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)
Mohammed Pithapurwala, Ammar Kutiyanawalla, and Alifiya Kutiyanawalla
SEC Litigation Release LR-25403 — Mohammed Pithapurwala, Ammar Kutiyanawalla, and Alifiya Kutiyanawalla
SEC EDGAR
2022-06-01
Litigation Release 2022
Martin A. Sumichrast
SEC Litigation Release LR-25402 — Martin A. Sumichrast
SEC EDGAR
2022-05-31
Litigation Release 2022
Cornerstone Acquisition & Management Company LLC, Derren Lee Geiger, and She Hwea Ngo
SEC Litigation Release LR-25400 — Cornerstone Acquisition & Management Company LLC, Derren Lee Geiger, and She Hwea Ngo
SEC EDGAR
2022-05-27
Litigation Release 2022
Hugues Pierre Joublin
SEC Litigation Release LR-25401 — Hugues Pierre Joublin
SEC EDGAR
2022-05-27
Litigation Release 2022
Andrew M, Middlebrooks, et al
SEC Litigation Release LR-25399 — Andrew M, Middlebrooks, et al
SEC EDGAR
2022-05-25
Litigation Release 2022
Frank B. Glassner
SEC Litigation Release LR-25398 — Frank B. Glassner
SEC EDGAR
2022-05-24
Litigation Release 2022
Sohrab (Sam") Sharma
SEC Litigation Release LR-25396 — Sohrab (Sam") Sharma
SEC EDGAR
2022-05-19
Litigation Release 2022
Wynn Charlebois et al.
SEC Litigation Release LR-25397 — Wynn Charlebois et al.
SEC EDGAR
2022-05-19
Litigation Release 2022
Jillian Sidoti
SEC Litigation Release LR-25394 — Jillian Sidoti
SEC EDGAR
2022-05-17
Litigation Release 2022
Richard T. Diver
SEC Litigation Release LR-25395 — Richard T. Diver
SEC EDGAR
2022-05-17
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-25393 — StraightPath Venture Partners LLC, StraightPath Management LLC, Brian K. Martinsen, Michael A. Castillero, Francine A. Lanaia and Eric D. Lachow
SEC EDGAR
2022-05-16
Litigation Release 2022
Frederick L. Sharp et al.
SEC Litigation Release LR-25392 — Frederick L. Sharp et al.
SEC EDGAR
2022-05-12
Litigation Release 2022
Brenda Smith, et al.
SEC Litigation Release LR-25390 — Brenda Smith, et al.
SEC EDGAR
2022-05-11
Litigation Release 2022
Lev Parnas and David Correia
SEC Litigation Release LR-25391 — Lev Parnas and David Correia
SEC EDGAR
2022-05-11
Litigation Release 2022
Manuel A. Romero
SEC Litigation Release LR-25389 — Manuel A. Romero
SEC EDGAR
2022-05-10
Litigation Release 2022
TKO Farms, Inc., et al.
SEC Litigation Release LR-25386 — TKO Farms, Inc., et al.
SEC EDGAR
2022-05-09
Litigation Release 2022
Sepehr Sarshar
SEC Litigation Release LR-25387 — Sepehr Sarshar
SEC EDGAR
2022-05-09
Litigation Release 2022
Steven F. Muntin
SEC Litigation Release LR-25388 — Steven F. Muntin
SEC EDGAR
2022-05-09
Litigation Release 2022
Shawn F. Hackman
SEC Litigation Release LR-25385 — Shawn F. Hackman
SEC EDGAR
2022-05-06
Litigation Release 2022
Mark Marchi
SEC Litigation Release LR-25384 — Mark Marchi
SEC EDGAR
2022-05-05
Litigation Release 2022
Derek J. Slattery and TradeSmart Software RIC Corporation
SEC Litigation Release LR-25382 — Derek J. Slattery and TradeSmart Software RIC Corporation
SEC EDGAR
2022-05-05
Litigation Release 2022
Michael Forster
SEC Litigation Release LR-25383 — Michael Forster
SEC EDGAR
2022-05-05
Litigation Release 2022
David Lee Stone and John Robson, et al.
SEC Litigation Release LR-25381 — David Lee Stone and John Robson, et al.
SEC EDGAR
2022-05-04
Litigation Release 2022
BTIG, LLC
SEC Litigation Release LR-25380 — BTIG, LLC
SEC EDGAR
2022-05-03
Litigation Release 2022
Synergy Settlement Services, Inc., Foundation for Those with Special Needs, Special Needs Law Firm PLLC, Jason D. Lazarus, and Anthony F. Prieto, Jr.
SEC Litigation Release LR-25379 — Synergy Settlement Services, Inc., Foundation for Those with Special Needs, Special Needs Law Firm PLLC, Jason D. Lazarus, and Anthony F. Prieto, Jr.
SEC EDGAR
2022-05-02
Litigation Release 2022
Cattlin et al, Page et al
SEC Litigation Release LR-25378 — Cattlin et al, Page et al
SEC EDGAR
2022-04-29
Litigation Release 2022
Block Bits Capital, LLC, Block Bits Capital GP I, LLC and Japheth Dillman, Civ. Action, David B. Mata
SEC Litigation Release LR-25376 — Block Bits Capital, LLC, Block Bits Capital GP I, LLC and Japheth Dillman, Civ. Action, David B. Mata
SEC EDGAR
2022-04-28
Litigation Release 2022
Steven Chiang a/k/a Cyrus Kong, Eric Tippetts, James Hardy, and Maurice "Butch" Chelliah
SEC Litigation Release LR-25377 — Steven Chiang a/k/a Cyrus Kong, Eric Tippetts, James Hardy, and Maurice "Butch" Chelliah
SEC EDGAR
2022-04-28
Litigation Release 2022
American Equities, Inc., American Eagle Mortgage Management, LLC, Ross C. Miles and Maureen T. Wile
SEC Litigation Release LR-25375 — American Equities, Inc., American Eagle Mortgage Management, LLC, Ross C. Miles and Maureen T. Wile
SEC EDGAR
2022-04-27
Litigation Release 2022
Bernard L. Compton
SEC Litigation Release LR-25374 — Bernard L. Compton
SEC EDGAR
2022-04-22
Litigation Release 2022
Moshe Strugano and Rinat Gazit
SEC Litigation Release LR-25373 — Moshe Strugano and Rinat Gazit
SEC EDGAR
2022-04-20
Litigation Release 2022
Shawn E. Good
SEC Litigation Release LR-25371 — Shawn E. Good
SEC EDGAR
2022-04-19
Litigation Release 2022
Domenic Calabrigo et al.
SEC Litigation Release LR-25372 — Domenic Calabrigo et al.
SEC EDGAR
2022-04-19
Litigation Release 2022
Fernando Passos, Civ. Action
SEC Litigation Release LR-25370 — Fernando Passos, Civ. Action
SEC EDGAR
2022-04-18
Litigation Release 2022
Dean Shah et al.
SEC Litigation Release LR-25367 — Dean Shah et al.
SEC EDGAR
2022-04-15
Litigation Release 2022
Carl Iberger and Timothy Iberger
SEC Litigation Release LR-25368 — Carl Iberger and Timothy Iberger
SEC EDGAR
2022-04-15
Litigation Release 2022
Damon Elliott, et al.
SEC Litigation Release LR-25369 — Damon Elliott, et al.
SEC EDGAR
2022-04-15
Litigation Release 2022
Joseph Salvatore DeVito (a/k/a Salvatore DeVito) and Dean Anthony Esposito (a/k/a Dean Anthony)
SEC Litigation Release LR-25363 — Joseph Salvatore DeVito (a/k/a Salvatore DeVito) and Dean Anthony Esposito (a/k/a Dean Anthony)
SEC EDGAR
2022-04-14
Litigation Release 2022
Mark Loman
SEC Litigation Release LR-25364 — Mark Loman
SEC EDGAR
2022-04-14
Litigation Release 2022
Benja Inc. and Andrew Chapin
SEC Litigation Release LR-25365 — Benja Inc. and Andrew Chapin
SEC EDGAR
2022-04-14
Litigation Release 2022
Ronald Bauer et al.
SEC Litigation Release LR-25366 — Ronald Bauer et al.
SEC EDGAR
2022-04-14
Litigation Release 2022
Kay X. Yang
SEC Litigation Release LR-25362 — Kay X. Yang
SEC EDGAR
2022-04-13
Litigation Release 2022
Justin Wallace Herman, Anthony Michael Baker, Ian Horn, and Island Capital Inc
SEC Litigation Release LR-25361 — Justin Wallace Herman, Anthony Michael Baker, Ian Horn, and Island Capital Inc
SEC EDGAR
2022-04-12
Litigation Release 2022
Eric A. Alexander, Scott A. Merkelson
SEC Litigation Release LR-25357 — Eric A. Alexander, Scott A. Merkelson
SEC EDGAR
2022-04-11
Litigation Release 2022
Anthony Salandra
SEC Litigation Release LR-25358 — Anthony Salandra
SEC EDGAR
2022-04-11
Litigation Release 2022
Julie Minuskin, Joshua Stoll, Dennis DiRicco, Tom Casey and Golden Genesis, Inc.
SEC Litigation Release LR-25359 — Julie Minuskin, Joshua Stoll, Dennis DiRicco, Tom Casey and Golden Genesis, Inc.
SEC EDGAR
2022-04-11
Litigation Release 2022
Global Investment Strategy UK Ltd. and John William Gunn
SEC Litigation Release LR-25360 — Global Investment Strategy UK Ltd. and John William Gunn
SEC EDGAR
2022-04-11
Litigation Release 2022
Airborne Wireless Network, et al.
SEC Litigation Release LR-25355 — Airborne Wireless Network, et al.
SEC EDGAR
2022-04-05
Litigation Release 2022
David J. Bunevacz et al.
SEC Litigation Release LR-25356 — David J. Bunevacz et al.
SEC EDGAR
2022-04-05
Litigation Release 2022
Dow Rockwell LLC and Richard Dow Rockwell
SEC Litigation Release LR-25354 — Dow Rockwell LLC and Richard Dow Rockwell
SEC EDGAR
2022-04-01
Litigation Release 2022
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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.