SEC Enforcement Actions
2,526 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)
LJM Funds Management, Ltd. and LJM Partners, Ltd. et al.
SEC Litigation Release LR-25101 — LJM Funds Management, Ltd. and LJM Partners, Ltd. et al.
SEC EDGAR
2021-05-28
Litigation Release 2021
Gomes et al.
SEC Litigation Release LR-25100 — Gomes et al.
SEC EDGAR
2021-05-28
Litigation Release 2021
Eric Pulier
SEC Litigation Release LR-25103 — Eric Pulier
SEC EDGAR
2021-05-28
Litigation Release 2021
Harmel S. Rayat and RenovaCare, Inc.
SEC Litigation Release LR-25102 — Harmel S. Rayat and RenovaCare, Inc.
SEC EDGAR
2021-05-28
Litigation Release 2021
Mohammed A. Bari
SEC Litigation Release LR-25099 — Mohammed A. Bari
SEC EDGAR
2021-05-27
Litigation Release 2021
Kai Christian Petersen, et al.
SEC Litigation Release LR-25098 — Kai Christian Petersen, et al.
SEC EDGAR
2021-05-25
Litigation Release 2021
The Legacy Group, Inc. et al.
SEC Litigation Release LR-25097 — The Legacy Group, Inc. et al.
SEC EDGAR
2021-05-25
Litigation Release 2021
Emil Botvinnik
SEC Litigation Release LR-25096 — Emil Botvinnik
SEC EDGAR
2021-05-21
Litigation Release 2021
Carlos R. Irizarry Santiago, CPA
SEC Litigation Release LR-25095 — Carlos R. Irizarry Santiago, CPA
SEC EDGAR
2021-05-21
Litigation Release 2021
The Premier Healthcare Solution, LLC, Josiah David, Defendants, and Provision Corporation LLC, and Denis Joachim, Relief Defendants
SEC Litigation Release LR-25094 — The Premier Healthcare Solution, LLC, Josiah David, Defendants, and Provision Corporation LLC, and Denis Joachim, Relief Defendants
SEC EDGAR
2021-05-21
Litigation Release 2021
LFS Funding Limited Partnership, et al.
SEC Litigation Release LR-25093 — LFS Funding Limited Partnership, et al.
SEC EDGAR
2021-05-20
Litigation Release 2021
BTIG, LLC
SEC Litigation Release LR-25092 — BTIG, LLC
SEC EDGAR
2021-05-20
Litigation Release 2021
Kirk Sperry and Sperry and Sons Capital Investments, LLC
SEC Litigation Release LR-25090 — Kirk Sperry and Sperry and Sons Capital Investments, LLC
SEC EDGAR
2021-05-17
Litigation Release 2021
Roy Y. Gagaza
SEC Litigation Release LR-25091 — Roy Y. Gagaza
SEC EDGAR
2021-05-17
Litigation Release 2021
Knight Nguyen Investments, Christopher Knight Lopez, Forrest Andrew Jones, and Jayson Lopez
SEC Litigation Release LR-25089 — Knight Nguyen Investments, Christopher Knight Lopez, Forrest Andrew Jones, and Jayson Lopez
SEC EDGAR
2021-05-13
Litigation Release 2021
DaRayl D. Davis and Affluent Advisory Group, LLC
SEC Litigation Release LR-25088 — DaRayl D. Davis and Affluent Advisory Group, LLC
SEC EDGAR
2021-05-13
Litigation Release 2021
David N. Osegueda, et al.
SEC Litigation Release LR-25087 — David N. Osegueda, et al.
SEC EDGAR
2021-05-07
Litigation Release 2021
Richard Randall
SEC Litigation Release LR-25086 — Richard Randall
SEC EDGAR
2021-05-03
Litigation Release 2021
Rahsaan King and Students of Strength, Inc.
SEC Litigation Release LR-25085 — Rahsaan King and Students of Strength, Inc.
SEC EDGAR
2021-04-29
Litigation Release 2021
Mark Ahn
SEC Litigation Release LR-25084 — Mark Ahn
SEC EDGAR
2021-04-28
Litigation Release 2021
Peter R. Quartararo, Defendant, and Private Equity Solutions, Inc., Leonard Quartararo, Paul Casella, and Lisa Eckert, Relief Defendants
SEC Litigation Release LR-25083 — Peter R. Quartararo, Defendant, and Private Equity Solutions, Inc., Leonard Quartararo, Paul Casella, and Lisa Eckert, Relief Defendants
SEC EDGAR
2021-04-27
Litigation Release 2021
Jonathan P. Maroney, Et. Al
SEC Litigation Release LR-25082 — Jonathan P. Maroney, Et. Al
SEC EDGAR
2021-04-27
Litigation Release 2021
Andrew T. Franzone and FF Fund Management, LLC
SEC Litigation Release LR-25081 — Andrew T. Franzone and FF Fund Management, LLC
SEC EDGAR
2021-04-23
Litigation Release 2021
Gregory Altieri
SEC Litigation Release LR-25080 — Gregory Altieri
SEC EDGAR
2021-04-23
Litigation Release 2021
Corbyn W. Jones, Esq.
SEC Litigation Release LR-25079 — Corbyn W. Jones, Esq.
SEC EDGAR
2021-04-22
Litigation Release 2021
Ubong Uboh and Tyler Crockett
SEC Litigation Release LR-25075 — Ubong Uboh and Tyler Crockett
SEC EDGAR
2021-04-22
Litigation Release 2021
Lester Burroughs, Civ. Action
SEC Litigation Release LR-25078 — Lester Burroughs, Civ. Action
SEC EDGAR
2021-04-21
Litigation Release 2021
Edward J. Kosinski
SEC Litigation Release LR-25077 — Edward J. Kosinski
SEC EDGAR
2021-04-21
Litigation Release 2021
Sheng-Wen Cheng
SEC Litigation Release LR-25076 — Sheng-Wen Cheng
SEC EDGAR
2021-04-20
Litigation Release 2021
Hai Khoa Dang
SEC Litigation Release LR-25074 — Hai Khoa Dang
SEC EDGAR
2021-04-20
Litigation Release 2021
Spot Tech House, Ltd., formerly known as Spot Option, Ltd., Malhaz Pinhas Patarkazishvili and Ran Amiran
SEC Litigation Release LR-25073 — Spot Tech House, Ltd., formerly known as Spot Option, Ltd., Malhaz Pinhas Patarkazishvili and Ran Amiran
SEC EDGAR
2021-04-19
Litigation Release 2021
Morrie Tobin et al.
SEC Litigation Release LR-25072 — Morrie Tobin et al.
SEC EDGAR
2021-04-19
Litigation Release 2021
Lev Parnas and David Correia
SEC Litigation Release LR-25071 — Lev Parnas and David Correia
SEC EDGAR
2021-04-15
Litigation Release 2021
Martin Silver
SEC Litigation Release LR-25070 — Martin Silver
SEC EDGAR
2021-04-15
Litigation Release 2021
Hughe Duwayne Graham, Donald Howard, Larry Louis Matyas
SEC Litigation Release LR-25069 — Hughe Duwayne Graham, Donald Howard, Larry Louis Matyas
SEC EDGAR
2021-04-13
Litigation Release 2021
Clarence Dean Alford
SEC Litigation Release LR-25068 — Clarence Dean Alford
SEC EDGAR
2021-04-08
Litigation Release 2021
Zachary J. Horwitz, et al.
SEC Litigation Release LR-25067 — Zachary J. Horwitz, et al.
SEC EDGAR
2021-04-08
Litigation Release 2021
William C. Skelley and Sohin S. Shah, Defendants
SEC Litigation Release LR-25066 — William C. Skelley and Sohin S. Shah, Defendants
SEC EDGAR
2021-04-07
Litigation Release 2021
Martin Shkreli, et al.
SEC Litigation Release LR-25065 — Martin Shkreli, et al.
SEC EDGAR
2021-04-06
Litigation Release 2021
Richard J. Randolph, III, Civ. Action
SEC Litigation Release LR-25064 — Richard J. Randolph, III, Civ. Action
SEC EDGAR
2021-04-01
Litigation Release 2021
George S. Blankenbaker, et al.
SEC Litigation Release LR-25063 — George S. Blankenbaker, et al.
SEC EDGAR
2021-04-01
Litigation Release 2021
Kevin R. Kuhnash and Jason P. Jimerson
SEC Litigation Release LR-25062 — Kevin R. Kuhnash and Jason P. Jimerson
SEC EDGAR
2021-03-30
Litigation Release 2021
Douglas E. Elstun
SEC Litigation Release LR-25061 — Douglas E. Elstun
SEC EDGAR
2021-03-30
Litigation Release 2021
LBRY, Inc.
SEC Litigation Release LR-25060 — LBRY, Inc.
SEC EDGAR
2021-03-29
Litigation Release 2021
Jason P. Wootten, et al.
SEC Litigation Release LR-25059 — Jason P. Wootten, et al.
SEC EDGAR
2021-03-23
Litigation Release 2021
MintBroker International Ltd., f/k/a Swiss America Securities, Ltd. and d/b/a SureTrader, and Guy Gentile
SEC Litigation Release LR-25058 — MintBroker International Ltd., f/k/a Swiss America Securities, Ltd. and d/b/a SureTrader, and Guy Gentile
SEC EDGAR
2021-03-22
Litigation Release 2021
John W. Fisher
SEC Litigation Release LR-25057 — John W. Fisher
SEC EDGAR
2021-03-22
Litigation Release 2021
Jessica Richman and Zachary Apte
SEC Litigation Release LR-25056 — Jessica Richman and Zachary Apte
SEC EDGAR
2021-03-19
Litigation Release 2021
Chatfield PCS Ltd. et al.
SEC Litigation Release LR-25055 — Chatfield PCS Ltd. et al.
SEC EDGAR
2021-03-19
Litigation Release 2021
Seth P. Levine
SEC Litigation Release LR-25054 — Seth P. Levine
SEC EDGAR
2021-03-19
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.