SEC Enforcement Actions

300 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 Taub, et al.
SEC Litigation Release LR-24951 — Joseph Taub, et al.
SEC EDGAR
2020-10-23
Litigation Release 2020
Paul Horton Smith, Sr.; Northstar Communications, LLC; Planning Services, Inc.; and eGate, LLC
SEC Litigation Release LR-24950 — Paul Horton Smith, Sr.; Northstar Communications, LLC; Planning Services, Inc.; and eGate, LLC
SEC EDGAR
2020-10-22
Litigation Release 2020
Jillian Sidoti
SEC Litigation Release LR-24949 — Jillian Sidoti
SEC EDGAR
2020-10-19
Litigation Release 2020
Motty Mizrahi et al.
SEC Litigation Release LR-24948 — Motty Mizrahi et al.
SEC EDGAR
2020-10-19
Litigation Release 2020
Joseph P. Willner
SEC Litigation Release LR-24947 — Joseph P. Willner
SEC EDGAR
2020-10-19
Litigation Release 2020
Rudden, et al.
SEC Litigation Release LR-24946 — Rudden, et al.
SEC EDGAR
2020-10-16
Litigation Release 2020
Dana J. Bradley, Marlin S. Hershey, D. Bradley, Inc., Bryant Boys, LLC, Distressed Lending Fund, Erndit LLC, Hershey Enterprises, MW Enterprises, Performance Holdings, Performance Retire on Rentals
SEC Litigation Release LR-24945 — Dana J. Bradley, Marlin S. Hershey, D. Bradley, Inc., Bryant Boys, LLC, Distressed Lending Fund, Erndit LLC, Hershey Enterprises, MW Enterprises, Performance Holdings, Performance Retire on Rentals
SEC EDGAR
2020-10-14
Litigation Release 2020
Alexander Rowland
SEC Litigation Release LR-24944 — Alexander Rowland
SEC EDGAR
2020-10-13
Litigation Release 2020
SAExploration Holdings, Inc., et al.
SEC Litigation Release LR-24943 — SAExploration Holdings, Inc., et al.
SEC EDGAR
2020-10-09
Litigation Release 2020
Nanotech Engineering, Inc., Michael James Sweaney (also known as Michael Hatton), David Sweaney, and Jeffery Gange
SEC Litigation Release LR-24942 — Nanotech Engineering, Inc., Michael James Sweaney (also known as Michael Hatton), David Sweaney, and Jeffery Gange
SEC EDGAR
2020-10-08
Litigation Release 2020
McAfee et al.
SEC Litigation Release LR-24941 — McAfee et al.
SEC EDGAR
2020-10-06
Litigation Release 2020
Hill International, Inc. et al.
SEC Litigation Release LR-24939 — Hill International, Inc. et al.
SEC EDGAR
2020-10-05
Litigation Release 2020
Drew Morgan Ciccarelli
SEC Litigation Release LR-24940 — Drew Morgan Ciccarelli
SEC EDGAR
2020-09-30
Litigation Release 2020
Rand Heckler and Rand Heckler, Inc.
SEC Litigation Release LR-24938 — Rand Heckler and Rand Heckler, Inc.
SEC EDGAR
2020-09-30
Litigation Release 2020
Johnson, Everett, Ekejija, and NVC Fund, LLC
SEC Litigation Release LR-24937 — Johnson, Everett, Ekejija, and NVC Fund, LLC
SEC EDGAR
2020-09-30
Litigation Release 2020
Mason D. Newman, Christian J. Baquerizo and Kevin Cardenas
SEC Litigation Release LR-24936 — Mason D. Newman, Christian J. Baquerizo and Kevin Cardenas
SEC EDGAR
2020-09-30
Litigation Release 2020
Joel Stohlman, et al.
SEC Litigation Release LR-24935 — Joel Stohlman, et al.
SEC EDGAR
2020-09-30
Litigation Release 2020
Robert McCabe et al.
SEC Litigation Release LR-24934 — Robert McCabe et al.
SEC EDGAR
2020-09-30
Litigation Release 2020
Michael Staisil
SEC Litigation Release LR-24933 — Michael Staisil
SEC EDGAR
2020-09-30
Litigation Release 2020
Roger Nils-Jonas Karlsson
SEC Litigation Release LR-24932 — Roger Nils-Jonas Karlsson
SEC EDGAR
2020-09-30
Litigation Release 2020
Todd W. Mixon
SEC Litigation Release LR-24931 — Todd W. Mixon
SEC EDGAR
2020-09-30
Litigation Release 2020
Thomas J. Gity, et al.
SEC Litigation Release LR-24930 — Thomas J. Gity, et al.
SEC EDGAR
2020-09-30
Litigation Release 2020
Sebastian Silea, Christian Kranenberg, and KS Cartel LLC
SEC Litigation Release LR-24929 — Sebastian Silea, Christian Kranenberg, and KS Cartel LLC
SEC EDGAR
2020-09-30
Litigation Release 2020
Lewis I. Wallach
SEC Litigation Release LR-24928 — Lewis I. Wallach
SEC EDGAR
2020-09-29
Litigation Release 2020
Stebbins & Jones
SEC Litigation Release LR-24927 — Stebbins & Jones
SEC EDGAR
2020-09-29
Litigation Release 2020
Andrew Dale Ledbetter, Esq.
SEC Litigation Release LR-24926 — Andrew Dale Ledbetter, Esq.
SEC EDGAR
2020-09-29
Litigation Release 2020
Corbin L. Lambert
SEC Litigation Release LR-24925 — Corbin L. Lambert
SEC EDGAR
2020-09-29
Litigation Release 2020
Clifton Curtis Sneed, Jr.
SEC Litigation Release LR-24924 — Clifton Curtis Sneed, Jr.
SEC EDGAR
2020-09-28
Litigation Release 2020
Laksha Bohra, Viky Bohra, and Gotham Bohra
SEC Litigation Release LR-24923 — Laksha Bohra, Viky Bohra, and Gotham Bohra
SEC EDGAR
2020-09-28
Litigation Release 2020
Lindner Capital Advisors, Inc. and Robert J. Lindner
SEC Litigation Release LR-24922 — Lindner Capital Advisors, Inc. and Robert J. Lindner
SEC EDGAR
2020-09-28
Litigation Release 2020
Marcus Beam
SEC Litigation Release LR-24921 — Marcus Beam
SEC EDGAR
2020-09-28
Litigation Release 2020
Todd Zinkwich
SEC Litigation Release LR-24920 — Todd Zinkwich
SEC EDGAR
2020-09-28
Litigation Release 2020
Zvi Feiner, et al.
SEC Litigation Release LR-24918 — Zvi Feiner, et al.
SEC EDGAR
2020-09-25
Litigation Release 2020
Frank G. Mueller
SEC Litigation Release LR-24917 — Frank G. Mueller
SEC EDGAR
2020-09-25
Litigation Release 2020
Eric M. Hill
SEC Litigation Release LR-24919 — Eric M. Hill
SEC EDGAR
2020-09-25
Litigation Release 2020
Oscar Haynes Morris, Jr. and Lakeside Capital Partners, LP
SEC Litigation Release LR-24916 — Oscar Haynes Morris, Jr. and Lakeside Capital Partners, LP
SEC EDGAR
2020-09-24
Litigation Release 2020
Revolution Lighting Technologies, Inc., et al.
SEC Litigation Release LR-24915 — Revolution Lighting Technologies, Inc., et al.
SEC EDGAR
2020-09-24
Litigation Release 2020
James M. Rudnick
SEC Litigation Release LR-24914 — James M. Rudnick
SEC EDGAR
2020-09-24
Litigation Release 2020
Craig A. Zabala
SEC Litigation Release LR-24913 — Craig A. Zabala
SEC EDGAR
2020-09-24
Litigation Release 2020
Edward T. Kelly
SEC Litigation Release LR-24912 — Edward T. Kelly
SEC EDGAR
2020-09-23
Litigation Release 2020
Roger Duffield, et al.
SEC Litigation Release LR-24911 — Roger Duffield, et al.
SEC EDGAR
2020-09-23
Litigation Release 2020
Verley Lee Sembritzky, Jr., Bounty of the Ocean Inc., and Ocean Harvest LLC
SEC Litigation Release LR-24910 — Verley Lee Sembritzky, Jr., Bounty of the Ocean Inc., and Ocean Harvest LLC
SEC EDGAR
2020-09-22
Litigation Release 2020
Yinghang "James" Yang and Yuanbiao Chen
SEC Litigation Release LR-24909 — Yinghang "James" Yang and Yuanbiao Chen
SEC EDGAR
2020-09-22
Litigation Release 2020
Robert Hoddes Jacobs
SEC Litigation Release LR-24908 — Robert Hoddes Jacobs
SEC EDGAR
2020-09-21
Litigation Release 2020
Milton J. Dosal, Jr.
SEC Litigation Release LR-24907 — Milton J. Dosal, Jr.
SEC EDGAR
2020-09-21
Litigation Release 2020
PowerTradersPress.com, Inc., et al.
SEC Litigation Release LR-24906 — PowerTradersPress.com, Inc., et al.
SEC EDGAR
2020-09-21
Litigation Release 2020
Adam Rogas, et. al
SEC Litigation Release LR-24905 — Adam Rogas, et. al
SEC EDGAR
2020-09-18
Litigation Release 2020
John Geraci
SEC Litigation Release LR-24904 — John Geraci
SEC EDGAR
2020-09-17
Litigation Release 2020
Steven J. Sheinfeld
SEC Litigation Release LR-24903 — Steven J. Sheinfeld
SEC EDGAR
2020-09-17
Litigation Release 2020
Scott Allen Fries
SEC Litigation Release LR-24902 — Scott Allen Fries
SEC EDGAR
2020-09-17
Litigation Release 2020
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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.