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)
Kevin J. Amell
SEC Litigation Release LR-24048 — Kevin J. Amell
SEC EDGAR
2018-02-14
Litigation Release 2018
Terrence LeGall
SEC Litigation Release LR-24047 — Terrence LeGall
SEC EDGAR
2018-02-14
Litigation Release 2018
Brian S. Block, et al.
SEC Litigation Release LR-24046 — Brian S. Block, et al.
SEC EDGAR
2018-02-14
Litigation Release 2018
Timothy S. Batchelor
SEC Litigation Release LR-24045 — Timothy S. Batchelor
SEC EDGAR
2018-02-13
Litigation Release 2018
Todd M. LaVelle
SEC Litigation Release LR-24044 — Todd M. LaVelle
SEC EDGAR
2018-02-12
Litigation Release 2018
Geoffrey H. Lunn, et al.
SEC Litigation Release LR-24043 — Geoffrey H. Lunn, et al.
SEC EDGAR
2018-02-12
Litigation Release 2018
American Bondholders Foundation, LLC
SEC Litigation Release LR-24042 — American Bondholders Foundation, LLC
SEC EDGAR
2018-02-08
Litigation Release 2018
Hadsell Chemical Processing, LLC and Robert Walton, Jr.
SEC Litigation Release LR-24041 — Hadsell Chemical Processing, LLC and Robert Walton, Jr.
SEC EDGAR
2018-02-02
Litigation Release 2018
Tom Simeo
SEC Litigation Release LR-24040 — Tom Simeo
SEC EDGAR
2018-02-02
Litigation Release 2018
Boston Trading and Research, LLC, et al.
SEC Litigation Release LR-24039 — Boston Trading and Research, LLC, et al.
SEC EDGAR
2018-02-02
Litigation Release 2018
Nicholas J. Genovese, Willow Creek Investments, LP, and Willow Creek Advisors, LLC
SEC Litigation Release LR-24038 — Nicholas J. Genovese, Willow Creek Investments, LP, and Willow Creek Advisors, LLC
SEC EDGAR
2018-02-02
Litigation Release 2018
James S. Polese, et al.
SEC Litigation Release LR-24037 — James S. Polese, et al.
SEC EDGAR
2018-01-31
Litigation Release 2018
Pawel P. Dynkowski, et al.
SEC Litigation Release LR-24036 — Pawel P. Dynkowski, et al.
SEC EDGAR
2018-01-30
Litigation Release 2018
One or More Unknown Traders in the Securities of Bioverativ, Inc.
SEC Litigation Release LR-24035 — One or More Unknown Traders in the Securities of Bioverativ, Inc.
SEC EDGAR
2018-01-26
Litigation Release 2018
Robert L. Sonfield, Jason Landess, et al.
SEC Litigation Release LR-24034 — Robert L. Sonfield, Jason Landess, et al.
SEC EDGAR
2018-01-25
Litigation Release 2018
Quicksilver Stock Transfer and Alan Shinderman
SEC Litigation Release LR-24033 — Quicksilver Stock Transfer and Alan Shinderman
SEC EDGAR
2018-01-24
Litigation Release 2018
Robert H. Shapiro, Woodbridge Group of Companies, LLC, et al.
SEC Litigation Release LR-24032 — Robert H. Shapiro, Woodbridge Group of Companies, LLC, et al.
SEC EDGAR
2018-01-24
Litigation Release 2018
Ash Narayan, The Ticket Reserve Inc. a/k/a Forward Market Media, Inc., Richard M. Harmon, and John A. Kaptrosky
SEC Litigation Release LR-24030 — Ash Narayan, The Ticket Reserve Inc. a/k/a Forward Market Media, Inc., Richard M. Harmon, and John A. Kaptrosky
SEC EDGAR
2018-01-22
Litigation Release 2018
Daniel H. Glick, et al
SEC Litigation Release LR-24029 — Daniel H. Glick, et al
SEC EDGAR
2018-01-22
Litigation Release 2018
Hoplon Financial Group et al.
SEC Litigation Release LR-24031 — Hoplon Financial Group et al.
SEC EDGAR
2018-01-22
Litigation Release 2018
David S. Haddad, et al.
SEC Litigation Release LR-24028 — David S. Haddad, et al.
SEC EDGAR
2018-01-11
Litigation Release 2018
David B. Kaplan, Esq., et al.
SEC Litigation Release LR-24027 — David B. Kaplan, Esq., et al.
SEC EDGAR
2018-01-09
Litigation Release 2018
Joseph A. Rubbo, et al.
SEC Litigation Release LR-24026 — Joseph A. Rubbo, et al.
SEC EDGAR
2018-01-08
Litigation Release 2018
Malachi Financial Products, Inc., et al.
SEC Litigation Release LR-24025 — Malachi Financial Products, Inc., et al.
SEC EDGAR
2018-01-05
Litigation Release 2018
Owen H. Naccarato
SEC Litigation Release LR-24024 — Owen H. Naccarato
SEC EDGAR
2018-01-05
Litigation Release 2018
Khaled "Kal" Bassily
SEC Litigation Release LR-24023 — Khaled "Kal" Bassily
SEC EDGAR
2018-01-03
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.