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)
Michael Shustek and Vestin Mortgage LLC
SEC Litigation Release LR-25154 — Michael Shustek and Vestin Mortgage LLC
SEC EDGAR
2021-08-02
Litigation Release 2021
Edward Wooten., et al.
SEC Litigation Release LR-25153 — Edward Wooten., et al.
SEC EDGAR
2021-07-30
Litigation Release 2021
Lupo Securities, LLC
SEC Litigation Release LR-25152 — Lupo Securities, LLC
SEC EDGAR
2021-07-29
Litigation Release 2021
George Heckler
SEC Litigation Release LR-25151 — George Heckler
SEC EDGAR
2021-07-28
Litigation Release 2021
Joseph Taub et al.
SEC Litigation Release LR-25150 — Joseph Taub et al.
SEC EDGAR
2021-07-28
Litigation Release 2021
Mine Shaft Brewing, LLC et al.
SEC Litigation Release LR-25149 — Mine Shaft Brewing, LLC et al.
SEC EDGAR
2021-07-28
Litigation Release 2021
Outdoor Capital Partners, LLC
SEC Litigation Release LR-25148 — Outdoor Capital Partners, LLC
SEC EDGAR
2021-07-22
Litigation Release 2021
Charlie Abujudeh
SEC Litigation Release LR-25147 — Charlie Abujudeh
SEC EDGAR
2021-07-22
Litigation Release 2021
Rahulkumar "Rahul" M. Patel
SEC Litigation Release LR-25146 — Rahulkumar "Rahul" M. Patel
SEC EDGAR
2021-07-21
Litigation Release 2021
Suneet Singal, First Capital Real Estate Investments, LLC, First Capital Real Estate Advisors LP, and First Capital Real Estate Trust Inc.
SEC Litigation Release LR-25145 — Suneet Singal, First Capital Real Estate Investments, LLC, First Capital Real Estate Advisors LP, and First Capital Real Estate Trust Inc.
SEC EDGAR
2021-07-21
Litigation Release 2021
Profit Connect Wealth Services, Inc., Joy I. Kovar, and Brent C. Kovar
SEC Litigation Release LR-25144 — Profit Connect Wealth Services, Inc., Joy I. Kovar, and Brent C. Kovar
SEC EDGAR
2021-07-20
Litigation Release 2021
Marlon Muller
SEC Litigation Release LR-25143 — Marlon Muller
SEC EDGAR
2021-07-15
Litigation Release 2021
Jefferey A. Gordon, Blue Rock Ventures, LLC, and Windy City Accelerated Returns Venture I
SEC Litigation Release LR-25142 — Jefferey A. Gordon, Blue Rock Ventures, LLC, and Windy City Accelerated Returns Venture I
SEC EDGAR
2021-07-15
Litigation Release 2021
Michael Palleschi and David Lethem
SEC Litigation Release LR-25141 — Michael Palleschi and David Lethem
SEC EDGAR
2021-07-15
Litigation Release 2021
Jonathan Mimun a/k/a Jonathan Maymon and Ronn BenHarav
SEC Litigation Release LR-25140 — Jonathan Mimun a/k/a Jonathan Maymon and Ronn BenHarav
SEC EDGAR
2021-07-13
Litigation Release 2021
Shimon Rosenfeld
SEC Litigation Release LR-25139 — Shimon Rosenfeld
SEC EDGAR
2021-07-13
Litigation Release 2021
Westport Capital Markets, LLC and Christopher E. McClure
SEC Litigation Release LR-25138 — Westport Capital Markets, LLC and Christopher E. McClure
SEC EDGAR
2021-07-07
Litigation Release 2021
Parallax Health Sciences, Inc., Paul Arena and Nathaniel Bradley
SEC Litigation Release LR-25137 — Parallax Health Sciences, Inc., Paul Arena and Nathaniel Bradley
SEC EDGAR
2021-07-07
Litigation Release 2021
Lambert Vander Tuig, Ben Schactschneider, Capital Development Resources f/k/a Biosynetics, and Biosynetics Management, and Relief Defendant Galileo Labs, Inc.
SEC Litigation Release LR-25134 — Lambert Vander Tuig, Ben Schactschneider, Capital Development Resources f/k/a Biosynetics, and Biosynetics Management, and Relief Defendant Galileo Labs, Inc.
SEC EDGAR
2021-07-02
Litigation Release 2021
Roger Nils-Jonas Karlsson
SEC Litigation Release LR-25133 — Roger Nils-Jonas Karlsson
SEC EDGAR
2021-07-02
Litigation Release 2021
Gerardo de Nicolás et al.
SEC Litigation Release LR-25132 — Gerardo de Nicolás et al.
SEC EDGAR
2021-07-02
Litigation Release 2021
Dropil, Inc., Jeremy McAlpine, Zachary Matar, and Patrick O'Hara
SEC Litigation Release LR-25136 — Dropil, Inc., Jeremy McAlpine, Zachary Matar, and Patrick O'Hara
SEC EDGAR
2021-07-02
Litigation Release 2021
Michael Barry Carter
SEC Litigation Release LR-25135 — Michael Barry Carter
SEC EDGAR
2021-07-02
Litigation Release 2021
Contrarian Press, LLC, Scott S. Fraser, and Nathan Yeung
SEC Litigation Release LR-25131 — Contrarian Press, LLC, Scott S. Fraser, and Nathan Yeung
SEC EDGAR
2021-07-01
Litigation Release 2021
Shawn F. Hackman
SEC Litigation Release LR-25130 — Shawn F. Hackman
SEC EDGAR
2021-07-01
Litigation Release 2021
Ron Phillips
SEC Litigation Release LR-25129 — Ron Phillips
SEC EDGAR
2021-06-30
Litigation Release 2021
SkiHawk Capital Partners, LLC, et al.
SEC Litigation Release LR-25128 — SkiHawk Capital Partners, LLC, et al.
SEC EDGAR
2021-06-29
Litigation Release 2021
Matthew J. Skinner, et al.
SEC Litigation Release LR-25127 — Matthew J. Skinner, et al.
SEC EDGAR
2021-06-29
Litigation Release 2021
Gregory David Paris and Barrington Asset Management, Inc.
SEC Litigation Release LR-25126 — Gregory David Paris and Barrington Asset Management, Inc.
SEC EDGAR
2021-06-29
Litigation Release 2021
John Robert Jones, Jr.
SEC Litigation Release LR-25125 — John Robert Jones, Jr.
SEC EDGAR
2021-06-29
Litigation Release 2021
Nathaniel Brown, Benjamin Wylam, Naveen Sood, Marcus Bannon, Matthew Rauch, and Naresh Ramaiya
SEC Litigation Release LR-25123 — Nathaniel Brown, Benjamin Wylam, Naveen Sood, Marcus Bannon, Matthew Rauch, and Naresh Ramaiya
SEC EDGAR
2021-06-25
Litigation Release 2021
Wang
SEC Litigation Release LR-25122 — Wang
SEC EDGAR
2021-06-25
Litigation Release 2021
Princeton Alternative Funding LLC, Microbilt Corporation, Philip N. Burgess, Jr., Walter Wojciechowski, and John Cook, Defendants
SEC Litigation Release LR-25124 — Princeton Alternative Funding LLC, Microbilt Corporation, Philip N. Burgess, Jr., Walter Wojciechowski, and John Cook, Defendants
SEC EDGAR
2021-06-25
Litigation Release 2021
Asante K. Berko
SEC Litigation Release LR-25121 — Asante K. Berko
SEC EDGAR
2021-06-23
Litigation Release 2021
Joseph Geromini
SEC Litigation Release LR-25120 — Joseph Geromini
SEC EDGAR
2021-06-23
Litigation Release 2021
Ramiro Jose Sugranes, UCB Financial Advisers, Inc. and UCB Financial Services Limited
SEC Litigation Release LR-25119 — Ramiro Jose Sugranes, UCB Financial Advisers, Inc. and UCB Financial Services Limited
SEC EDGAR
2021-06-22
Litigation Release 2021
Mark A. Miller
SEC Litigation Release LR-25118 — Mark A. Miller
SEC EDGAR
2021-06-21
Litigation Release 2021
Ali Asif Hamid, Michael Gietz, and Cristine Page a/k/a Cristina Page
SEC Litigation Release LR-25117 — Ali Asif Hamid, Michael Gietz, and Cristine Page a/k/a Cristina Page
SEC EDGAR
2021-06-15
Litigation Release 2021
Robert Joseph Armijo, et al.
SEC Litigation Release LR-25116 — Robert Joseph Armijo, et al.
SEC EDGAR
2021-06-15
Litigation Release 2021
Edgar M. Radjabli, et. al.
SEC Litigation Release LR-25115 — Edgar M. Radjabli, et. al.
SEC EDGAR
2021-06-11
Litigation Release 2021
Wellness Matrix Group, Inc. and George Todt
SEC Litigation Release LR-25114 — Wellness Matrix Group, Inc. and George Todt
SEC EDGAR
2021-06-11
Litigation Release 2021
Cell>Point, LLC, Terry A. Colip, and Greg R. Colip
SEC Litigation Release LR-25113 — Cell>Point, LLC, Terry A. Colip, and Greg R. Colip
SEC EDGAR
2021-06-11
Litigation Release 2021
Luca International Group, LLC, et al.
SEC Litigation Release LR-25112 — Luca International Group, LLC, et al.
SEC EDGAR
2021-06-10
Litigation Release 2021
Matthew O. Clason
SEC Litigation Release LR-25111 — Matthew O. Clason
SEC EDGAR
2021-06-09
Litigation Release 2021
Edward E. Matthes
SEC Litigation Release LR-25110 — Edward E. Matthes
SEC EDGAR
2021-06-09
Litigation Release 2021
Thomas Nicholas Salzano
SEC Litigation Release LR-25108 — Thomas Nicholas Salzano
SEC EDGAR
2021-06-07
Litigation Release 2021
The Estate of Kenneth J. Casey
SEC Litigation Release LR-25106 — The Estate of Kenneth J. Casey
SEC EDGAR
2021-06-02
Litigation Release 2021
Kevin T. Carney, Jonathan D. Freeze, and Robert J. Irey
SEC Litigation Release LR-25107 — Kevin T. Carney, Jonathan D. Freeze, and Robert J. Irey
SEC EDGAR
2021-06-02
Litigation Release 2021
Jeffrey C. Mack and Lawrence C. Blaney
SEC Litigation Release LR-25105 — Jeffrey C. Mack and Lawrence C. Blaney
SEC EDGAR
2021-06-02
Litigation Release 2021
James K. Couture
SEC Litigation Release LR-25104 — James K. Couture
SEC EDGAR
2021-06-01
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.