SEC Enforcement Actions
289 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)
Klaus Hofmann
SEC Litigation Release LR-25195 — Klaus Hofmann
SEC EDGAR
2021-09-03
Litigation Release 2021
Jason Dodd Bullard, Angela Romero-Bullard, and Bullard Enterprises LLC
SEC Litigation Release LR-25194 — Jason Dodd Bullard, Angela Romero-Bullard, and Bullard Enterprises LLC
SEC EDGAR
2021-09-02
Litigation Release 2021
Alexander Kon
SEC Litigation Release LR-25192 — Alexander Kon
SEC EDGAR
2021-09-01
Litigation Release 2021
Dawson L. Davenport, Elite Aerospace Group, Inc., Robert A. Gunton, Andrea J. Lindstrom, Michael P. Owens, Dustin B. Tillman, Julie A. Yale, and Zeeshawn S. Zia
SEC Litigation Release LR-25193 — Dawson L. Davenport, Elite Aerospace Group, Inc., Robert A. Gunton, Andrea J. Lindstrom, Michael P. Owens, Dustin B. Tillman, Julie A. Yale, and Zeeshawn S. Zia
SEC EDGAR
2021-09-01
Litigation Release 2021
Douglas E. Elstun
SEC Litigation Release LR-25191 — Douglas E. Elstun
SEC EDGAR
2021-09-01
Litigation Release 2021
Steven Fitzgerald Brown
SEC Litigation Release LR-25190 — Steven Fitzgerald Brown
SEC EDGAR
2021-08-31
Litigation Release 2021
Tellone Management Group, Inc., et al.
SEC Litigation Release LR-25189 — Tellone Management Group, Inc., et al.
SEC EDGAR
2021-08-31
Litigation Release 2021
Michael A. Bressman
SEC Litigation Release LR-25188 — Michael A. Bressman
SEC EDGAR
2021-08-30
Litigation Release 2021
Guillaume David Boccara
SEC Litigation Release LR-25187 — Guillaume David Boccara
SEC EDGAR
2021-08-30
Litigation Release 2021
Donald G. Blakstad, et al.
SEC Litigation Release LR-25186 — Donald G. Blakstad, et al.
SEC EDGAR
2021-08-30
Litigation Release 2021
Andrew L. Fassari
SEC Litigation Release LR-25185 — Andrew L. Fassari
SEC EDGAR
2021-08-27
Litigation Release 2021
William B. McHenry Jr. and First South Investments, LLC
SEC Litigation Release LR-25184 — William B. McHenry Jr. and First South Investments, LLC
SEC EDGAR
2021-08-27
Litigation Release 2021
John J. Woods, Livingston Group Asset Management Company d/b/a Southport Capital, and Horizon Private Equity, III, LLC
SEC Litigation Release LR-25181 — John J. Woods, Livingston Group Asset Management Company d/b/a Southport Capital, and Horizon Private Equity, III, LLC
SEC EDGAR
2021-08-25
Litigation Release 2021
Sung Mo Jun, Joon Jun, Junwoo Chon, Ayden Lee, and Jae Hyeon Bae
SEC Litigation Release LR-25180 — Sung Mo Jun, Joon Jun, Junwoo Chon, Ayden Lee, and Jae Hyeon Bae
SEC EDGAR
2021-08-25
Litigation Release 2021
Carl Jensen and Stephen W. Gold, Defendants, and Kerry Margolis and Michael Hock, Relief Defendants
SEC Litigation Release LR-25183 — Carl Jensen and Stephen W. Gold, Defendants, and Kerry Margolis and Michael Hock, Relief Defendants
SEC EDGAR
2021-08-25
Litigation Release 2021
Manish Lachwani
SEC Litigation Release LR-25182 — Manish Lachwani
SEC EDGAR
2021-08-25
Litigation Release 2021
Robert J. Mueller, et al.
SEC Litigation Release LR-25179 — Robert J. Mueller, et al.
SEC EDGAR
2021-08-20
Litigation Release 2021
Marcus Boggs
SEC Litigation Release LR-25178 — Marcus Boggs
SEC EDGAR
2021-08-20
Litigation Release 2021
Brown et al.
SEC Litigation Release LR-25177 — Brown et al.
SEC EDGAR
2021-08-19
Litigation Release 2021
Medsis International, Inc. et al.
SEC Litigation Release LR-25176 — Medsis International, Inc. et al.
SEC EDGAR
2021-08-19
Litigation Release 2021
William Scott Lawler and Natalie Bannister
SEC Litigation Release LR-25175 — William Scott Lawler and Natalie Bannister
SEC EDGAR
2021-08-19
Litigation Release 2021
Denise Grevas
SEC Litigation Release LR-25174 — Denise Grevas
SEC EDGAR
2021-08-18
Litigation Release 2021
Matthew Panuwat
SEC Litigation Release LR-25170 — Matthew Panuwat
SEC EDGAR
2021-08-17
Litigation Release 2021
Fusion Analytics Investment Partners, LLC, et al.
SEC Litigation Release LR-25173 — Fusion Analytics Investment Partners, LLC, et al.
SEC EDGAR
2021-08-17
Litigation Release 2021
Arthur Hall and Rising Biosciences, Inc.
SEC Litigation Release LR-25172 — Arthur Hall and Rising Biosciences, Inc.
SEC EDGAR
2021-08-17
Litigation Release 2021
Jeffrey Slothower and Battery Private, Inc.
SEC Litigation Release LR-25171 — Jeffrey Slothower and Battery Private, Inc.
SEC EDGAR
2021-08-17
Litigation Release 2021
GPL Ventures LLC, GPL Management LLC, Alexander J. Dillon, Cosmin I. Panait, HempAmericana, Inc., Salvador E. Rosillo, Seaside Advisors, LLC, and Lawrence B. Adams
SEC Litigation Release LR-25169 — GPL Ventures LLC, GPL Management LLC, Alexander J. Dillon, Cosmin I. Panait, HempAmericana, Inc., Salvador E. Rosillo, Seaside Advisors, LLC, and Lawrence B. Adams
SEC EDGAR
2021-08-16
Litigation Release 2021
MJ Capital Funding, LLC, et al,
SEC Litigation Release LR-25168 — MJ Capital Funding, LLC, et al,
SEC EDGAR
2021-08-13
Litigation Release 2021
Ahmad Haris Tajyar and Eric Leo Marsoubian
SEC Litigation Release LR-25167 — Ahmad Haris Tajyar and Eric Leo Marsoubian
SEC EDGAR
2021-08-13
Litigation Release 2021
The Movie Studio, Inc., et al.
SEC Litigation Release LR-25166 — The Movie Studio, Inc., et al.
SEC EDGAR
2021-08-13
Litigation Release 2021
Martin Adrian Ruiz et al.
SEC Litigation Release LR-25165 — Martin Adrian Ruiz et al.
SEC EDGAR
2021-08-13
Litigation Release 2021
Frederick L. Sharp et al.
SEC Litigation Release LR-25164 — Frederick L. Sharp et al.
SEC EDGAR
2021-08-12
Litigation Release 2021
Blessing K. Egbon
SEC Litigation Release LR-25163 — Blessing K. Egbon
SEC EDGAR
2021-08-10
Litigation Release 2021
David Webb, Jr.
SEC Litigation Release LR-25160 — David Webb, Jr.
SEC EDGAR
2021-08-09
Litigation Release 2021
Leonard R. Barr
SEC Litigation Release LR-25159 — Leonard R. Barr
SEC EDGAR
2021-08-09
Litigation Release 2021
Oleksandr Ieremenko, Sungjin Cho, David Kwon, Igor Sabodakha, Victoria Vorochek, Ivan Olefir, Andrey Sarafanov, Capyield Systems Ltd., Spirit Trade Ltd.
SEC Litigation Release LR-25158 — Oleksandr Ieremenko, Sungjin Cho, David Kwon, Igor Sabodakha, Victoria Vorochek, Ivan Olefir, Andrey Sarafanov, Capyield Systems Ltd., Spirit Trade Ltd.
SEC EDGAR
2021-08-05
Litigation Release 2021
Uulala, Inc., Oscar Garcia, and Matthew Loughran
SEC Litigation Release LR-25157 — Uulala, Inc., Oscar Garcia, and Matthew Loughran
SEC EDGAR
2021-08-04
Litigation Release 2021
Spartan Securities Group, Ltd., et al.
SEC Litigation Release LR-25156 — Spartan Securities Group, Ltd., et al.
SEC EDGAR
2021-08-04
Litigation Release 2021
Live Ventures Incorporated, JanOne Inc. (f/k/a Appliance Recycling Centers of America, Inc.), John Isaac a/k/a Jon Isaac, Kingston Diversified Holdings LLC, and Virland A. Johnson
SEC Litigation Release LR-25155 — Live Ventures Incorporated, JanOne Inc. (f/k/a Appliance Recycling Centers of America, Inc.), John Isaac a/k/a Jon Isaac, Kingston Diversified Holdings LLC, and Virland A. Johnson
SEC EDGAR
2021-08-03
Litigation Release 2021
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
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.