SEC Enforcement Actions
2,584 SEC litigation releases (2018–2026) from EDGAR public records
All Years 2026 (164) 2025 (249) 2024 (287) 2023 (314) 2022 (304) 2021 (290) 2020 (299) 2019 (320) 2018 (357)
Thompson Hunt and Associates, Ltd., et al.
SEC Litigation Release LR-26069 — Thompson Hunt and Associates, Ltd., et al.
SEC EDGAR
2024-08-08
Litigation Release 2024
Taylor Woods and Howard Wu
SEC Litigation Release LR-26068 — Taylor Woods and Howard Wu
SEC EDGAR
2024-08-07
Litigation Release 2024
Richard Xia, et al.
SEC Litigation Release LR-26067 — Richard Xia, et al.
SEC EDGAR
2024-08-06
Litigation Release 2024
Abraham Shafi and Barbara Woortmann
SEC Litigation Release LR-26066 — Abraham Shafi and Barbara Woortmann
SEC EDGAR
2024-08-06
Litigation Release 2024
Western International Securities, et al.,
SEC Litigation Release LR-26065 — Western International Securities, et al.,
SEC EDGAR
2024-07-31
Litigation Release 2024
South Bay Acquisitions, LLC, et al.
SEC Litigation Release LR-26064 — South Bay Acquisitions, LLC, et al.
SEC EDGAR
2024-07-31
Litigation Release 2024
Nader Al-Naji
SEC Litigation Release LR-26063 — Nader Al-Naji
SEC EDGAR
2024-07-30
Litigation Release 2024
Charles Baugh
SEC Litigation Release LR-26062 — Charles Baugh
SEC EDGAR
2024-07-30
Litigation Release 2024
Garrett W. Moretz
SEC Litigation Release LR-26061 — Garrett W. Moretz
SEC EDGAR
2024-07-29
Litigation Release 2024
Sivannarayana Barama
SEC Litigation Release LR-26060 — Sivannarayana Barama
SEC EDGAR
2024-07-29
Litigation Release 2024
Thomas San Miguel
SEC Litigation Release LR-26059 — Thomas San Miguel
SEC EDGAR
2024-07-29
Litigation Release 2024
Juan [a/k/a John] Campo
SEC Litigation Release LR-26058 — Juan [a/k/a John] Campo
SEC EDGAR
2024-07-26
Litigation Release 2024
Roosevelt Tobias Bailey, et al.
SEC Litigation Release LR-26057 — Roosevelt Tobias Bailey, et al.
SEC EDGAR
2024-07-26
Litigation Release 2024
Andrew Left, and Citron Capital, LLC
SEC Litigation Release LR-26056 — Andrew Left, and Citron Capital, LLC
SEC EDGAR
2024-07-26
Litigation Release 2024
Babu Ramaraj
SEC Litigation Release LR-26055 — Babu Ramaraj
SEC EDGAR
2024-07-25
Litigation Release 2024
Premium Point Investments LP et al.
SEC Litigation Release LR-26054 — Premium Point Investments LP et al.
SEC EDGAR
2024-07-24
Litigation Release 2024
Robert Newell and Black Hawk Funding, Inc.
SEC Litigation Release LR-26053 — Robert Newell and Black Hawk Funding, Inc.
SEC EDGAR
2024-07-23
Litigation Release 2024
Yossi Engel
SEC Litigation Release LR-26052 — Yossi Engel
SEC EDGAR
2024-07-19
Litigation Release 2024
Patrick Orlando
SEC Litigation Release LR-26051 — Patrick Orlando
SEC EDGAR
2024-07-19
Litigation Release 2024
Ricardi Celicourt and Brisly Guillaume
SEC Litigation Release LR-26050 — Ricardi Celicourt and Brisly Guillaume
SEC EDGAR
2024-07-19
Litigation Release 2024
Eliyahu Weinstein, Aryeh L. Bromberg, Joel L. Wittels, Richard M. Curry, Christopher J. Anderson, Alaa Mohamed Hattab, and Shlomo Erez
SEC Litigation Release LR-26049 — Eliyahu Weinstein, Aryeh L. Bromberg, Joel L. Wittels, Richard M. Curry, Christopher J. Anderson, Alaa Mohamed Hattab, and Shlomo Erez
SEC EDGAR
2024-07-15
Litigation Release 2024
George Iakovou, et. al
SEC Litigation Release LR-26048 — George Iakovou, et. al
SEC EDGAR
2024-07-09
Litigation Release 2024
Evarist C. Amah
SEC Litigation Release LR-26047 — Evarist C. Amah
SEC EDGAR
2024-07-08
Litigation Release 2024
Neil S. Chandran, et al.
SEC Litigation Release LR-26046 — Neil S. Chandran, et al.
SEC EDGAR
2024-07-08
Litigation Release 2024
Gene Daniel Levoff
SEC Litigation Release LR-26045 — Gene Daniel Levoff
SEC EDGAR
2024-07-08
Litigation Release 2024
Silvergate Capital Corporation, Alan J. Lane, Kathleen Fraher, and Antonio Martino
SEC Litigation Release LR-26044 — Silvergate Capital Corporation, Alan J. Lane, Kathleen Fraher, and Antonio Martino
SEC EDGAR
2024-07-02
Litigation Release 2024
John J. Kralik V, JKV Capital, LLC, and JKV LLC
SEC Litigation Release LR-26043 — John J. Kralik V, JKV Capital, LLC, and JKV LLC
SEC EDGAR
2024-07-02
Litigation Release 2024
George Lewis Parsons II
SEC Litigation Release LR-26042 — George Lewis Parsons II
SEC EDGAR
2024-07-02
Litigation Release 2024
Hedonova Fund LLC Hedonova Advisors LLC
SEC Litigation Release LR-26041 — Hedonova Fund LLC Hedonova Advisors LLC
SEC EDGAR
2024-07-02
Litigation Release 2024
Adrian J. Kawuba
SEC Litigation Release LR-26040 — Adrian J. Kawuba
SEC EDGAR
2024-07-01
Litigation Release 2024
Consensys Software Inc.
SEC Litigation Release LR-26039 — Consensys Software Inc.
SEC EDGAR
2024-07-01
Litigation Release 2024
BorrowMoney.com, Inc. and Aldo Piscitello
SEC Litigation Release LR-26038 — BorrowMoney.com, Inc. and Aldo Piscitello
SEC EDGAR
2024-06-27
Litigation Release 2024
Mike K. Veldhuis, Paul Sexton, Jackson T. Friesen, Zhiying Yvonne Gasarch, and Courtney Kelln
SEC Litigation Release LR-26037 — Mike K. Veldhuis, Paul Sexton, Jackson T. Friesen, Zhiying Yvonne Gasarch, and Courtney Kelln
SEC EDGAR
2024-06-26
Litigation Release 2024
Lufkin Advisors, LLC and Chauncey Forbush Lufkin, III
SEC Litigation Release LR-26036 — Lufkin Advisors, LLC and Chauncey Forbush Lufkin, III
SEC EDGAR
2024-06-25
Litigation Release 2024
John Brda and Georgios Palikaras
SEC Litigation Release LR-26035 — John Brda and Georgios Palikaras
SEC EDGAR
2024-06-25
Litigation Release 2024
Ross McLellan
SEC Litigation Release LR-26034 — Ross McLellan
SEC EDGAR
2024-06-20
Litigation Release 2024
Yanni Tassev
SEC Litigation Release LR-26033 — Yanni Tassev
SEC EDGAR
2024-06-18
Litigation Release 2024
Western Sierra Resource Corporation, Roger Johnson, and Dennis Atkins
SEC Litigation Release LR-26032 — Western Sierra Resource Corporation, Roger Johnson, and Dennis Atkins
SEC EDGAR
2024-06-18
Litigation Release 2024
Matthew Brown and Matthew Brown Companies, LLC
SEC Litigation Release LR-26031 — Matthew Brown and Matthew Brown Companies, LLC
SEC EDGAR
2024-06-17
Litigation Release 2024
Karen Rosenberger et al.
SEC Litigation Release LR-26030 — Karen Rosenberger et al.
SEC EDGAR
2024-06-14
Litigation Release 2024
PixarBio Corp. et al.
SEC Litigation Release LR-26029 — PixarBio Corp. et al.
SEC EDGAR
2024-06-14
Litigation Release 2024
Joshua Charles Avikzer Goltry and JAG Capital Advisors, LLC
SEC Litigation Release LR-26028 — Joshua Charles Avikzer Goltry and JAG Capital Advisors, LLC
SEC EDGAR
2024-06-14
Litigation Release 2024
Bhardwaj et al.
SEC Litigation Release LR-26027 — Bhardwaj et al.
SEC EDGAR
2024-06-13
Litigation Release 2024
Brian C. Jensen
SEC Litigation Release LR-26026 — Brian C. Jensen
SEC EDGAR
2024-06-13
Litigation Release 2024
Christopher R. Bentley, et al.
SEC Litigation Release LR-26025 — Christopher R. Bentley, et al.
SEC EDGAR
2024-06-13
Litigation Release 2024
Giguiere et al.
SEC Litigation Release LR-26024 — Giguiere et al.
SEC EDGAR
2024-06-13
Litigation Release 2024
Zhou Min Ni and Jian Ming "Jonathan" Ni, CPA
SEC Litigation Release LR-26023 — Zhou Min Ni and Jian Ming "Jonathan" Ni, CPA
SEC EDGAR
2024-06-12
Litigation Release 2024
James L. Koutoulas
SEC Litigation Release LR-26022 — James L. Koutoulas
SEC EDGAR
2024-06-12
Litigation Release 2024
Mario Gogliormella, Steven Lacaj, and Karim Ibrahim a/k/a/ Chris Hayes
SEC Litigation Release LR-26021 — Mario Gogliormella, Steven Lacaj, and Karim Ibrahim a/k/a/ Chris Hayes
SEC EDGAR
2024-06-12
Litigation Release 2024
Ilit Raz
SEC Litigation Release LR-26020 — Ilit Raz
SEC EDGAR
2024-06-11
Litigation Release 2024
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.