SEC Enforcement Actions
249 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)
David J. Bradford and Gerardo L. Linarducci
SEC Litigation Release LR-26456 — David J. Bradford and Gerardo L. Linarducci
SEC EDGAR
2025-12-30
Litigation Release 2025
David Hudzik
SEC Litigation Release LR-26455 — David Hudzik
SEC EDGAR
2025-12-23
Litigation Release 2025
Bryan Scott McMillan
SEC Litigation Release LR-26454 — Bryan Scott McMillan
SEC EDGAR
2025-12-23
Litigation Release 2025
Morocoin Tech Corp.; Berge Blockchain Technology Co., Ltd.; Cirkor Inc.; AI Wealth Inc.; Lane Wealth Inc.; AI Investment Education Foundation Ltd.;
Zenith Asset Tech Foundation
SEC Litigation Release LR-26453 — Morocoin Tech Corp.; Berge Blockchain Technology Co., Ltd.; Cirkor Inc.; AI Wealth Inc.; Lane Wealth Inc.; AI Investment Education Foundation Ltd.;
Zenith Asset Tech Foundation
SEC EDGAR
2025-12-22
Litigation Release 2025
Scott J. Mason; Rubicon Wealth Management, LLC; Orchard Park Real Estate Holdings LLC
SEC Litigation Release LR-26451 — Scott J. Mason; Rubicon Wealth Management, LLC; Orchard Park Real Estate Holdings LLC
SEC EDGAR
2025-12-19
Litigation Release 2025
Caroline Ellison, Gary Wang, and Nishad Singh
SEC Litigation Release LR-26450 — Caroline Ellison, Gary Wang, and Nishad Singh
SEC EDGAR
2025-12-19
Litigation Release 2025
George John Drazenovic
SEC Litigation Release LR-26449 — George John Drazenovic
SEC EDGAR
2025-12-19
Litigation Release 2025
Danh C. Vo
SEC Litigation Release LR-26448 — Danh C. Vo
SEC EDGAR
2025-12-17
Litigation Release 2025
Mina Tadrus
SEC Litigation Release LR-26447 — Mina Tadrus
SEC EDGAR
2025-12-17
Litigation Release 2025
Fred W. Wagenhals, Robert D. Wiley, and Christopher D. Larson
SEC Litigation Release LR-26446 — Fred W. Wagenhals, Robert D. Wiley, and Christopher D. Larson
SEC EDGAR
2025-12-17
Litigation Release 2025
Artur Khachatryan
SEC Litigation Release LR-26445 — Artur Khachatryan
SEC EDGAR
2025-12-16
Litigation Release 2025
James O Ward, Jr.
SEC Litigation Release LR-26444 — James O Ward, Jr.
SEC EDGAR
2025-12-16
Litigation Release 2025
Irfan Mohammed
SEC Litigation Release LR-26443 — Irfan Mohammed
SEC EDGAR
2025-12-15
Litigation Release 2025
Charles D. Oliver; David P. Ortiz; DaveGlo Investment Group, Inc.; Kevin N. Richards
SEC Litigation Release LR-26442 — Charles D. Oliver; David P. Ortiz; DaveGlo Investment Group, Inc.; Kevin N. Richards
SEC EDGAR
2025-12-15
Litigation Release 2025
Tiffany Kelly and Curastory Inc.
SEC Litigation Release LR-26441 — Tiffany Kelly and Curastory Inc.
SEC EDGAR
2025-12-15
Litigation Release 2025
Kevin L. Jefferson and Demetrius L. Early
SEC Litigation Release LR-26440 — Kevin L. Jefferson and Demetrius L. Early
SEC EDGAR
2025-12-12
Litigation Release 2025
Nathan Gauvin; Blackridge, LLC; Gray Digital Capital Management USA, LLC; Gray Digital Technologies, LLC
SEC Litigation Release LR-26439 — Nathan Gauvin; Blackridge, LLC; Gray Digital Capital Management USA, LLC; Gray Digital Technologies, LLC
SEC EDGAR
2025-12-12
Litigation Release 2025
Marshall E. Melton and Integrated Consulting & Management, LLC
SEC Litigation Release LR-26438 — Marshall E. Melton and Integrated Consulting & Management, LLC
SEC EDGAR
2025-12-12
Litigation Release 2025
Rapid Therapeutic Science Laboratories, Inc. and Donal R. Schmidt, Jr.
SEC Litigation Release LR-26437 — Rapid Therapeutic Science Laboratories, Inc. and Donal R. Schmidt, Jr.
SEC EDGAR
2025-12-12
Litigation Release 2025
Oppenheimer & Co., Inc.
SEC Litigation Release LR-26435 — Oppenheimer & Co., Inc.
SEC EDGAR
2025-12-12
Litigation Release 2025
Thomas San Miguel
SEC Litigation Release LR-26436 — Thomas San Miguel
SEC EDGAR
2025-12-11
Litigation Release 2025
Global Research Analyst Settlement
SEC Litigation Release LR-26434 — Global Research Analyst Settlement
SEC EDGAR
2025-12-05
Litigation Release 2025
Shahin Ahmed
SEC Litigation Release LR-26433 — Shahin Ahmed
SEC EDGAR
2025-12-05
Litigation Release 2025
Gregoire P. Tournant; Trevor L. Taylor; Stephen G. Bond-Nelson
SEC Litigation Release LR-26432 — Gregoire P. Tournant; Trevor L. Taylor; Stephen G. Bond-Nelson
SEC EDGAR
2025-12-05
Litigation Release 2025
James R. Collins and Robert F. DiMeo
SEC Litigation Release LR-26431 — James R. Collins and Robert F. DiMeo
SEC EDGAR
2025-12-05
Litigation Release 2025
Yida Gao and Shima Capital Management LLC
SEC Litigation Release LR-26430 — Yida Gao and Shima Capital Management LLC
SEC EDGAR
2025-12-03
Litigation Release 2025
Srinivas Koneru
SEC Litigation Release LR-26429 — Srinivas Koneru
SEC EDGAR
2025-12-03
Litigation Release 2025
Andrew Scott Corbman
SEC Litigation Release LR-26428 — Andrew Scott Corbman
SEC EDGAR
2025-12-03
Litigation Release 2025
Virtu Financial, Inc.; Virtu Americas LLC
SEC Litigation Release LR-26427 — Virtu Financial, Inc.; Virtu Americas LLC
SEC EDGAR
2025-12-03
Litigation Release 2025
Solomon Lichtenstein
SEC Litigation Release LR-26426 — Solomon Lichtenstein
SEC EDGAR
2025-11-26
Litigation Release 2025
Andrew Wyles Waters
SEC Litigation Release LR-26425 — Andrew Wyles Waters
SEC EDGAR
2025-11-26
Litigation Release 2025
Shiloh Luckey
SEC Litigation Release LR-26424 — Shiloh Luckey
SEC EDGAR
2025-11-21
Litigation Release 2025
SolarWinds Corp. and Timothy G. Brown
SEC Litigation Release LR-26423 — SolarWinds Corp. and Timothy G. Brown
SEC EDGAR
2025-11-20
Litigation Release 2025
Michael G. Hull; Christopher J. Nohl; Bluepoint Investment Counsel, LLC; Chrysalis Financial LLC; and Greenpoint Asset Management II LLC
SEC Litigation Release LR-26422 — Michael G. Hull; Christopher J. Nohl; Bluepoint Investment Counsel, LLC; Chrysalis Financial LLC; and Greenpoint Asset Management II LLC
SEC EDGAR
2025-11-19
Litigation Release 2025
Linh Thuy Le and Trong Hoang Luu
SEC Litigation Release LR-26421 — Linh Thuy Le and Trong Hoang Luu
SEC EDGAR
2025-11-19
Litigation Release 2025
Marco G. Santarelli
SEC Litigation Release LR-26420 — Marco G. Santarelli
SEC EDGAR
2025-11-19
Litigation Release 2025
Joshua Wander, Steven Pasko, Damien Alfalla, 777 Partners LLC, and 600 Partners LLC
SEC Litigation Release LR-26419 — Joshua Wander, Steven Pasko, Damien Alfalla, 777 Partners LLC, and 600 Partners LLC
SEC EDGAR
2025-11-18
Litigation Release 2025
Cyrus P. Naderi
SEC Litigation Release LR-26418 — Cyrus P. Naderi
SEC EDGAR
2025-11-18
Litigation Release 2025
Anthony Viggiano, CPA
SEC Litigation Release LR-26417 — Anthony Viggiano, CPA
SEC EDGAR
2025-11-18
Litigation Release 2025
Bluesky Eagle Capital Management Ltd., Supreme Power Capital Management Ltd., AI Financial Education Foundation Ltd., AI Investment Education Foundation Ltd., Invesco Alpha Inc., Adamant Stone Limited
SEC Litigation Release LR-26416 — Bluesky Eagle Capital Management Ltd., Supreme Power Capital Management Ltd., AI Financial Education Foundation Ltd., AI Investment Education Foundation Ltd., Invesco Alpha Inc., Adamant Stone Limited
SEC EDGAR
2025-11-17
Litigation Release 2025
Agridime, LLC, Jed Wood, and Joshua Link
SEC Litigation Release LR-26415 — Agridime, LLC, Jed Wood, and Joshua Link
SEC EDGAR
2025-09-30
Litigation Release 2025
Prophecy Asset Management, LP, Jeffrey Spotts, and Brian Kahn
SEC Litigation Release LR-26414 — Prophecy Asset Management, LP, Jeffrey Spotts, and Brian Kahn
SEC EDGAR
2025-09-29
Litigation Release 2025
Taino Adrian Lopez, Alexander Farhang Mehr, and Maya Rose Burkenroad
SEC Litigation Release LR-26413 — Taino Adrian Lopez, Alexander Farhang Mehr, and Maya Rose Burkenroad
SEC EDGAR
2025-09-25
Litigation Release 2025
Lixin Azarmehr, JL Real Estate Development Corporation, Nevada Skilled Nursing Lender, LLC, and Nevada Skilled Nursing Development, LLC
SEC Litigation Release LR-26412 — Lixin Azarmehr, JL Real Estate Development Corporation, Nevada Skilled Nursing Lender, LLC, and Nevada Skilled Nursing Development, LLC
SEC EDGAR
2025-09-25
Litigation Release 2025
Matthew Derrick Hudson
SEC Litigation Release LR-26411 — Matthew Derrick Hudson
SEC EDGAR
2025-09-24
Litigation Release 2025
Dmitrii Yevgenyevich Kushnarev
SEC Litigation Release LR-26410 — Dmitrii Yevgenyevich Kushnarev
SEC EDGAR
2025-09-24
Litigation Release 2025
James R. Harrold; Franklin Management and Consulting, LLC; Accipter, LLC; Franklin Asset Management and Consulting, LLC; Franklin Management and Consulting, Inc.; and Concord Development Group, LLC
SEC Litigation Release LR-26409 — James R. Harrold; Franklin Management and Consulting, LLC; Accipter, LLC; Franklin Asset Management and Consulting, LLC; Franklin Management and Consulting, Inc.; and Concord Development Group, LLC
SEC EDGAR
2025-09-23
Litigation Release 2025
Arthur P. Pizzello. Jr.; Robert Quattrocchi
SEC Litigation Release LR-26408 — Arthur P. Pizzello. Jr.; Robert Quattrocchi
SEC EDGAR
2025-09-23
Litigation Release 2025
Aaron O'Brian Freeman
SEC Litigation Release LR-26407 — Aaron O'Brian Freeman
SEC EDGAR
2025-09-22
Litigation Release 2025
Pathyam Patel
SEC Litigation Release LR-26406 — Pathyam Patel
SEC EDGAR
2025-09-22
Litigation Release 2025
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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.