SEC Enforcement Actions

300 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)
Bowser et al.
SEC Litigation Release LR-25003 — Bowser et al.
SEC EDGAR
2020-12-31
Litigation Release 2020
DeAndre P. Sears et al.
SEC Litigation Release LR-25002 — DeAndre P. Sears et al.
SEC EDGAR
2020-12-31
Litigation Release 2020
Anthony Thompson, Jr., et al.
SEC Litigation Release LR-25001 — Anthony Thompson, Jr., et al.
SEC EDGAR
2020-12-30
Litigation Release 2020
Gregory Altieri
SEC Litigation Release LR-25000 — Gregory Altieri
SEC EDGAR
2020-12-30
Litigation Release 2020
Joseph Taub, et al.
SEC Litigation Release LR-24999 — Joseph Taub, et al.
SEC EDGAR
2020-12-30
Litigation Release 2020
Jason Peltz
SEC Litigation Release LR-24998 — Jason Peltz
SEC EDGAR
2020-12-29
Litigation Release 2020
Qin et al
SEC Litigation Release LR-24997 — Qin et al
SEC EDGAR
2020-12-28
Litigation Release 2020
Global Investment Strategy UK Ltd. and John William Gunn
SEC Litigation Release LR-24996 — Global Investment Strategy UK Ltd. and John William Gunn
SEC EDGAR
2020-12-23
Litigation Release 2020
Ronnie Lee Moss, Jr., Genesis E&P, Inc., Royal Oil, LLC, and Catalyst Operating, LCC
SEC Litigation Release LR-24995 — Ronnie Lee Moss, Jr., Genesis E&P, Inc., Royal Oil, LLC, and Catalyst Operating, LCC
SEC EDGAR
2020-12-23
Litigation Release 2020
RPM International Inc. and Edward W. Moore
SEC Litigation Release LR-24994 — RPM International Inc. and Edward W. Moore
SEC EDGAR
2020-12-23
Litigation Release 2020
Charles Samel
SEC Litigation Release LR-24993 — Charles Samel
SEC EDGAR
2020-12-22
Litigation Release 2020
CapSource, Inc. et al., Michael B. Zipprich et al.
SEC Litigation Release LR-24992 — CapSource, Inc. et al., Michael B. Zipprich et al.
SEC EDGAR
2020-12-21
Litigation Release 2020
Dike Boone Nerren
SEC Litigation Release LR-24991 — Dike Boone Nerren
SEC EDGAR
2020-12-21
Litigation Release 2020
TH Wealth Management, LLC and Brian Keat Hobbs
SEC Litigation Release LR-24990 — TH Wealth Management, LLC and Brian Keat Hobbs
SEC EDGAR
2020-12-21
Litigation Release 2020
Barton S. Ross
SEC Litigation Release LR-24989 — Barton S. Ross
SEC EDGAR
2020-12-18
Litigation Release 2020
SAExploration Holdings, Inc., et al.
SEC Litigation Release LR-24988 — SAExploration Holdings, Inc., et al.
SEC EDGAR
2020-12-18
Litigation Release 2020
Luckin Coffee Inc.
SEC Litigation Release LR-24987 — Luckin Coffee Inc.
SEC EDGAR
2020-12-16
Litigation Release 2020
Karina Chairez
SEC Litigation Release LR-24986 — Karina Chairez
SEC EDGAR
2020-12-15
Litigation Release 2020
CapWealth Advisors, LLC, Timothy J. Pagliara, and Timothy R. Murphy
SEC Litigation Release LR-24985 — CapWealth Advisors, LLC, Timothy J. Pagliara, and Timothy R. Murphy
SEC EDGAR
2020-12-15
Litigation Release 2020
Roland M. Mathys
SEC Litigation Release LR-24984 — Roland M. Mathys
SEC EDGAR
2020-12-15
Litigation Release 2020
Roger E. Dobrovodsky, Robert Todd Seth, Matthew L. Walker
SEC Litigation Release LR-24983 — Roger E. Dobrovodsky, Robert Todd Seth, Matthew L. Walker
SEC EDGAR
2020-12-14
Litigation Release 2020
Christopher Clark and William Wright
SEC Litigation Release LR-24982 — Christopher Clark and William Wright
SEC EDGAR
2020-12-11
Litigation Release 2020
Sequential Brands Group, Inc.
SEC Litigation Release LR-24981 — Sequential Brands Group, Inc.
SEC EDGAR
2020-12-11
Litigation Release 2020
Amir Bruno Elmaani
SEC Litigation Release LR-24980 — Amir Bruno Elmaani
SEC EDGAR
2020-12-09
Litigation Release 2020
Gomes et al.
SEC Litigation Release LR-24979 — Gomes et al.
SEC EDGAR
2020-12-09
Litigation Release 2020
J. Jeremy Barbera, Carl Smith, and Nanobeak Biotech Inc.
SEC Litigation Release LR-24978 — J. Jeremy Barbera, Carl Smith, and Nanobeak Biotech Inc.
SEC EDGAR
2020-12-09
Litigation Release 2020
Applied BioSciences Corp.
SEC Litigation Release LR-24977 — Applied BioSciences Corp.
SEC EDGAR
2020-12-07
Litigation Release 2020
SCANA Corporation, et al.
SEC Litigation Release LR-24976 — SCANA Corporation, et al.
SEC EDGAR
2020-12-03
Litigation Release 2020
Eugenio Garcia Jimenez, Jr.
SEC Litigation Release LR-24975 — Eugenio Garcia Jimenez, Jr.
SEC EDGAR
2020-12-02
Litigation Release 2020
Bajic et al.
SEC Litigation Release LR-24974 — Bajic et al.
SEC EDGAR
2020-12-02
Litigation Release 2020
Richard J. Rubin and Thomas J. Craft, Jr.
SEC Litigation Release LR-24973 — Richard J. Rubin and Thomas J. Craft, Jr.
SEC EDGAR
2020-12-02
Litigation Release 2020
Mark Alan Lisser a/k/a Mark Alan a/k/a Mark Allen
SEC Litigation Release LR-24972 — Mark Alan Lisser a/k/a Mark Alan a/k/a Mark Allen
SEC EDGAR
2020-12-01
Litigation Release 2020
Garrett M. O'Rourke and Michael J. Black
SEC Litigation Release LR-24971 — Garrett M. O'Rourke and Michael J. Black
SEC EDGAR
2020-11-30
Litigation Release 2020
Brothers Investment Group International, Inc. N/K/A Brothers International Group Inc., et al.
SEC Litigation Release LR-24970 — Brothers Investment Group International, Inc. N/K/A Brothers International Group Inc., et al.
SEC EDGAR
2020-11-30
Litigation Release 2020
Rumbaugh et al
SEC Litigation Release LR-24969 — Rumbaugh et al
SEC EDGAR
2020-11-24
Litigation Release 2020
Benja Inc., et al.
SEC Litigation Release LR-24968 — Benja Inc., et al.
SEC EDGAR
2020-11-23
Litigation Release 2020
Michael R. Sullivan
SEC Litigation Release LR-24967 — Michael R. Sullivan
SEC EDGAR
2020-11-23
Litigation Release 2020
Winston Reed Investments LLC
SEC Litigation Release LR-24966 — Winston Reed Investments LLC
SEC EDGAR
2020-11-20
Litigation Release 2020
Richard W. Davis, Jr., et al.
SEC Litigation Release LR-24965 — Richard W. Davis, Jr., et al.
SEC EDGAR
2020-11-19
Litigation Release 2020
Carrie L. Tolstedt
SEC Litigation Release LR-24964 — Carrie L. Tolstedt
SEC EDGAR
2020-11-13
Litigation Release 2020
Christopher W. Burns, Investus Advisers LLC d/b/a Dynamic Money LLC, Investus Financial LLC, Peer Connect LLC, and Meredith L. Burns (Relief Defendant)
SEC Litigation Release LR-24963 — Christopher W. Burns, Investus Advisers LLC d/b/a Dynamic Money LLC, Investus Financial LLC, Peer Connect LLC, and Meredith L. Burns (Relief Defendant)
SEC EDGAR
2020-11-13
Litigation Release 2020
Douglas A. Roth
SEC Litigation Release LR-24961 — Douglas A. Roth
SEC EDGAR
2020-11-09
Litigation Release 2020
Robert C. Morgan
SEC Litigation Release LR-24960 — Robert C. Morgan
SEC EDGAR
2020-11-09
Litigation Release 2020
Hughe Duwayne Graham, Donald Lee Howard, Larry Louis Matyas
SEC Litigation Release LR-24958 — Hughe Duwayne Graham, Donald Lee Howard, Larry Louis Matyas
SEC EDGAR
2020-11-09
Litigation Release 2020
Mohammed Ali Rashid
SEC Litigation Release LR-24957 — Mohammed Ali Rashid
SEC EDGAR
2020-11-09
Litigation Release 2020
Ieremenko et al.
SEC Litigation Release LR-24956 — Ieremenko et al.
SEC EDGAR
2020-11-05
Litigation Release 2020
Curative Biosciences, Inc. f/k/a Healthient, Inc., William M. Alverson, Katherine West Alverson, and Steven G. Patton
SEC Litigation Release LR-24955 — Curative Biosciences, Inc. f/k/a Healthient, Inc., William M. Alverson, Katherine West Alverson, and Steven G. Patton
SEC EDGAR
2020-11-04
Litigation Release 2020
Terrence Chalk, et al.
SEC Litigation Release LR-24954 — Terrence Chalk, et al.
SEC EDGAR
2020-11-03
Litigation Release 2020
John A. Paulsen
SEC Litigation Release LR-24953 — John A. Paulsen
SEC EDGAR
2020-10-27
Litigation Release 2020
Alex Forester, Michael Hicks, Yarden Krampf, Christopher Lee, Sean O'Neal, Michael Raynor, and Lee Sobel
SEC Litigation Release LR-24952 — Alex Forester, Michael Hicks, Yarden Krampf, Christopher Lee, Sean O'Neal, Michael Raynor, and Lee Sobel
SEC EDGAR
2020-10-27
Litigation Release 2020
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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.