SEC Enforcement Actions

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

Sterling Capital, LLC
SEC Litigation Release LR-26562 — Sterling Capital, LLC
SEC EDGAR
2026-06-08
Litigation Release 2026
JianQing Li
SEC Litigation Release LR-26561 — JianQing Li
SEC EDGAR
2026-06-05
Litigation Release 2026
Phoenix American Hospitality, LLC; William Lee "Perch" Nelson
SEC Litigation Release LR-26560 — Phoenix American Hospitality, LLC; William Lee "Perch" Nelson
SEC EDGAR
2026-06-05
Litigation Release 2026
Ross Gregory Erskine
SEC Litigation Release LR-26559 — Ross Gregory Erskine
SEC EDGAR
2026-06-03
Litigation Release 2026
Nathan Fuller
SEC Litigation Release LR-26558 — Nathan Fuller
SEC EDGAR
2026-05-29
Litigation Release 2026
James Blake Daughtry
SEC Litigation Release LR-26557 — James Blake Daughtry
SEC EDGAR
2026-05-21
Litigation Release 2026
Oskar Elmgart; Raymond Leibman
SEC Litigation Release LR-26556 — Oskar Elmgart; Raymond Leibman
SEC EDGAR
2026-05-18
Litigation Release 2026
Joseph Geromini
SEC Litigation Release LR-26555 — Joseph Geromini
SEC EDGAR
2026-05-15
Litigation Release 2026
Gautam Adani and Sagar Adani
SEC Litigation Release LR-26554 — Gautam Adani and Sagar Adani
SEC EDGAR
2026-05-14
Litigation Release 2026
Robert Newell
SEC Litigation Release LR-26553 — Robert Newell
SEC EDGAR
2026-05-14
Litigation Release 2026
Nicolo Nourafchan; Robert Yadgarov; Mark Alperin; Miakel Bishay; David Bratslavsky; Brian Fensterszaub; Mark Fensterszaub; Simon Fensterszaub; Gabriel Gershowitz; Fernando Grinberg; Boruch Hatanian; Yisroel Horowitz; Joseph Izsak; Daniel Kavian; Eliyahu Kavian; Nowel Milik; Lorenzo Nourafchan; David Ostrov; Gavryel Silverstein; Joseph Suskind; and Seth Winslow
SEC Litigation Release LR-26551 — Nicolo Nourafchan; Robert Yadgarov; Mark Alperin; Miakel Bishay; David Bratslavsky; Brian Fensterszaub; Mark Fensterszaub; Simon Fensterszaub; Gabriel Gershowitz; Fernando Grinberg; Boruch Hatanian; Yisroel Horowitz; Joseph Izsak; Daniel Kavian; Eliyahu Kavian; Nowel Milik; Lorenzo Nourafchan; David Ostrov; Gavryel Silverstein; Joseph Suskind; and Seth Winslow
SEC EDGAR
2026-05-07
Litigation Release 2026
Robert L. Murray, Jr.
SEC Litigation Release LR-26550 — Robert L. Murray, Jr.
SEC EDGAR
2026-05-05
Litigation Release 2026
David P. Ortiz and DaveGlo Investment Group, Inc.
SEC Litigation Release LR-26549 — David P. Ortiz and DaveGlo Investment Group, Inc.
SEC EDGAR
2026-05-05
Litigation Release 2026
Elon Musk and Elon Musk Revocable Trust Dated July 22, 2003
SEC Litigation Release LR-26548 — Elon Musk and Elon Musk Revocable Trust Dated July 22, 2003
SEC EDGAR
2026-05-04
Litigation Release 2026
Neil R. Cole
SEC Litigation Release LR-26547 — Neil R. Cole
SEC EDGAR
2026-05-04
Litigation Release 2026
Aaron Verdugo, et al.
SEC Litigation Release LR-26546 — Aaron Verdugo, et al.
SEC EDGAR
2026-04-30
Litigation Release 2026
Christopher Flagg; Daquan Lloyd; Travis Treusch
SEC Litigation Release LR-26545 — Christopher Flagg; Daquan Lloyd; Travis Treusch
SEC EDGAR
2026-04-30
Litigation Release 2026
Anthony Joseph Cataldo
SEC Litigation Release LR-26544 — Anthony Joseph Cataldo
SEC EDGAR
2026-04-29
Litigation Release 2026
Alvin Christopher Jones, Esq.
SEC Litigation Release LR-26543 — Alvin Christopher Jones, Esq.
SEC EDGAR
2026-04-29
Litigation Release 2026
Jai Sondhi
SEC Litigation Release LR-26542 — Jai Sondhi
SEC EDGAR
2026-04-29
Litigation Release 2026
RYVYL, Inc.; Fredi Nisan; Benzion Errez
SEC Litigation Release LR-26541 — RYVYL, Inc.; Fredi Nisan; Benzion Errez
SEC EDGAR
2026-04-28
Litigation Release 2026
Terrence Chalk
SEC Litigation Release LR-26540 — Terrence Chalk
SEC EDGAR
2026-04-27
Litigation Release 2026
John Fernandez, Avail Progression, LLC, and Elite Generators, LLC
SEC Litigation Release LR-26539 — John Fernandez, Avail Progression, LLC, and Elite Generators, LLC
SEC EDGAR
2026-04-24
Litigation Release 2026
Jay S. Lucas and Lucas Brand Equity, LLC
SEC Litigation Release LR-26538 — Jay S. Lucas and Lucas Brand Equity, LLC
SEC EDGAR
2026-04-24
Litigation Release 2026
Clarice Saw
SEC Litigation Release LR-26537 — Clarice Saw
SEC EDGAR
2026-04-23
Litigation Release 2026
AI Investment Education Foundation Ltd.
SEC Litigation Release LR-26536 — AI Investment Education Foundation Ltd.
SEC EDGAR
2026-04-23
Litigation Release 2026
Supreme Power Capital Management Ltd.
SEC Litigation Release LR-26535 — Supreme Power Capital Management Ltd.
SEC EDGAR
2026-04-23
Litigation Release 2026
Voyager Pacific Capital Management, LLC; Roger David Hardcastle; John Giarmarco; Vanessa Lung Medlock; and Relief Defendants Adagio SPE LLC; Andante SPE LLC; Brighton Cove LLC; Cayucos Dream, LLC; GSD Equities, LLC; HGM Holdings LLC; Kastlemark LLC; Martin-Taylor Company LLC; Premier Property Management Group, LLC
SEC Litigation Release LR-26534 — Voyager Pacific Capital Management, LLC; Roger David Hardcastle; John Giarmarco; Vanessa Lung Medlock; and Relief Defendants Adagio SPE LLC; Andante SPE LLC; Brighton Cove LLC; Cayucos Dream, LLC; GSD Equities, LLC; HGM Holdings LLC; Kastlemark LLC; Martin-Taylor Company LLC; Premier Property Management Group, LLC
SEC EDGAR
2026-04-21
Litigation Release 2026
Rakesh Ahuja
SEC Litigation Release LR-26533 — Rakesh Ahuja
SEC EDGAR
2026-04-21
Litigation Release 2026
Harsh V. Patel
SEC Litigation Release LR-26532 — Harsh V. Patel
SEC EDGAR
2026-04-20
Litigation Release 2026
Kevin N. Richards
SEC Litigation Release LR-26531 — Kevin N. Richards
SEC EDGAR
2026-04-17
Litigation Release 2026
Donald G. Basile, GIBF GP, Inc, and Monsoon Blockchain Corporation
SEC Litigation Release LR-26530 — Donald G. Basile, GIBF GP, Inc, and Monsoon Blockchain Corporation
SEC EDGAR
2026-04-17
Litigation Release 2026
Sudheesh Nambiar
SEC Litigation Release LR-26529 — Sudheesh Nambiar
SEC EDGAR
2026-04-17
Litigation Release 2026
Spartan Trading Company, LLC; Estate of Richard Myre; and Estate of Dale Dahmen
SEC Litigation Release LR-26528 — Spartan Trading Company, LLC; Estate of Richard Myre; and Estate of Dale Dahmen
SEC EDGAR
2026-04-15
Litigation Release 2026
Peter R. Quartararo
SEC Litigation Release LR-26527 — Peter R. Quartararo
SEC EDGAR
2026-04-15
Litigation Release 2026
Christopher Joseph Bongiorno and Jason Allan Arthur
SEC Litigation Release LR-26526 — Christopher Joseph Bongiorno and Jason Allan Arthur
SEC EDGAR
2026-04-10
Litigation Release 2026
Backswing Ventures GP LLC and Kyle James Asman
SEC Litigation Release LR-26525 — Backswing Ventures GP LLC and Kyle James Asman
SEC EDGAR
2026-04-09
Litigation Release 2026
Geoffrey Allen Wall
SEC Litigation Release LR-26524 — Geoffrey Allen Wall
SEC EDGAR
2026-04-09
Litigation Release 2026
Mark D. Anderson; BBFY USA, Inc.; and Captain Drake, LLC
SEC Litigation Release LR-26523 — Mark D. Anderson; BBFY USA, Inc.; and Captain Drake, LLC
SEC EDGAR
2026-04-08
Litigation Release 2026
Gianoplus Consortia LLC; Michael Peter Gianoplus; Traci Leigh Bransford-Marquis
SEC Litigation Release LR-26522 — Gianoplus Consortia LLC; Michael Peter Gianoplus; Traci Leigh Bransford-Marquis
SEC EDGAR
2026-04-08
Litigation Release 2026
Jeffrey Higgins
SEC Litigation Release LR-26521 — Jeffrey Higgins
SEC EDGAR
2026-04-06
Litigation Release 2026
Vincent J. Camarda, James E. McArthur, and A.G. Morgan Financial Advisors, LLC
SEC Litigation Release LR-26520 — Vincent J. Camarda, James E. McArthur, and A.G. Morgan Financial Advisors, LLC
SEC EDGAR
2026-04-03
Litigation Release 2026
The Estate of John R. Brodacki, III and Castle Hill Financial Group, LLC
SEC Litigation Release LR-26519 — The Estate of John R. Brodacki, III and Castle Hill Financial Group, LLC
SEC EDGAR
2026-04-02
Litigation Release 2026
Michael Smith and Douglas Joshua Dalton
SEC Litigation Release LR-26518 — Michael Smith and Douglas Joshua Dalton
SEC EDGAR
2026-04-01
Litigation Release 2026
Jon G. Fullenkamp and Scott R. Sand
SEC Litigation Release LR-26517 — Jon G. Fullenkamp and Scott R. Sand
SEC EDGAR
2026-03-31
Litigation Release 2026
Brent David Willis
SEC Litigation Release LR-26516 — Brent David Willis
SEC EDGAR
2026-03-31
Litigation Release 2026
Eliseo Prisno and P/E Capital Investment Management Partners
SEC Litigation Release LR-26515 — Eliseo Prisno and P/E Capital Investment Management Partners
SEC EDGAR
2026-03-31
Litigation Release 2026
Brent Cranmer and Daniel McCormick
SEC Litigation Release LR-26514 — Brent Cranmer and Daniel McCormick
SEC EDGAR
2026-03-30
Litigation Release 2026
Ronald Smith
SEC Litigation Release LR-26513 — Ronald Smith
SEC EDGAR
2026-03-30
Litigation Release 2026
Titanium Capital LLC; Henry Abdo
SEC Litigation Release LR-26512 — Titanium Capital LLC; Henry Abdo
SEC EDGAR
2026-03-30
Litigation Release 2026
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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.