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)
Edwin Emmett Lickiss, Jr.
SEC Litigation Release LR-26360 — Edwin Emmett Lickiss, Jr.
SEC EDGAR
2025-07-22
Litigation Release 2025
Brian M. Kashman
SEC Litigation Release LR-26359 — Brian M. Kashman
SEC EDGAR
2025-07-22
Litigation Release 2025
Edwin Brant Frost IV and First Liberty Building & Loan LLC
SEC Litigation Release LR-26358 — Edwin Brant Frost IV and First Liberty Building & Loan LLC
SEC EDGAR
2025-07-22
Litigation Release 2025
Jerry D. Guess and Guess & Co. Corporation
SEC Litigation Release LR-26357 — Jerry D. Guess and Guess & Co. Corporation
SEC EDGAR
2025-07-22
Litigation Release 2025
Robert Brian Thompson
SEC Litigation Release LR-26356 — Robert Brian Thompson
SEC EDGAR
2025-07-21
Litigation Release 2025
Suyun Gu, et al.
SEC Litigation Release LR-26355 — Suyun Gu, et al.
SEC EDGAR
2025-07-21
Litigation Release 2025
Joseph J. D’Ambrosio
SEC Litigation Release LR-26354 — Joseph J. D’Ambrosio
SEC EDGAR
2025-07-21
Litigation Release 2025
Ameri Metro, Inc., Shahnawaz Mathias, Penndel Land Development Co., and HSRF Trust
SEC Litigation Release LR-26353 — Ameri Metro, Inc., Shahnawaz Mathias, Penndel Land Development Co., and HSRF Trust
SEC EDGAR
2025-07-21
Litigation Release 2025
Christine Hunsicker
SEC Litigation Release LR-26352 — Christine Hunsicker
SEC EDGAR
2025-07-18
Litigation Release 2025
Gordon J. Coburn, Steven E. Schwartz
SEC Litigation Release LR-26351 — Gordon J. Coburn, Steven E. Schwartz
SEC EDGAR
2025-07-15
Litigation Release 2025
Eric J. Watson
SEC Litigation Release LR-26350 — Eric J. Watson
SEC EDGAR
2025-07-15
Litigation Release 2025
Imer Gomez, individually and d/b/a K&G Investment Solutions, LLC; Helios Venture Fund, LLC; Relief Defendants Eric Claxton and Heather Claxton
SEC Litigation Release LR-26349 — Imer Gomez, individually and d/b/a K&G Investment Solutions, LLC; Helios Venture Fund, LLC; Relief Defendants Eric Claxton and Heather Claxton
SEC EDGAR
2025-07-14
Litigation Release 2025
Trijya Vakil and Neeraj Visen
SEC Litigation Release LR-26348 — Trijya Vakil and Neeraj Visen
SEC EDGAR
2025-07-11
Litigation Release 2025
Pinnacle Advisors, LLC; Robert F. Cuculich; Benjamin R. Quilty; Mark E. Wadach; and Lawton A. Williamson
SEC Litigation Release LR-26347 — Pinnacle Advisors, LLC; Robert F. Cuculich; Benjamin R. Quilty; Mark E. Wadach; and Lawton A. Williamson
SEC EDGAR
2025-07-11
Litigation Release 2025
Diana Mae Fernandez
SEC Litigation Release LR-26346 — Diana Mae Fernandez
SEC EDGAR
2025-07-11
Litigation Release 2025
Joshua Thomas Jackson
SEC Litigation Release LR-26345 — Joshua Thomas Jackson
SEC EDGAR
2025-07-11
Litigation Release 2025
William A. Justice, Keith A. Rosenbaum, Brian D. Shibley, and Randell R. Torno
SEC Litigation Release LR-26344 — William A. Justice, Keith A. Rosenbaum, Brian D. Shibley, and Randell R. Torno
SEC EDGAR
2025-07-10
Litigation Release 2025
Nicholas A. Palazzo, et al.
SEC Litigation Release LR-26343 — Nicholas A. Palazzo, et al.
SEC EDGAR
2025-07-09
Litigation Release 2025
Eric Cobb
SEC Litigation Release LR-26342 — Eric Cobb
SEC EDGAR
2025-07-09
Litigation Release 2025
Cheetah X Inc. (d/b/a Go X), Alexander Debelov, and Khodr Salam
SEC Litigation Release LR-26341 — Cheetah X Inc. (d/b/a Go X), Alexander Debelov, and Khodr Salam
SEC EDGAR
2025-07-03
Litigation Release 2025
Eduardo Hernandez
SEC Litigation Release LR-26340 — Eduardo Hernandez
SEC EDGAR
2025-07-03
Litigation Release 2025
Eliseo Prisno and P/E Capital Investment Management Partners
SEC Litigation Release LR-26339 — Eliseo Prisno and P/E Capital Investment Management Partners
SEC EDGAR
2025-07-03
Litigation Release 2025
Anthony Caine; Anish Parvataneni; LJM Funds Management, Ltd.; LJM Partners, Ltd.
SEC Litigation Release LR-26338 — Anthony Caine; Anish Parvataneni; LJM Funds Management, Ltd.; LJM Partners, Ltd.
SEC EDGAR
2025-07-01
Litigation Release 2025
Rajesh Markan
SEC Litigation Release LR-26337 — Rajesh Markan
SEC EDGAR
2025-06-27
Litigation Release 2025
Robynne Alexander
SEC Litigation Release LR-26336 — Robynne Alexander
SEC EDGAR
2025-06-26
Litigation Release 2025
American Patriot Brands, Inc.; Urban Pharms, LLC; DJ&S Property #1; TSL Distribution; Robert Y. Lee; Brian L. Pallas; J. Bernard Rice
SEC Litigation Release LR-26335 — American Patriot Brands, Inc.; Urban Pharms, LLC; DJ&S Property #1; TSL Distribution; Robert Y. Lee; Brian L. Pallas; J. Bernard Rice
SEC EDGAR
2025-06-26
Litigation Release 2025
Edward O’Donnell; Victor Bozzo
SEC Litigation Release LR-26334 — Edward O’Donnell; Victor Bozzo
SEC EDGAR
2025-06-24
Litigation Release 2025
Ian O. Mausner; Evolution Lending, LLC
SEC Litigation Release LR-26333 — Ian O. Mausner; Evolution Lending, LLC
SEC EDGAR
2025-06-24
Litigation Release 2025
Ongkaruck Sripetch, et al.
SEC Litigation Release LR-26332 — Ongkaruck Sripetch, et al.
SEC EDGAR
2025-06-20
Litigation Release 2025
Benjamin Ballout; Mohamed Zayed
SEC Litigation Release LR-26331 — Benjamin Ballout; Mohamed Zayed
SEC EDGAR
2025-06-20
Litigation Release 2025
John M. Fife, et al.; Auctus Fund Management, LLC, et al.; Curt Kramer, et al.
SEC Litigation Release LR-26330 — John M. Fife, et al.; Auctus Fund Management, LLC, et al.; Curt Kramer, et al.
SEC EDGAR
2025-06-18
Litigation Release 2025
Brite Advisors USA, Inc.
SEC Litigation Release LR-26329 — Brite Advisors USA, Inc.
SEC EDGAR
2025-06-17
Litigation Release 2025
Peter Scalise III and The3rdBevco Inc.
SEC Litigation Release LR-26328 — Peter Scalise III and The3rdBevco Inc.
SEC EDGAR
2025-06-17
Litigation Release 2025
El Capitan Advisors, Inc. and Andrew D. Nash
SEC Litigation Release LR-26327 — El Capitan Advisors, Inc. and Andrew D. Nash
SEC EDGAR
2025-06-17
Litigation Release 2025
Roderick Vanderbilt
SEC Litigation Release LR-26326 — Roderick Vanderbilt
SEC EDGAR
2025-06-13
Litigation Release 2025
Sergio Damian Lopez
SEC Litigation Release LR-26325 — Sergio Damian Lopez
SEC EDGAR
2025-06-13
Litigation Release 2025
Brady Jack Speers; Chatree Thiranon; GHAP, LLC d/b/a Blue Star Texas
SEC Litigation Release LR-26324 — Brady Jack Speers; Chatree Thiranon; GHAP, LLC d/b/a Blue Star Texas
SEC EDGAR
2025-06-12
Litigation Release 2025
NDB, Inc.; Nima Golsharifi
SEC Litigation Release LR-26323 — NDB, Inc.; Nima Golsharifi
SEC EDGAR
2025-06-11
Litigation Release 2025
Jack Brewer
SEC Litigation Release LR-26322 — Jack Brewer
SEC EDGAR
2025-06-10
Litigation Release 2025
Medallion Financial Corp., Andrew Murstein, Lawrence Meyers, and Ichabod’s Cranium, Inc.
SEC Litigation Release LR-26321 — Medallion Financial Corp., Andrew Murstein, Lawrence Meyers, and Ichabod’s Cranium, Inc.
SEC EDGAR
2025-06-06
Litigation Release 2025
James L. Koutoulas
SEC Litigation Release LR-26320 — James L. Koutoulas
SEC EDGAR
2025-06-04
Litigation Release 2025
David A. Nagler and New Line Capital, LLC
SEC Litigation Release LR-26319 — David A. Nagler and New Line Capital, LLC
SEC EDGAR
2025-06-04
Litigation Release 2025
Vladislav Kliushin
SEC Litigation Release LR-26318 — Vladislav Kliushin
SEC EDGAR
2025-05-30
Litigation Release 2025
Kronus Financial Corporation, Finser International Corporation, Andrew H. Jacobus
SEC Litigation Release LR-26317 — Kronus Financial Corporation, Finser International Corporation, Andrew H. Jacobus
SEC EDGAR
2025-05-29
Litigation Release 2025
Binance Holdings Limited; BAM Trading Services Inc.; BAM Management US Holdings Inc.; Changpeng Zhao
SEC Litigation Release LR-26316 — Binance Holdings Limited; BAM Trading Services Inc.; BAM Management US Holdings Inc.; Changpeng Zhao
SEC EDGAR
2025-05-29
Litigation Release 2025
Christopher Aubin; Anchor State Capital LLC, f/k/a Anchor State Investments LLC; Anchor State Properties LLC
SEC Litigation Release LR-26315 — Christopher Aubin; Anchor State Capital LLC, f/k/a Anchor State Investments LLC; Anchor State Properties LLC
SEC EDGAR
2025-05-27
Litigation Release 2025
Unicoin, Inc.; Alexander Konanykhin; Maria Silvina Moschini; Alejandro Dominguez; Richard Devlin
SEC Litigation Release LR-26314 — Unicoin, Inc.; Alexander Konanykhin; Maria Silvina Moschini; Alejandro Dominguez; Richard Devlin
SEC EDGAR
2025-05-27
Litigation Release 2025
Kautilya ("Tony") Sharma, Perian Salviola, and Pallas Holdings, LLC
SEC Litigation Release LR-26313 — Kautilya ("Tony") Sharma, Perian Salviola, and Pallas Holdings, LLC
SEC EDGAR
2025-05-23
Litigation Release 2025
Kenneth Mattson and Relief Defendant KS Mattson Partners LP
SEC Litigation Release LR-26312 — Kenneth Mattson and Relief Defendant KS Mattson Partners LP
SEC EDGAR
2025-05-23
Litigation Release 2025
Joel J. Natario; Jefferson Scott Baker
SEC Litigation Release LR-26311 — Joel J. Natario; Jefferson Scott Baker
SEC EDGAR
2025-05-23
Litigation Release 2025
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.