SEC Enforcement Actions
2,526 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)
Paul A. Garcia
SEC Litigation Release LR-25308 — Paul A. Garcia
SEC EDGAR
2022-01-18
Litigation Release 2022
Anthony M. Cottone, et al.
SEC Litigation Release LR-25307 — Anthony M. Cottone, et al.
SEC EDGAR
2022-01-14
Litigation Release 2022
Douglas A. Roth
SEC Litigation Release LR-25306 — Douglas A. Roth
SEC EDGAR
2022-01-13
Litigation Release 2022
David S. Sargent and Christopher M. Klundt
SEC Litigation Release LR-25305 — David S. Sargent and Christopher M. Klundt
SEC EDGAR
2022-01-11
Litigation Release 2022
Michael F. Shillin
SEC Litigation Release LR-25304 — Michael F. Shillin
SEC EDGAR
2022-01-10
Litigation Release 2022
Crowd Machine, Inc., Metavine, and Craig Derel Sproule, and Metavine Pty. Ltd. (Relief Defendant)
SEC Litigation Release LR-25303 — Crowd Machine, Inc., Metavine, and Craig Derel Sproule, and Metavine Pty. Ltd. (Relief Defendant)
SEC EDGAR
2022-01-07
Litigation Release 2022
David Schottenstein, Kris Bortnovsky, Ryan Shapiro, Sakal Capital Management, LLC, and Sakal U.S. Fund
SEC Litigation Release LR-25302 — David Schottenstein, Kris Bortnovsky, Ryan Shapiro, Sakal Capital Management, LLC, and Sakal U.S. Fund
SEC EDGAR
2022-01-06
Litigation Release 2022
Russell Craig and OneStep Financial Services, LLC
SEC Litigation Release LR-25300 — Russell Craig and OneStep Financial Services, LLC
SEC EDGAR
2022-01-06
Litigation Release 2022
Tanmaya Kabra et al.
SEC Litigation Release LR-25301 — Tanmaya Kabra et al.
SEC EDGAR
2022-01-06
Litigation Release 2022
Bóveda Asset Management, Inc. and George Kenneth Witherspoon, Jr.
SEC Litigation Release LR-25299 — Bóveda Asset Management, Inc. and George Kenneth Witherspoon, Jr.
SEC EDGAR
2022-01-04
Litigation Release 2022
Robert Samuel Shumake, Jr., et al
SEC Litigation Release LR-25298 — Robert Samuel Shumake, Jr., et al
SEC EDGAR
2022-01-03
Litigation Release 2022
Medallion Financial Corp., Andrew Murstein, Lawrence Meyers, and Ichabod's Cranium Inc.
SEC Litigation Release LR-25297 — Medallion Financial Corp., Andrew Murstein, Lawrence Meyers, and Ichabod's Cranium Inc.
SEC EDGAR
2021-12-29
Litigation Release 2021
Timothy Burroughs, Jay Holstine, John Griffin, and Michael Oswald Williams
SEC Litigation Release LR-25296 — Timothy Burroughs, Jay Holstine, John Griffin, and Michael Oswald Williams
SEC EDGAR
2021-12-27
Litigation Release 2021
Vladislav Kliushin, Nikolai Rumiantcev, Mikhail Irzak, Igor Sladkov, and Ivan Yermakov
SEC Litigation Release LR-25295 — Vladislav Kliushin, Nikolai Rumiantcev, Mikhail Irzak, Igor Sladkov, and Ivan Yermakov
SEC EDGAR
2021-12-22
Litigation Release 2021
James Siniscalchi
SEC Litigation Release LR-25294 — James Siniscalchi
SEC EDGAR
2021-12-22
Litigation Release 2021
Marco "Sully" Perez and Permian Basin Proppants, Inc.
SEC Litigation Release LR-25293 — Marco "Sully" Perez and Permian Basin Proppants, Inc.
SEC EDGAR
2021-12-22
Litigation Release 2021
John Marques, et al.
SEC Litigation Release LR-25292 — John Marques, et al.
SEC EDGAR
2021-12-21
Litigation Release 2021
Daniel V.T. Catenacci
SEC Litigation Release LR-25291 — Daniel V.T. Catenacci
SEC EDGAR
2021-12-20
Litigation Release 2021
Alexander Kon
SEC Litigation Release LR-25290 — Alexander Kon
SEC EDGAR
2021-12-16
Litigation Release 2021
Sequential Brands Group, Inc.
SEC Litigation Release LR-25289 — Sequential Brands Group, Inc.
SEC EDGAR
2021-12-15
Litigation Release 2021
Fusion Hotel Management, LLC, Fusion Hospitality Corporation and Denny T. Bhakta
SEC Litigation Release LR-25288 — Fusion Hotel Management, LLC, Fusion Hospitality Corporation and Denny T. Bhakta
SEC EDGAR
2021-12-15
Litigation Release 2021
Jay Scott Kirk Lee, Geoffrey Allen Wall, and Benjamin Thompson Kirk
SEC Litigation Release LR-25287 — Jay Scott Kirk Lee, Geoffrey Allen Wall, and Benjamin Thompson Kirk
SEC EDGAR
2021-12-10
Litigation Release 2021
BitConnect, et al.
SEC Litigation Release LR-25286 — BitConnect, et al.
SEC EDGAR
2021-12-09
Litigation Release 2021
Mohammed Pithapurwala, Ammar Kutiyanawalla, and Alifiya Kutiyanawalla
SEC Litigation Release LR-25285 — Mohammed Pithapurwala, Ammar Kutiyanawalla, and Alifiya Kutiyanawalla
SEC EDGAR
2021-12-09
Litigation Release 2021
The Heartland Group Ventures, LLC, et al.
SEC Litigation Release LR-25284 — The Heartland Group Ventures, LLC, et al.
SEC EDGAR
2021-12-08
Litigation Release 2021
Shamoon Omer Rafiq, a/k/a Shamoon Rafiq, Omer Rafiq, and Omar Rafiq
SEC Litigation Release LR-25283 — Shamoon Omer Rafiq, a/k/a Shamoon Rafiq, Omer Rafiq, and Omar Rafiq
SEC EDGAR
2021-12-07
Litigation Release 2021
American Renal Associates Holdings, Inc., Jonathan L. Wilcox, Jason M. Boucher, and Karen J. Smith
SEC Litigation Release LR-25282 — American Renal Associates Holdings, Inc., Jonathan L. Wilcox, Jason M. Boucher, and Karen J. Smith
SEC EDGAR
2021-12-06
Litigation Release 2021
Guillaume David Boccara
SEC Litigation Release LR-25279 — Guillaume David Boccara
SEC EDGAR
2021-12-03
Litigation Release 2021
Kirk Sperry and Sperry and Sons Capital Investments, LLC
SEC Litigation Release LR-25278 — Kirk Sperry and Sperry and Sons Capital Investments, LLC
SEC EDGAR
2021-12-03
Litigation Release 2021
Auzins
SEC Litigation Release LR-25277 — Auzins
SEC EDGAR
2021-12-03
Litigation Release 2021
Michael J. Starkweather and Andiamo Corporation
SEC Litigation Release LR-25281 — Michael J. Starkweather and Andiamo Corporation
SEC EDGAR
2021-12-03
Litigation Release 2021
Tom Simeo
SEC Litigation Release LR-25280 — Tom Simeo
SEC EDGAR
2021-12-03
Litigation Release 2021
Carnovale, et al.;
SEC Litigation Release LR-25276 — Carnovale, et al.;
SEC EDGAR
2021-12-02
Litigation Release 2021
Robert C. Dobkin, Cynthia Braun, Michael Fiorillo and Jeffrey S. Gregersen
SEC Litigation Release LR-25275 — Robert C. Dobkin, Cynthia Braun, Michael Fiorillo and Jeffrey S. Gregersen
SEC EDGAR
2021-12-01
Litigation Release 2021
Marc Demane Debih
SEC Litigation Release LR-25274 — Marc Demane Debih
SEC EDGAR
2021-11-30
Litigation Release 2021
Kevin R. Kuhnash and Jason P. Jimerson
SEC Litigation Release LR-25273 — Kevin R. Kuhnash and Jason P. Jimerson
SEC EDGAR
2021-11-24
Litigation Release 2021
Guy Scott Griffithe and Robert William Russell
SEC Litigation Release LR-25272 — Guy Scott Griffithe and Robert William Russell
SEC EDGAR
2021-11-24
Litigation Release 2021
Carol E. Cohen and Austin Rotter
SEC Litigation Release LR-25268 — Carol E. Cohen and Austin Rotter
SEC EDGAR
2021-11-23
Litigation Release 2021
John A. Paulsen
SEC Litigation Release LR-25267 — John A. Paulsen
SEC EDGAR
2021-11-23
Litigation Release 2021
Ryan Ginster
SEC Litigation Release LR-25271 — Ryan Ginster
SEC EDGAR
2021-11-23
Litigation Release 2021
Ronald T. Molo
SEC Litigation Release LR-25270 — Ronald T. Molo
SEC EDGAR
2021-11-23
Litigation Release 2021
Tomer Feingold and Dov Malnik
SEC Litigation Release LR-25269 — Tomer Feingold and Dov Malnik
SEC EDGAR
2021-11-23
Litigation Release 2021
James David O'Brien
SEC Litigation Release LR-25266 — James David O'Brien
SEC EDGAR
2021-11-19
Litigation Release 2021
Ramiro Jose Sugranes, et al.
SEC Litigation Release LR-25265 — Ramiro Jose Sugranes, et al.
SEC EDGAR
2021-11-15
Litigation Release 2021
Joshua Burrell and Activated Capital, LLC
SEC Litigation Release LR-25263 — Joshua Burrell and Activated Capital, LLC
SEC EDGAR
2021-11-15
Litigation Release 2021
Terraform Labs PTE, Ltd. and Do Kwon
SEC Litigation Release LR-25262 — Terraform Labs PTE, Ltd. and Do Kwon
SEC EDGAR
2021-11-12
Litigation Release 2021
Gerald Fauth
SEC Litigation Release LR-25261 — Gerald Fauth
SEC EDGAR
2021-11-10
Litigation Release 2021
CF3 Enterprises, LLC, et al.
SEC Litigation Release LR-25260 — CF3 Enterprises, LLC, et al.
SEC EDGAR
2021-11-09
Litigation Release 2021
Swapnil J. Rege and SwapStar Capital, LLC
SEC Litigation Release LR-25259 — Swapnil J. Rege and SwapStar Capital, LLC
SEC EDGAR
2021-11-08
Litigation Release 2021
Gregory Lemelson, Lemelson Capital Management, LLC, and The Amvona Fund
SEC Litigation Release LR-25258 — Gregory Lemelson, Lemelson Capital Management, LLC, and The Amvona Fund
SEC EDGAR
2021-11-08
Litigation Release 2021
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.