SEC Enforcement Actions
249 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)
Mark Kuhrt
SEC Litigation Release LR-26405 — Mark Kuhrt
SEC EDGAR
2025-09-18
Litigation Release 2025
Devon D. Archer
SEC Litigation Release LR-26404 — Devon D. Archer
SEC EDGAR
2025-09-18
Litigation Release 2025
Ozy Media, Inc. and Carlos R. Watson, Jr.
SEC Litigation Release LR-26403 — Ozy Media, Inc. and Carlos R. Watson, Jr.
SEC EDGAR
2025-09-18
Litigation Release 2025
Justin R. Kimbrough and Prosperity Consultants, LLC
SEC Litigation Release LR-26402 — Justin R. Kimbrough and Prosperity Consultants, LLC
SEC EDGAR
2025-09-17
Litigation Release 2025
Todd O'Gara and Wanu Water, Inc.
SEC Litigation Release LR-26401 — Todd O'Gara and Wanu Water, Inc.
SEC EDGAR
2025-09-15
Litigation Release 2025
Charles T. Lawrence, Jr., Landes Prive, LLC; Landes and Compagnie Trust Prive a/k/a Landes and Compagnie Trst Prive KB; HekYeah, LLC, Justin D. Smith
and Brenda M. Bisner
SEC Litigation Release LR-26400 — Charles T. Lawrence, Jr., Landes Prive, LLC; Landes and Compagnie Trust Prive a/k/a Landes and Compagnie Trst Prive KB; HekYeah, LLC, Justin D. Smith
and Brenda M. Bisner
SEC EDGAR
2025-09-12
Litigation Release 2025
Allen C. Giltman
SEC Litigation Release LR-26399 — Allen C. Giltman
SEC EDGAR
2025-09-12
Litigation Release 2025
Jian Wu
SEC Litigation Release LR-26398 — Jian Wu
SEC EDGAR
2025-09-11
Litigation Release 2025
Trevor R. Milton
SEC Litigation Release LR-26397 — Trevor R. Milton
SEC EDGAR
2025-09-11
Litigation Release 2025
Anthony J. Mastroianni, Jr.
SEC Litigation Release LR-26396 — Anthony J. Mastroianni, Jr.
SEC EDGAR
2025-09-11
Litigation Release 2025
Parker Terrill Austin and Embarcadero Capital Advisors, Inc.
SEC Litigation Release LR-26395 — Parker Terrill Austin and Embarcadero Capital Advisors, Inc.
SEC EDGAR
2025-09-11
Litigation Release 2025
Kin-Hung Peony Yu
SEC Litigation Release LR-26394 — Kin-Hung Peony Yu
SEC EDGAR
2025-09-10
Litigation Release 2025
Tomislav Vukota; Vukota Capital Management, LLC; VCM Global Asset Management Ltd.
SEC Litigation Release LR-26393 — Tomislav Vukota; Vukota Capital Management, LLC; VCM Global Asset Management Ltd.
SEC EDGAR
2025-09-09
Litigation Release 2025
Henry Paul Regan, Jr.
SEC Litigation Release LR-26392 — Henry Paul Regan, Jr.
SEC EDGAR
2025-09-09
Litigation Release 2025
Arsalan Rawjani; Trade with Ayasa, LLC (Texas); Trade with Ayasa, LLC (Wyoming); Trade with Ayasa, LLC (Nevada)
SEC Litigation Release LR-26391 — Arsalan Rawjani; Trade with Ayasa, LLC (Texas); Trade with Ayasa, LLC (Wyoming); Trade with Ayasa, LLC (Nevada)
SEC EDGAR
2025-09-08
Litigation Release 2025
Calvin Guess; Marcus Ligon; 5 Fruits Enterprises LLC
SEC Litigation Release LR-26390 — Calvin Guess; Marcus Ligon; 5 Fruits Enterprises LLC
SEC EDGAR
2025-09-05
Litigation Release 2025
Austin D. Ellison-Meade
SEC Litigation Release LR-26389 — Austin D. Ellison-Meade
SEC EDGAR
2025-09-05
Litigation Release 2025
Ryan Squillante
SEC Litigation Release LR-26388 — Ryan Squillante
SEC EDGAR
2025-09-05
Litigation Release 2025
Daryl F. Heller; Prestige Investment Group, LLC; Paramount Management Group, LLC
SEC Litigation Release LR-26387 — Daryl F. Heller; Prestige Investment Group, LLC; Paramount Management Group, LLC
SEC EDGAR
2025-09-03
Litigation Release 2025
Faraz Dar and Horizon Platinum LLC
SEC Litigation Release LR-26386 — Faraz Dar and Horizon Platinum LLC
SEC EDGAR
2025-08-29
Litigation Release 2025
James D. Burleson
SEC Litigation Release LR-26385 — James D. Burleson
SEC EDGAR
2025-08-26
Litigation Release 2025
Robert M. Thompson; The Financial Freedom Foundation d/b/a F3 Mastermind; Brandon K. Stucki
SEC Litigation Release LR-26384 — Robert M. Thompson; The Financial Freedom Foundation d/b/a F3 Mastermind; Brandon K. Stucki
SEC EDGAR
2025-08-22
Litigation Release 2025
Rouzbeh "Ross" Haghighat; Behrouz "Bruce" Haghighat; Kirstyn Pearl; James Roberge; Seyedfarbod "Fabio" Sabzevari
SEC Litigation Release LR-26383 — Rouzbeh "Ross" Haghighat; Behrouz "Bruce" Haghighat; Kirstyn Pearl; James Roberge; Seyedfarbod "Fabio" Sabzevari
SEC EDGAR
2025-08-22
Litigation Release 2025
Joseph Neal Sanberg
SEC Litigation Release LR-26382 — Joseph Neal Sanberg
SEC EDGAR
2025-08-21
Litigation Release 2025
Kenneth Thom
SEC Litigation Release LR-26381 — Kenneth Thom
SEC EDGAR
2025-08-21
Litigation Release 2025
Justin Chen; Jun Zhen
SEC Litigation Release LR-26380 — Justin Chen; Jun Zhen
SEC EDGAR
2025-08-21
Litigation Release 2025
Stock Purse Trading LLC; Liston Associates, Inc.; Carole A. Liston
SEC Litigation Release LR-26379 — Stock Purse Trading LLC; Liston Associates, Inc.; Carole A. Liston
SEC EDGAR
2025-08-21
Litigation Release 2025
Brent Cranmer; Jonathan Whitesides; and Daniel McCormick
SEC Litigation Release LR-26378 — Brent Cranmer; Jonathan Whitesides; and Daniel McCormick
SEC EDGAR
2025-08-18
Litigation Release 2025
Wendy Swensen
SEC Litigation Release LR-26377 — Wendy Swensen
SEC EDGAR
2025-08-18
Litigation Release 2025
Robert Alan Yedid, Andrew Kaufman, Mark Jacobs
SEC Litigation Release LR-26376 — Robert Alan Yedid, Andrew Kaufman, Mark Jacobs
SEC EDGAR
2025-08-18
Litigation Release 2025
Ryan R. Wear; Water Station Management LLC; Creative Technologies, Inc.; Refreshing USA, LLC; Ideal Property Investments LLC; Jordan Chirico
SEC Litigation Release LR-26375 — Ryan R. Wear; Water Station Management LLC; Creative Technologies, Inc.; Refreshing USA, LLC; Ideal Property Investments LLC; Jordan Chirico
SEC EDGAR
2025-08-15
Litigation Release 2025
Ashraf Mufareh; ONPASSIVE LLC a/k/a Gofounders and Ofounders; Asmahan Mufareh (relief defendant)
SEC Litigation Release LR-26374 — Ashraf Mufareh; ONPASSIVE LLC a/k/a Gofounders and Ofounders; Asmahan Mufareh (relief defendant)
SEC EDGAR
2025-08-15
Litigation Release 2025
Olayinka Oliyanka Temitope Oyebola; Olayinka Oyebola & Co. (Chartered Accountants)
SEC Litigation Release LR-26373 — Olayinka Oliyanka Temitope Oyebola; Olayinka Oyebola & Co. (Chartered Accountants)
SEC EDGAR
2025-08-13
Litigation Release 2025
Garrett W. Moretz
SEC Litigation Release LR-26372 — Garrett W. Moretz
SEC EDGAR
2025-08-12
Litigation Release 2025
Ryan N. Cole
SEC Litigation Release LR-26371 — Ryan N. Cole
SEC EDGAR
2025-08-11
Litigation Release 2025
Bruce Cameron Conway
SEC Litigation Release LR-26370 — Bruce Cameron Conway
SEC EDGAR
2025-08-11
Litigation Release 2025
Ripple Labs, Inc., Bradley Garlinghouse, and Christian A. Larsen
SEC Litigation Release LR-26369 — Ripple Labs, Inc., Bradley Garlinghouse, and Christian A. Larsen
SEC EDGAR
2025-08-07
Litigation Release 2025
Dr. Joseph J. Nantomah; Investors Capital LLC; Global Investors Capital LLC; and High Income Performance Partners LLC
SEC Litigation Release LR-26368 — Dr. Joseph J. Nantomah; Investors Capital LLC; Global Investors Capital LLC; and High Income Performance Partners LLC
SEC EDGAR
2025-08-06
Litigation Release 2025
Doron A. Tavlin, Afshin Farahan, and David Gantman
SEC Litigation Release LR-26367 — Doron A. Tavlin, Afshin Farahan, and David Gantman
SEC EDGAR
2025-08-06
Litigation Release 2025
David J. Feingold; Joseph B. Baldassarra; Steven S. Baldassarra; Broad Street Global Management, LLC; Broad Street Inc.
SEC Litigation Release LR-26366 — David J. Feingold; Joseph B. Baldassarra; Steven S. Baldassarra; Broad Street Global Management, LLC; Broad Street Inc.
SEC EDGAR
2025-08-04
Litigation Release 2025
Jose D. Rocha
SEC Litigation Release LR-26365 — Jose D. Rocha
SEC EDGAR
2025-07-30
Litigation Release 2025
Dishant Gupta
SEC Litigation Release LR-26364 — Dishant Gupta
SEC EDGAR
2025-07-30
Litigation Release 2025
Caz L. Craffy
SEC Litigation Release LR-26363 — Caz L. Craffy
SEC EDGAR
2025-07-29
Litigation Release 2025
Rabindranauth Persaud
SEC Litigation Release LR-26362 — Rabindranauth Persaud
SEC EDGAR
2025-07-29
Litigation Release 2025
Old South Trading Co., LLC; Brendan H. Church; Edwin N. ("Chuck") Church
SEC Litigation Release LR-26361 — Old South Trading Co., LLC; Brendan H. Church; Edwin N. ("Chuck") Church
SEC EDGAR
2025-07-22
Litigation Release 2025
Edwin Emmett Lickiss, Jr.
SEC Litigation Release LR-26360 — Edwin Emmett Lickiss, Jr.
SEC EDGAR
2025-07-22
Litigation Release 2025
Brian M. Kashman
SEC Litigation Release LR-26359 — Brian M. Kashman
SEC EDGAR
2025-07-22
Litigation Release 2025
Edwin Brant Frost IV and First Liberty Building & Loan LLC
SEC Litigation Release LR-26358 — Edwin Brant Frost IV and First Liberty Building & Loan LLC
SEC EDGAR
2025-07-22
Litigation Release 2025
Jerry D. Guess and Guess & Co. Corporation
SEC Litigation Release LR-26357 — Jerry D. Guess and Guess & Co. Corporation
SEC EDGAR
2025-07-22
Litigation Release 2025
Robert Brian Thompson
SEC Litigation Release LR-26356 — Robert Brian Thompson
SEC EDGAR
2025-07-21
Litigation Release 2025
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.