SEC Enforcement Actions
320 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)
ICOBox and Nikolay Evdokimov
SEC Litigation Release LR-24601 — ICOBox and Nikolay Evdokimov
SEC EDGAR
2019-09-19
Litigation Release 2019
Mediatrix Capital Inc., et al.
SEC Litigation Release LR-24600 — Mediatrix Capital Inc., et al.
SEC EDGAR
2019-09-18
Litigation Release 2019
Tom Simeo
SEC Litigation Release LR-24599 — Tom Simeo
SEC EDGAR
2019-09-17
Litigation Release 2019
Jan Atlas
SEC Litigation Release LR-24598 — Jan Atlas
SEC EDGAR
2019-09-17
Litigation Release 2019
John Henderson and Global Resources Leadership LLC
SEC Litigation Release LR-24597 — John Henderson and Global Resources Leadership LLC
SEC EDGAR
2019-09-17
Litigation Release 2019
Dean Patrick McDermott, McDermott Investment Advisors, LLC and McDermott Investment Services, LLC
SEC Litigation Release LR-24595 — Dean Patrick McDermott, McDermott Investment Advisors, LLC and McDermott Investment Services, LLC
SEC EDGAR
2019-09-13
Litigation Release 2019
Northridge Holdings, Ltd. et al.
SEC Litigation Release LR-24594 — Northridge Holdings, Ltd. et al.
SEC EDGAR
2019-09-13
Litigation Release 2019
Kevin B. Merrill, et al.
SEC Litigation Release LR-24593 — Kevin B. Merrill, et al.
SEC EDGAR
2019-09-13
Litigation Release 2019
Bio Defense Corporation, et al.
SEC Litigation Release LR-24592 — Bio Defense Corporation, et al.
SEC EDGAR
2019-09-13
Litigation Release 2019
Adam Mattessich and Joseph (a/k/a Jay) Ludovico
SEC Litigation Release LR-24591 — Adam Mattessich and Joseph (a/k/a Jay) Ludovico
SEC EDGAR
2019-09-13
Litigation Release 2019
Timothy W. Crawford, et al.
SEC Litigation Release LR-24590 — Timothy W. Crawford, et al.
SEC EDGAR
2019-09-12
Litigation Release 2019
Strategic Capital Management, LLC and Michael J. Breton
SEC Litigation Release LR-24589 — Strategic Capital Management, LLC and Michael J. Breton
SEC EDGAR
2019-09-10
Litigation Release 2019
Toon Goggles Inc., et al.
SEC Litigation Release LR-24588 — Toon Goggles Inc., et al.
SEC EDGAR
2019-09-06
Litigation Release 2019
Keith G. Daubenspeck and Geoffrey L. Homer
SEC Litigation Release LR-24587 — Keith G. Daubenspeck and Geoffrey L. Homer
SEC EDGAR
2019-09-05
Litigation Release 2019
E. Herbert Hafen
SEC Litigation Release LR-24586 — E. Herbert Hafen
SEC EDGAR
2019-09-05
Litigation Release 2019
John F. Thomas, Thomas Becker, Douglas Martin, Paul Hanson, Damian Ostertag, Einstein Sports Advisory, LLC, QSA, LLC, Vegas Basketball Club, LLC, Vegas Football Club, LLC, Wellington Sports Club, LLC, Welscorp, Inc. and Executive Financial Services, Inc.
SEC Litigation Release LR-24585 — John F. Thomas, Thomas Becker, Douglas Martin, Paul Hanson, Damian Ostertag, Einstein Sports Advisory, LLC, QSA, LLC, Vegas Basketball Club, LLC, Vegas Football Club, LLC, Wellington Sports Club, LLC, Welscorp, Inc. and Executive Financial Services, Inc.
SEC EDGAR
2019-09-04
Litigation Release 2019
Jayat P. Kanetkar and Guaranteed Investigations, Inc.
SEC Litigation Release LR-24584 — Jayat P. Kanetkar and Guaranteed Investigations, Inc.
SEC EDGAR
2019-09-03
Litigation Release 2019
Morrie Tobin et al.
SEC Litigation Release LR-24583 — Morrie Tobin et al.
SEC EDGAR
2019-08-30
Litigation Release 2019
Bitqyck, Inc., Bruce E. Bise, and Samuel J. Mendez
SEC Litigation Release LR-24582 — Bitqyck, Inc., Bruce E. Bise, and Samuel J. Mendez
SEC EDGAR
2019-08-29
Litigation Release 2019
William Hutchinson a/k/a William Cluxton
SEC Litigation Release LR-24578 — William Hutchinson a/k/a William Cluxton
SEC EDGAR
2019-08-29
Litigation Release 2019
Cetera Advisors, LLC
SEC Litigation Release LR-24581 — Cetera Advisors, LLC
SEC EDGAR
2019-08-29
Litigation Release 2019
Cambridge Capital Group Advisors, LLC (f/k/a Cambridge Capital Advisors, LLC), et al.
SEC Litigation Release LR-24580 — Cambridge Capital Group Advisors, LLC (f/k/a Cambridge Capital Advisors, LLC), et al.
SEC EDGAR
2019-08-29
Litigation Release 2019
Live Well Financial, Inc., Michael C. Hild, Eric Rohr, and Darren Stumberger
SEC Litigation Release LR-24579 — Live Well Financial, Inc., Michael C. Hild, Eric Rohr, and Darren Stumberger
SEC EDGAR
2019-08-29
Litigation Release 2019
Michael A. Carroll, Michael V. Pappagallo, Steven A. Splain, and Michael Mortimer
SEC Litigation Release LR-24577 — Michael A. Carroll, Michael V. Pappagallo, Steven A. Splain, and Michael Mortimer
SEC EDGAR
2019-08-27
Litigation Release 2019
Marcus Boggs
SEC Litigation Release LR-24576 — Marcus Boggs
SEC EDGAR
2019-08-27
Litigation Release 2019
Hartman Wright Group, LLC and Tytus W. Harkins
SEC Litigation Release LR-24575 — Hartman Wright Group, LLC and Tytus W. Harkins
SEC EDGAR
2019-08-27
Litigation Release 2019
Motty Mizrahi et al.
SEC Litigation Release LR-24574 — Motty Mizrahi et al.
SEC EDGAR
2019-08-26
Litigation Release 2019
Terry Wayne Kelly and Kelly Management, LLC
SEC Litigation Release LR-24573 — Terry Wayne Kelly and Kelly Management, LLC
SEC EDGAR
2019-08-22
Litigation Release 2019
Andrew J. Kandelapas
SEC Litigation Release LR-24572 — Andrew J. Kandelapas
SEC EDGAR
2019-08-20
Litigation Release 2019
Crystal World Holdings, Inc., et al.
SEC Litigation Release LR-24571 — Crystal World Holdings, Inc., et al.
SEC EDGAR
2019-08-19
Litigation Release 2019
Scott P. Strochak
SEC Litigation Release LR-24570 — Scott P. Strochak
SEC EDGAR
2019-08-19
Litigation Release 2019
Bill Tsai
SEC Litigation Release LR-24568 — Bill Tsai
SEC EDGAR
2019-08-16
Litigation Release 2019
Hani Zeini
SEC Litigation Release LR-24567 — Hani Zeini
SEC EDGAR
2019-08-16
Litigation Release 2019
Jehu Hand, et al.
SEC Litigation Release LR-24566 — Jehu Hand, et al.
SEC EDGAR
2019-08-16
Litigation Release 2019
Samuel Brown, et al.
SEC Litigation Release LR-24569 — Samuel Brown, et al.
SEC EDGAR
2019-08-16
Litigation Release 2019
Alan G. Heide
SEC Litigation Release LR-24565 — Alan G. Heide
SEC EDGAR
2019-08-15
Litigation Release 2019
Thomas W. Avent, Jr., et al.
SEC Litigation Release LR-24564 — Thomas W. Avent, Jr., et al.
SEC EDGAR
2019-08-15
Litigation Release 2019
Craig Rumbaugh, Rumbaugh Financial Inc., and Desert Strategic Equity, LLC
SEC Litigation Release LR-24563 — Craig Rumbaugh, Rumbaugh Financial Inc., and Desert Strategic Equity, LLC
SEC EDGAR
2019-08-15
Litigation Release 2019
Harsh Nahata and Ajay S. Bhandari
SEC Litigation Release LR-24562 — Harsh Nahata and Ajay S. Bhandari
SEC EDGAR
2019-08-14
Litigation Release 2019
Jeffrey C. Mack and Lawrence C. Blaney
SEC Litigation Release LR-24561 — Jeffrey C. Mack and Lawrence C. Blaney
SEC EDGAR
2019-08-14
Litigation Release 2019
Stuart Frost and Frost Management Company, LLC
SEC Litigation Release LR-24560 — Stuart Frost and Frost Management Company, LLC
SEC EDGAR
2019-08-14
Litigation Release 2019
Antonio Bravata
SEC Litigation Release LR-24559 — Antonio Bravata
SEC EDGAR
2019-08-13
Litigation Release 2019
Mark E. Burns
SEC Litigation Release LR-24557 — Mark E. Burns
SEC EDGAR
2019-08-12
Litigation Release 2019
Richard G. Duncan
SEC Litigation Release LR-24558 — Richard G. Duncan
SEC EDGAR
2019-08-12
Litigation Release 2019
Tanmaya Kabra et al.
SEC Litigation Release LR-24556 — Tanmaya Kabra et al.
SEC EDGAR
2019-08-08
Litigation Release 2019
Jerry Lee Farish and New Summit Homes, Inc.
SEC Litigation Release LR-24555 — Jerry Lee Farish and New Summit Homes, Inc.
SEC EDGAR
2019-08-08
Litigation Release 2019
Thomas W. Avent, Jr., et al.
SEC Litigation Release LR-24554 — Thomas W. Avent, Jr., et al.
SEC EDGAR
2019-08-07
Litigation Release 2019
Tanmaya Kabra et al.
SEC Litigation Release LR-24553 — Tanmaya Kabra et al.
SEC EDGAR
2019-08-06
Litigation Release 2019
Imran Husain, et al.
SEC Litigation Release LR-24552 — Imran Husain, et al.
SEC EDGAR
2019-08-06
Litigation Release 2019
Gerard F. Hug and Kurt W. Streams
SEC Litigation Release LR-24551 — Gerard F. Hug and Kurt W. Streams
SEC EDGAR
2019-08-05
Litigation Release 2019
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.