SEC Enforcement Actions

356 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)
CSIR Group, LLC, et al.
SEC Litigation Release LR-24280 — CSIR Group, LLC, et al.
SEC EDGAR
2018-09-20
Litigation Release 2018
Michael L. LaPenna
SEC Litigation Release LR-24279 — Michael L. LaPenna
SEC EDGAR
2018-09-20
Litigation Release 2018
World Tree Financial, LLC, et al.
SEC Litigation Release LR-24278 — World Tree Financial, LLC, et al.
SEC EDGAR
2018-09-20
Litigation Release 2018
Tamara Steele and Steele Financial, Inc.
SEC Litigation Release LR-24276 — Tamara Steele and Steele Financial, Inc.
SEC EDGAR
2018-09-19
Litigation Release 2018
Hani Zeini and Sientra, Inc.
SEC Litigation Release LR-24275 — Hani Zeini and Sientra, Inc.
SEC EDGAR
2018-09-19
Litigation Release 2018
Emil Botvinnik and Jovannie Aquino
SEC Litigation Release LR-24277 — Emil Botvinnik and Jovannie Aquino
SEC EDGAR
2018-09-18
Litigation Release 2018
Ernest J. Romer, III
SEC Litigation Release LR-24274 — Ernest J. Romer, III
SEC EDGAR
2018-09-18
Litigation Release 2018
Clovis Oncology, Inc., Patrick J. Mahaffy, and Erle T. Mast
SEC Litigation Release LR-24273 — Clovis Oncology, Inc., Patrick J. Mahaffy, and Erle T. Mast
SEC EDGAR
2018-09-18
Litigation Release 2018
SeaWorld Entertainment, Inc. and James Atchison, Frederick D. Jacobs
SEC Litigation Release LR-24272 — SeaWorld Entertainment, Inc. and James Atchison, Frederick D. Jacobs
SEC EDGAR
2018-09-18
Litigation Release 2018
John Paul Waymack
SEC Litigation Release LR-24271 — John Paul Waymack
SEC EDGAR
2018-09-18
Litigation Release 2018
Thomas J. Caufield
SEC Litigation Release LR-24270 — Thomas J. Caufield
SEC EDGAR
2018-09-17
Litigation Release 2018
Rong Chen, et al.
SEC Litigation Release LR-24269 — Rong Chen, et al.
SEC EDGAR
2018-09-14
Litigation Release 2018
Arista Power, Inc., et al.
SEC Litigation Release LR-24268 — Arista Power, Inc., et al.
SEC EDGAR
2018-09-14
Litigation Release 2018
Gregory Lemelson, Lemelson Capital Management, LLC, and The Amvona Fund
SEC Litigation Release LR-24267 — Gregory Lemelson, Lemelson Capital Management, LLC, and The Amvona Fund
SEC EDGAR
2018-09-13
Litigation Release 2018
Laura, et al.
SEC Litigation Release LR-24266 — Laura, et al.
SEC EDGAR
2018-09-12
Litigation Release 2018
Adam C. Wasserman
SEC Litigation Release LR-24265 — Adam C. Wasserman
SEC EDGAR
2018-09-12
Litigation Release 2018
Nevada Sports Investment Group, LP
SEC Litigation Release LR-24264 — Nevada Sports Investment Group, LP
SEC EDGAR
2018-09-10
Litigation Release 2018
Contrarian Investments, LLC
SEC Litigation Release LR-24263 — Contrarian Investments, LLC
SEC EDGAR
2018-09-10
Litigation Release 2018
Barry C. Honig, et al.
SEC Litigation Release LR-24262 — Barry C. Honig, et al.
SEC EDGAR
2018-09-07
Litigation Release 2018
Christopher Davies, et al.
SEC Litigation Release LR-24261 — Christopher Davies, et al.
SEC EDGAR
2018-09-07
Litigation Release 2018
In Ovations Holdings, Inc. and Mark Goldberg
SEC Litigation Release LR-24260 — In Ovations Holdings, Inc. and Mark Goldberg
SEC EDGAR
2018-09-06
Litigation Release 2018
Joel N. Burstein
SEC Litigation Release LR-24259 — Joel N. Burstein
SEC EDGAR
2018-09-06
Litigation Release 2018
Jeffrey Goldman and Christopher Eikenberry
SEC Litigation Release LR-24257 — Jeffrey Goldman and Christopher Eikenberry
SEC EDGAR
2018-09-05
Litigation Release 2018
Robert William Dorrance
SEC Litigation Release LR-24256 — Robert William Dorrance
SEC EDGAR
2018-09-05
Litigation Release 2018
Tangoe, Inc. et. al.
SEC Litigation Release LR-24255 — Tangoe, Inc. et. al.
SEC EDGAR
2018-09-04
Litigation Release 2018
Scott Stacy Phelps and James Michael Harper
SEC Litigation Release LR-24254 — Scott Stacy Phelps and James Michael Harper
SEC EDGAR
2018-08-31
Litigation Release 2018
Grenda Group, LLC, et al.
SEC Litigation Release LR-24253 — Grenda Group, LLC, et al.
SEC EDGAR
2018-08-30
Litigation Release 2018
Kendricks, et al.
SEC Litigation Release LR-24252 — Kendricks, et al.
SEC EDGAR
2018-08-30
Litigation Release 2018
Amer Deeba
SEC Litigation Release LR-24251 — Amer Deeba
SEC EDGAR
2018-08-30
Litigation Release 2018
John A. Henderson and Global Resources Leadership, LLC
SEC Litigation Release LR-24250 — John A. Henderson and Global Resources Leadership, LLC
SEC EDGAR
2018-08-29
Litigation Release 2018
1 Global Capital, LLC, Carl Ruderman, et al.
SEC Litigation Release LR-24249 — 1 Global Capital, LLC, Carl Ruderman, et al.
SEC EDGAR
2018-08-29
Litigation Release 2018
Equitybuild, Inc. et al.
SEC Litigation Release LR-24247 — Equitybuild, Inc. et al.
SEC EDGAR
2018-08-28
Litigation Release 2018
Richard J. Greenlaw et al.
SEC Litigation Release LR-24246 — Richard J. Greenlaw et al.
SEC EDGAR
2018-08-28
Litigation Release 2018
Sandy J. Masselli, Jr. et al.
SEC Litigation Release LR-24248 — Sandy J. Masselli, Jr. et al.
SEC EDGAR
2018-08-28
Litigation Release 2018
Fishoff, et al.
SEC Litigation Release LR-24245 — Fishoff, et al.
SEC EDGAR
2018-08-23
Litigation Release 2018
Gary S. Williky
SEC Litigation Release LR-24244 — Gary S. Williky
SEC EDGAR
2018-08-23
Litigation Release 2018
Barry M. Kornfeld, et al., Lynette M. Robbins and Knowles Systems, Inc.
SEC Litigation Release LR-24243 — Barry M. Kornfeld, et al., Lynette M. Robbins and Knowles Systems, Inc.
SEC EDGAR
2018-08-22
Litigation Release 2018
Harpreet Grewal
SEC Litigation Release LR-24242 — Harpreet Grewal
SEC EDGAR
2018-08-21
Litigation Release 2018
Intertech Solutions, Inc., William Scott Marshall, David Michael Naylor, and West Port Energy LLC
SEC Litigation Release LR-24241 — Intertech Solutions, Inc., William Scott Marshall, David Michael Naylor, and West Port Energy LLC
SEC EDGAR
2018-08-21
Litigation Release 2018
A. Catlin Cade, IV
SEC Litigation Release LR-24240 — A. Catlin Cade, IV
SEC EDGAR
2018-08-21
Litigation Release 2018
Eric P. Lesak, Global Research, LLC (PA), Global Research, LLC (NY)
SEC Litigation Release LR-24239 — Eric P. Lesak, Global Research, LLC (PA), Global Research, LLC (NY)
SEC EDGAR
2018-08-21
Litigation Release 2018
Medient Studios, Inc. et al.
SEC Litigation Release LR-24238 — Medient Studios, Inc. et al.
SEC EDGAR
2018-08-20
Litigation Release 2018
Equitybuild, Inc. et al.
SEC Litigation Release LR-24237 — Equitybuild, Inc. et al.
SEC EDGAR
2018-08-20
Litigation Release 2018
Lauren Zarksy, Dorothy Zarsky
SEC Litigation Release LR-24236 — Lauren Zarksy, Dorothy Zarsky
SEC EDGAR
2018-08-16
Litigation Release 2018
TelexFree, Inc. et al.
SEC Litigation Release LR-24235 — TelexFree, Inc. et al.
SEC EDGAR
2018-08-14
Litigation Release 2018
Alexander Charles White and Paul Douglas Vandivier
SEC Litigation Release LR-24234 — Alexander Charles White and Paul Douglas Vandivier
SEC EDGAR
2018-08-13
Litigation Release 2018
Chad Anthony Lewis
SEC Litigation Release LR-24233 — Chad Anthony Lewis
SEC EDGAR
2018-08-13
Litigation Release 2018
Roger Duffield and Plandai Biotechnology, Inc.
SEC Litigation Release LR-24232 — Roger Duffield and Plandai Biotechnology, Inc.
SEC EDGAR
2018-08-10
Litigation Release 2018
Christopher Collins, et al., Lauren Zarksy, Dorothy Zarsky
SEC Litigation Release LR-24231 — Christopher Collins, et al., Lauren Zarksy, Dorothy Zarsky
SEC EDGAR
2018-08-10
Litigation Release 2018
John C. Maccoll
SEC Litigation Release LR-24230 — John C. Maccoll
SEC EDGAR
2018-08-09
Litigation Release 2018
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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.