SEC Enforcement Actions

300 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)
Luke C. Zouvas et al.
SEC Litigation Release LR-24851 — Luke C. Zouvas et al.
SEC EDGAR
2020-07-07
Litigation Release 2020
David Sims, et al
SEC Litigation Release LR-24849 — David Sims, et al
SEC EDGAR
2020-07-06
Litigation Release 2020
Zvi Feiner, et al.
SEC Litigation Release LR-24848 — Zvi Feiner, et al.
SEC EDGAR
2020-07-06
Litigation Release 2020
Daniel Dirk Coddington, et al.
SEC Litigation Release LR-24847 — Daniel Dirk Coddington, et al.
SEC EDGAR
2020-07-02
Litigation Release 2020
Matthew Benjamin and Clear Solutions Group, LLC
SEC Litigation Release LR-24846 — Matthew Benjamin and Clear Solutions Group, LLC
SEC EDGAR
2020-07-01
Litigation Release 2020
Temenos Advisory, Inc., and George L. Taylor
SEC Litigation Release LR-24845 — Temenos Advisory, Inc., and George L. Taylor
SEC EDGAR
2020-07-01
Litigation Release 2020
Daniel C. Ustian
SEC Litigation Release LR-24844 — Daniel C. Ustian
SEC EDGAR
2020-06-29
Litigation Release 2020
Todd Lahr and Thomas Megas
SEC Litigation Release LR-24843 — Todd Lahr and Thomas Megas
SEC EDGAR
2020-06-24
Litigation Release 2020
Eran Eyal and UnitedData, Inc. d/b/a/ "Shopin, "
SEC Litigation Release LR-24842 — Eran Eyal and UnitedData, Inc. d/b/a/ "Shopin, "
SEC EDGAR
2020-06-23
Litigation Release 2020
Gregg D. Caplitz, et al.
SEC Litigation Release LR-24841 — Gregg D. Caplitz, et al.
SEC EDGAR
2020-06-22
Litigation Release 2020
Gomes et al.;
SEC Litigation Release LR-24839 — Gomes et al.;
SEC EDGAR
2020-06-18
Litigation Release 2020
Vassilios Trikantzopoulos and Navis Ventures LLC
SEC Litigation Release LR-24840 — Vassilios Trikantzopoulos and Navis Ventures LLC
SEC EDGAR
2020-06-18
Litigation Release 2020
AmTrust Financial Services, Inc. and Ronald E. Pipoly, Jr.
SEC Litigation Release LR-24838 — AmTrust Financial Services, Inc. and Ronald E. Pipoly, Jr.
SEC EDGAR
2020-06-17
Litigation Release 2020
Daniel Adams, Michael Flanders, Spiderworx Media LLC, and An L.A. Minute LLC
SEC Litigation Release LR-24837 — Daniel Adams, Michael Flanders, Spiderworx Media LLC, and An L.A. Minute LLC
SEC EDGAR
2020-06-16
Litigation Release 2020
Neil Burkholz, et al.
SEC Litigation Release LR-24836 — Neil Burkholz, et al.
SEC EDGAR
2020-06-15
Litigation Release 2020
Giga Entertainment Media Inc. et al.
SEC Litigation Release LR-24835 — Giga Entertainment Media Inc. et al.
SEC EDGAR
2020-06-11
Litigation Release 2020
PowerTradersPress.com, Inc., et al.
SEC Litigation Release LR-24834 — PowerTradersPress.com, Inc., et al.
SEC EDGAR
2020-06-11
Litigation Release 2020
Dubovoy, et al.
SEC Litigation Release LR-24833 — Dubovoy, et al.
SEC EDGAR
2020-06-10
Litigation Release 2020
Jason C. Nielsen
SEC Litigation Release LR-24832 — Jason C. Nielsen
SEC EDGAR
2020-06-10
Litigation Release 2020
Paul Horton Smith, Sr.; Northstar Communications, LLC; Planning Services, Inc.; and eGate, LLC
SEC Litigation Release LR-24831 — Paul Horton Smith, Sr.; Northstar Communications, LLC; Planning Services, Inc.; and eGate, LLC
SEC EDGAR
2020-06-09
Litigation Release 2020
Brandon E. Copeland and E.B. & Copeland Capital, Inc.
SEC Litigation Release LR-24830 — Brandon E. Copeland and E.B. & Copeland Capital, Inc.
SEC EDGAR
2020-06-08
Litigation Release 2020
Brenda Smith, et al.
SEC Litigation Release LR-24850 — Brenda Smith, et al.
SEC EDGAR
2020-06-07
Litigation Release 2020
Daniel F. Putnam, Jean Paul Ramirez Rico, Angel A. Rodriguez, MMT Distribution, LLC, R & D Global
SEC Litigation Release LR-24829 — Daniel F. Putnam, Jean Paul Ramirez Rico, Angel A. Rodriguez, MMT Distribution, LLC, R & D Global
SEC EDGAR
2020-06-05
Litigation Release 2020
Stiefel Laboratories Inc. and Charles W. Stiefel
SEC Litigation Release LR-24828 — Stiefel Laboratories Inc. and Charles W. Stiefel
SEC EDGAR
2020-06-05
Litigation Release 2020
Tamara Steele and Steele Financial, Inc.
SEC Litigation Release LR-24827 — Tamara Steele and Steele Financial, Inc.
SEC EDGAR
2020-06-05
Litigation Release 2020
Navellier & Associates, Inc., and Louis Navellier
SEC Litigation Release LR-24826 — Navellier & Associates, Inc., and Louis Navellier
SEC EDGAR
2020-06-04
Litigation Release 2020
E*Hedge Securities, Inc., et al.
SEC Litigation Release LR-24825 — E*Hedge Securities, Inc., et al.
SEC EDGAR
2020-06-03
Litigation Release 2020
William Sadleir
SEC Litigation Release LR-24824 — William Sadleir
SEC EDGAR
2020-05-26
Litigation Release 2020
Cash Capital, LLC, America's Strategic Ore Properties, and Robert W. Wilson
SEC Litigation Release LR-24823 — Cash Capital, LLC, America's Strategic Ore Properties, and Robert W. Wilson
SEC EDGAR
2020-05-26
Litigation Release 2020
Paul Horton Smith, Sr.; Northstar Communications, LLC; Planning Services, Inc.; and eGate, LLC
SEC Litigation Release LR-24822 — Paul Horton Smith, Sr.; Northstar Communications, LLC; Planning Services, Inc.; and eGate, LLC
SEC EDGAR
2020-05-22
Litigation Release 2020
Paul Russell Montgomery, Jr., Michael David Fisher, James Hurst Willingham
SEC Litigation Release LR-24821 — Paul Russell Montgomery, Jr., Michael David Fisher, James Hurst Willingham
SEC EDGAR
2020-05-18
Litigation Release 2020
Turbo Global Partners, Inc. and Robert W. Singerman
SEC Litigation Release LR-24820 — Turbo Global Partners, Inc. and Robert W. Singerman
SEC EDGAR
2020-05-14
Litigation Release 2020
Applied BioSciences Corp.
SEC Litigation Release LR-24819 — Applied BioSciences Corp.
SEC EDGAR
2020-05-14
Litigation Release 2020
Ronald D. Swanson
SEC Litigation Release LR-24818 — Ronald D. Swanson
SEC EDGAR
2020-05-14
Litigation Release 2020
Ambassador Advisors, LLC, Bernard I. Bostwick, Robert E. Kauffman, and Adrian E. Young
SEC Litigation Release LR-24817 — Ambassador Advisors, LLC, Bernard I. Bostwick, Robert E. Kauffman, and Adrian E. Young
SEC EDGAR
2020-05-13
Litigation Release 2020
Neil Burkholz, et al.
SEC Litigation Release LR-24816 — Neil Burkholz, et al.
SEC EDGAR
2020-05-12
Litigation Release 2020
TCA Fund Management Group Corp. and TCA Global Credit Fund GP, Ltd.
SEC Litigation Release LR-24815 — TCA Fund Management Group Corp. and TCA Global Credit Fund GP, Ltd.
SEC EDGAR
2020-05-12
Litigation Release 2020
Clinton Maurice Tucker II
SEC Litigation Release LR-24814 — Clinton Maurice Tucker II
SEC EDGAR
2020-05-11
Litigation Release 2020
Damon Elliott, et al.
SEC Litigation Release LR-24813 — Damon Elliott, et al.
SEC EDGAR
2020-05-06
Litigation Release 2020
Lisa Bershan, Barry Schwartz, and Joel Margulies
SEC Litigation Release LR-24812 — Lisa Bershan, Barry Schwartz, and Joel Margulies
SEC EDGAR
2020-05-05
Litigation Release 2020
CAN Capital, Inc.
SEC Litigation Release LR-24811 — CAN Capital, Inc.
SEC EDGAR
2020-05-05
Litigation Release 2020
Zhuobin Hong, et al.
SEC Litigation Release LR-24810 — Zhuobin Hong, et al.
SEC EDGAR
2020-05-05
Litigation Release 2020
Donald J. Kellen
SEC Litigation Release LR-24808 — Donald J. Kellen
SEC EDGAR
2020-04-28
Litigation Release 2020
Praxsyn Corporation and Frank J. Brady
SEC Litigation Release LR-24807 — Praxsyn Corporation and Frank J. Brady
SEC EDGAR
2020-04-28
Litigation Release 2020
Penn West Petroleum Ltd., d/b/a Obsidian Energy Ltd., Todd H. Takeyasu, Jeffery A. Curran, and Waldemar Grab
SEC Litigation Release LR-24809 — Penn West Petroleum Ltd., d/b/a Obsidian Energy Ltd., Todd H. Takeyasu, Jeffery A. Curran, and Waldemar Grab
SEC EDGAR
2020-04-28
Litigation Release 2020
William Alfred Batchelor and John Michael Zukoski
SEC Litigation Release LR-24806 — William Alfred Batchelor and John Michael Zukoski
SEC EDGAR
2020-04-27
Litigation Release 2020
Aequitas Management, LLC, et al.
SEC Litigation Release LR-24805 — Aequitas Management, LLC, et al.
SEC EDGAR
2020-04-24
Litigation Release 2020
Dropil, Inc., Jeremy McAlpine, Zachary Matar, and Patrick O'Hara
SEC Litigation Release LR-24804 — Dropil, Inc., Jeremy McAlpine, Zachary Matar, and Patrick O'Hara
SEC EDGAR
2020-04-24
Litigation Release 2020
Phillip Hudnall, Todd Esh, BirdDog Business Group, LLC and BirdDog Oil Equipment, LLC, Defendants and Duc "Doug" Nguyen, Brian Hudnall, DonDon, Kansas Oil Reserves, Kansas Oil Reserves 2, LLC and Phayrn Resources, Relief Defendants
SEC Litigation Release LR-24803 — Phillip Hudnall, Todd Esh, BirdDog Business Group, LLC and BirdDog Oil Equipment, LLC, Defendants and Duc "Doug" Nguyen, Brian Hudnall, DonDon, Kansas Oil Reserves, Kansas Oil Reserves 2, LLC and Phayrn Resources, Relief Defendants
SEC EDGAR
2020-04-23
Litigation Release 2020
Renew Spinal Care, Inc., Laserscopic Medical Clinic, LLC, Joe Samuel Bailey, Barry Edward Mitchell, Laurence Grossnickle, and Charles Clement Goubert, Jr.
SEC Litigation Release LR-24802 — Renew Spinal Care, Inc., Laserscopic Medical Clinic, LLC, Joe Samuel Bailey, Barry Edward Mitchell, Laurence Grossnickle, and Charles Clement Goubert, Jr.
SEC EDGAR
2020-04-22
Litigation Release 2020
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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.