SEC Enforcement Actions

306 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)
TBG Holdings Corporation, Neil B. Swartz, and Timothy S. Hart, Ted L. Romeo, Vincent J. Caputo, Frank S. Dickerson
SEC Litigation Release LR-25504 — TBG Holdings Corporation, Neil B. Swartz, and Timothy S. Hart, Ted L. Romeo, Vincent J. Caputo, Frank S. Dickerson
SEC EDGAR
2022-09-13
Litigation Release 2022
Oppenheimer & Co. Inc.
SEC Litigation Release LR-25505 — Oppenheimer & Co. Inc.
SEC EDGAR
2022-09-13
Litigation Release 2022
Profile Solutions, Inc. et. al.
SEC Litigation Release LR-25500 — Profile Solutions, Inc. et. al.
SEC EDGAR
2022-09-09
Litigation Release 2022
Ambassador Advisors, LLC, Bernard I. Bostwick, Robert E. Kauffman, and Adrian E. Young
SEC Litigation Release LR-25501 — Ambassador Advisors, LLC, Bernard I. Bostwick, Robert E. Kauffman, and Adrian E. Young
SEC EDGAR
2022-09-09
Litigation Release 2022
Money Magnet Platinum Membership Initiative LLC and LaKenya Hopkins
SEC Litigation Release LR-25499 — Money Magnet Platinum Membership Initiative LLC and LaKenya Hopkins
SEC EDGAR
2022-09-08
Litigation Release 2022
Todd Christopher Doucette
SEC Litigation Release LR-25498 — Todd Christopher Doucette
SEC EDGAR
2022-09-07
Litigation Release 2022
David Pope
SEC Litigation Release LR-25497 — David Pope
SEC EDGAR
2022-09-02
Litigation Release 2022
Kris A. Swaffer, et. al.
SEC Litigation Release LR-25496 — Kris A. Swaffer, et. al.
SEC EDGAR
2022-09-02
Litigation Release 2022
Cronin and Joseph
SEC Litigation Release LR-25493 — Cronin and Joseph
SEC EDGAR
2022-09-01
Litigation Release 2022
Ramas Capital Management, LLC and Ganesh H. Betanabhatla
SEC Litigation Release LR-25494 — Ramas Capital Management, LLC and Ganesh H. Betanabhatla
SEC EDGAR
2022-09-01
Litigation Release 2022
Archer Capital Management Group et al.
SEC Litigation Release LR-25495 — Archer Capital Management Group et al.
SEC EDGAR
2022-09-01
Litigation Release 2022
Empirex Capital LLC, et al.
SEC Litigation Release LR-25492 — Empirex Capital LLC, et al.
SEC EDGAR
2022-08-31
Litigation Release 2022
Lee A. Bressler
SEC Litigation Release LR-25488 — Lee A. Bressler
SEC EDGAR
2022-08-30
Litigation Release 2022
Ignite International Brands, Ltd.
SEC Litigation Release LR-25489 — Ignite International Brands, Ltd.
SEC EDGAR
2022-08-30
Litigation Release 2022
Pavel Ruiz
SEC Litigation Release LR-25490 — Pavel Ruiz
SEC EDGAR
2022-08-30
Litigation Release 2022
Gregory E. Lindberg, et al.
SEC Litigation Release LR-25491 — Gregory E. Lindberg, et al.
SEC EDGAR
2022-08-30
Litigation Release 2022
Harmel S. Rayat, RenovaCare, Inc., Jatinder Bhogal, Jeetenderjit Singh Sidhu, and Sharon Fleming
SEC Litigation Release LR-25487 — Harmel S. Rayat, RenovaCare, Inc., Jatinder Bhogal, Jeetenderjit Singh Sidhu, and Sharon Fleming
SEC EDGAR
2022-08-29
Litigation Release 2022
Spartan Securities Group, Ltd., et al.
SEC Litigation Release LR-25486 — Spartan Securities Group, Ltd., et al.
SEC EDGAR
2022-08-26
Litigation Release 2022
Swapnil J. Rege et al.
SEC Litigation Release LR-25482 — Swapnil J. Rege et al.
SEC EDGAR
2022-08-25
Litigation Release 2022
John C. Wilson II, et al.
SEC Litigation Release LR-25483 — John C. Wilson II, et al.
SEC EDGAR
2022-08-25
Litigation Release 2022
Taronis Technologies, Inc., et al.
SEC Litigation Release LR-25484 — Taronis Technologies, Inc., et al.
SEC EDGAR
2022-08-25
Litigation Release 2022
GP Capital Group, Inc. and Shannon W. Illingworth
SEC Litigation Release LR-25485 — GP Capital Group, Inc. and Shannon W. Illingworth
SEC EDGAR
2022-08-25
Litigation Release 2022
Nicolas Arkells
SEC Litigation Release LR-25481 — Nicolas Arkells
SEC EDGAR
2022-08-24
Litigation Release 2022
Robert Brian Watson and WDC Holdings LLC d/b/a Northstar Commercial Partners
SEC Litigation Release LR-25480 — Robert Brian Watson and WDC Holdings LLC d/b/a Northstar Commercial Partners
SEC EDGAR
2022-08-23
Litigation Release 2022
Lee Simmons
SEC Litigation Release LR-25478 — Lee Simmons
SEC EDGAR
2022-08-19
Litigation Release 2022
Jonathan Dax Cooke, et al.
SEC Litigation Release LR-25479 — Jonathan Dax Cooke, et al.
SEC EDGAR
2022-08-19
Litigation Release 2022
Airborne Wireless Network, et al.
SEC Litigation Release LR-25476 — Airborne Wireless Network, et al.
SEC EDGAR
2022-08-18
Litigation Release 2022
Anthony J. Mastroianni, Jr. and Global Business Development and Consulting Corp. Civil
SEC Litigation Release LR-25477 — Anthony J. Mastroianni, Jr. and Global Business Development and Consulting Corp. Civil
SEC EDGAR
2022-08-18
Litigation Release 2022
Christopher R. Bentley and Bellatorum Resources, LLC
SEC Litigation Release LR-25472 — Christopher R. Bentley and Bellatorum Resources, LLC
SEC EDGAR
2022-08-17
Litigation Release 2022
Nicholas Daniel
SEC Litigation Release LR-25473 — Nicholas Daniel
SEC EDGAR
2022-08-17
Litigation Release 2022
CKB168 Holdings Ltd., et al.
SEC Litigation Release LR-25474 — CKB168 Holdings Ltd., et al.
SEC EDGAR
2022-08-17
Litigation Release 2022
Sergei Polevikov, et al.
SEC Litigation Release LR-25475 — Sergei Polevikov, et al.
SEC EDGAR
2022-08-17
Litigation Release 2022
Ronald D. Paul
SEC Litigation Release LR-25471 — Ronald D. Paul
SEC EDGAR
2022-08-17
Litigation Release 2022
Dragonchain, Inc., Dragonchain Foundation, The Dragon Company, John Joseph Roets
SEC Litigation Release LR-25468 — Dragonchain, Inc., Dragonchain Foundation, The Dragon Company, John Joseph Roets
SEC EDGAR
2022-08-16
Litigation Release 2022
Rahim Mohamed, Davies (Dave") Wong
SEC Litigation Release LR-25469 — Rahim Mohamed, Davies (Dave") Wong
SEC EDGAR
2022-08-16
Litigation Release 2022
Ann M. Dishinger, Jerrold I. Palmer, and Lawrence M. Palmer
SEC Litigation Release LR-25470 — Ann M. Dishinger, Jerrold I. Palmer, and Lawrence M. Palmer
SEC EDGAR
2022-08-16
Litigation Release 2022
Ross Barish
SEC Litigation Release LR-25467 — Ross Barish
SEC EDGAR
2022-08-15
Litigation Release 2022
Desilu Studios, Inc. and Charles B. Hensley
SEC Litigation Release LR-25466 — Desilu Studios, Inc. and Charles B. Hensley
SEC EDGAR
2022-08-11
Litigation Release 2022
Alpine Securities Corp., et al.
SEC Litigation Release LR-25465 — Alpine Securities Corp., et al.
SEC EDGAR
2022-08-10
Litigation Release 2022
GreneCo, LLC, Gene D. Larson, Gregory K. Womack, and Womack Investment Advisers, Inc.
SEC Litigation Release LR-25464 — GreneCo, LLC, Gene D. Larson, Gregory K. Womack, and Womack Investment Advisers, Inc.
SEC EDGAR
2022-08-10
Litigation Release 2022
Semisub, Inc., Curtiss Edward Jackson, and Jamey Denise Jackson
SEC Litigation Release LR-25462 — Semisub, Inc., Curtiss Edward Jackson, and Jamey Denise Jackson
SEC EDGAR
2022-08-03
Litigation Release 2022
Brian K. Hutchison
SEC Litigation Release LR-25463 — Brian K. Hutchison
SEC EDGAR
2022-08-03
Litigation Release 2022
Crown Bridge Partners, LLC, Soheil Adhoot, and Sepas Ahdoot
SEC Litigation Release LR-25461 — Crown Bridge Partners, LLC, Soheil Adhoot, and Sepas Ahdoot
SEC EDGAR
2022-08-02
Litigation Release 2022
Vladimir Okhotnikov et al.
SEC Litigation Release LR-25460 — Vladimir Okhotnikov et al.
SEC EDGAR
2022-08-01
Litigation Release 2022
Alan Z. Appelbaum
SEC Litigation Release LR-25459 — Alan Z. Appelbaum
SEC EDGAR
2022-07-29
Litigation Release 2022
Robert L. Murray, Jr.
SEC Litigation Release LR-25455 — Robert L. Murray, Jr.
SEC EDGAR
2022-07-28
Litigation Release 2022
Patient Access Solutions, Inc., et al.
SEC Litigation Release LR-25456 — Patient Access Solutions, Inc., et al.
SEC EDGAR
2022-07-28
Litigation Release 2022
GP Capital Group, Inc. and Shannon W. Illingworth
SEC Litigation Release LR-25457 — GP Capital Group, Inc. and Shannon W. Illingworth
SEC EDGAR
2022-07-28
Litigation Release 2022
Mark Klein, et al.
SEC Litigation Release LR-25458 — Mark Klein, et al.
SEC EDGAR
2022-07-28
Litigation Release 2022
Alexandra Robert, Chalala Academy LLC
SEC Litigation Release LR-25452 — Alexandra Robert, Chalala Academy LLC
SEC EDGAR
2022-07-27
Litigation Release 2022
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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.