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SEC Enforcement Actions

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

9,913 releases indexed · page 8 of 100.

LR-24643
Cetera Advisors, LLC and Cetera Advisor Networks LLC
LR-24644
Eric J. "EJ" Dalius et al.
LR-24642
Richard Andrew Mallion
LR-24638
Daniel Rivas, et al.
LR-24639
Lek Securities Corp., et al.
LR-24640
Thomas Conrad, Jr. et al.
LR-24641
Anton Senderov, et al.
LR-24637
Gino M. Pereira, Jeffrey Auerbach, Jared Mitchell, and Richard Brown
LR-24636
Christopher J. Spencer and John Busshaus
LR-24633
Westport Capital Markets, LLC and Christopher E. McClure
LR-24634
Woojae ("Steve") Jung, et al.
LR-24623
Michael Ajzenman and Cutting Edge Business Services, Inc.
LR-24625
Longfin Corp. and Venkata S. Meenavalli
LR-24626
Yellowstone Partners, LLC, David H. Hansen, and Cameron G. High
LR-24627
Mark Ray, et al.
LR-24628
Marcus Beam
LR-24629
James T. Booth
LR-24630
Gil Beserglik, et al.
LR-24631
David Sechovicz and Peter Szatmari
LR-24632
Bluepoint Investment Counsel, et al.
LR-24621
Mylan N.V.
LR-24622
Hologram USA Networks Inc. and Alkiviades ("Alki") David
LR-24620
Sean Stewart, et al.
LR-24619
Andres Fernandez and Edison Denizard
LR-24615
Strong Investment Management, et al.
LR-24616
David R. Gibson, et al.
LR-24617
William M. Apostelos, et al.
LR-24618
James Alex Irvin
LR-24610
Efuel EFN Corp., et al.
LR-24611
Brian D. Barrilleaux
LR-24612
Gerald C. Parker
LR-24613
James Wallace Nall, III, et al.
LR-24614
Robert Hillis Miller
LR-24606
Carlos Ghosn and Gregory L. Kelly
LR-24607
Jonathan C. Lucas
LR-24608
Christopher Fulco (a/k/a Christian Anthony, Johnathan Stewart, and Michael Barron), and JM Capital Holdings LLC, as Defendants, and Jamie Milione, as Relief Defendant
LR-24609
Benjamin Conde, Defendant, and Essex Global Investment Corp., and Facultas Capital Management, Inc., Relief Defendants
LR-24604
Earl D. Miller, et al.
LR-24605
Zvi Feiner, et al.
LR-24602
Ruben James Rojas
LR-24603
Brian Robert Sodi, et al.
LR-24600
Mediatrix Capital Inc., et al.
LR-24597
John Henderson and Global Resources Leadership LLC
LR-24598
Jan Atlas
LR-24599
Tom Simeo
LR-24591
Adam Mattessich and Joseph (a/k/a Jay) Ludovico
LR-24592
Bio Defense Corporation, et al.
LR-24593
Kevin B. Merrill, et al.
LR-24594
Northridge Holdings, Ltd. et al.
LR-24595
Dean Patrick McDermott, McDermott Investment Advisors, LLC and McDermott Investment Services, LLC
LR-24590
Timothy W. Crawford, et al.
LR-24589
Strategic Capital Management, LLC and Michael J. Breton
LR-24588
Toon Goggles Inc., et al.
LR-24586
E. Herbert Hafen
LR-24587
Keith G. Daubenspeck and Geoffrey L. Homer
LR-21780
Banc of America Securities LLC and Banc of America Investment Services, Inc.
LR-24584
Jayat P. Kanetkar and Guaranteed Investigations, Inc.
LR-24583
Morrie Tobin et al.
LR-24582
Bitqyck, Inc., Bruce E. Bise, and Samuel J. Mendez
LR-24578
William Hutchinson a/k/a William Cluxton
LR-24579
Live Well Financial, Inc., Michael C. Hild, Eric Rohr, and Darren Stumberger
LR-24580
Cambridge Capital Group Advisors, LLC (f/k/a Cambridge Capital Advisors, LLC), et al.
LR-24581
Cetera Advisors, LLC
LR-24575
Hartman Wright Group, LLC and Tytus W. Harkins
LR-24576
Marcus Boggs
LR-24577
Michael A. Carroll, Michael V. Pappagallo, Steven A. Splain, and Michael Mortimer
LR-25570
Dean Patrick McDermott, McDermott Investment Advisors, LLC, and McDermott Investment Services
LR-25567
Syed Arham Arbab, Tomas Javier Jimenez, Blake Douglas McKinney, Mushfiqur Rahman, John Ryan Shows, and William Carl Spagnoli
LR-25537
Arbitrade Ltd., et al.
LR-25513
David Sheldon Wells
LR-23637
Dennis W. Hamilton
LR-23636
Contrarian Press, LLC, Scott S. Fraser, and Nathan Yeung
LR-23635
Providence Financial Investments, Inc., Providence Fixed Income Fund, LLC, Jeffory Churchfield, Jack Jarrell, and Anthony Buzaneli
LR-23632
Tropikgadget FZE, et al.
LR-23633
Jilbert Tahmazian, Esq.
LR-23634
Donald V. Watkins Sr., Esq., Watkins Pencor, LLC and Masada Resource Group, LLC
LR-23630
Daniel H. Mudd
LR-23631
Dennis Wayne Hamilton
LR-23628
Enviro Board Corporation, et al.
LR-23627
Edward F. Panos, et al.
LR-23625
Cedric Cañas Maillard
LR-23626
Secured Income Reserve, Inc. et al.
LR-23624
Richard Weed et al.
LR-23622
Michael Andre Jones
LR-23623
John M. Ragsdale
LR-23620
Sean Stewart
LR-23621
J. Patrick O'Neill and Robert H. Bray
LR-23618
Global Digital Solutions, Inc. et al.
LR-23619
Paul T. Rampoldi , et al.
LR-23616
Merrill Robertson, Jr., et al.
LR-23617
Benjamin Sydney Staples, et al.
LR-24573
Terry Wayne Kelly and Kelly Management, LLC
LR-24572
Andrew J. Kandelapas
LR-24570
Scott P. Strochak
LR-24571
Crystal World Holdings, Inc., et al.
LR-24566
Jehu Hand, et al.
LR-24567
Hani Zeini
LR-24568
Bill Tsai
LR-24569
Samuel Brown, et al.
LR-24564
Thomas W. Avent, Jr., et al.

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