SEC Enforcement Actions

2,526 SEC litigation releases (2018–2026) from EDGAR public records

Safeguard Metals LLC and Jeffrey Ikahn
SEC Litigation Release LR-25708 — Safeguard Metals LLC and Jeffrey Ikahn
SEC EDGAR
2023-05-05
Litigation Release 2023
Cedric Dewayne Griffin
SEC Litigation Release LR-25707 — Cedric Dewayne Griffin
SEC EDGAR
2023-05-04
Litigation Release 2023
GPL Ventures LLC, GPL Management LLC, Alexander J. Dillon, and Cosmin I. Panait
SEC Litigation Release LR-25706 — GPL Ventures LLC, GPL Management LLC, Alexander J. Dillon, and Cosmin I. Panait
SEC EDGAR
2023-05-03
Litigation Release 2023
No Respondents
SEC Litigation Release LR-25704 — No Respondents
SEC EDGAR
2023-05-03
Litigation Release 2023
Brett M. Bartlett; Scott A. Miller; Dynasty Toys, Inc.; The 7M eGroup Corp.; Concept Management Company LLC; Dynasty, Inc.
SEC Litigation Release LR-25705 — Brett M. Bartlett; Scott A. Miller; Dynasty Toys, Inc.; The 7M eGroup Corp.; Concept Management Company LLC; Dynasty, Inc.
SEC EDGAR
2023-05-03
Litigation Release 2023
Tyler L. Andrews
SEC Litigation Release LR-25702 — Tyler L. Andrews
SEC EDGAR
2023-05-01
Litigation Release 2023
Carlos Eduardo Reyes Alvarez
SEC Litigation Release LR-25703 — Carlos Eduardo Reyes Alvarez
SEC EDGAR
2023-05-01
Litigation Release 2023
Trends Investments Inc. et al.
SEC Litigation Release LR-25701 — Trends Investments Inc. et al.
SEC EDGAR
2023-04-27
Litigation Release 2023
SAExploration Holdings, Inc., et al.
SEC Litigation Release LR-25700 — SAExploration Holdings, Inc., et al.
SEC EDGAR
2023-04-25
Litigation Release 2023
Charles Winn LLC
SEC Litigation Release LR-25699 — Charles Winn LLC
SEC EDGAR
2023-04-20
Litigation Release 2023
Bittrex, Inc., Bittrex Global GmBH, and William Hiroaki Shihara
SEC Litigation Release LR-25698 — Bittrex, Inc., Bittrex Global GmBH, and William Hiroaki Shihara
SEC EDGAR
2023-04-20
Litigation Release 2023
No Respondents
SEC Litigation Release LR-25697 — No Respondents
SEC EDGAR
2023-04-18
Litigation Release 2023
No Respondents
SEC Litigation Release LR-25696 — No Respondents
SEC EDGAR
2023-04-18
Litigation Release 2023
No Respondents
SEC Litigation Release LR-25695 — No Respondents
SEC EDGAR
2023-04-18
Litigation Release 2023
Bittrex, Inc., Bittrex Global GmBH, and William Hiroaki Shihara
SEC Litigation Release LR-25694 — Bittrex, Inc., Bittrex Global GmBH, and William Hiroaki Shihara
SEC EDGAR
2023-04-17
Litigation Release 2023
Jonah Engler and Barbara Desiderio
SEC Litigation Release LR-25693 — Jonah Engler and Barbara Desiderio
SEC EDGAR
2023-04-17
Litigation Release 2023
Terraform Labs PTE Ltd and Do Hyeong Kwon
SEC Litigation Release LR-25692 — Terraform Labs PTE Ltd and Do Hyeong Kwon
SEC EDGAR
2023-04-13
Litigation Release 2023
Matthew Nicosia, William Reininger, Fabrizio Di Carlo, and Ronald Touchard
SEC Litigation Release LR-25691 — Matthew Nicosia, William Reininger, Fabrizio Di Carlo, and Ronald Touchard
SEC EDGAR
2023-04-11
Litigation Release 2023
Bobby Peavler and William Eric Meek
SEC Litigation Release LR-25690 — Bobby Peavler and William Eric Meek
SEC EDGAR
2023-04-10
Litigation Release 2023
Matthew Nicosia, William Reininger, Fabrizio Di Carlo, and Ronald Touchard
SEC Litigation Release LR-25689 — Matthew Nicosia, William Reininger, Fabrizio Di Carlo, and Ronald Touchard
SEC EDGAR
2023-04-10
Litigation Release 2023
Michael J. French, et al.
SEC Litigation Release LR-25688 — Michael J. French, et al.
SEC EDGAR
2023-04-04
Litigation Release 2023
DiScala et al.
SEC Litigation Release LR-25686 — DiScala et al.
SEC EDGAR
2023-04-03
Litigation Release 2023
Beaxy Digital, Ltd., et al.
SEC Litigation Release LR-25687 — Beaxy Digital, Ltd., et al.
SEC EDGAR
2023-04-03
Litigation Release 2023
William Andrew Stack, Esq.
SEC Litigation Release LR-25682 — William Andrew Stack, Esq.
SEC EDGAR
2023-03-31
Litigation Release 2023
Sean Wygovsky and Christopher Matthaei
SEC Litigation Release LR-25683 — Sean Wygovsky and Christopher Matthaei
SEC EDGAR
2023-03-31
Litigation Release 2023
Craig D. Perciavalle, Joseph A. Runkel, and William O. Adams
SEC Litigation Release LR-25684 — Craig D. Perciavalle, Joseph A. Runkel, and William O. Adams
SEC EDGAR
2023-03-31
Litigation Release 2023
Carnovale, et al.
SEC Litigation Release LR-25685 — Carnovale, et al.
SEC EDGAR
2023-03-31
Litigation Release 2023
John Barksdale, et al.
SEC Litigation Release LR-25680 — John Barksdale, et al.
SEC EDGAR
2023-03-30
Litigation Release 2023
Sapere Wealth Management, LLC and Scott Trease
SEC Litigation Release LR-25681 — Sapere Wealth Management, LLC and Scott Trease
SEC EDGAR
2023-03-30
Litigation Release 2023
Surage Kamal Roshan Perera and Janues Capital Incorporated
SEC Litigation Release LR-25679 — Surage Kamal Roshan Perera and Janues Capital Incorporated
SEC EDGAR
2023-03-29
Litigation Release 2023
James K. Couture
SEC Litigation Release LR-25678 — James K. Couture
SEC EDGAR
2023-03-28
Litigation Release 2023
Aaron Cain McKnight, et al.
SEC Litigation Release LR-25677 — Aaron Cain McKnight, et al.
SEC EDGAR
2023-03-27
Litigation Release 2023
American Patriot Brands, Inc., Urban Pharms, LLC, DJ & S Property #1, TSL Distribution, Robert Y. Lee, Brian L. Pallas, and J. Bernard Rice, Defendants, and Puerto Rico One Corporation, Castro Business Enterprises, and Legion Accounting Services, Relief Defendants
SEC Litigation Release LR-25675 — American Patriot Brands, Inc., Urban Pharms, LLC, DJ & S Property #1, TSL Distribution, Robert Y. Lee, Brian L. Pallas, and J. Bernard Rice, Defendants, and Puerto Rico One Corporation, Castro Business Enterprises, and Legion Accounting Services, Relief Defendants
SEC EDGAR
2023-03-24
Litigation Release 2023
Justin Sun et al.
SEC Litigation Release LR-25676 — Justin Sun et al.
SEC EDGAR
2023-03-24
Litigation Release 2023
Darryl M. Cohen
SEC Litigation Release LR-25672 — Darryl M. Cohen
SEC EDGAR
2023-03-23
Litigation Release 2023
Martin Silver
SEC Litigation Release LR-25673 — Martin Silver
SEC EDGAR
2023-03-23
Litigation Release 2023
Scott J. Hollender, Gabriel F. Migliano, Jr. and Frank M. Vecchio)
SEC Litigation Release LR-25674 — Scott J. Hollender, Gabriel F. Migliano, Jr. and Frank M. Vecchio)
SEC EDGAR
2023-03-23
Litigation Release 2023
Philip R. Jacoby, Jr., et al.
SEC Litigation Release LR-25671 — Philip R. Jacoby, Jr., et al.
SEC EDGAR
2023-03-21
Litigation Release 2023
Cutter Financial Group LLC et al.
SEC Litigation Release LR-25669 — Cutter Financial Group LLC et al.
SEC EDGAR
2023-03-17
Litigation Release 2023
Ozy Media, Inc. et al.
SEC Litigation Release LR-25670 — Ozy Media, Inc. et al.
SEC EDGAR
2023-03-17
Litigation Release 2023
Darius Karpavicius, HMC Trading, LLC, and HMC Management
SEC Litigation Release LR-25667 — Darius Karpavicius, HMC Trading, LLC, and HMC Management
SEC EDGAR
2023-03-15
Litigation Release 2023
Ho Wan Kwok (a/k/a Miles Guo, Miles Kwok, Wengui Guo and Brother Seven), Kin Ming Je (a/k/a William Je), Mountains of Spices LLC (d/b/a New York Farm), and G Club Operations LLC, Defendants, and Mei Guo, Qiang Guo (a/k/a Mileson Guo), Hing Chi Ngok, and Sin Ting Rong, Relief Defendants
SEC Litigation Release LR-25668 — Ho Wan Kwok (a/k/a Miles Guo, Miles Kwok, Wengui Guo and Brother Seven), Kin Ming Je (a/k/a William Je), Mountains of Spices LLC (d/b/a New York Farm), and G Club Operations LLC, Defendants, and Mei Guo, Qiang Guo (a/k/a Mileson Guo), Hing Chi Ngok, and Sin Ting Rong, Relief Defendants
SEC EDGAR
2023-03-15
Litigation Release 2023
Peter D. Krieger
SEC Litigation Release LR-25666 — Peter D. Krieger
SEC EDGAR
2023-03-15
Litigation Release 2023
John David Gessin et al.
SEC Litigation Release LR-25664 — John David Gessin et al.
SEC EDGAR
2023-03-14
Litigation Release 2023
Brian Robert Sodi, et al.
SEC Litigation Release LR-25665 — Brian Robert Sodi, et al.
SEC EDGAR
2023-03-14
Litigation Release 2023
Evoqua Water Technologies Corp. and Imran Parekh
SEC Litigation Release LR-25662 — Evoqua Water Technologies Corp. and Imran Parekh
SEC EDGAR
2023-03-13
Litigation Release 2023
Medsis International, Inc. et al.
SEC Litigation Release LR-25663 — Medsis International, Inc. et al.
SEC EDGAR
2023-03-13
Litigation Release 2023
Mahmoud Ali Abdelkader
SEC Litigation Release LR-25660 — Mahmoud Ali Abdelkader
SEC EDGAR
2023-03-09
Litigation Release 2023
Moynes, et al.;
SEC Litigation Release LR-25661 — Moynes, et al.;
SEC EDGAR
2023-03-09
Litigation Release 2023
Terren S. Peizer and Acuitas Group Holdings, LLC
SEC Litigation Release LR-25658 — Terren S. Peizer and Acuitas Group Holdings, LLC
SEC EDGAR
2023-03-08
Litigation Release 2023
Page 18 of 51

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.