SEC Enforcement Actions

320 SEC litigation releases (2018–2026) from EDGAR public records

All Years 2026 (105) 2025 (249) 2024 (287) 2023 (314) 2022 (306) 2021 (289) 2020 (300) 2019 (320) 2018 (356)
Timothy J. Atkinson, et al.
SEC Litigation Release LR-24701 — Timothy J. Atkinson, et al.
SEC EDGAR
2019-12-30
Litigation Release 2019
Navnoor S. Kang, Gregg Z. Schonhorn, and Deborah D. Kelley
SEC Litigation Release LR-24700 — Navnoor S. Kang, Gregg Z. Schonhorn, and Deborah D. Kelley
SEC EDGAR
2019-12-26
Litigation Release 2019
Thomas J. Connerton and Safety Technologies LLC
SEC Litigation Release LR-24699 — Thomas J. Connerton and Safety Technologies LLC
SEC EDGAR
2019-12-23
Litigation Release 2019
Amir Waldman, et al.
SEC Litigation Release LR-24698 — Amir Waldman, et al.
SEC EDGAR
2019-12-23
Litigation Release 2019
Songjiang Wang
SEC Litigation Release LR-24697 — Songjiang Wang
SEC EDGAR
2019-12-20
Litigation Release 2019
S. Paul Kelley, et al.
SEC Litigation Release LR-24696 — S. Paul Kelley, et al.
SEC EDGAR
2019-12-20
Litigation Release 2019
Keith Springer and Springer Investment Management, Inc. dba Springer Financial Advisors
SEC Litigation Release LR-24695 — Keith Springer and Springer Investment Management, Inc. dba Springer Financial Advisors
SEC EDGAR
2019-12-20
Litigation Release 2019
Sam A. Antar
SEC Litigation Release LR-24694 — Sam A. Antar
SEC EDGAR
2019-12-18
Litigation Release 2019
Janardhan Nellore et al.
SEC Litigation Release LR-24693 — Janardhan Nellore et al.
SEC EDGAR
2019-12-18
Litigation Release 2019
Robert A. Karmann
SEC Litigation Release LR-24692 — Robert A. Karmann
SEC EDGAR
2019-12-18
Litigation Release 2019
Suneet Singal, First Capital Real Estate Investments LLC, First Capital Real Estate Advisors LP, and First Capital Real Estate Trust Inc.
SEC Litigation Release LR-24691 — Suneet Singal, First Capital Real Estate Investments LLC, First Capital Real Estate Advisors LP, and First Capital Real Estate Trust Inc.
SEC EDGAR
2019-12-16
Litigation Release 2019
John Special, Defendant, and Michael Murphy, Relief Defendant, John Kenneth Davidson
SEC Litigation Release LR-24690 — John Special, Defendant, and Michael Murphy, Relief Defendant, John Kenneth Davidson
SEC EDGAR
2019-12-12
Litigation Release 2019
Palm Beach Atlantic Financial Group, LLC and William A. Smith
SEC Litigation Release LR-24689 — Palm Beach Atlantic Financial Group, LLC and William A. Smith
SEC EDGAR
2019-12-11
Litigation Release 2019
Nanotech Engineering, Inc., Michael James Sweaney (also known as Michael Hatton), David Sweaney, and Jeffery Gange
SEC Litigation Release LR-24688 — Nanotech Engineering, Inc., Michael James Sweaney (also known as Michael Hatton), David Sweaney, and Jeffery Gange
SEC EDGAR
2019-12-11
Litigation Release 2019
Christopher Collins, et al.
SEC Litigation Release LR-24687 — Christopher Collins, et al.
SEC EDGAR
2019-12-10
Litigation Release 2019
Harpreet Grewal
SEC Litigation Release LR-24686 — Harpreet Grewal
SEC EDGAR
2019-12-10
Litigation Release 2019
Diane D. Dalmy et al.
SEC Litigation Release LR-24685 — Diane D. Dalmy et al.
SEC EDGAR
2019-12-09
Litigation Release 2019
Jeffrey O. Friedland, Global Corporate Strategies LLC., and Intiva Pharma, LLC
SEC Litigation Release LR-24684 — Jeffrey O. Friedland, Global Corporate Strategies LLC., and Intiva Pharma, LLC
SEC EDGAR
2019-12-09
Litigation Release 2019
William Eric Meek and Bobby Peavler
SEC Litigation Release LR-24683 — William Eric Meek and Bobby Peavler
SEC EDGAR
2019-12-09
Litigation Release 2019
Iconix Brand Group, Inc., Neil R. Cole and Seth Horowitz
SEC Litigation Release LR-24682 — Iconix Brand Group, Inc., Neil R. Cole and Seth Horowitz
SEC EDGAR
2019-12-05
Litigation Release 2019
Lester Burroughs
SEC Litigation Release LR-24681 — Lester Burroughs
SEC EDGAR
2019-12-05
Litigation Release 2019
SBB Research Group LLC, et al.
SEC Litigation Release LR-24680 — SBB Research Group LLC, et al.
SEC EDGAR
2019-12-04
Litigation Release 2019
NIT Enterprises, Inc., et al.
SEC Litigation Release LR-24679 — NIT Enterprises, Inc., et al.
SEC EDGAR
2019-11-29
Litigation Release 2019
MiMedx Group, Inc., Parker H. Petit, William C. Taylor, and Michael J. Senken
SEC Litigation Release LR-24678 — MiMedx Group, Inc., Parker H. Petit, William C. Taylor, and Michael J. Senken
SEC EDGAR
2019-11-26
Litigation Release 2019
The Nutmeg Group LLC and Randall Goulding
SEC Litigation Release LR-24677 — The Nutmeg Group LLC and Randall Goulding
SEC EDGAR
2019-11-26
Litigation Release 2019
Brett Pittsenbargar, et al.
SEC Litigation Release LR-24676 — Brett Pittsenbargar, et al.
SEC EDGAR
2019-11-25
Litigation Release 2019
Rishi Shah, Shradha Agarwal, Brad Purdy and Ashik Desai
SEC Litigation Release LR-24675 — Rishi Shah, Shradha Agarwal, Brad Purdy and Ashik Desai
SEC EDGAR
2019-11-25
Litigation Release 2019
Kevin B. Merrill, et al.
SEC Litigation Release LR-24674 — Kevin B. Merrill, et al.
SEC EDGAR
2019-11-25
Litigation Release 2019
Conrad A. Coggeshall, Defendant, and Business Owners Tax Relief, LLC, Relief Defendant
SEC Litigation Release LR-24673 — Conrad A. Coggeshall, Defendant, and Business Owners Tax Relief, LLC, Relief Defendant
SEC EDGAR
2019-11-25
Litigation Release 2019
Samuel DelPresto, et al.
SEC Litigation Release LR-24672 — Samuel DelPresto, et al.
SEC EDGAR
2019-11-21
Litigation Release 2019
Richard Lee, et al.
SEC Litigation Release LR-24671 — Richard Lee, et al.
SEC EDGAR
2019-11-21
Litigation Release 2019
Ruless Pierre a/k/a Rules Pierre
SEC Litigation Release LR-24670 — Ruless Pierre a/k/a Rules Pierre
SEC EDGAR
2019-11-21
Litigation Release 2019
Burkholz, et al.
SEC Litigation Release LR-24669 — Burkholz, et al.
SEC EDGAR
2019-11-20
Litigation Release 2019
James S. Kimmel
SEC Litigation Release LR-24668 — James S. Kimmel
SEC EDGAR
2019-11-19
Litigation Release 2019
Merrill Robertson, Jr., et al.
SEC Litigation Release LR-24667 — Merrill Robertson, Jr., et al.
SEC EDGAR
2019-11-15
Litigation Release 2019
Jerry Li
SEC Litigation Release LR-24666 — Jerry Li
SEC EDGAR
2019-11-15
Litigation Release 2019
Reginald Middleton, et al.
SEC Litigation Release LR-24665 — Reginald Middleton, et al.
SEC EDGAR
2019-11-14
Litigation Release 2019
Gregory M. Bercowy
SEC Litigation Release LR-24664 — Gregory M. Bercowy
SEC EDGAR
2019-11-12
Litigation Release 2019
American Growth Funding II, LLC, et al.
SEC Litigation Release LR-24663 — American Growth Funding II, LLC, et al.
SEC EDGAR
2019-11-12
Litigation Release 2019
KRM Services, LLC and Roberto J. Clark, Jr.
SEC Litigation Release LR-24662 — KRM Services, LLC and Roberto J. Clark, Jr.
SEC EDGAR
2019-11-08
Litigation Release 2019
Michael A. Gramins, et al.
SEC Litigation Release LR-24661 — Michael A. Gramins, et al.
SEC EDGAR
2019-11-07
Litigation Release 2019
Bolton Securities Corporation d/b/a Bolton Global Asset Management
SEC Litigation Release LR-24660 — Bolton Securities Corporation d/b/a Bolton Global Asset Management
SEC EDGAR
2019-11-06
Litigation Release 2019
David N. Osegueda, et al.
SEC Litigation Release LR-24659 — David N. Osegueda, et al.
SEC EDGAR
2019-11-06
Litigation Release 2019
Collector's Coffee (d/b/a Collectors Café), and Mykalai Kontilai
SEC Litigation Release LR-24658 — Collector's Coffee (d/b/a Collectors Café), and Mykalai Kontilai
SEC EDGAR
2019-11-04
Litigation Release 2019
Richard Eden, et al. and Dale Pearlman
SEC Litigation Release LR-24657 — Richard Eden, et al. and Dale Pearlman
SEC EDGAR
2019-11-04
Litigation Release 2019
North Star Finance LLC et al.
SEC Litigation Release LR-24656 — North Star Finance LLC et al.
SEC EDGAR
2019-11-01
Litigation Release 2019
Kevin B. Merrill, et al.
SEC Litigation Release LR-24655 — Kevin B. Merrill, et al.
SEC EDGAR
2019-10-31
Litigation Release 2019
PixarBio Corp. et al.
SEC Litigation Release LR-24653 — PixarBio Corp. et al.
SEC EDGAR
2019-10-31
Litigation Release 2019
Bovorn Rungruangnavarat
SEC Litigation Release LR-24654 — Bovorn Rungruangnavarat
SEC EDGAR
2019-10-31
Litigation Release 2019
DFRF Enterprises LLC, et al.
SEC Litigation Release LR-24652 — DFRF Enterprises LLC, et al.
SEC EDGAR
2019-10-29
Litigation Release 2019
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Every figure on PlainAdvisorCheck is rendered directly from FINRA BrokerCheck and SEC IAPD disciplinary records, no number is typed in by an editor. This page draws directly on SEC/FINRA regulatory filing data, no figure is typed in by an editor. See our editorial standards & corrections policy, the methodology behind these numbers, or report a data error.