SEC Enforcement Actions
314 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)
Spartan Trading Company, LLC, et al.
SEC Litigation Release LR-25767 — Spartan Trading Company, LLC, et al.
SEC EDGAR
2023-07-06
Litigation Release 2023
Vidul Prakash
SEC Litigation Release LR-25766 — Vidul Prakash
SEC EDGAR
2023-07-03
Litigation Release 2023
Juan Roman
SEC Litigation Release LR-25762 — Juan Roman
SEC EDGAR
2023-06-30
Litigation Release 2023
Thomas Collins, Patrick Thomas, Gary Kouletas, Scott Levine, and Brian Kingsfield
SEC Litigation Release LR-25761 — Thomas Collins, Patrick Thomas, Gary Kouletas, Scott Levine, and Brian Kingsfield
SEC EDGAR
2023-06-30
Litigation Release 2023
Jordan Meadow and Steven Teixeira
SEC Litigation Release LR-25765 — Jordan Meadow and Steven Teixeira
SEC EDGAR
2023-06-30
Litigation Release 2023
Bruce Garelick, Michael Shvartsman, Rocket One Capital LLC, and Gerald Shvartsman
SEC Litigation Release LR-25760 — Bruce Garelick, Michael Shvartsman, Rocket One Capital LLC, and Gerald Shvartsman
SEC EDGAR
2023-06-30
Litigation Release 2023
Robert D. Christensen, Anthony M. Matic, Foresee, Inc., The Commission PDX, LLC, The Policy PDX, Innings 150
SEC Litigation Release LR-25764 — Robert D. Christensen, Anthony M. Matic, Foresee, Inc., The Commission PDX, LLC, The Policy PDX, Innings 150
SEC EDGAR
2023-06-30
Litigation Release 2023
Leon Vaccarelli, et al.
SEC Litigation Release LR-25763 — Leon Vaccarelli, et al.
SEC EDGAR
2023-06-30
Litigation Release 2023
Brian H. Casutto, Matthew J. Zucco, and Kevin R. Harris, CPA, Ryan C. Drexler
SEC Litigation Release LR-25757 — Brian H. Casutto, Matthew J. Zucco, and Kevin R. Harris, CPA, Ryan C. Drexler
SEC EDGAR
2023-06-28
Litigation Release 2023
Wilson Baston (A/K/A Chanon Gordon)
SEC Litigation Release LR-25759 — Wilson Baston (A/K/A Chanon Gordon)
SEC EDGAR
2023-06-28
Litigation Release 2023
Legend Venture Partners LLC
SEC Litigation Release LR-25758 — Legend Venture Partners LLC
SEC EDGAR
2023-06-28
Litigation Release 2023
Vuuzle Media Corp., Vuuzle Media Corp. Limited, Ronald Shane Flynn, and Richard Marchitto
SEC Litigation Release LR-25754 — Vuuzle Media Corp., Vuuzle Media Corp. Limited, Ronald Shane Flynn, and Richard Marchitto
SEC EDGAR
2023-06-27
Litigation Release 2023
Richard J. Rubin and Thomas J. Craft, Jr.
SEC Litigation Release LR-25756 — Richard J. Rubin and Thomas J. Craft, Jr.
SEC EDGAR
2023-06-27
Litigation Release 2023
Royal Bengal Logistics, Inc. and Sanjay Singh
SEC Litigation Release LR-25755 — Royal Bengal Logistics, Inc. and Sanjay Singh
SEC EDGAR
2023-06-26
Litigation Release 2023
William K. Ichioka
SEC Litigation Release LR-25753 — William K. Ichioka
SEC EDGAR
2023-06-23
Litigation Release 2023
Michael Wayne Williams, Highguard Capital, LP, and Guardian Opportunity Management, LP
SEC Litigation Release LR-25752 — Michael Wayne Williams, Highguard Capital, LP, and Guardian Opportunity Management, LP
SEC EDGAR
2023-06-23
Litigation Release 2023
Coinbase, Inc. and Coinbase Global, Inc.
SEC Litigation Release LR-25751 — Coinbase, Inc. and Coinbase Global, Inc.
SEC EDGAR
2023-06-21
Litigation Release 2023
Infinity Q Capital Management, LLC
SEC Litigation Release LR-25750 — Infinity Q Capital Management, LLC
SEC EDGAR
2023-06-16
Litigation Release 2023
BHP Capital NY, Inc. and Bryan Pantofel
SEC Litigation Release LR-25749 — BHP Capital NY, Inc. and Bryan Pantofel
SEC EDGAR
2023-06-16
Litigation Release 2023
Native American Energy Group, Inc.; Joseph D'Arrigo; David Hudzik
SEC Litigation Release LR-25748 — Native American Energy Group, Inc.; Joseph D'Arrigo; David Hudzik
SEC EDGAR
2023-06-16
Litigation Release 2023
Patrick N. Thayer
SEC Litigation Release LR-25747 — Patrick N. Thayer
SEC EDGAR
2023-06-14
Litigation Release 2023
Hal D. Mintz; Sabby Management LLC
SEC Litigation Release LR-25746 — Hal D. Mintz; Sabby Management LLC
SEC EDGAR
2023-06-14
Litigation Release 2023
Joseph A. Padilla, Kevin C. Dills
SEC Litigation Release LR-25745 — Joseph A. Padilla, Kevin C. Dills
SEC EDGAR
2023-06-14
Litigation Release 2023
Josh S. Verne
SEC Litigation Release LR-25744 — Josh S. Verne
SEC EDGAR
2023-06-14
Litigation Release 2023
Tarek D. Bahgat, Lauramarie Colangelo, and WealthCFO LLC
SEC Litigation Release LR-25743 — Tarek D. Bahgat, Lauramarie Colangelo, and WealthCFO LLC
SEC EDGAR
2023-06-08
Litigation Release 2023
Douglas McKelvey
SEC Litigation Release LR-25742 — Douglas McKelvey
SEC EDGAR
2023-06-07
Litigation Release 2023
Auctus Fund Management, LLC, Louis Posner, and Alfred Sollami
SEC Litigation Release LR-25741 — Auctus Fund Management, LLC, Louis Posner, and Alfred Sollami
SEC EDGAR
2023-06-01
Litigation Release 2023
Marshall E. Melton and Integrated Consulting & Management, LLC
SEC Litigation Release LR-25740 — Marshall E. Melton and Integrated Consulting & Management, LLC
SEC EDGAR
2023-06-01
Litigation Release 2023
Chimene Van Gundy; Outstanding Real Estate Solutions, Inc.; Michael Trofimoff; Santos Kidd; Maria Tosta
SEC Litigation Release LR-25739 — Chimene Van Gundy; Outstanding Real Estate Solutions, Inc.; Michael Trofimoff; Santos Kidd; Maria Tosta
SEC EDGAR
2023-05-31
Litigation Release 2023
Engler, et al.
SEC Litigation Release LR-25738 — Engler, et al.
SEC EDGAR
2023-05-30
Litigation Release 2023
The Hydrogen Technology Corporation, Michael Ross Kane, and Tyler Ostern
SEC Litigation Release LR-25737 — The Hydrogen Technology Corporation, Michael Ross Kane, and Tyler Ostern
SEC EDGAR
2023-05-26
Litigation Release 2023
Francis Sabo
SEC Litigation Release LR-25736 — Francis Sabo
SEC EDGAR
2023-05-26
Litigation Release 2023
iFresh, Inc. and Long Deng
SEC Litigation Release LR-25735 — iFresh, Inc. and Long Deng
SEC EDGAR
2023-05-25
Litigation Release 2023
Eleazar Kauderer, GPL Ventures LLC, et al.
SEC Litigation Release LR-25734 — Eleazar Kauderer, GPL Ventures LLC, et al.
SEC EDGAR
2023-05-24
Litigation Release 2023
Integrated National Resources, Inc. dba WeedGenics, Rolf Max Hirschmann aka "Max Bergmann," and Patrick Earl Williams
SEC Litigation Release LR-25733 — Integrated National Resources, Inc. dba WeedGenics, Rolf Max Hirschmann aka "Max Bergmann," and Patrick Earl Williams
SEC EDGAR
2023-05-23
Litigation Release 2023
Thomas Carter Ronk
SEC Litigation Release LR-25732 — Thomas Carter Ronk
SEC EDGAR
2023-05-22
Litigation Release 2023
Daniel E. Levin
SEC Litigation Release LR-25731 — Daniel E. Levin
SEC EDGAR
2023-05-19
Litigation Release 2023
Sam A. Antar
SEC Litigation Release LR-25730 — Sam A. Antar
SEC EDGAR
2023-05-19
Litigation Release 2023
Chicago Crypto Capital LLC; Brian Amoah; Elbert Elliott
SEC Litigation Release LR-25729 — Chicago Crypto Capital LLC; Brian Amoah; Elbert Elliott
SEC EDGAR
2023-05-18
Litigation Release 2023
Brian Raymond Callahan et al.
SEC Litigation Release LR-25728 — Brian Raymond Callahan et al.
SEC EDGAR
2023-05-17
Litigation Release 2023
Red Rock Secured, LLC, Sean Kelly, Anthony Spencer, Jeffrey Ward
SEC Litigation Release LR-25727 — Red Rock Secured, LLC, Sean Kelly, Anthony Spencer, Jeffrey Ward
SEC EDGAR
2023-05-15
Litigation Release 2023
Quanta, Inc.
SEC Litigation Release LR-25726 — Quanta, Inc.
SEC EDGAR
2023-05-15
Litigation Release 2023
Discala et al.
SEC Litigation Release LR-25725 — Discala et al.
SEC EDGAR
2023-05-12
Litigation Release 2023
Giguiere et al
SEC Litigation Release LR-25724 — Giguiere et al
SEC EDGAR
2023-05-12
Litigation Release 2023
Joshua Sason, et al. (Corrected)
SEC Litigation Release LR-25723 — Joshua Sason, et al. (Corrected)
SEC EDGAR
2023-05-12
Litigation Release 2023
Joshua David Nicholas, et al.
SEC Litigation Release LR-25722 — Joshua David Nicholas, et al.
SEC EDGAR
2023-05-12
Litigation Release 2023
GA Investors
SEC Litigation Release LR-25721 — GA Investors
SEC EDGAR
2023-05-11
Litigation Release 2023
Charles T. Lawrence, Jr., et al.
SEC Litigation Release LR-25720 — Charles T. Lawrence, Jr., et al.
SEC EDGAR
2023-05-11
Litigation Release 2023
RRBB Asset Management, LLC, et al.
SEC Litigation Release LR-25719 — RRBB Asset Management, LLC, et al.
SEC EDGAR
2023-05-11
Litigation Release 2023
IRB Brasil Resseguros S.A.
SEC Litigation Release LR-25718 — IRB Brasil Resseguros S.A.
SEC EDGAR
2023-05-10
Litigation Release 2023
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.