SEC Enforcement Actions
314 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)
Diana Mae Fernandez
SEC Litigation Release LR-25918 — Diana Mae Fernandez
SEC EDGAR
2023-12-28
Litigation Release 2023
Jonathan Larmore, et al.
SEC Litigation Release LR-25917 — Jonathan Larmore, et al.
SEC EDGAR
2023-12-26
Litigation Release 2023
Laura Tyler Perryman
SEC Litigation Release LR-25916 — Laura Tyler Perryman
SEC EDGAR
2023-12-19
Litigation Release 2023
Dozy Mmobuosi, et al.
SEC Litigation Release LR-25915 — Dozy Mmobuosi, et al.
SEC EDGAR
2023-12-19
Litigation Release 2023
Agridime LLC, Joshua Link, and Jed Wood
SEC Litigation Release LR-25914 — Agridime LLC, Joshua Link, and Jed Wood
SEC EDGAR
2023-12-18
Litigation Release 2023
Dozy Mmobuosi, et al.
SEC Litigation Release LR-25913 — Dozy Mmobuosi, et al.
SEC EDGAR
2023-12-18
Litigation Release 2023
Titanium Capital LLC; Henry Abdo; Carol Ann Barsh
SEC Litigation Release LR-25912 — Titanium Capital LLC; Henry Abdo; Carol Ann Barsh
SEC EDGAR
2023-12-18
Litigation Release 2023
Justin Murphy and Mara Investments LLC
SEC Litigation Release LR-25911 — Justin Murphy and Mara Investments LLC
SEC EDGAR
2023-12-14
Litigation Release 2023
David Blaszczak, et al.
SEC Litigation Release LR-25910 — David Blaszczak, et al.
SEC EDGAR
2023-12-14
Litigation Release 2023
GPB Capital Holdings LLC
SEC Litigation Release LR-25909 — GPB Capital Holdings LLC
SEC EDGAR
2023-12-12
Litigation Release 2023
Andrew M. Komarow
SEC Litigation Release LR-25908 — Andrew M. Komarow
SEC EDGAR
2023-12-08
Litigation Release 2023
Raymond J. Pirrello, Jr., et al.
SEC Litigation Release LR-25907 — Raymond J. Pirrello, Jr., et al.
SEC EDGAR
2023-12-07
Litigation Release 2023
CanaFarma Hemp Products Corp.; Vitaly Fargesen; Igor Palatnik; Frank Barone; Kirill Chumenko
SEC Litigation Release LR-25906 — CanaFarma Hemp Products Corp.; Vitaly Fargesen; Igor Palatnik; Frank Barone; Kirill Chumenko
SEC EDGAR
2023-12-05
Litigation Release 2023
Marc E. Wexler
SEC Litigation Release LR-25905 — Marc E. Wexler
SEC EDGAR
2023-12-05
Litigation Release 2023
Andrew DeFrancesco, Marlio Mauricio Diaz Cardona, Carlos Felipe Rezk, Nicola Faukovic, and Catherine DeFrancesco
SEC Litigation Release LR-25904 — Andrew DeFrancesco, Marlio Mauricio Diaz Cardona, Carlos Felipe Rezk, Nicola Faukovic, and Catherine DeFrancesco
SEC EDGAR
2023-11-29
Litigation Release 2023
Joseph M. Dupont et al.
SEC Litigation Release LR-25903 — Joseph M. Dupont et al.
SEC EDGAR
2023-11-28
Litigation Release 2023
SAExploration Holdings, Inc., et al.
SEC Litigation Release LR-25902 — SAExploration Holdings, Inc., et al.
SEC EDGAR
2023-11-22
Litigation Release 2023
Twin Spires Financial LLC, Aaron B. Fletcher, Town of Sterlington, Louisiana, and Vern A. Breland
SEC Litigation Release LR-25901 — Twin Spires Financial LLC, Aaron B. Fletcher, Town of Sterlington, Louisiana, and Vern A. Breland
SEC EDGAR
2023-11-21
Litigation Release 2023
Brite Advisors USA, Inc.
SEC Litigation Release LR-25900 — Brite Advisors USA, Inc.
SEC EDGAR
2023-11-21
Litigation Release 2023
Michael V. Shustek and Vestin Mortgage LLC
SEC Litigation Release LR-25899 — Michael V. Shustek and Vestin Mortgage LLC
SEC EDGAR
2023-11-21
Litigation Release 2023
Rio Tinto plc, Rio Tinto Limited, Thomas Albanese, Guy Elliott
SEC Litigation Release LR-25898 — Rio Tinto plc, Rio Tinto Limited, Thomas Albanese, Guy Elliott
SEC EDGAR
2023-11-21
Litigation Release 2023
Nadim Ahmed, Mehreen Shah, NYC Green Transportation Group, LLC, NuRide Transportation Group, LLC, Med Trans EB-5 Fund, LLC, Gravitas NYC Regional Center, LLC, Mona Shah & Associates, PLLC
SEC Litigation Release LR-25897 — Nadim Ahmed, Mehreen Shah, NYC Green Transportation Group, LLC, NuRide Transportation Group, LLC, Med Trans EB-5 Fund, LLC, Gravitas NYC Regional Center, LLC, Mona Shah & Associates, PLLC
SEC EDGAR
2023-11-21
Litigation Release 2023
Payward, Inc. and Payward Ventures, Inc.
SEC Litigation Release LR-25896 — Payward, Inc. and Payward Ventures, Inc.
SEC EDGAR
2023-11-21
Litigation Release 2023
Alan Z. Appelbaum
SEC Litigation Release LR-25895 — Alan Z. Appelbaum
SEC EDGAR
2023-11-17
Litigation Release 2023
Marguerite Cassandra Toroian and Bell Rock Capital, LLC
SEC Litigation Release LR-25894 — Marguerite Cassandra Toroian and Bell Rock Capital, LLC
SEC EDGAR
2023-11-16
Litigation Release 2023
Matthew Melton
SEC Litigation Release LR-25893 — Matthew Melton
SEC EDGAR
2023-11-15
Litigation Release 2023
Jake Soberal and Irma Olguin, Jr.
SEC Litigation Release LR-25892 — Jake Soberal and Irma Olguin, Jr.
SEC EDGAR
2023-11-15
Litigation Release 2023
John A. Masanotti, Jr. and Middlesex Mortgage Group, LLC
SEC Litigation Release LR-25891 — John A. Masanotti, Jr. and Middlesex Mortgage Group, LLC
SEC EDGAR
2023-11-09
Litigation Release 2023
Premium Point Investments LP et al.
SEC Litigation Release LR-25890 — Premium Point Investments LP et al.
SEC EDGAR
2023-11-08
Litigation Release 2023
John Hughes
SEC Litigation Release LR-25889 — John Hughes
SEC EDGAR
2023-11-02
Litigation Release 2023
SafeMoon LLC, SafeMoon US LLC, Kyle Nagy, Braden John Karony, Thomas Glenn Smith
SEC Litigation Release LR-25888 — SafeMoon LLC, SafeMoon US LLC, Kyle Nagy, Braden John Karony, Thomas Glenn Smith
SEC EDGAR
2023-11-01
Litigation Release 2023
SolarWinds Corporation and Timothy G. Brown
SEC Litigation Release LR-25887 — SolarWinds Corporation and Timothy G. Brown
SEC EDGAR
2023-10-31
Litigation Release 2023
Bruce Schoengood, Medifirst Solutions, Inc., and Joshua Tyrell
SEC Litigation Release LR-25886 — Bruce Schoengood, Medifirst Solutions, Inc., and Joshua Tyrell
SEC EDGAR
2023-10-27
Litigation Release 2023
Julie Anne Darrah, et al.,
SEC Litigation Release LR-25885 — Julie Anne Darrah, et al.,
SEC EDGAR
2023-10-25
Litigation Release 2023
Thor Technologies, Inc. and David Chin
SEC Litigation Release LR-25884 — Thor Technologies, Inc. and David Chin
SEC EDGAR
2023-10-19
Litigation Release 2023
Harmel S. Rayat, RenovaCare, Inc., Jatinder Bhogal, Jeetenderjit Singh Sidhu, and Sharon Fleming
SEC Litigation Release LR-25883 — Harmel S. Rayat, RenovaCare, Inc., Jatinder Bhogal, Jeetenderjit Singh Sidhu, and Sharon Fleming
SEC EDGAR
2023-10-18
Litigation Release 2023
Brian Marc Rubin
SEC Litigation Release LR-25882 — Brian Marc Rubin
SEC EDGAR
2023-10-17
Litigation Release 2023
Frederick L. Sharp et al.,
SEC Litigation Release LR-25881 — Frederick L. Sharp et al.,
SEC EDGAR
2023-10-13
Litigation Release 2023
Elon R. Musk
SEC Litigation Release LR-25880 — Elon R. Musk
SEC EDGAR
2023-10-05
Litigation Release 2023
Matthew M. Motil, et al.
SEC Litigation Release LR-25879 — Matthew M. Motil, et al.
SEC EDGAR
2023-10-04
Litigation Release 2023
Zera Financial LLC
SEC Litigation Release LR-25878 — Zera Financial LLC
SEC EDGAR
2023-10-03
Litigation Release 2023
Shannon Westhead, et al.;
ABFP Income Fund Parallel, LLC, et al.
SEC Litigation Release LR-25877 — Shannon Westhead, et al.;
ABFP Income Fund Parallel, LLC, et al.
SEC EDGAR
2023-10-02
Litigation Release 2023
Nano-x Imaging Ltd. and Ran Poliakine
SEC Litigation Release LR-25876 — Nano-x Imaging Ltd. and Ran Poliakine
SEC EDGAR
2023-09-29
Litigation Release 2023
Christofer Shurian; Utah Regional Investment Fund LLC; CCS of Utah, Inc.
SEC Litigation Release LR-25875 — Christofer Shurian; Utah Regional Investment Fund LLC; CCS of Utah, Inc.
SEC EDGAR
2023-09-29
Litigation Release 2023
Steven J. Jacobson; Advisor Resource Council
SEC Litigation Release LR-25874 — Steven J. Jacobson; Advisor Resource Council
SEC EDGAR
2023-09-29
Litigation Release 2023
Stephone N. Patton, Star Oil and Gas Company, Inc., et al.
SEC Litigation Release LR-25873 — Stephone N. Patton, Star Oil and Gas Company, Inc., et al.
SEC EDGAR
2023-09-29
Litigation Release 2023
Adam R. Long; L2 Capital, LLC; Oasis Capital LLC
SEC Litigation Release LR-25872 — Adam R. Long; L2 Capital, LLC; Oasis Capital LLC
SEC EDGAR
2023-09-29
Litigation Release 2023
John Feloni and Stock Squirrel, Inc.
SEC Litigation Release LR-25871 — John Feloni and Stock Squirrel, Inc.
SEC EDGAR
2023-09-29
Litigation Release 2023
Luther C. Speight, III and Luther Speight & Company, LLC
SEC Litigation Release LR-25870 — Luther C. Speight, III and Luther Speight & Company, LLC
SEC EDGAR
2023-09-29
Litigation Release 2023
Third Friday Management, LLC and Michael E. Lewitt
SEC Litigation Release LR-25869 — Third Friday Management, LLC and Michael E. Lewitt
SEC EDGAR
2023-09-29
Litigation Release 2023
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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.