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)
Commonwealth Equity Services, LLC d/b/a Commonwealth Financial Network
SEC Litigation Release LR-24550 — Commonwealth Equity Services, LLC d/b/a Commonwealth Financial Network
SEC EDGAR
2019-08-01
Litigation Release 2019
John T. Place, et al.
SEC Litigation Release LR-24549 — John T. Place, et al.
SEC EDGAR
2019-07-31
Litigation Release 2019
Beaufort Secs. Ltd. and Kyriacou.
SEC Litigation Release LR-24546 — Beaufort Secs. Ltd. and Kyriacou.
SEC EDGAR
2019-07-29
Litigation Release 2019
Christopher Plaford
SEC Litigation Release LR-24548 — Christopher Plaford
SEC EDGAR
2019-07-29
Litigation Release 2019
Bettor Investments, LLC, and Matthew C. Stuart, LLC
SEC Litigation Release LR-24547 — Bettor Investments, LLC, and Matthew C. Stuart, LLC
SEC EDGAR
2019-07-29
Litigation Release 2019
Gary Winemaster, Craig Davis and James Needham
SEC Litigation Release LR-24544 — Gary Winemaster, Craig Davis and James Needham
SEC EDGAR
2019-07-19
Litigation Release 2019
Garrett M. O'Rourke and Michael J. Black
SEC Litigation Release LR-24543 — Garrett M. O'Rourke and Michael J. Black
SEC EDGAR
2019-07-19
Litigation Release 2019
Carol J. Wayland, et al.
SEC Litigation Release LR-24542 — Carol J. Wayland, et al.
SEC EDGAR
2019-07-19
Litigation Release 2019
Jun Ying
SEC Litigation Release LR-24541 — Jun Ying
SEC EDGAR
2019-07-18
Litigation Release 2019
Mark Loman
SEC Litigation Release LR-24540 — Mark Loman
SEC EDGAR
2019-07-18
Litigation Release 2019
Paul Alar and West Mountain, LLC
SEC Litigation Release LR-24539 — Paul Alar and West Mountain, LLC
SEC EDGAR
2019-07-18
Litigation Release 2019
William J. Milles, Jr. and Donald J. Lutzko
SEC Litigation Release LR-24538 — William J. Milles, Jr. and Donald J. Lutzko
SEC EDGAR
2019-07-18
Litigation Release 2019
Emmanuel Kouyoumdjian (a/k/a "Manny K")
SEC Litigation Release LR-24535 — Emmanuel Kouyoumdjian (a/k/a "Manny K")
SEC EDGAR
2019-07-17
Litigation Release 2019
Zev Saltsman, et al.
SEC Litigation Release LR-24534 — Zev Saltsman, et al.
SEC EDGAR
2019-07-17
Litigation Release 2019
AR Capital, LLC, et al.
SEC Litigation Release LR-24537 — AR Capital, LLC, et al.
SEC EDGAR
2019-07-17
Litigation Release 2019
William C. Skelley and Sohin S. Shah
SEC Litigation Release LR-24536 — William C. Skelley and Sohin S. Shah
SEC EDGAR
2019-07-17
Litigation Release 2019
Richard Vu Nguyen, et al.
SEC Litigation Release LR-24533 — Richard Vu Nguyen, et al.
SEC EDGAR
2019-07-15
Litigation Release 2019
Conn's Inc. and Michael J. Poppe
SEC Litigation Release LR-24532 — Conn's Inc. and Michael J. Poppe
SEC EDGAR
2019-07-15
Litigation Release 2019
Henry J. Wieniewitz, III, et al.
SEC Litigation Release LR-24531 — Henry J. Wieniewitz, III, et al.
SEC EDGAR
2019-07-15
Litigation Release 2019
William Scott Lawler and Natalie Bannister
SEC Litigation Release LR-24530 — William Scott Lawler and Natalie Bannister
SEC EDGAR
2019-07-15
Litigation Release 2019
Barry Honig, et al.
SEC Litigation Release LR-24529 — Barry Honig, et al.
SEC EDGAR
2019-07-12
Litigation Release 2019
Jovannie Aquino
SEC Litigation Release LR-24528 — Jovannie Aquino
SEC EDGAR
2019-07-08
Litigation Release 2019
Daniel H. Glick, et al.
SEC Litigation Release LR-24527 — Daniel H. Glick, et al.
SEC EDGAR
2019-07-02
Litigation Release 2019
Thomas V. Conwell and Kerry L. Hoffman
SEC Litigation Release LR-24526 — Thomas V. Conwell and Kerry L. Hoffman
SEC EDGAR
2019-07-01
Litigation Release 2019
Gregory E. Webb, et al.
SEC Litigation Release LR-24525 — Gregory E. Webb, et al.
SEC EDGAR
2019-07-01
Litigation Release 2019
Robert F.X. Sillerman
SEC Litigation Release LR-24524 — Robert F.X. Sillerman
SEC EDGAR
2019-06-28
Litigation Release 2019
Diane D. Dalmy
SEC Litigation Release LR-24523 — Diane D. Dalmy
SEC EDGAR
2019-06-28
Litigation Release 2019
Johnny R. Thomas, et al.
SEC Litigation Release LR-24522 — Johnny R. Thomas, et al.
SEC EDGAR
2019-06-28
Litigation Release 2019
Paul Andrews Rinfret, et al.
SEC Litigation Release LR-24521 — Paul Andrews Rinfret, et al.
SEC EDGAR
2019-06-28
Litigation Release 2019
Comer Capital Group, LLC and Brandon L. Comer
SEC Litigation Release LR-24520 — Comer Capital Group, LLC and Brandon L. Comer
SEC EDGAR
2019-06-27
Litigation Release 2019
Matthew A. Krimm, et al.
SEC Litigation Release LR-24519 — Matthew A. Krimm, et al.
SEC EDGAR
2019-06-27
Litigation Release 2019
Jason Sugarman
SEC Litigation Release LR-24518 — Jason Sugarman
SEC EDGAR
2019-06-27
Litigation Release 2019
Amrit J. S. Chahal
SEC Litigation Release LR-24517 — Amrit J. S. Chahal
SEC EDGAR
2019-06-27
Litigation Release 2019
Henry Sargent et al.
SEC Litigation Release LR-24516 — Henry Sargent et al.
SEC EDGAR
2019-06-27
Litigation Release 2019
Rajeshwar R. Gannamaneni, Deepthi Gandra, and Linga R. Gannamaneni
SEC Litigation Release LR-24515 — Rajeshwar R. Gannamaneni, Deepthi Gandra, and Linga R. Gannamaneni
SEC EDGAR
2019-06-27
Litigation Release 2019
Mark Allen Plummer
SEC Litigation Release LR-24514 — Mark Allen Plummer
SEC EDGAR
2019-06-26
Litigation Release 2019
Worldwide Markets, Ltd., TAB Networks, Inc., and Thomas F. Plaut
SEC Litigation Release LR-24513 — Worldwide Markets, Ltd., TAB Networks, Inc., and Thomas F. Plaut
SEC EDGAR
2019-06-25
Litigation Release 2019
Richard Vu Nguyen, et al.
SEC Litigation Release LR-24512 — Richard Vu Nguyen, et al.
SEC EDGAR
2019-06-25
Litigation Release 2019
Landon M. Smith
SEC Litigation Release LR-24545 — Landon M. Smith
SEC EDGAR
2019-06-24
Litigation Release 2019
Donald S. LaGuardia, Jr.
SEC Litigation Release LR-24511 — Donald S. LaGuardia, Jr.
SEC EDGAR
2019-06-24
Litigation Release 2019
Avi Chiat
SEC Litigation Release LR-24510 — Avi Chiat
SEC EDGAR
2019-06-24
Litigation Release 2019
Andrew J. Kandelapas
SEC Litigation Release LR-24509 — Andrew J. Kandelapas
SEC EDGAR
2019-06-21
Litigation Release 2019
Edward Lee Moody, Jr.
SEC Litigation Release LR-24508 — Edward Lee Moody, Jr.
SEC EDGAR
2019-06-21
Litigation Release 2019
Gregory T. Dean and Donald J. Fowler
SEC Litigation Release LR-24507 — Gregory T. Dean and Donald J. Fowler
SEC EDGAR
2019-06-21
Litigation Release 2019
Kit Mun Chan, Lau Kean Chong, Chong Poui Fan, Binji Lu, and Youn Chien Wong
SEC Litigation Release LR-24506 — Kit Mun Chan, Lau Kean Chong, Chong Poui Fan, Binji Lu, and Youn Chien Wong
SEC EDGAR
2019-06-21
Litigation Release 2019
Anatoly Hurgin, Alexander Aurovsky, Ability Computer & Software Industries Ltd., and Ability Inc.
SEC Litigation Release LR-24505 — Anatoly Hurgin, Alexander Aurovsky, Ability Computer & Software Industries Ltd., and Ability Inc.
SEC EDGAR
2019-06-20
Litigation Release 2019
Equal Earth, Inc., et al.
SEC Litigation Release LR-24504 — Equal Earth, Inc., et al.
SEC EDGAR
2019-06-18
Litigation Release 2019
Raymond Starker
SEC Litigation Release LR-24503 — Raymond Starker
SEC EDGAR
2019-06-18
Litigation Release 2019
Alton Perkins, et al.
SEC Litigation Release LR-24502 — Alton Perkins, et al.
SEC EDGAR
2019-06-14
Litigation Release 2019
David Wagner, Downing Partners, LLC, Downing Investment Partners, LP, Downing Digital Healthcare Group, LLC, and Mark Lawrence
SEC Litigation Release LR-24501 — David Wagner, Downing Partners, LLC, Downing Investment Partners, LP, Downing Digital Healthcare Group, LLC, and Mark Lawrence
SEC EDGAR
2019-06-14
Litigation Release 2019
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