real Estate Advisors LP, and First Capital Real Estate Trust Inc.
LR-24549 · 7/30/2019
John T. Place, et al.
LR-24546 · 7/28/2019
Beaufort Secs. Ltd. and Kyriacou.
LR-24547 · 7/28/2019
Bettor Investments, LLC, and Matthew C. Stuart, LLC
LR-24548 · 7/28/2019
Christopher Plaford
LR-24542 · 7/18/2019
Carol J. Wayland, et al.
LR-24543 · 7/18/2019
Garrett M. O'Rourke and Michael J. Black
LR-24544 · 7/18/2019
Gary Winemaster, Craig Davis and James Needham
LR-24539 · 7/17/2019
Paul Alar and West Mountain, LLC
LR-24540 · 7/17/2019
Mark Loman
LR-24541 · 7/17/2019
Jun Ying
LR-24538 · 7/17/2019
William J. Milles, Jr. and Donald J. Lutzko
LR-24534 · 7/16/2019
Zev Saltsman, et al.
LR-24535 · 7/16/2019
Emmanuel Kouyoumdjian (a/k/a "Manny K")
LR-24536 · 7/16/2019
William C. Skelley and Sohin S. Shah
LR-24537 · 7/16/2019
AR Capital, LLC, et al.
LR-24530 · 7/14/2019
William Scott Lawler and Natalie Bannister
LR-24531 · 7/14/2019
Henry J. Wieniewitz, III, et al.
LR-24532 · 7/14/2019
Conn's Inc. and Michael J. Poppe
LR-24533 · 7/14/2019
Richard Vu Nguyen, et al.
LR-24529 · 7/11/2019
Barry Honig, et al.
LR-24528 · 7/7/2019
Jovannie Aquino
LR-24527 · 7/1/2019
Daniel H. Glick, et al.
LR-24526 · 6/30/2019
Thomas V. Conwell and Kerry L. Hoffman
LR-24525 · 6/30/2019
Gregory E. Webb, et al.
LR-24521 · 6/27/2019
Paul Andrews Rinfret, et al.
LR-24522 · 6/27/2019
Johnny R. Thomas, et al.
LR-24523 · 6/27/2019
Diane D. Dalmy
LR-24524 · 6/27/2019
Robert F.X. Sillerman
LR-24516 · 6/26/2019
Henry Sargent et al.
LR-24517 · 6/26/2019
Amrit J. S. Chahal
LR-24518 · 6/26/2019
Jason Sugarman
LR-24519 · 6/26/2019
Matthew A. Krimm, et al.
LR-24520 · 6/26/2019
Comer Capital Group, LLC and Brandon L. Comer
LR-24515 · 6/26/2019
Rajeshwar R. Gannamaneni, Deepthi Gandra, and Linga R. Gannamaneni
LR-24514 · 6/25/2019
Mark Allen Plummer
LR-24512 · 6/24/2019
Richard Vu Nguyen, et al.
LR-24513 · 6/24/2019
Worldwide Markets, Ltd., TAB Networks, Inc., and Thomas F. Plaut
LR-24545 · 6/23/2019
Landon M. Smith
LR-24510 · 6/23/2019
Avi Chiat
LR-24511 · 6/23/2019
Donald S. LaGuardia, Jr.

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.