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)
Frank Okunak
SEC Litigation Release LR-25454 — Frank Okunak
SEC EDGAR
2022-07-27
Litigation Release 2022
Amit Bhardwaj, et al.
SEC Litigation Release LR-25450 — Amit Bhardwaj, et al.
SEC EDGAR
2022-07-26
Litigation Release 2022
Seth Markin and Brandon Wong
SEC Litigation Release LR-25451 — Seth Markin and Brandon Wong
SEC EDGAR
2022-07-26
Litigation Release 2022
Todd Lahr and Thomas Megas
SEC Litigation Release LR-25453 — Todd Lahr and Thomas Megas
SEC EDGAR
2022-07-26
Litigation Release 2022
Stephen E. Buyer, et al.
SEC Litigation Release LR-25448 — Stephen E. Buyer, et al.
SEC EDGAR
2022-07-25
Litigation Release 2022
Brijesh Goel and Akshay Niranjan
SEC Litigation Release LR-25449 — Brijesh Goel and Akshay Niranjan
SEC EDGAR
2022-07-25
Litigation Release 2022
Apostolos Trovias
SEC Litigation Release LR-25447 — Apostolos Trovias
SEC EDGAR
2022-07-21
Litigation Release 2022
Bruce Schoengood, Medifirst Solutions, Inc., and Joshua Tyrell
SEC Litigation Release LR-25446 — Bruce Schoengood, Medifirst Solutions, Inc., and Joshua Tyrell
SEC EDGAR
2022-07-18
Litigation Release 2022
Richard Jonathan Eden, et al.
SEC Litigation Release LR-25444 — Richard Jonathan Eden, et al.
SEC EDGAR
2022-07-15
Litigation Release 2022
John David McAfee and Jimmy Gale Watson, Jr.
SEC Litigation Release LR-25445 — John David McAfee and Jimmy Gale Watson, Jr.
SEC EDGAR
2022-07-15
Litigation Release 2022
Manuel Alvis, Joseph Boulos, Carlos Pingarron, Carlos Sorondo
SEC Litigation Release LR-25443 — Manuel Alvis, Joseph Boulos, Carlos Pingarron, Carlos Sorondo
SEC EDGAR
2022-07-13
Litigation Release 2022
Shimon Rosenfeld
SEC Litigation Release LR-25441 — Shimon Rosenfeld
SEC EDGAR
2022-07-11
Litigation Release 2022
Jerry Li
SEC Litigation Release LR-25442 — Jerry Li
SEC EDGAR
2022-07-11
Litigation Release 2022
Doron A. Tavlin, Afshin Farahan, and David J. Gantman
SEC Litigation Release LR-25439 — Doron A. Tavlin, Afshin Farahan, and David J. Gantman
SEC EDGAR
2022-07-07
Litigation Release 2022
George W. Haywood
SEC Litigation Release LR-25440 — George W. Haywood
SEC EDGAR
2022-07-07
Litigation Release 2022
Carrillo et al.;
SEC Litigation Release LR-25437 — Carrillo et al.;
SEC EDGAR
2022-07-06
Litigation Release 2022
Sung Mo Jun, Joon Jun, Junwoo Chon, Ayden Lee, and Jae Hyeon Bae
SEC Litigation Release LR-25438 — Sung Mo Jun, Joon Jun, Junwoo Chon, Ayden Lee, and Jae Hyeon Bae
SEC EDGAR
2022-07-06
Litigation Release 2022
William Glen Baker, Michael Bowen, Cannon Operating Company LLC, North Texas Minerals LLC, and Chol Kim (a/k/a Brandon Kim)
SEC Litigation Release LR-25433 — William Glen Baker, Michael Bowen, Cannon Operating Company LLC, North Texas Minerals LLC, and Chol Kim (a/k/a Brandon Kim)
SEC EDGAR
2022-07-01
Litigation Release 2022
Matthew Wade Beasley, et al.
SEC Litigation Release LR-25434 — Matthew Wade Beasley, et al.
SEC EDGAR
2022-07-01
Litigation Release 2022
Eric S. Hollifield
SEC Litigation Release LR-25435 — Eric S. Hollifield
SEC EDGAR
2022-07-01
Litigation Release 2022
Justin R. Kimbrough, Terry Nikopoulos. TKJ Investments Corp., TKJ Holdings Corp., Preeminent Trade Group Inc., The Elyte Group Corp., and Prosperity Consultants, LLC
SEC Litigation Release LR-25436 — Justin R. Kimbrough, Terry Nikopoulos. TKJ Investments Corp., TKJ Holdings Corp., Preeminent Trade Group Inc., The Elyte Group Corp., and Prosperity Consultants, LLC
SEC EDGAR
2022-07-01
Litigation Release 2022
Daniel J. Moscatiello
SEC Litigation Release LR-25431 — Daniel J. Moscatiello
SEC EDGAR
2022-06-29
Litigation Release 2022
Shlomo Nir and Tzachi Rahamim
SEC Litigation Release LR-25432 — Shlomo Nir and Tzachi Rahamim
SEC EDGAR
2022-06-29
Litigation Release 2022
Moynes, et al.
SEC Litigation Release LR-25430 — Moynes, et al.
SEC EDGAR
2022-06-27
Litigation Release 2022
StraightPath Venture Partners LLC, StraightPath Management LLC, Brian K. Martinsen, Michael A. Castillero, Francine A. Lanaia, and Eric D. Lachow
SEC Litigation Release LR-25429 — StraightPath Venture Partners LLC, StraightPath Management LLC, Brian K. Martinsen, Michael A. Castillero, Francine A. Lanaia, and Eric D. Lachow
SEC EDGAR
2022-06-24
Litigation Release 2022
Steven J. Sheinfeld
SEC Litigation Release LR-25428 — Steven J. Sheinfeld
SEC EDGAR
2022-06-21
Litigation Release 2022
Lek Securities Corporation, et. al.
SEC Litigation Release LR-25427 — Lek Securities Corporation, et. al.
SEC EDGAR
2022-06-17
Litigation Release 2022
Anthony Michael Holland
SEC Litigation Release LR-25426 — Anthony Michael Holland
SEC EDGAR
2022-06-16
Litigation Release 2022
Shuang Chen, et al.
SEC Litigation Release LR-25421 — Shuang Chen, et al.
SEC EDGAR
2022-06-15
Litigation Release 2022
David Roda and Andrew Larkin
SEC Litigation Release LR-25422 — David Roda and Andrew Larkin
SEC EDGAR
2022-06-15
Litigation Release 2022
Boron Capital, LLC, BC Holdings 2017, United BNB Fund 2018, and Blake Robert Templeton
SEC Litigation Release LR-25423 — Boron Capital, LLC, BC Holdings 2017, United BNB Fund 2018, and Blake Robert Templeton
SEC EDGAR
2022-06-15
Litigation Release 2022
Resolute Capital Partners Ltd, LLC, et al.
SEC Litigation Release LR-25424 — Resolute Capital Partners Ltd, LLC, et al.
SEC EDGAR
2022-06-15
Litigation Release 2022
Loral L. Langemeier and Live Out Loud, Inc.
SEC Litigation Release LR-25425 — Loral L. Langemeier and Live Out Loud, Inc.
SEC EDGAR
2022-06-15
Litigation Release 2022
Mark Korb
SEC Litigation Release LR-25419 — Mark Korb
SEC EDGAR
2022-06-14
Litigation Release 2022
Michael Mooney, Britt Wright, and Penny Flippen
SEC Litigation Release LR-25420 — Michael Mooney, Britt Wright, and Penny Flippen
SEC EDGAR
2022-06-14
Litigation Release 2022
A.G. Morgan Financial Advisors, LLC et al.
SEC Litigation Release LR-25418 — A.G. Morgan Financial Advisors, LLC et al.
SEC EDGAR
2022-06-10
Litigation Release 2022
Patrick Churchville, et al.
SEC Litigation Release LR-25417 — Patrick Churchville, et al.
SEC EDGAR
2022-06-09
Litigation Release 2022
Trends Investments Inc. et al.
SEC Litigation Release LR-25414 — Trends Investments Inc. et al.
SEC EDGAR
2022-06-09
Litigation Release 2022
Terraform Labs Pte Ltd. and Do Kwon
SEC Litigation Release LR-25415 — Terraform Labs Pte Ltd. and Do Kwon
SEC EDGAR
2022-06-09
Litigation Release 2022
Puneet Dikshit
SEC Litigation Release LR-25416 — Puneet Dikshit
SEC EDGAR
2022-06-09
Litigation Release 2022
Stubos, et al.;
SEC Litigation Release LR-25411 — Stubos, et al.;
SEC EDGAR
2022-06-08
Litigation Release 2022
Knox et al.;
SEC Litigation Release LR-25412 — Knox et al.;
SEC EDGAR
2022-06-08
Litigation Release 2022
United Health Products, Inc., Douglas Beplate, and Louis Schiliro
SEC Litigation Release LR-25413 — United Health Products, Inc., Douglas Beplate, and Louis Schiliro
SEC EDGAR
2022-06-08
Litigation Release 2022
Morningstar Credit Ratings, LLC
SEC Litigation Release LR-25409 — Morningstar Credit Ratings, LLC
SEC EDGAR
2022-06-07
Litigation Release 2022
LG Capital Funding, LLC., and Joseph I. Lerman, et. al
SEC Litigation Release LR-25410 — LG Capital Funding, LLC., and Joseph I. Lerman, et. al
SEC EDGAR
2022-06-07
Litigation Release 2022
Anthony Sirotka
SEC Litigation Release LR-25406 — Anthony Sirotka
SEC EDGAR
2022-06-02
Litigation Release 2022
Robert Samuel Shumake, Jr., et al
SEC Litigation Release LR-25407 — Robert Samuel Shumake, Jr., et al
SEC EDGAR
2022-06-02
Litigation Release 2022
Jennifer Campbell
SEC Litigation Release LR-25408 — Jennifer Campbell
SEC EDGAR
2022-06-02
Litigation Release 2022
iFresh, Inc. and Long Deng
SEC Litigation Release LR-25404 — iFresh, Inc. and Long Deng
SEC EDGAR
2022-06-01
Litigation Release 2022
John Henderson, et al.
SEC Litigation Release LR-25405 — John Henderson, et al.
SEC EDGAR
2022-06-01
Litigation Release 2022
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.