SEC Enforcement Actions
287 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)
Scott J. Hollender, Gabriel F. Migliano, Jr. and Frank M. Vecchio
SEC Litigation Release LR-26106 — Scott J. Hollender, Gabriel F. Migliano, Jr. and Frank M. Vecchio
SEC EDGAR
2024-09-13
Litigation Release 2024
Charles E. Jones
SEC Litigation Release LR-26105 — Charles E. Jones
SEC EDGAR
2024-09-12
Litigation Release 2024
Marg Patel, Robert Horowitz, and Chintankumar Bhatt
SEC Litigation Release LR-26104 — Marg Patel, Robert Horowitz, and Chintankumar Bhatt
SEC EDGAR
2024-09-12
Litigation Release 2024
Dishant Gupta
SEC Litigation Release LR-26103 — Dishant Gupta
SEC EDGAR
2024-09-10
Litigation Release 2024
James O. Ward, Jr.
SEC Litigation Release LR-26102 — James O. Ward, Jr.
SEC EDGAR
2024-09-10
Litigation Release 2024
AmeriStar, LLC, et al.
SEC Litigation Release LR-26101 — AmeriStar, LLC, et al.
SEC EDGAR
2024-09-10
Litigation Release 2024
Donald Anthony Wright; Retirement Specialty Group, Inc.
SEC Litigation Release LR-26100 — Donald Anthony Wright; Retirement Specialty Group, Inc.
SEC EDGAR
2024-09-10
Litigation Release 2024
Hunter Haithcock a/k/a Hunter Elliott and Hunter Allen
SEC Litigation Release LR-26099 — Hunter Haithcock a/k/a Hunter Elliott and Hunter Allen
SEC EDGAR
2024-09-09
Litigation Release 2024
Michael Chhabra, Vineet Chhabra, Tort Fund LLC, Tort Fund SPV1, LLC, Tort Fund SPV2, LLC
SEC Litigation Release LR-26098 — Michael Chhabra, Vineet Chhabra, Tort Fund LLC, Tort Fund SPV1, LLC, Tort Fund SPV2, LLC
SEC EDGAR
2024-09-06
Litigation Release 2024
Raskob Kambourian Financial Advisors, Ltd.
SEC Litigation Release LR-26097 — Raskob Kambourian Financial Advisors, Ltd.
SEC EDGAR
2024-09-06
Litigation Release 2024
Theodore Miller, et al.
SEC Litigation Release LR-26096 — Theodore Miller, et al.
SEC EDGAR
2024-09-05
Litigation Release 2024
Black Dragon Capital, LLC, et al.
SEC Litigation Release LR-26095 — Black Dragon Capital, LLC, et al.
SEC EDGAR
2024-09-03
Litigation Release 2024
Toller Stern Financial LLC, et al.
SEC Litigation Release LR-26094 — Toller Stern Financial LLC, et al.
SEC EDGAR
2024-09-03
Litigation Release 2024
Shaohua (Michael) Yin, et al.
SEC Litigation Release LR-26093 — Shaohua (Michael) Yin, et al.
SEC EDGAR
2024-08-30
Litigation Release 2024
GEL Direct LLC, GEL Direct Trust, Jeffrey K. Galvani, and Stuart A. Jeffery
SEC Litigation Release LR-26092 — GEL Direct LLC, GEL Direct Trust, Jeffrey K. Galvani, and Stuart A. Jeffery
SEC EDGAR
2024-08-30
Litigation Release 2024
Justin D. Smith and Joshua Constantin
SEC Litigation Release LR-26091 — Justin D. Smith and Joshua Constantin
SEC EDGAR
2024-08-30
Litigation Release 2024
Tanner S. Adam, Jonathan L. Adam, Triten Financial Group, LLC and GCZ Global LLC
SEC Litigation Release LR-26090 — Tanner S. Adam, Jonathan L. Adam, Triten Financial Group, LLC and GCZ Global LLC
SEC EDGAR
2024-08-30
Litigation Release 2024
Wisdom Capital Management Group Ltd.
SEC Litigation Release LR-26089 — Wisdom Capital Management Group Ltd.
SEC EDGAR
2024-08-30
Litigation Release 2024
Nutra Pharma Corporation, et al.
SEC Litigation Release LR-26088 — Nutra Pharma Corporation, et al.
SEC EDGAR
2024-08-30
Litigation Release 2024
Drew Morgan Ciccarelli
SEC Litigation Release LR-26087 — Drew Morgan Ciccarelli
SEC EDGAR
2024-08-30
Litigation Release 2024
Mmobuosi Odogwu Banye (a/k/a Dozy Mmobuosi), Tingo Group, Inc., Agri-Fintech Holdings, Inc. (f/k/a Tingo Inc.), and Tingo International Holdings, Inc.
SEC Litigation Release LR-26086 — Mmobuosi Odogwu Banye (a/k/a Dozy Mmobuosi), Tingo Group, Inc., Agri-Fintech Holdings, Inc. (f/k/a Tingo Inc.), and Tingo International Holdings, Inc.
SEC EDGAR
2024-08-29
Litigation Release 2024
Bernardo Mendia-Alcaraz and Toltec Capital LLC
SEC Litigation Release LR-26085 — Bernardo Mendia-Alcaraz and Toltec Capital LLC
SEC EDGAR
2024-08-28
Litigation Release 2024
Austal Limited and Austal USA, LLC
SEC Litigation Release LR-26084 — Austal Limited and Austal USA, LLC
SEC EDGAR
2024-08-27
Litigation Release 2024
QZ Global Ltd., et al.
SEC Litigation Release LR-26083 — QZ Global Ltd., et al.
SEC EDGAR
2024-08-27
Litigation Release 2024
Plutus Lending, LLC d/b/a Abra
SEC Litigation Release LR-26082 — Plutus Lending, LLC d/b/a Abra
SEC EDGAR
2024-08-26
Litigation Release 2024
Wayne H. McLean and Joan E. Powell
SEC Litigation Release LR-26081 — Wayne H. McLean and Joan E. Powell
SEC EDGAR
2024-08-21
Litigation Release 2024
FlowPoint Partners, LLC and Peter J. DeCaprio
SEC Litigation Release LR-26080 — FlowPoint Partners, LLC and Peter J. DeCaprio
SEC EDGAR
2024-08-21
Litigation Release 2024
Wells Real Estate Investment, LLC, Janalie C. Joseph a/k/a Janalie C. Bingham, and Jean Joseph, et al.
SEC Litigation Release LR-26079 — Wells Real Estate Investment, LLC, Janalie C. Joseph a/k/a Janalie C. Bingham, and Jean Joseph, et al.
SEC EDGAR
2024-08-20
Litigation Release 2024
SAExploration Holdings, Inc., et al.
SEC Litigation Release LR-26078 — SAExploration Holdings, Inc., et al.
SEC EDGAR
2024-08-15
Litigation Release 2024
Wilson J. Rondini, III; Falcon Capital Partners Ltd.
SEC Litigation Release LR-26077 — Wilson J. Rondini, III; Falcon Capital Partners Ltd.
SEC EDGAR
2024-08-14
Litigation Release 2024
Drive Planning, LLC and Russell Todd Burkhalter
SEC Litigation Release LR-26076 — Drive Planning, LLC and Russell Todd Burkhalter
SEC EDGAR
2024-08-14
Litigation Release 2024
Stephen Durland
SEC Litigation Release LR-26075 — Stephen Durland
SEC EDGAR
2024-08-13
Litigation Release 2024
Rand Heckler and Rand Heckler, Inc.
SEC Litigation Release LR-26074 — Rand Heckler and Rand Heckler, Inc.
SEC EDGAR
2024-08-13
Litigation Release 2024
Robert Del Prete
SEC Litigation Release LR-26073 — Robert Del Prete
SEC EDGAR
2024-08-13
Litigation Release 2024
NovaTech Ltd., et al.
SEC Litigation Release LR-26072 — NovaTech Ltd., et al.
SEC EDGAR
2024-08-12
Litigation Release 2024
Kevan Casey et al.
SEC Litigation Release LR-26071 — Kevan Casey et al.
SEC EDGAR
2024-08-09
Litigation Release 2024
Steven D. Targum et al.
SEC Litigation Release LR-26070 — Steven D. Targum et al.
SEC EDGAR
2024-08-08
Litigation Release 2024
Thompson Hunt and Associates, Ltd., et al.
SEC Litigation Release LR-26069 — Thompson Hunt and Associates, Ltd., et al.
SEC EDGAR
2024-08-08
Litigation Release 2024
Taylor Woods and Howard Wu
SEC Litigation Release LR-26068 — Taylor Woods and Howard Wu
SEC EDGAR
2024-08-07
Litigation Release 2024
Richard Xia, et al.
SEC Litigation Release LR-26067 — Richard Xia, et al.
SEC EDGAR
2024-08-06
Litigation Release 2024
Abraham Shafi and Barbara Woortmann
SEC Litigation Release LR-26066 — Abraham Shafi and Barbara Woortmann
SEC EDGAR
2024-08-06
Litigation Release 2024
Western International Securities, et al.,
SEC Litigation Release LR-26065 — Western International Securities, et al.,
SEC EDGAR
2024-07-31
Litigation Release 2024
South Bay Acquisitions, LLC, et al.
SEC Litigation Release LR-26064 — South Bay Acquisitions, LLC, et al.
SEC EDGAR
2024-07-31
Litigation Release 2024
Nader Al-Naji
SEC Litigation Release LR-26063 — Nader Al-Naji
SEC EDGAR
2024-07-30
Litigation Release 2024
Charles Baugh
SEC Litigation Release LR-26062 — Charles Baugh
SEC EDGAR
2024-07-30
Litigation Release 2024
Garrett W. Moretz
SEC Litigation Release LR-26061 — Garrett W. Moretz
SEC EDGAR
2024-07-29
Litigation Release 2024
Sivannarayana Barama
SEC Litigation Release LR-26060 — Sivannarayana Barama
SEC EDGAR
2024-07-29
Litigation Release 2024
Thomas San Miguel
SEC Litigation Release LR-26059 — Thomas San Miguel
SEC EDGAR
2024-07-29
Litigation Release 2024
Juan [a/k/a John] Campo
SEC Litigation Release LR-26058 — Juan [a/k/a John] Campo
SEC EDGAR
2024-07-26
Litigation Release 2024
Roosevelt Tobias Bailey, et al.
SEC Litigation Release LR-26057 — Roosevelt Tobias Bailey, et al.
SEC EDGAR
2024-07-26
Litigation Release 2024
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.