SEC Enforcement Actions

306 SEC litigation releases (2018–2026) from EDGAR public records

Donald J. Kellen
SEC Litigation Release LR-25551 — Donald J. Kellen
SEC EDGAR
2022-10-06
Litigation Release 2022
Justin Costello and David Ferraro
SEC Litigation Release LR-25552 — Justin Costello and David Ferraro
SEC EDGAR
2022-10-06
Litigation Release 2022
The Hydrogen Technology Corporation, Michael Ross Kane, and Tyler Ostern
SEC Litigation Release LR-25553 — The Hydrogen Technology Corporation, Michael Ross Kane, and Tyler Ostern
SEC EDGAR
2022-10-06
Litigation Release 2022
JMJ Capital Group and Richard Lee Ramirez
SEC Litigation Release LR-25550 — JMJ Capital Group and Richard Lee Ramirez
SEC EDGAR
2022-10-04
Litigation Release 2022
Steven H. Davis, et. al
SEC Litigation Release LR-25549 — Steven H. Davis, et. al
SEC EDGAR
2022-10-04
Litigation Release 2022
Mauricio Chavez, et al.
SEC Litigation Release LR-25547 — Mauricio Chavez, et al.
SEC EDGAR
2022-10-03
Litigation Release 2022
Harpreet Saini and John Lester Mandac Natividad
SEC Litigation Release LR-25548 — Harpreet Saini and John Lester Mandac Natividad
SEC EDGAR
2022-10-03
Litigation Release 2022
Arbitrade Ltd., et al.
SEC Litigation Release LR-25537 — Arbitrade Ltd., et al.
SEC EDGAR
2022-09-30
Litigation Release 2022
Vivera Pharmaceuticals, Inc., EFT Global Holdings, Inc. d/b/a Sentar Pharmaceuticals, and Paul P. Edalat
SEC Litigation Release LR-25538 — Vivera Pharmaceuticals, Inc., EFT Global Holdings, Inc. d/b/a Sentar Pharmaceuticals, and Paul P. Edalat
SEC EDGAR
2022-09-30
Litigation Release 2022
Mark J. McKinley, et al.
SEC Litigation Release LR-25539 — Mark J. McKinley, et al.
SEC EDGAR
2022-09-30
Litigation Release 2022
RBF Trust LLC (a Florida Limited Liability Company), Paulo Fernando De Bastos, Joao Pedro Fonseca, RBF Trust LLC (a Michigan Limited Liability Company), D3 Gestion Immobiliere LLC (a Michigan Limited Liability Company), and D3 Gestion Immobiliere LLC (a Florida Limited Liability Company)
SEC Litigation Release LR-25540 — RBF Trust LLC (a Florida Limited Liability Company), Paulo Fernando De Bastos, Joao Pedro Fonseca, RBF Trust LLC (a Michigan Limited Liability Company), D3 Gestion Immobiliere LLC (a Michigan Limited Liability Company), and D3 Gestion Immobiliere LLC (a Florida Limited Liability Company)
SEC EDGAR
2022-09-30
Litigation Release 2022
Jonathan William Mikula, et al.
SEC Litigation Release LR-25541 — Jonathan William Mikula, et al.
SEC EDGAR
2022-09-30
Litigation Release 2022
Charles Rustin Holzer, Fernando Motta Moraes
SEC Litigation Release LR-25545 — Charles Rustin Holzer, Fernando Motta Moraes
SEC EDGAR
2022-09-30
Litigation Release 2022
David Stephens et al.
SEC Litigation Release LR-25546 — David Stephens et al.
SEC EDGAR
2022-09-30
Litigation Release 2022
Scott Lindell
SEC Litigation Release LR-25542 — Scott Lindell
SEC EDGAR
2022-09-30
Litigation Release 2022
Daniel Moser
SEC Litigation Release LR-25543 — Daniel Moser
SEC EDGAR
2022-09-30
Litigation Release 2022
Ari Lauer
SEC Litigation Release LR-25544 — Ari Lauer
SEC EDGAR
2022-09-30
Litigation Release 2022
Jason Nordlund
SEC Litigation Release LR-25535 — Jason Nordlund
SEC EDGAR
2022-09-29
Litigation Release 2022
Bradley A. Goodbred
SEC Litigation Release LR-25536 — Bradley A. Goodbred
SEC EDGAR
2022-09-29
Litigation Release 2022
Joshua Rupp
SEC Litigation Release LR-25534 — Joshua Rupp
SEC EDGAR
2022-09-28
Litigation Release 2022
Charles Parrino
SEC Litigation Release LR-25528 — Charles Parrino
SEC EDGAR
2022-09-28
Litigation Release 2022
Matthew Nicosia, William Reninger, Fabrizio Di Carlo, and Ronald Touchard
SEC Litigation Release LR-25529 — Matthew Nicosia, William Reninger, Fabrizio Di Carlo, and Ronald Touchard
SEC EDGAR
2022-09-28
Litigation Release 2022
David Hu
SEC Litigation Release LR-25530 — David Hu
SEC EDGAR
2022-09-28
Litigation Release 2022
Pebblekick, Inc., Donald Shiroishi, and Nancy Williams
SEC Litigation Release LR-25531 — Pebblekick, Inc., Donald Shiroishi, and Nancy Williams
SEC EDGAR
2022-09-28
Litigation Release 2022
Premium Point Investments LP et al.
SEC Litigation Release LR-25532 — Premium Point Investments LP et al.
SEC EDGAR
2022-09-28
Litigation Release 2022
Jared D. Eakes, et al.
SEC Litigation Release LR-25533 — Jared D. Eakes, et al.
SEC EDGAR
2022-09-28
Litigation Release 2022
Kendricks, et al., Mark Wayne Ramsey
SEC Litigation Release LR-25524 — Kendricks, et al., Mark Wayne Ramsey
SEC EDGAR
2022-09-27
Litigation Release 2022
Theodore J. Farnsworth, J. Mitchell Lowe, and Khalid Itum
SEC Litigation Release LR-25525 — Theodore J. Farnsworth, J. Mitchell Lowe, and Khalid Itum
SEC EDGAR
2022-09-27
Litigation Release 2022
James T. Patten, et al.
SEC Litigation Release LR-25526 — James T. Patten, et al.
SEC EDGAR
2022-09-27
Litigation Release 2022
Christian J. Gonzalez
SEC Litigation Release LR-25527 — Christian J. Gonzalez
SEC EDGAR
2022-09-27
Litigation Release 2022
Judith Paris-Pinder
SEC Litigation Release LR-25521 — Judith Paris-Pinder
SEC EDGAR
2022-09-26
Litigation Release 2022
Sang N. Phan and Rich N. Phan
SEC Litigation Release LR-25522 — Sang N. Phan and Rich N. Phan
SEC EDGAR
2022-09-26
Litigation Release 2022
Timothy Barton, et al.
SEC Litigation Release LR-25523 — Timothy Barton, et al.
SEC EDGAR
2022-09-26
Litigation Release 2022
Morningview Financial, LLC and Miles M. Riccio, et al.
SEC Litigation Release LR-25520 — Morningview Financial, LLC and Miles M. Riccio, et al.
SEC EDGAR
2022-09-23
Litigation Release 2022
James R. Thompson, et al.
SEC Litigation Release LR-25517 — James R. Thompson, et al.
SEC EDGAR
2022-09-23
Litigation Release 2022
Brian Lam, et al.
SEC Litigation Release LR-25518 — Brian Lam, et al.
SEC EDGAR
2022-09-23
Litigation Release 2022
Christopher P. Vallos
SEC Litigation Release LR-25519 — Christopher P. Vallos
SEC EDGAR
2022-09-23
Litigation Release 2022
James Arthur McDonald, Jr. and Hercules Investments, LLC
SEC Litigation Release LR-25515 — James Arthur McDonald, Jr. and Hercules Investments, LLC
SEC EDGAR
2022-09-22
Litigation Release 2022
Michael Weiss
SEC Litigation Release LR-25516 — Michael Weiss
SEC EDGAR
2022-09-22
Litigation Release 2022
David Sheldon Wells
SEC Litigation Release LR-25513 — David Sheldon Wells
SEC EDGAR
2022-09-21
Litigation Release 2022
Manhattan Transfer Registrar Company and John C. Ahearn
SEC Litigation Release LR-25514 — Manhattan Transfer Registrar Company and John C. Ahearn
SEC EDGAR
2022-09-21
Litigation Release 2022
John P. Mendes, et al.
SEC Litigation Release LR-25512 — John P. Mendes, et al.
SEC EDGAR
2022-09-20
Litigation Release 2022
Aaron B. Fletcher, et al.
SEC Litigation Release LR-25511 — Aaron B. Fletcher, et al.
SEC EDGAR
2022-09-19
Litigation Release 2022
Nutra Pharma Corp. et al
SEC Litigation Release LR-25510 — Nutra Pharma Corp. et al
SEC EDGAR
2022-09-16
Litigation Release 2022
Dale Swanberg, Granite Construction Incorporated
SEC Litigation Release LR-25507 — Dale Swanberg, Granite Construction Incorporated
SEC EDGAR
2022-09-15
Litigation Release 2022
Secured Income Group, Inc., et al.
SEC Litigation Release LR-25508 — Secured Income Group, Inc., et al.
SEC EDGAR
2022-09-15
Litigation Release 2022
Gabriel Edelman, Creative Advancement LLC and Edelman Blockchain Advisors LLC
SEC Litigation Release LR-25509 — Gabriel Edelman, Creative Advancement LLC and Edelman Blockchain Advisors LLC
SEC EDGAR
2022-09-15
Litigation Release 2022
Chicago Crypto Capital LLC, et al.
SEC Litigation Release LR-25506 — Chicago Crypto Capital LLC, et al.
SEC EDGAR
2022-09-14
Litigation Release 2022
Scott Adam Brander
SEC Litigation Release LR-25502 — Scott Adam Brander
SEC EDGAR
2022-09-13
Litigation Release 2022
Marc J. Frankel
SEC Litigation Release LR-25503 — Marc J. Frankel
SEC EDGAR
2022-09-13
Litigation Release 2022
Page 2 of 7

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.