SEC Enforcement Actions
2,526 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)
Matthew Nicosia, William Reininger, Fabrizio Di Carlo, and Ronald Touchard
SEC Litigation Release LR-25959 — Matthew Nicosia, William Reininger, Fabrizio Di Carlo, and Ronald Touchard
SEC EDGAR
2024-03-28
Litigation Release 2024
Jonathan William Mikula, et al.
SEC Litigation Release LR-25957 — Jonathan William Mikula, et al.
SEC EDGAR
2024-03-27
Litigation Release 2024
William Shupe and Daniel Cattlin
SEC Litigation Release LR-25958 — William Shupe and Daniel Cattlin
SEC EDGAR
2024-03-27
Litigation Release 2024
Jordan Qsar, Grant Witherspoon, Austin Bernard, and Chase Lambert
SEC Litigation Release LR-25956 — Jordan Qsar, Grant Witherspoon, Austin Bernard, and Chase Lambert
SEC EDGAR
2024-03-26
Litigation Release 2024
Andreas Bechtolsheim
SEC Litigation Release LR-25955 — Andreas Bechtolsheim
SEC EDGAR
2024-03-26
Litigation Release 2024
Stephen Scott Burns
SEC Litigation Release LR-25954 — Stephen Scott Burns
SEC EDGAR
2024-03-22
Litigation Release 2024
Steven J. Jacobson and Advisor Resource Council
SEC Litigation Release LR-25953 — Steven J. Jacobson and Advisor Resource Council
SEC EDGAR
2024-03-22
Litigation Release 2024
Joseph Padilla, et al.
SEC Litigation Release LR-25952 — Joseph Padilla, et al.
SEC EDGAR
2024-03-20
Litigation Release 2024
Bernard Findley and Halitron, Inc.
SEC Litigation Release LR-25951 — Bernard Findley and Halitron, Inc.
SEC EDGAR
2024-03-20
Litigation Release 2024
Evoqua Water Technologies Corp. and Imran Parekh
SEC Litigation Release LR-25950 — Evoqua Water Technologies Corp. and Imran Parekh
SEC EDGAR
2024-03-15
Litigation Release 2024
Ismael Zarco Sanchez, et al.
SEC Litigation Release LR-25949 — Ismael Zarco Sanchez, et al.
SEC EDGAR
2024-03-14
Litigation Release 2024
Roy M. Cook; Jeffrey A. Natrop; Peter S. Renner; James Rudolph and Peter Williams
SEC Litigation Release LR-25948 — Roy M. Cook; Jeffrey A. Natrop; Peter S. Renner; James Rudolph and Peter Williams
SEC EDGAR
2024-03-12
Litigation Release 2024
Ishan Wahi et al.
SEC Litigation Release LR-25947 — Ishan Wahi et al.
SEC EDGAR
2024-03-11
Litigation Release 2024
Anthony B. Liddle
SEC Litigation Release LR-25946 — Anthony B. Liddle
SEC EDGAR
2024-02-29
Litigation Release 2024
Harmel S. Rayat, RenovaCare, Inc., Jatinder Bhogal
SEC Litigation Release LR-25945 — Harmel S. Rayat, RenovaCare, Inc., Jatinder Bhogal
SEC EDGAR
2024-02-27
Litigation Release 2024
Paul A. Pereira
SEC Litigation Release LR-25944 — Paul A. Pereira
SEC EDGAR
2024-02-27
Litigation Release 2024
SHE Beverage Company, Inc. et al
SEC Litigation Release LR-25943 — SHE Beverage Company, Inc. et al
SEC EDGAR
2024-02-15
Litigation Release 2024
Dapilinu Dunbar and Corrie Sampson
SEC Litigation Release LR-25942 — Dapilinu Dunbar and Corrie Sampson
SEC EDGAR
2024-02-14
Litigation Release 2024
Christopher R. Esposito, et al.
SEC Litigation Release LR-25941 — Christopher R. Esposito, et al.
SEC EDGAR
2024-02-13
Litigation Release 2024
John Feloni et al.
SEC Litigation Release LR-25940 — John Feloni et al.
SEC EDGAR
2024-02-12
Litigation Release 2024
Arline E. Woodbury and Joyce L. Holverson
SEC Litigation Release LR-25939 — Arline E. Woodbury and Joyce L. Holverson
SEC EDGAR
2024-02-07
Litigation Release 2024
Jeffrey Auerbach
SEC Litigation Release LR-25938 — Jeffrey Auerbach
SEC EDGAR
2024-02-06
Litigation Release 2024
Jake Soberal and Irma Olguin, Jr.
SEC Litigation Release LR-25937 — Jake Soberal and Irma Olguin, Jr.
SEC EDGAR
2024-02-05
Litigation Release 2024
Brian Sewell and Rockwell Capital Management LLC
SEC Litigation Release LR-25936 — Brian Sewell and Rockwell Capital Management LLC
SEC EDGAR
2024-02-02
Litigation Release 2024
Comer Capital Group, LLC and Brandon L. Comer
SEC Litigation Release LR-25935 — Comer Capital Group, LLC and Brandon L. Comer
SEC EDGAR
2024-01-31
Litigation Release 2024
Karen Rosenberger and Joanna Lanni
SEC Litigation Release LR-25934 — Karen Rosenberger and Joanna Lanni
SEC EDGAR
2024-01-30
Litigation Release 2024
Xue Samuel Lee, a/k/a "Sam" Lee and Brenda Indah Chunga, a/k/a "Bitcoin Beautee"
SEC Litigation Release LR-25933 — Xue Samuel Lee, a/k/a "Sam" Lee and Brenda Indah Chunga, a/k/a "Bitcoin Beautee"
SEC EDGAR
2024-01-30
Litigation Release 2024
Jesus Rodriguez
SEC Litigation Release LR-25932 — Jesus Rodriguez
SEC EDGAR
2024-01-25
Litigation Release 2024
Crowd Machine, Inc.; Metavine, Inc.; Craig Sproule; Metavine Pty. Ltd
SEC Litigation Release LR-25931 — Crowd Machine, Inc.; Metavine, Inc.; Craig Sproule; Metavine Pty. Ltd
SEC EDGAR
2024-01-23
Litigation Release 2024
Aryeh Goldstein, Adar Bays, LLC, and Adar Alef, LLC
SEC Litigation Release LR-25930 — Aryeh Goldstein, Adar Bays, LLC, and Adar Alef, LLC
SEC EDGAR
2024-01-23
Litigation Release 2024
Grenda Group, LLC and Gregory M. Grenda
SEC Litigation Release LR-25929 — Grenda Group, LLC and Gregory M. Grenda
SEC EDGAR
2024-01-22
Litigation Release 2024
Prosperity, Investments & Lending, LLC
SEC Litigation Release LR-25928 — Prosperity, Investments & Lending, LLC
SEC EDGAR
2024-01-18
Litigation Release 2024
J. Jeremy Barbera, et. al.
SEC Litigation Release LR-25927 — J. Jeremy Barbera, et. al.
SEC EDGAR
2024-01-18
Litigation Release 2024
Jonathan Farber, Aarif Jamani, Brian Keasberry
SEC Litigation Release LR-25926 — Jonathan Farber, Aarif Jamani, Brian Keasberry
SEC EDGAR
2024-01-16
Litigation Release 2024
Medsis International, Inc., et al.
SEC Litigation Release LR-25925 — Medsis International, Inc., et al.
SEC EDGAR
2024-01-16
Litigation Release 2024
Shanchun Huang
SEC Litigation Release LR-25924 — Shanchun Huang
SEC EDGAR
2024-01-11
Litigation Release 2024
David Schottenstein, Kris Bortnovsky, Ryan Shapiro, Sakal Capital Management, LLC, and Sakal U.S. Fund, LLC
SEC Litigation Release LR-25923 — David Schottenstein, Kris Bortnovsky, Ryan Shapiro, Sakal Capital Management, LLC, and Sakal U.S. Fund, LLC
SEC EDGAR
2024-01-11
Litigation Release 2024
Gopala Krishnan, Manivannan Shanmugam, Sakthivel Palani Gounder, Nanban Ventures LLC, GSM Eternal LLC (a/k/a Northstars Fintech), Himalayan Fintech LLC, and Centum Fintech LLC (a/k/a Sunshines Fintech)
SEC Litigation Release LR-25922 — Gopala Krishnan, Manivannan Shanmugam, Sakthivel Palani Gounder, Nanban Ventures LLC, GSM Eternal LLC (a/k/a Northstars Fintech), Himalayan Fintech LLC, and Centum Fintech LLC (a/k/a Sunshines Fintech)
SEC EDGAR
2024-01-05
Litigation Release 2024
Rishi Kapoor; Location Ventures, LLC; URBIN LLC and 20 other related entities
SEC Litigation Release LR-25921 — Rishi Kapoor; Location Ventures, LLC; URBIN LLC and 20 other related entities
SEC EDGAR
2024-01-03
Litigation Release 2024
Gannon Giguiere
SEC Litigation Release LR-25920 — Gannon Giguiere
SEC EDGAR
2024-01-03
Litigation Release 2024
Carnovale, et al.
SEC Litigation Release LR-25919 — Carnovale, et al.
SEC EDGAR
2024-01-03
Litigation Release 2024
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
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.