SEC Enforcement Actions
356 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)
Adam Mattessich and Joseph (a/k/a Jay) Ludovico
SEC Litigation Release LR-24179 — Adam Mattessich and Joseph (a/k/a Jay) Ludovico
SEC EDGAR
2018-06-29
Litigation Release 2018
Pinto-Thomaz, et al.
SEC Litigation Release LR-24178 — Pinto-Thomaz, et al.
SEC EDGAR
2018-06-29
Litigation Release 2018
Donato J. Dandreo III
SEC Litigation Release LR-24177 — Donato J. Dandreo III
SEC EDGAR
2018-06-29
Litigation Release 2018
James VanBlaricum, et al.
SEC Litigation Release LR-24176 — James VanBlaricum, et al.
SEC EDGAR
2018-06-26
Litigation Release 2018
Richard Weed et al.
SEC Litigation Release LR-24175 — Richard Weed et al.
SEC EDGAR
2018-06-26
Litigation Release 2018
Stephen Pence
SEC Litigation Release LR-24174 — Stephen Pence
SEC EDGAR
2018-06-22
Litigation Release 2018
James E. Hocker
SEC Litigation Release LR-24173 — James E. Hocker
SEC EDGAR
2018-06-21
Litigation Release 2018
Santillo, et al.
SEC Litigation Release LR-24172 — Santillo, et al.
SEC EDGAR
2018-06-20
Litigation Release 2018
Joseph A. Fiore, Berkshire Capital Management Company, Inc., and Eat at Joe's, Ltd. (n/k/a SPYR, Inc.)
SEC Litigation Release LR-24171 — Joseph A. Fiore, Berkshire Capital Management Company, Inc., and Eat at Joe's, Ltd. (n/k/a SPYR, Inc.)
SEC EDGAR
2018-06-20
Litigation Release 2018
PlexCorps, et al.
SEC Litigation Release LR-24170 — PlexCorps, et al.
SEC EDGAR
2018-06-20
Litigation Release 2018
Texas Coastal Energy Company, LLC, et. al.
SEC Litigation Release LR-24169 — Texas Coastal Energy Company, LLC, et. al.
SEC EDGAR
2018-06-19
Litigation Release 2018
Larry A. Holley, et al.
SEC Litigation Release LR-24168 — Larry A. Holley, et al.
SEC EDGAR
2018-06-18
Litigation Release 2018
Pawel P. Dynkowski, et al.
SEC Litigation Release LR-24167 — Pawel P. Dynkowski, et al.
SEC EDGAR
2018-06-18
Litigation Release 2018
Ronald A. Fossum, Jr. and Alonzo R. Cahoon
SEC Litigation Release LR-24166 — Ronald A. Fossum, Jr. and Alonzo R. Cahoon
SEC EDGAR
2018-06-15
Litigation Release 2018
Yin Nan "Michael" Wang; Wendy Ko; Velocity Investment Group, Inc.; Bio Profit Series I, LLC; Bio Profit Series II, LLC; Bio Profit Series III, LLC; Bio Profit Series V, LLC; and Rockwell Realty Management, Inc.
SEC Litigation Release LR-24165 — Yin Nan "Michael" Wang; Wendy Ko; Velocity Investment Group, Inc.; Bio Profit Series I, LLC; Bio Profit Series II, LLC; Bio Profit Series III, LLC; Bio Profit Series V, LLC; and Rockwell Realty Management, Inc.
SEC EDGAR
2018-06-13
Litigation Release 2018
Kurt J. Bordian
SEC Litigation Release LR-24164 — Kurt J. Bordian
SEC EDGAR
2018-06-12
Litigation Release 2018
Isaac Grossman, Adriana Grossman, Dragon-Click Corp., and Dragon Management, LLC
SEC Litigation Release LR-24162 — Isaac Grossman, Adriana Grossman, Dragon-Click Corp., and Dragon Management, LLC
SEC EDGAR
2018-06-11
Litigation Release 2018
Robert M. Morano
SEC Litigation Release LR-24163 — Robert M. Morano
SEC EDGAR
2018-06-11
Litigation Release 2018
Town of Ramapo, et al.
SEC Litigation Release LR-24161 — Town of Ramapo, et al.
SEC EDGAR
2018-06-08
Litigation Release 2018
Titanium Blockchain Infrastructure Services, Inc., EHI Internetwork and Systems Management, Inc. aka EHI-INSM, Inc., and Michael Alan Stollery aka Michael Stollaire
SEC Litigation Release LR-24160 — Titanium Blockchain Infrastructure Services, Inc., EHI Internetwork and Systems Management, Inc. aka EHI-INSM, Inc., and Michael Alan Stollery aka Michael Stollaire
SEC EDGAR
2018-06-07
Litigation Release 2018
Jehu Hand, et al.
SEC Litigation Release LR-24159 — Jehu Hand, et al.
SEC EDGAR
2018-06-06
Litigation Release 2018
Ralph T. Iannelli et al.
SEC Litigation Release LR-24158 — Ralph T. Iannelli et al.
SEC EDGAR
2018-06-06
Litigation Release 2018
Alderson, et al.
SEC Litigation Release LR-24157 — Alderson, et al.
SEC EDGAR
2018-06-05
Litigation Release 2018
Paul Gilman
SEC Litigation Release LR-24156 — Paul Gilman
SEC EDGAR
2018-06-05
Litigation Release 2018
Gustavo A. Guzman
SEC Litigation Release LR-24154 — Gustavo A. Guzman
SEC EDGAR
2018-06-04
Litigation Release 2018
Edward Withrow, et al.
SEC Litigation Release LR-24155 — Edward Withrow, et al.
SEC EDGAR
2018-06-04
Litigation Release 2018
Woojae (Steve) Jung
SEC Litigation Release LR-24153 — Woojae (Steve) Jung
SEC EDGAR
2018-05-31
Litigation Release 2018
Steven Pagartanis
SEC Litigation Release LR-24152 — Steven Pagartanis
SEC EDGAR
2018-05-30
Litigation Release 2018
Niel Martin Nielson and Carolyne Susan Johnson
SEC Litigation Release LR-24151 — Niel Martin Nielson and Carolyne Susan Johnson
SEC EDGAR
2018-05-25
Litigation Release 2018
Perry A. Gruss
SEC Litigation Release LR-24150 — Perry A. Gruss
SEC EDGAR
2018-05-24
Litigation Release 2018
Gregory M. Bercowy
SEC Litigation Release LR-24149 — Gregory M. Bercowy
SEC EDGAR
2018-05-24
Litigation Release 2018
Bud Genius, Inc. and Aaron "Angel" Stanz, Taylor Moffitt, Carlos Febles, and U.S. CoProducts, LLC
SEC Litigation Release LR-24148 — Bud Genius, Inc. and Aaron "Angel" Stanz, Taylor Moffitt, Carlos Febles, and U.S. CoProducts, LLC
SEC EDGAR
2018-05-22
Litigation Release 2018
Brent Borland, et al.
SEC Litigation Release LR-24147 — Brent Borland, et al.
SEC EDGAR
2018-05-18
Litigation Release 2018
PixarBio Corp. et al.
SEC Litigation Release LR-24146 — PixarBio Corp. et al.
SEC EDGAR
2018-05-18
Litigation Release 2018
Todd David Alpert
SEC Litigation Release LR-24145 — Todd David Alpert
SEC EDGAR
2018-05-18
Litigation Release 2018
Keenan Gracey
SEC Litigation Release LR-24144 — Keenan Gracey
SEC EDGAR
2018-05-17
Litigation Release 2018
William M. Jordan
SEC Litigation Release LR-24142 — William M. Jordan
SEC EDGAR
2018-05-15
Litigation Release 2018
Francisco Abellan Villena, Guillermo Ciupiak, James B. Panther, Jr., and Faiyaz Dean
SEC Litigation Release LR-24141 — Francisco Abellan Villena, Guillermo Ciupiak, James B. Panther, Jr., and Faiyaz Dean
SEC EDGAR
2018-05-15
Litigation Release 2018
Leon Vaccarelli, et al.
SEC Litigation Release LR-24140 — Leon Vaccarelli, et al.
SEC EDGAR
2018-05-14
Litigation Release 2018
The Falls Event Center, LLC and Steven L. Down
SEC Litigation Release LR-24139 — The Falls Event Center, LLC and Steven L. Down
SEC EDGAR
2018-05-11
Litigation Release 2018
Premium Point Investments, LP et al.
SEC Litigation Release LR-24138 — Premium Point Investments, LP et al.
SEC EDGAR
2018-05-09
Litigation Release 2018
Keith Houlihan
SEC Litigation Release LR-24137 — Keith Houlihan
SEC EDGAR
2018-05-09
Litigation Release 2018
Bovorn Rungruangnavarat
SEC Litigation Release LR-24136 — Bovorn Rungruangnavarat
SEC EDGAR
2018-05-07
Litigation Release 2018
Murakami, et al.
SEC Litigation Release LR-24135 — Murakami, et al.
SEC EDGAR
2018-05-07
Litigation Release 2018
David A. Zimliki and Russel P. Schiefer
SEC Litigation Release LR-24134 — David A. Zimliki and Russel P. Schiefer
SEC EDGAR
2018-05-04
Litigation Release 2018
Paul W. Smith
SEC Litigation Release LR-24133 — Paul W. Smith
SEC EDGAR
2018-05-04
Litigation Release 2018
Shawn Carter
SEC Litigation Release LR-24131 — Shawn Carter
SEC EDGAR
2018-05-03
Litigation Release 2018
Adam Tracy and Securities Compliance Group, Ltd.
SEC Litigation Release LR-24132 — Adam Tracy and Securities Compliance Group, Ltd.
SEC EDGAR
2018-05-02
Litigation Release 2018
Longfin Corp., et al.
SEC Litigation Release LR-24130 — Longfin Corp., et al.
SEC EDGAR
2018-05-02
Litigation Release 2018
Arthur Lamar Adams and Madison Timber Properties, LLC
SEC Litigation Release LR-24129 — Arthur Lamar Adams and Madison Timber Properties, LLC
SEC EDGAR
2018-05-02
Litigation Release 2018
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.