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SEC Enforcement Actions

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

10,345 releases indexed · page 65 of 104.

LR-23769 · 3/5/2017
Yu-Cheng Lin
LR-23770 · 3/5/2017
Nathanial D. Ponn
LR-23764 · 3/2/2017
J. Patrick O'Neill and Robert H. Bray
LR-23765 · 3/2/2017
Desarrolladora Homex S.A.B. de C.V
LR-23766 · 3/2/2017
Thomas D. Melvin, Jr., et al.
LR-23767 · 3/2/2017
Arcturus Corporation, et al.
LR-23768 · 3/2/2017
Capital Financial Partners, LLC et al.
LR-23749 · 3/1/2017
Terminus Energy, Inc., et al.
LR-23743 · 3/1/2017
Michael Affa, et al.
LR-23741 · 3/1/2017
Ixia and Victor Alston
LR-23737 · 3/1/2017
Patric Ken Baccam
LR-23730 · 3/1/2017
Christopher R. Esposito, et al.
LR-23731 · 3/1/2017
Joseph Meli et al.
LR-23726 · 3/1/2017
Mathias Francisco Sandoval Herrera, Maria D. Cidre, and Jose Antonio Miranda Gonzalez
LR-23723 · 3/1/2017
James M. Louks et al.
LR-23721 · 3/1/2017
San Francisco Regional Center, LLC, et al.
LR-23718 · 3/1/2017
Daniel Thibeault, et al.
LR-23714 · 3/1/2017
AJN Investments, LLC et al.
LR-23708 · 3/1/2017
Teva Pharmaceutical Industries Limited
LR-23705 · 3/1/2017
Braskem, S.A.
LR-23703 · 3/1/2017
Edward F. Panos, et al.
LR-23702 · 3/1/2017
Richard G. Cody, et al.
LR-23700 · 3/1/2017
Stifel, Nicolaus & Co., Inc., et al.
LR-23699 · 3/1/2017
Levi Lindemann
LR-23697 · 3/1/2017
Onix Capital LLC and Alberto Chang-Rajii, et al.
LR-23696 · 3/1/2017
Harrison Katzen
LR-23694 · 3/1/2017
Matthew Carl Griffin and William Daniel Griffin
LR-23692 · 3/1/2017
Capital Financial Partners, LLC et al.; Will D. Allen and Susan C. Daub
LR-23690 · 3/1/2017
Gavin Campion
LR-23689 · 3/1/2017
Devon Archer, et al.
LR-23688 · 3/1/2017
Sanjay Valvani and Gordon Johnston
LR-23686 · 3/1/2017
Eric McPhail and Douglas Parigian
LR-23687 · 3/1/2017
Herbert K. Sudfeld
LR-23683 · 3/1/2017
Christopher K. Schrichte, Howard C. Hill, NewMarket Global Management I, LLC, and NewMarket Technology Fund I, LLC
LR-23682 · 3/1/2017
Dubovoy, et al.
LR-23680 · 3/1/2017
Nicholas H. Shermeta and Napa Properties, LLC
LR-23681 · 3/1/2017
Anthony Andrade, et al.
LR-23679 · 3/1/2017
Marc D. Broidy and Broidy Wealth Advisors, LLC
LR-23677 · 3/1/2017
Southlake Resources Group, LLC, et al.
LR-23678 · 3/1/2017
Carlos Nataniel Wanzeler and James Matthew Merrill
LR-23762 · 3/1/2017
Renato Rodriguez and Gutemberg Dos Santos
LR-23763 · 3/1/2017
Upstate Law Group, LLC, et al.
LR-23761 · 3/1/2017
Tropikgadget FZE, et al.
LR-23759 · 3/1/2017
Christopher J. Hall
LR-23758 · 3/1/2017
Harrison Schumacher, et al.
LR-23757 · 3/1/2017
Sean Stewart et al.
LR-23755 · 3/1/2017
William P. Carlson, Jr.
LR-23756 · 3/1/2017
FX & Beyond Corporation et al.
LR-23753 · 3/1/2017
Darrell Glenn Hardaway and Hardaway Net-Works, Inc.
LR-23754 · 3/1/2017
James Y. Lee, et al.
LR-23760 · 3/1/2017
One or More Unknown Traders in the Securities of Fortress Investment Group, LLC
LR-23752 · 3/1/2017
Patrick O. Howard, et al.
LR-23750 · 3/1/2017
James P. Toner, Jr.
LR-23748 · 3/1/2017
Yu-Cheng Lin (a.k.a. Believe Lin)
LR-23746 · 3/1/2017
Alan Barry Staples
LR-23747 · 3/1/2017
Shaohua (Michael) Yin, et al.
LR-23745 · 3/1/2017
Oxford City Football Club, Inc., et al.
LR-23744 · 3/1/2017
Zev Saltsman, et al.
LR-23742 · 3/1/2017
Mark J. Varacchi, et al.
LR-23740 · 3/1/2017
Hold Brothers On-Line Investment Services, LLC, et al.
LR-23738 · 3/1/2017
Paul A. Garcia, et al.
LR-23739 · 3/1/2017
Varacchi, et al.
LR-23736 · 3/1/2017
Samuel DelPresto, et al.
LR-23735 · 3/1/2017
Joseph Meli et al.
LR-23733 · 3/1/2017
Clayton A. Cohn
LR-23729 · 3/1/2017
Herman Ronnie Young, Jr. d/b/a Race Cycler
LR-23732 · 3/1/2017
Brian S. Hudnall, et al.
LR-23728 · 3/1/2017
Michael L. Cohen and Vanja Baros
LR-23727 · 3/1/2017
Strategic Capital Management, LLC et al.
LR-23725 · 3/1/2017
Dwayne Edwards, et al.
LR-23724 · 3/1/2017
George N. Krinos
LR-23722 · 3/1/2017
Cort Poyner et al.
LR-23719 · 3/1/2017
Gregg R. Mulholland
LR-23720 · 3/1/2017
Robin G. Charlet, Steven W. Sparks, Gregory J. Tuthill and Kirk D. Porter
LR-23717 · 3/1/2017
Gregory W. Gray, Jr., et al.
LR-23715 · 3/1/2017
Gregory T. Dean and Donald J. Fowler
LR-23716 · 3/1/2017
Douglas Furth
LR-23713 · 3/1/2017
Interinvest Corporation, Inc. et al.
LR-23711 · 3/1/2017
Iat Hong, et al.
LR-23712 · 3/1/2017
Emilio Francisco, et al.
LR-23710 · 3/1/2017
Richard G. Cody, et al.
LR-23706 · 3/1/2017
Charles J. Dushek, et al.
LR-23707 · 3/1/2017
John L. Threshie, Jr.
LR-23704 · 3/1/2017
Platinum Management (NY) LLC et al.
LR-23701 · 3/1/2017
Nathanial D. Ponn
LR-23698 · 3/1/2017
Rafael Antonio Calleja, Jr.
LR-23695 · 3/1/2017
Blackbird Capital Partners, LLC, et al.
LR-23693 · 3/1/2017
Jason Kumpf
LR-23685 · 3/1/2017
Jeffrey D. Smith d/b/a Atlanta Capital LLC a/d/b/a Capital Funding, Inc., Joseph Carswell d/b/a Atlanta Capital LLC a/d/b/a Capital Funding, Inc., and Michael W. Fullard
LR-23676 · 3/1/2017
Embraer S.A.
LR-23674 · 3/1/2017
Christopher Salis, et al.
LR-23675 · 3/1/2017
James C. Cope, Esq.
LR-23751 · 3/1/2017
John Abio and Abio Financial Group, Inc.
LR-23734 · 3/1/2017
Vu H. Le a/k/a Vinh H. Le and TeamVinh.com LLC
LR-23709 · 3/1/2017
Chamroonrat, et al.
LR-23691 · 3/1/2017
Stanley Jonathan Fortenberry (a/k/a S.J. Fortenberry, Jon Fortenberry, and Johnny Fortenberry)
LR-23608 · 7/28/2016
Paul R. Downey, et al.
LR-23609 · 7/28/2016
Anthony Andrade, et al.
LR-23604 · 7/27/2016
Traffic Monsoon et al.
LR-23605 · 7/27/2016
Rosalind Herman

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