SEC Enforcement Actions
314 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)
Prager Metis CPAs, LLC, and Prager Metis CPAs LLP
SEC Litigation Release LR-25868 — Prager Metis CPAs, LLC, and Prager Metis CPAs LLP
SEC EDGAR
2023-09-29
Litigation Release 2023
Bin Hao and Qidian LLC
SEC Litigation Release LR-25867 — Bin Hao and Qidian LLC
SEC EDGAR
2023-09-29
Litigation Release 2023
Anne Pramaggiore
SEC Litigation Release LR-25866 — Anne Pramaggiore
SEC EDGAR
2023-09-28
Litigation Release 2023
Arline E. Woodbury and Joyce L. Holverson
SEC Litigation Release LR-25865 — Arline E. Woodbury and Joyce L. Holverson
SEC EDGAR
2023-09-28
Litigation Release 2023
Ronald E. Filoramo
SEC Litigation Release LR-25864 — Ronald E. Filoramo
SEC EDGAR
2023-09-28
Litigation Release 2023
Michael Blumer, John Kuprianchik, David Page, Steven Thompson, Joseph Todaro
SEC Litigation Release LR-25863 — Michael Blumer, John Kuprianchik, David Page, Steven Thompson, Joseph Todaro
SEC EDGAR
2023-09-28
Litigation Release 2023
Marco A Perez, Pedro Perez Jr., and Olivia Perez Durbin
SEC Litigation Release LR-25862 — Marco A Perez, Pedro Perez Jr., and Olivia Perez Durbin
SEC EDGAR
2023-09-28
Litigation Release 2023
Anthony Viggiano, Stephen A. Forlano, Christopher Salamone, and Nathan Bleckley
SEC Litigation Release LR-25861 — Anthony Viggiano, Stephen A. Forlano, Christopher Salamone, and Nathan Bleckley
SEC EDGAR
2023-09-28
Litigation Release 2023
Edward O'Donnell and Victor Bozzo
SEC Litigation Release LR-25860 — Edward O'Donnell and Victor Bozzo
SEC EDGAR
2023-09-28
Litigation Release 2023
Robert Del Prete
SEC Litigation Release LR-25859 — Robert Del Prete
SEC EDGAR
2023-09-27
Litigation Release 2023
Pedram Abraham Mehrian, Strategic Legacy Investment Group, Inc. and SLIG High-Interest Liquid Savings Company
SEC Litigation Release LR-25858 — Pedram Abraham Mehrian, Strategic Legacy Investment Group, Inc. and SLIG High-Interest Liquid Savings Company
SEC EDGAR
2023-09-27
Litigation Release 2023
Adam E. Levin; Rick Bentley
SEC Litigation Release LR-25857 — Adam E. Levin; Rick Bentley
SEC EDGAR
2023-09-27
Litigation Release 2023
Charles Tralka, Thomas Braegelmann, Matthew Sullivan, Jordan Goodman, Good Steward Capital Management, Inc., and Robert L. Barr
SEC Litigation Release LR-25856 — Charles Tralka, Thomas Braegelmann, Matthew Sullivan, Jordan Goodman, Good Steward Capital Management, Inc., and Robert L. Barr
SEC EDGAR
2023-09-27
Litigation Release 2023
Hyzon Motors Inc., Craig M. Knight, and Max C.B. Holthausen
SEC Litigation Release LR-25855 — Hyzon Motors Inc., Craig M. Knight, and Max C.B. Holthausen
SEC EDGAR
2023-09-27
Litigation Release 2023
Intrusion Inc.
SEC Litigation Release LR-25854 — Intrusion Inc.
SEC EDGAR
2023-09-26
Litigation Release 2023
Philip Verges, James D. Tilton, Jr., Robert F. Malin, Linda Malin, and Blue Citi, LLC, Defendants, and SMEA2Z, LLC, 143 Partners LLC, West Cucharras, LLC, and JDT Trading, LLC, Relief Defendants
SEC Litigation Release LR-25853 — Philip Verges, James D. Tilton, Jr., Robert F. Malin, Linda Malin, and Blue Citi, LLC, Defendants, and SMEA2Z, LLC, 143 Partners LLC, West Cucharras, LLC, and JDT Trading, LLC, Relief Defendants
SEC EDGAR
2023-09-26
Litigation Release 2023
The Diamond Desk Corporation; Adam J. Lowe
SEC Litigation Release LR-25852 — The Diamond Desk Corporation; Adam J. Lowe
SEC EDGAR
2023-09-26
Litigation Release 2023
Stephen L. Bailey, Sapphire Exploration LLC, and Harris Exploration Inc.
SEC Litigation Release LR-25851 — Stephen L. Bailey, Sapphire Exploration LLC, and Harris Exploration Inc.
SEC EDGAR
2023-09-25
Litigation Release 2023
Phoenix Outsourced Development, LLC, Edger Solutions Management, Michael McLaughlin, Derek McLaughlin, Louis Peter Goff, Eric Fairbourn, Brian Hubbard, Nicholas Deluca
SEC Litigation Release LR-25850 — Phoenix Outsourced Development, LLC, Edger Solutions Management, Michael McLaughlin, Derek McLaughlin, Louis Peter Goff, Eric Fairbourn, Brian Hubbard, Nicholas Deluca
SEC EDGAR
2023-09-25
Litigation Release 2023
Douglas MacWright and Highlander Capital Management, LLC
SEC Litigation Release LR-25849 — Douglas MacWright and Highlander Capital Management, LLC
SEC EDGAR
2023-09-25
Litigation Release 2023
Vista Financial Advisors LLC, et al.
SEC Litigation Release LR-25848 — Vista Financial Advisors LLC, et al.
SEC EDGAR
2023-09-25
Litigation Release 2023
Michael Caridi
SEC Litigation Release LR-25847 — Michael Caridi
SEC EDGAR
2023-09-25
Litigation Release 2023
Nathalia I. Burgos, Christian A. Cuesta, Steven A. Fernandez et. al.
SEC Litigation Release LR-25846 — Nathalia I. Burgos, Christian A. Cuesta, Steven A. Fernandez et. al.
SEC EDGAR
2023-09-22
Litigation Release 2023
Empirex Capital LLC and Rafael Alberto Vargas Gonzalez, a/k/a Rafael Vargas
SEC Litigation Release LR-25845 — Empirex Capital LLC and Rafael Alberto Vargas Gonzalez, a/k/a Rafael Vargas
SEC EDGAR
2023-09-22
Litigation Release 2023
J.H. Darbie & Co., Inc.
SEC Litigation Release LR-25844 — J.H. Darbie & Co., Inc.
SEC EDGAR
2023-09-22
Litigation Release 2023
Jonathan Becker
SEC Litigation Release LR-25843 — Jonathan Becker
SEC EDGAR
2023-09-21
Litigation Release 2023
Jon P. Kubler, Kubler Consulting LLC, Aksarben Evolution LLC, AV Bhill LLC, CFH Texas LLC, Green Saddle LLC
SEC Litigation Release LR-25842 — Jon P. Kubler, Kubler Consulting LLC, Aksarben Evolution LLC, AV Bhill LLC, CFH Texas LLC, Green Saddle LLC
SEC EDGAR
2023-09-21
Litigation Release 2023
Aras Investment Business Group S.A.P.I. de C.V., Armando Gutierrez Rosas, Maria de Lourdes Tolentino Roque, Diayanira Rendon Trejo, Efren Norberto Quiroz Gardea and Luis Ricardo Quiroz Gardea
SEC Litigation Release LR-25840 — Aras Investment Business Group S.A.P.I. de C.V., Armando Gutierrez Rosas, Maria de Lourdes Tolentino Roque, Diayanira Rendon Trejo, Efren Norberto Quiroz Gardea and Luis Ricardo Quiroz Gardea
SEC EDGAR
2023-09-21
Litigation Release 2023
Luis Carrillo, et al.
SEC Litigation Release LR-25841 — Luis Carrillo, et al.
SEC EDGAR
2023-09-21
Litigation Release 2023
Lufkin Advisors, LLC; Chauncey Forbush Lufkin III
SEC Litigation Release LR-25839 — Lufkin Advisors, LLC; Chauncey Forbush Lufkin III
SEC EDGAR
2023-09-20
Litigation Release 2023
Tilila Walker Sumchai
SEC Litigation Release LR-25838 — Tilila Walker Sumchai
SEC EDGAR
2023-09-19
Litigation Release 2023
Concord Management LLC and Michael Matlin
SEC Litigation Release LR-25837 — Concord Management LLC and Michael Matlin
SEC EDGAR
2023-09-19
Litigation Release 2023
Robert Del Prete
SEC Litigation Release LR-25836 — Robert Del Prete
SEC EDGAR
2023-09-19
Litigation Release 2023
Faiz M. Chowdhury, DTI Holdings, Inc., and Quantum Age Corporation
SEC Litigation Release LR-25835 — Faiz M. Chowdhury, DTI Holdings, Inc., and Quantum Age Corporation
SEC EDGAR
2023-09-19
Litigation Release 2023
William E. Miller
SEC Litigation Release LR-25834 — William E. Miller
SEC EDGAR
2023-09-19
Litigation Release 2023
MFB 111 Investment, LLC and Monise François Bien Aimé
SEC Litigation Release LR-25833 — MFB 111 Investment, LLC and Monise François Bien Aimé
SEC EDGAR
2023-09-19
Litigation Release 2023
Rapid Therapeutic Science Laboratories, Inc. and Donal R. Schmidt, Jr.
SEC Litigation Release LR-25832 — Rapid Therapeutic Science Laboratories, Inc. and Donal R. Schmidt, Jr.
SEC EDGAR
2023-09-18
Litigation Release 2023
Rondini, et al.
SEC Litigation Release LR-25831 — Rondini, et al.
SEC EDGAR
2023-09-18
Litigation Release 2023
Jonathan J. Ferrie
SEC Litigation Release LR-25830 — Jonathan J. Ferrie
SEC EDGAR
2023-09-18
Litigation Release 2023
NDB, Inc. and Nima Golsharifi
SEC Litigation Release LR-25829 — NDB, Inc. and Nima Golsharifi
SEC EDGAR
2023-09-14
Litigation Release 2023
Phoenix Asset Group, LLC and Robyn A. Bowman
SEC Litigation Release LR-25828 — Phoenix Asset Group, LLC and Robyn A. Bowman
SEC EDGAR
2023-09-13
Litigation Release 2023
Virtu Financial Inc. and Virtu Americas LLC
SEC Litigation Release LR-25827 — Virtu Financial Inc. and Virtu Americas LLC
SEC EDGAR
2023-09-12
Litigation Release 2023
Esos Rings, Inc. and Michelle Silverstein aka Michelle Silverstein Bisnoff
SEC Litigation Release LR-25826 — Esos Rings, Inc. and Michelle Silverstein aka Michelle Silverstein Bisnoff
SEC EDGAR
2023-09-12
Litigation Release 2023
Dharma Teja Nukarapu, et al.
SEC Litigation Release LR-25825 — Dharma Teja Nukarapu, et al.
SEC EDGAR
2023-09-12
Litigation Release 2023
George Stubos
SEC Litigation Release LR-25824 — George Stubos
SEC EDGAR
2023-09-12
Litigation Release 2023
Mina Tadrus, et al.
SEC Litigation Release LR-25823 — Mina Tadrus, et al.
SEC EDGAR
2023-09-08
Litigation Release 2023
Gridsum Holding, Inc., Guosheng Qi, Huijie He
SEC Litigation Release LR-25822 — Gridsum Holding, Inc., Guosheng Qi, Huijie He
SEC EDGAR
2023-09-07
Litigation Release 2023
Seong Yeol Lee and Ameritrust Corporation, et al.
SEC Litigation Release LR-25821 — Seong Yeol Lee and Ameritrust Corporation, et al.
SEC EDGAR
2023-09-06
Litigation Release 2023
Jeremy Koski
SEC Litigation Release LR-25820 — Jeremy Koski
SEC EDGAR
2023-09-01
Litigation Release 2023
William V. Conn, Jr.
SEC Litigation Release LR-25819 — William V. Conn, Jr.
SEC EDGAR
2023-08-31
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.