SEC Enforcement Actions

320 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)
Joseph Bayliss and Ronald Roach
SEC Litigation Release LR-24651 — Joseph Bayliss and Ronald Roach
SEC EDGAR
2019-10-22
Litigation Release 2019
Benjamin Taylor, Darina Windsor and Joseph Abdul Noor El-Khouri
SEC Litigation Release LR-24650 — Benjamin Taylor, Darina Windsor and Joseph Abdul Noor El-Khouri
SEC EDGAR
2019-10-22
Litigation Release 2019
Bryan Cohen and George Nikas
SEC Litigation Release LR-24649 — Bryan Cohen and George Nikas
SEC EDGAR
2019-10-22
Litigation Release 2019
Shuang Chen, et al.
SEC Litigation Release LR-24648 — Shuang Chen, et al.
SEC EDGAR
2019-10-21
Litigation Release 2019
Philip R. Jacoby, et al.
SEC Litigation Release LR-24647 — Philip R. Jacoby, et al.
SEC EDGAR
2019-10-17
Litigation Release 2019
Michael J. Starkweather and Andiamo Corporation, William White
SEC Litigation Release LR-24646 — Michael J. Starkweather and Andiamo Corporation, William White
SEC EDGAR
2019-10-17
Litigation Release 2019
Kevin B. Merrill, et al.
SEC Litigation Release LR-24645 — Kevin B. Merrill, et al.
SEC EDGAR
2019-10-16
Litigation Release 2019
Eric J. "EJ" Dalius et al.
SEC Litigation Release LR-24644 — Eric J. "EJ" Dalius et al.
SEC EDGAR
2019-10-15
Litigation Release 2019
Cetera Advisors, LLC and Cetera Advisor Networks LLC
SEC Litigation Release LR-24643 — Cetera Advisors, LLC and Cetera Advisor Networks LLC
SEC EDGAR
2019-10-15
Litigation Release 2019
Richard Andrew Mallion
SEC Litigation Release LR-24642 — Richard Andrew Mallion
SEC EDGAR
2019-10-11
Litigation Release 2019
Anton Senderov, et al.
SEC Litigation Release LR-24641 — Anton Senderov, et al.
SEC EDGAR
2019-10-10
Litigation Release 2019
Thomas Conrad, Jr. et al.
SEC Litigation Release LR-24640 — Thomas Conrad, Jr. et al.
SEC EDGAR
2019-10-10
Litigation Release 2019
Lek Securities Corp., et al.
SEC Litigation Release LR-24639 — Lek Securities Corp., et al.
SEC EDGAR
2019-10-10
Litigation Release 2019
Daniel Rivas, et al.
SEC Litigation Release LR-24638 — Daniel Rivas, et al.
SEC EDGAR
2019-10-10
Litigation Release 2019
Gino M. Pereira, Jeffrey Auerbach, Jared Mitchell, and Richard Brown
SEC Litigation Release LR-24637 — Gino M. Pereira, Jeffrey Auerbach, Jared Mitchell, and Richard Brown
SEC EDGAR
2019-10-07
Litigation Release 2019
Christopher J. Spencer and John Busshaus
SEC Litigation Release LR-24636 — Christopher J. Spencer and John Busshaus
SEC EDGAR
2019-10-04
Litigation Release 2019
PlexCorps, Dominic Lacroix, and Sabrina Paradis-Royer
SEC Litigation Release LR-24635 — PlexCorps, Dominic Lacroix, and Sabrina Paradis-Royer
SEC EDGAR
2019-10-02
Litigation Release 2019
Woojae ("Steve") Jung, et al.
SEC Litigation Release LR-24634 — Woojae ("Steve") Jung, et al.
SEC EDGAR
2019-10-02
Litigation Release 2019
Westport Capital Markets, LLC and Christopher E. McClure
SEC Litigation Release LR-24633 — Westport Capital Markets, LLC and Christopher E. McClure
SEC EDGAR
2019-10-02
Litigation Release 2019
Bluepoint Investment Counsel, et al.
SEC Litigation Release LR-24632 — Bluepoint Investment Counsel, et al.
SEC EDGAR
2019-09-30
Litigation Release 2019
David Sechovicz and Peter Szatmari
SEC Litigation Release LR-24631 — David Sechovicz and Peter Szatmari
SEC EDGAR
2019-09-30
Litigation Release 2019
Gil Beserglik, et al.
SEC Litigation Release LR-24630 — Gil Beserglik, et al.
SEC EDGAR
2019-09-30
Litigation Release 2019
James T. Booth
SEC Litigation Release LR-24629 — James T. Booth
SEC EDGAR
2019-09-30
Litigation Release 2019
Marcus Beam
SEC Litigation Release LR-24628 — Marcus Beam
SEC EDGAR
2019-09-30
Litigation Release 2019
Mark Ray, et al.
SEC Litigation Release LR-24627 — Mark Ray, et al.
SEC EDGAR
2019-09-30
Litigation Release 2019
Yellowstone Partners, LLC, David H. Hansen, and Cameron G. High
SEC Litigation Release LR-24626 — Yellowstone Partners, LLC, David H. Hansen, and Cameron G. High
SEC EDGAR
2019-09-30
Litigation Release 2019
Longfin Corp. and Venkata S. Meenavalli
SEC Litigation Release LR-24625 — Longfin Corp. and Venkata S. Meenavalli
SEC EDGAR
2019-09-30
Litigation Release 2019
Dana J. Bradley; Marlin S. Hershey; D. Bradley Inc.; Bryant Boys, LLC; Distressed Lending Fund, LLC; Erndit LLC; Hershey Enterprises, Inc.; MW Enterprises, LLC; Performance Holdings, Inc.; Performance Retire on Rentals, LLC
SEC Litigation Release LR-24624 — Dana J. Bradley; Marlin S. Hershey; D. Bradley Inc.; Bryant Boys, LLC; Distressed Lending Fund, LLC; Erndit LLC; Hershey Enterprises, Inc.; MW Enterprises, LLC; Performance Holdings, Inc.; Performance Retire on Rentals, LLC
SEC EDGAR
2019-09-30
Litigation Release 2019
Michael Ajzenman and Cutting Edge Business Services, Inc.
SEC Litigation Release LR-24623 — Michael Ajzenman and Cutting Edge Business Services, Inc.
SEC EDGAR
2019-09-30
Litigation Release 2019
Mylan N.V.
SEC Litigation Release LR-24621 — Mylan N.V.
SEC EDGAR
2019-09-27
Litigation Release 2019
Hologram USA Networks Inc. and Alkiviades ("Alki") David
SEC Litigation Release LR-24622 — Hologram USA Networks Inc. and Alkiviades ("Alki") David
SEC EDGAR
2019-09-27
Litigation Release 2019
Sean Stewart, et al.
SEC Litigation Release LR-24620 — Sean Stewart, et al.
SEC EDGAR
2019-09-26
Litigation Release 2019
Andres Fernandez and Edison Denizard
SEC Litigation Release LR-24619 — Andres Fernandez and Edison Denizard
SEC EDGAR
2019-09-25
Litigation Release 2019
James Alex Irvin
SEC Litigation Release LR-24618 — James Alex Irvin
SEC EDGAR
2019-09-25
Litigation Release 2019
William M. Apostelos, et al.
SEC Litigation Release LR-24617 — William M. Apostelos, et al.
SEC EDGAR
2019-09-25
Litigation Release 2019
David R. Gibson, et al.
SEC Litigation Release LR-24616 — David R. Gibson, et al.
SEC EDGAR
2019-09-25
Litigation Release 2019
Strong Investment Management, et al.
SEC Litigation Release LR-24615 — Strong Investment Management, et al.
SEC EDGAR
2019-09-25
Litigation Release 2019
Efuel EFN Corp., et al.
SEC Litigation Release LR-24610 — Efuel EFN Corp., et al.
SEC EDGAR
2019-09-24
Litigation Release 2019
Robert Hillis Miller
SEC Litigation Release LR-24614 — Robert Hillis Miller
SEC EDGAR
2019-09-24
Litigation Release 2019
James Wallace Nall, III, et al.
SEC Litigation Release LR-24613 — James Wallace Nall, III, et al.
SEC EDGAR
2019-09-24
Litigation Release 2019
Gerald C. Parker
SEC Litigation Release LR-24612 — Gerald C. Parker
SEC EDGAR
2019-09-24
Litigation Release 2019
Brian D. Barrilleaux
SEC Litigation Release LR-24611 — Brian D. Barrilleaux
SEC EDGAR
2019-09-24
Litigation Release 2019
Benjamin Conde, Defendant, and Essex Global Investment Corp., and Facultas Capital Management, Inc., Relief Defendants
SEC Litigation Release LR-24609 — Benjamin Conde, Defendant, and Essex Global Investment Corp., and Facultas Capital Management, Inc., Relief Defendants
SEC EDGAR
2019-09-23
Litigation Release 2019
Christopher Fulco (a/k/a Christian Anthony, Johnathan Stewart, and Michael Barron), and JM Capital Holdings LLC, as Defendants, and Jamie Milione, as Relief Defendant
SEC Litigation Release LR-24608 — Christopher Fulco (a/k/a Christian Anthony, Johnathan Stewart, and Michael Barron), and JM Capital Holdings LLC, as Defendants, and Jamie Milione, as Relief Defendant
SEC EDGAR
2019-09-23
Litigation Release 2019
Jonathan C. Lucas
SEC Litigation Release LR-24607 — Jonathan C. Lucas
SEC EDGAR
2019-09-23
Litigation Release 2019
Carlos Ghosn and Gregory L. Kelly
SEC Litigation Release LR-24606 — Carlos Ghosn and Gregory L. Kelly
SEC EDGAR
2019-09-23
Litigation Release 2019
Zvi Feiner, et al.
SEC Litigation Release LR-24605 — Zvi Feiner, et al.
SEC EDGAR
2019-09-20
Litigation Release 2019
Earl D. Miller, et al.
SEC Litigation Release LR-24604 — Earl D. Miller, et al.
SEC EDGAR
2019-09-20
Litigation Release 2019
Brian Robert Sodi, et al.
SEC Litigation Release LR-24603 — Brian Robert Sodi, et al.
SEC EDGAR
2019-09-19
Litigation Release 2019
Ruben James Rojas
SEC Litigation Release LR-24602 — Ruben James Rojas
SEC EDGAR
2019-09-19
Litigation Release 2019
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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.