SEC Enforcement Actions
105 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)
John Olsen; ARCPE 1, LLC; ARCPE Holding, LLC; Gemini 1, LLC; Tamiwest, LLC; Harbor Realty Investment Corp.; and Sunset Harbor Holdings, LLC
SEC Litigation Release LR-26511 — John Olsen; ARCPE 1, LLC; ARCPE Holding, LLC; Gemini 1, LLC; Tamiwest, LLC; Harbor Realty Investment Corp.; and Sunset Harbor Holdings, LLC
SEC EDGAR
2026-03-27
Litigation Release 2026
FAT Brands, Inc. , Andrew Wiederhorn, Ron Roe, Rebecca Hershinger
SEC Litigation Release LR-26510 — FAT Brands, Inc. , Andrew Wiederhorn, Ron Roe, Rebecca Hershinger
SEC EDGAR
2026-03-27
Litigation Release 2026
Benjamin Taylor and Darina Windsor
SEC Litigation Release LR-26509 — Benjamin Taylor and Darina Windsor
SEC EDGAR
2026-03-27
Litigation Release 2026
Commonwealth Equity Services, LLC d/b/a Commonwealth Financial Network
SEC Litigation Release LR-26508 — Commonwealth Equity Services, LLC d/b/a Commonwealth Financial Network
SEC EDGAR
2026-03-27
Litigation Release 2026
Krish Kumar
SEC Litigation Release LR-26507 — Krish Kumar
SEC EDGAR
2026-03-27
Litigation Release 2026
Ozy Media, Inc.
SEC Litigation Release LR-26506 — Ozy Media, Inc.
SEC EDGAR
2026-03-24
Litigation Release 2026
Stuart Frost
SEC Litigation Release LR-26505 — Stuart Frost
SEC EDGAR
2026-03-24
Litigation Release 2026
Kevan Sadigh
SEC Litigation Release LR-26504 — Kevan Sadigh
SEC EDGAR
2026-03-23
Litigation Release 2026
Kenneth A. Welsh
SEC Litigation Release LR-26503 — Kenneth A. Welsh
SEC EDGAR
2026-03-18
Litigation Release 2026
J. Bernard Rice
SEC Litigation Release LR-26502 — J. Bernard Rice
SEC EDGAR
2026-03-17
Litigation Release 2026
Paul W. Jorgensen
SEC Litigation Release LR-26501 — Paul W. Jorgensen
SEC EDGAR
2026-03-17
Litigation Release 2026
Bin Hao and Qidian LLC
SEC Litigation Release LR-26500 — Bin Hao and Qidian LLC
SEC EDGAR
2026-03-17
Litigation Release 2026
Nader Al-Naji, Buse Desticioğlu Al-Naji, Joumana Bahouth Al-Naji, Intangible Holdings, LLC, Firestorm Media, LLC, Viridian City, LLC, and DeSo Foundation
SEC Litigation Release LR-26499 — Nader Al-Naji, Buse Desticioğlu Al-Naji, Joumana Bahouth Al-Naji, Intangible Holdings, LLC, Firestorm Media, LLC, Viridian City, LLC, and DeSo Foundation
SEC EDGAR
2026-03-12
Litigation Release 2026
Randall J. Miller; Chad J. Miller; Jeffrey De Laveaga; Jeffrey Puzzullo
SEC Litigation Release LR-26498 — Randall J. Miller; Chad J. Miller; Jeffrey De Laveaga; Jeffrey Puzzullo
SEC EDGAR
2026-03-09
Litigation Release 2026
Matthew J. Werthe, dba HSR Wealth Management
SEC Litigation Release LR-26497 — Matthew J. Werthe, dba HSR Wealth Management
SEC EDGAR
2026-03-06
Litigation Release 2026
Justin Sun, Tron Foundation Limited, BitTorrent Foundation Ltd., Rainberry, Inc., and DeAndre Cortez Way
SEC Litigation Release LR-26496 — Justin Sun, Tron Foundation Limited, BitTorrent Foundation Ltd., Rainberry, Inc., and DeAndre Cortez Way
SEC EDGAR
2026-03-05
Litigation Release 2026
Vidul Prakash
SEC Litigation Release LR-26495 — Vidul Prakash
SEC EDGAR
2026-02-27
Litigation Release 2026
Ofer Abarbanel
SEC Litigation Release LR-26494 — Ofer Abarbanel
SEC EDGAR
2026-02-27
Litigation Release 2026
Fernando Passos
SEC Litigation Release LR-26493 — Fernando Passos
SEC EDGAR
2026-02-26
Litigation Release 2026
Charles T. Lawrence and Landes Prive, LLC
SEC Litigation Release LR-26492 — Charles T. Lawrence and Landes Prive, LLC
SEC EDGAR
2026-02-25
Litigation Release 2026
Western Sierra Resource Corporation, Roger Johnson, and Dennis Atkins
SEC Litigation Release LR-26491 — Western Sierra Resource Corporation, Roger Johnson, and Dennis Atkins
SEC EDGAR
2026-02-25
Litigation Release 2026
Joel Castellanos
SEC Litigation Release LR-26490 — Joel Castellanos
SEC EDGAR
2026-02-24
Litigation Release 2026
Joseph C. Lewis, Carolyn W. Carter, Patrick J. O’Connor, and Bryan L. Waugh
SEC Litigation Release LR-26489 — Joseph C. Lewis, Carolyn W. Carter, Patrick J. O’Connor, and Bryan L. Waugh
SEC EDGAR
2026-02-24
Litigation Release 2026
Ian G. Bell
SEC Litigation Release LR-26488 — Ian G. Bell
SEC EDGAR
2026-02-24
Litigation Release 2026
Christopher B. Ferguson and Brian P. McFadden
SEC Litigation Release LR-26487 — Christopher B. Ferguson and Brian P. McFadden
SEC EDGAR
2026-02-23
Litigation Release 2026
C-Hear, Inc.; Adena Harmon
SEC Litigation Release LR-26486 — C-Hear, Inc.; Adena Harmon
SEC EDGAR
2026-02-20
Litigation Release 2026
Cutter Financial Group, LLC and Jeffrey Cutter
SEC Litigation Release LR-26485 — Cutter Financial Group, LLC and Jeffrey Cutter
SEC EDGAR
2026-02-19
Litigation Release 2026
Bluesky Eagle Capital Management Ltd.
SEC Litigation Release LR-26484 — Bluesky Eagle Capital Management Ltd.
SEC EDGAR
2026-02-19
Litigation Release 2026
Saumil Thakkar, Poorvesh Thakkar, et al.
SEC Litigation Release LR-26483 — Saumil Thakkar, Poorvesh Thakkar, et al.
SEC EDGAR
2026-02-19
Litigation Release 2026
Nicholas Bowerman
SEC Litigation Release LR-26482 — Nicholas Bowerman
SEC EDGAR
2026-02-11
Litigation Release 2026
John David Gessin et al.
SEC Litigation Release LR-26481 — John David Gessin et al.
SEC EDGAR
2026-02-11
Litigation Release 2026
Barrington Asset Management, Inc.; Gregory David Paris
SEC Litigation Release LR-26480 — Barrington Asset Management, Inc.; Gregory David Paris
SEC EDGAR
2026-02-10
Litigation Release 2026
CBA Pharma, Inc., Wayne Michael Putnam, Louis A. Carmichael
SEC Litigation Release LR-26479 — CBA Pharma, Inc., Wayne Michael Putnam, Louis A. Carmichael
SEC EDGAR
2026-02-06
Litigation Release 2026
Ryan Squillante
SEC Litigation Release LR-26478 — Ryan Squillante
SEC EDGAR
2026-02-05
Litigation Release 2026
Gerald Shvartsman; Michael Shvartsman; Rocket One Capital LLC
SEC Litigation Release LR-26477 — Gerald Shvartsman; Michael Shvartsman; Rocket One Capital LLC
SEC EDGAR
2026-02-05
Litigation Release 2026
Marat Likhtenstein
SEC Litigation Release LR-26476 — Marat Likhtenstein
SEC EDGAR
2026-02-05
Litigation Release 2026
Brett Rosen; Deborah Braun; David M. Massey; RB Capital Partners, Inc.
SEC Litigation Release LR-26475 — Brett Rosen; Deborah Braun; David M. Massey; RB Capital Partners, Inc.
SEC EDGAR
2026-02-04
Litigation Release 2026
Ejiro Ode Okuma
SEC Litigation Release LR-26474 — Ejiro Ode Okuma
SEC EDGAR
2026-02-04
Litigation Release 2026
Kevin A. Van de Grift
SEC Litigation Release LR-26473 — Kevin A. Van de Grift
SEC EDGAR
2026-01-30
Litigation Release 2026
Satish Appalakutty; Lorven Funds; Lorven Advisors LLC; Vistalytics Inc.
SEC Litigation Release LR-26472 — Satish Appalakutty; Lorven Funds; Lorven Advisors LLC; Vistalytics Inc.
SEC EDGAR
2026-01-29
Litigation Release 2026
Dale Swanberg
SEC Litigation Release LR-26471 — Dale Swanberg
SEC EDGAR
2026-01-29
Litigation Release 2026
Vikram Luthar
SEC Litigation Release LR-26470 — Vikram Luthar
SEC EDGAR
2026-01-27
Litigation Release 2026
Anil Mathews; Rahul Agarwal; Kenneth M. Harlan; and MobileFuse, LLC
SEC Litigation Release LR-26469 — Anil Mathews; Rahul Agarwal; Kenneth M. Harlan; and MobileFuse, LLC
SEC EDGAR
2026-01-27
Litigation Release 2026
Shannon Illingworth and GP Solutions, Inc.
SEC Litigation Release LR-26468 — Shannon Illingworth and GP Solutions, Inc.
SEC EDGAR
2026-01-27
Litigation Release 2026
Saeid Jaberian
SEC Litigation Release LR-26467 — Saeid Jaberian
SEC EDGAR
2026-01-27
Litigation Release 2026
Brian J. Suthoff
SEC Litigation Release LR-26466 — Brian J. Suthoff
SEC EDGAR
2026-01-26
Litigation Release 2026
Gemini Trust Company, LLC
SEC Litigation Release LR-26465 — Gemini Trust Company, LLC
SEC EDGAR
2026-01-23
Litigation Release 2026
Lawrence Anthony DiMatteo; Vadim Komissarov; Lottery.com, Inc.; Matthew Clemenson; Ryan Dickinson
SEC Litigation Release LR-26464 — Lawrence Anthony DiMatteo; Vadim Komissarov; Lottery.com, Inc.; Matthew Clemenson; Ryan Dickinson
SEC EDGAR
2026-01-23
Litigation Release 2026
Joel B. Sofia
SEC Litigation Release LR-26463 — Joel B. Sofia
SEC EDGAR
2026-01-23
Litigation Release 2026
Matthew M. Motil, et al.
SEC Litigation Release LR-26462 — Matthew M. Motil, et al.
SEC EDGAR
2026-01-16
Litigation Release 2026
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.