SEC Enforcement Actions

2,526 SEC litigation releases (2018–2026) from EDGAR public records

Merrill Robertson, Jr., et al.
SEC Litigation Release LR-24101 — Merrill Robertson, Jr., et al.
SEC EDGAR
2018-04-05
Litigation Release 2018
William R. Schantz III and Verto Capital Management LLC
SEC Litigation Release LR-24100 — William R. Schantz III and Verto Capital Management LLC
SEC EDGAR
2018-04-05
Litigation Release 2018
Christopher James Lollar
SEC Litigation Release LR-24096 — Christopher James Lollar
SEC EDGAR
2018-04-04
Litigation Release 2018
Shane P. Fleming, et al.
SEC Litigation Release LR-24095 — Shane P. Fleming, et al.
SEC EDGAR
2018-04-04
Litigation Release 2018
Michael Scronic
SEC Litigation Release LR-24094 — Michael Scronic
SEC EDGAR
2018-04-04
Litigation Release 2018
Mohammed Ali Rashid
SEC Litigation Release LR-24093 — Mohammed Ali Rashid
SEC EDGAR
2018-04-04
Litigation Release 2018
Michael A. Liberty, et al.
SEC Litigation Release LR-24092 — Michael A. Liberty, et al.
SEC EDGAR
2018-04-04
Litigation Release 2018
Gregory M. Bercowy
SEC Litigation Release LR-24091 — Gregory M. Bercowy
SEC EDGAR
2018-04-04
Litigation Release 2018
Sohrab ("Sam") Sharma and Robert Farkas
SEC Litigation Release LR-24090 — Sohrab ("Sam") Sharma and Robert Farkas
SEC EDGAR
2018-04-02
Litigation Release 2018
Kirbyjon Hines Caldwell et al., Shae Yatta Harper
SEC Litigation Release LR-24089 — Kirbyjon Hines Caldwell et al., Shae Yatta Harper
SEC EDGAR
2018-03-30
Litigation Release 2018
AriseBank, Jared Rice Sr., and Stanley Ford
SEC Litigation Release LR-24088 — AriseBank, Jared Rice Sr., and Stanley Ford
SEC EDGAR
2018-03-29
Litigation Release 2018
DaRayl D. Davis and Affluent Advisory Group, LLC
SEC Litigation Release LR-24087 — DaRayl D. Davis and Affluent Advisory Group, LLC
SEC EDGAR
2018-03-28
Litigation Release 2018
Nauman A. Aly
SEC Litigation Release LR-24086 — Nauman A. Aly
SEC EDGAR
2018-03-28
Litigation Release 2018
Rio Tinto plc, Rio Tinto Limited, Thomas Albanese and Guy Robert Elliott
SEC Litigation Release LR-24085 — Rio Tinto plc, Rio Tinto Limited, Thomas Albanese and Guy Robert Elliott
SEC EDGAR
2018-03-27
Litigation Release 2018
Joseph Spera, et al.
SEC Litigation Release LR-24084 — Joseph Spera, et al.
SEC EDGAR
2018-03-26
Litigation Release 2018
Brian Hirsch, et al.
SEC Litigation Release LR-24083 — Brian Hirsch, et al.
SEC EDGAR
2018-03-26
Litigation Release 2018
Akorn, Inc., Timothy Dick, and David Hebeda
SEC Litigation Release LR-24082 — Akorn, Inc., Timothy Dick, and David Hebeda
SEC EDGAR
2018-03-26
Litigation Release 2018
REcoin Group Foundation, et al.
SEC Litigation Release LR-24081 — REcoin Group Foundation, et al.
SEC EDGAR
2018-03-26
Litigation Release 2018
Jon E. Montroll and Bitfunder
SEC Litigation Release LR-24078 — Jon E. Montroll and Bitfunder
SEC EDGAR
2018-03-23
Litigation Release 2018
Spark Trading Group LLC and Niket Shah
SEC Litigation Release LR-24080 — Spark Trading Group LLC and Niket Shah
SEC EDGAR
2018-03-23
Litigation Release 2018
PlexCorps, et al.
SEC Litigation Release LR-24079 — PlexCorps, et al.
SEC EDGAR
2018-03-23
Litigation Release 2018
Howard B. Present
SEC Litigation Release LR-24077 — Howard B. Present
SEC EDGAR
2018-03-22
Litigation Release 2018
McKinley Mortgage Co. LLC, et al.
SEC Litigation Release LR-24076 — McKinley Mortgage Co. LLC, et al.
SEC EDGAR
2018-03-22
Litigation Release 2018
Robert W. Murray
SEC Litigation Release LR-24075 — Robert W. Murray
SEC EDGAR
2018-03-22
Litigation Release 2018
American Bondholders Foundation, LLC
SEC Litigation Release LR-24074 — American Bondholders Foundation, LLC
SEC EDGAR
2018-03-22
Litigation Release 2018
Jun Ying
SEC Litigation Release LR-24073 — Jun Ying
SEC EDGAR
2018-03-22
Litigation Release 2018
Revolutions Medical Corp., et al.
SEC Litigation Release LR-24072 — Revolutions Medical Corp., et al.
SEC EDGAR
2018-03-21
Litigation Release 2018
Nicholas J. Genovese, Willow Creek Investments, LP, and Willow Creek Advisors, LLC
SEC Litigation Release LR-24071 — Nicholas J. Genovese, Willow Creek Investments, LP, and Willow Creek Advisors, LLC
SEC EDGAR
2018-03-21
Litigation Release 2018
Steven Metro
SEC Litigation Release LR-24070 — Steven Metro
SEC EDGAR
2018-03-19
Litigation Release 2018
Elizabeth Holmes, et al. and Ramesh "Sunny" Balwani
SEC Litigation Release LR-24069 — Elizabeth Holmes, et al. and Ramesh "Sunny" Balwani
SEC EDGAR
2018-03-19
Litigation Release 2018
Americrude, et. al.
SEC Litigation Release LR-24068 — Americrude, et. al.
SEC EDGAR
2018-03-19
Litigation Release 2018
Beaufort Securities Ltd. and Panayiotis Kyriacou a/k/a Peter Kyriacou; Dennis J. Mancino, William T. Hirschy, DJK Investments 10 Inc., TJM Investments Inc., and WT Consulting Group, LLC
SEC Litigation Release LR-24067 — Beaufort Securities Ltd. and Panayiotis Kyriacou a/k/a Peter Kyriacou; Dennis J. Mancino, William T. Hirschy, DJK Investments 10 Inc., TJM Investments Inc., and WT Consulting Group, LLC
SEC EDGAR
2018-03-16
Litigation Release 2018
Jeffrey O. Friedland, Global Corporate Strategies LLC, and Intiva Pharma LLC, Defendants, and Lane 6552 LLC, Kathy B. Friedland, Aspen Upper Ranch LLC, Assurance Management, LLC, and The Jeffrey and Kathy Friedland Irrevocable Trust, Relief Defendants , Case.
SEC Litigation Release LR-24066 — Jeffrey O. Friedland, Global Corporate Strategies LLC, and Intiva Pharma LLC, Defendants, and Lane 6552 LLC, Kathy B. Friedland, Aspen Upper Ranch LLC, Assurance Management, LLC, and The Jeffrey and Kathy Friedland Irrevocable Trust, Relief Defendants , Case.
SEC EDGAR
2018-03-08
Litigation Release 2018
Robert M. Morano
SEC Litigation Release LR-24065 — Robert M. Morano
SEC EDGAR
2018-03-08
Litigation Release 2018
Jersey Consulting LLC
SEC Litigation Release LR-24064 — Jersey Consulting LLC
SEC EDGAR
2018-03-05
Litigation Release 2018
Edward Henderson
SEC Litigation Release LR-24063 — Edward Henderson
SEC EDGAR
2018-03-05
Litigation Release 2018
AVEO Pharmaceuticals, Inc., et al.
SEC Litigation Release LR-24062 — AVEO Pharmaceuticals, Inc., et al.
SEC EDGAR
2018-03-05
Litigation Release 2018
Stefan Lumiere
SEC Litigation Release LR-24061 — Stefan Lumiere
SEC EDGAR
2018-03-05
Litigation Release 2018
Steven J. Muehler, Claudia M. Muehler, Koorosh "Danny" Rahimi, AltaVista Capital Markets, LLC, AltaVista Private Client, LLC, and AltaVista Securities, LLC
SEC Litigation Release LR-24060 — Steven J. Muehler, Claudia M. Muehler, Koorosh "Danny" Rahimi, AltaVista Capital Markets, LLC, AltaVista Private Client, LLC, and AltaVista Securities, LLC
SEC EDGAR
2018-03-01
Litigation Release 2018
Leonard Genova
SEC Litigation Release LR-24059 — Leonard Genova
SEC EDGAR
2018-03-01
Litigation Release 2018
Analytica Bio-Energy Corp., et al., Marvin Winick
SEC Litigation Release LR-24058 — Analytica Bio-Energy Corp., et al., Marvin Winick
SEC EDGAR
2018-02-28
Litigation Release 2018
AmeraTex Energy, Inc., et al
SEC Litigation Release LR-24057 — AmeraTex Energy, Inc., et al
SEC EDGAR
2018-02-28
Litigation Release 2018
Yang Xie
SEC Litigation Release LR-24056 — Yang Xie
SEC EDGAR
2018-02-28
Litigation Release 2018
Dedicated Sound and Audio, Inc., et al.
SEC Litigation Release LR-24055 — Dedicated Sound and Audio, Inc., et al.
SEC EDGAR
2018-02-26
Litigation Release 2018
Strong Investment Management, Joseph B. Bronson (f/k/a Joseph B. Engebretson), and John B. Engebretson
SEC Litigation Release LR-24054 — Strong Investment Management, Joseph B. Bronson (f/k/a Joseph B. Engebretson), and John B. Engebretson
SEC EDGAR
2018-02-21
Litigation Release 2018
Eric McPhail, et al.
SEC Litigation Release LR-24053 — Eric McPhail, et al.
SEC EDGAR
2018-02-20
Litigation Release 2018
Sharone Perlstein, et al., Jonathan Strum, Alan Weinberg, et al.
SEC Litigation Release LR-24051 — Sharone Perlstein, et al., Jonathan Strum, Alan Weinberg, et al.
SEC EDGAR
2018-02-16
Litigation Release 2018
Daniel Thibeault, et al.
SEC Litigation Release LR-24052 — Daniel Thibeault, et al.
SEC EDGAR
2018-02-16
Litigation Release 2018
Commonwealth Advisors, Inc. and Walter A. Morales
SEC Litigation Release LR-24050 — Commonwealth Advisors, Inc. and Walter A. Morales
SEC EDGAR
2018-02-15
Litigation Release 2018
Southridge Capital Management LLC, et al.
SEC Litigation Release LR-24049 — Southridge Capital Management LLC, et al.
SEC EDGAR
2018-02-15
Litigation Release 2018
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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.