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)
Small Business Capital Corp.; Mark Feathers; Investors Prime Fund, LLC; and SBC Portfolio Fund, LLC
SEC Litigation Release LR-24128 — Small Business Capital Corp.; Mark Feathers; Investors Prime Fund, LLC; and SBC Portfolio Fund, LLC
SEC EDGAR
2018-05-02
Litigation Release 2018
Eddy U. Marin and Shane R. Spierdowis
SEC Litigation Release LR-24127 — Eddy U. Marin and Shane R. Spierdowis
SEC EDGAR
2018-05-02
Litigation Release 2018
Revolutionary Concepts, Inc., Solomon RC Ali (a/k/a Richard M. Carter), Earnest H. DeLong, Jr., Rainco Industries, Inc., and Nicole C. Singletary
SEC Litigation Release LR-24126 — Revolutionary Concepts, Inc., Solomon RC Ali (a/k/a Richard M. Carter), Earnest H. DeLong, Jr., Rainco Industries, Inc., and Nicole C. Singletary
SEC EDGAR
2018-05-02
Litigation Release 2018
William T. Walters, et al.
SEC Litigation Release LR-24125 — William T. Walters, et al.
SEC EDGAR
2018-04-30
Litigation Release 2018
TelexFree, Inc. et al.
SEC Litigation Release LR-24124 — TelexFree, Inc. et al.
SEC EDGAR
2018-04-30
Litigation Release 2018
Christopher R. Esposito, et al.
SEC Litigation Release LR-24123 — Christopher R. Esposito, et al.
SEC EDGAR
2018-04-30
Litigation Release 2018
Diane J. Harrison, et al.
SEC Litigation Release LR-24122 — Diane J. Harrison, et al.
SEC EDGAR
2018-04-30
Litigation Release 2018
PixarBio Corp. et al.
SEC Litigation Release LR-24121 — PixarBio Corp. et al.
SEC EDGAR
2018-04-24
Litigation Release 2018
Scott Newsholme
SEC Litigation Release LR-24120 — Scott Newsholme
SEC EDGAR
2018-04-23
Litigation Release 2018
Steven H. Davis, et. al
SEC Litigation Release LR-24119 — Steven H. Davis, et. al
SEC EDGAR
2018-04-23
Litigation Release 2018
Daniel H. Glick, et al.
SEC Litigation Release LR-24118 — Daniel H. Glick, et al.
SEC EDGAR
2018-04-23
Litigation Release 2018
Sohrab ("Sam") Sharma, et al.
SEC Litigation Release LR-24117 — Sohrab ("Sam") Sharma, et al.
SEC EDGAR
2018-04-20
Litigation Release 2018
John Jumper (Defendant) and Alluvion Securities, LLC, American Investments Fund II, LLC, Speedee Brakes, LLC, Thousand Hills Capital, LLC and Evertone Records, LLC (Relief Defendants)
SEC Litigation Release LR-24116 — John Jumper (Defendant) and Alluvion Securities, LLC, American Investments Fund II, LLC, Speedee Brakes, LLC, Thousand Hills Capital, LLC and Evertone Records, LLC (Relief Defendants)
SEC EDGAR
2018-04-18
Litigation Release 2018
John N. Milne
SEC Litigation Release LR-24115 — John N. Milne
SEC EDGAR
2018-04-17
Litigation Release 2018
Amrit J. S. Chahal
SEC Litigation Release LR-24114 — Amrit J. S. Chahal
SEC EDGAR
2018-04-16
Litigation Release 2018
Lidingo Holdings, LLC, et al.
SEC Litigation Release LR-24113 — Lidingo Holdings, LLC, et al.
SEC EDGAR
2018-04-16
Litigation Release 2018
William Betta, Jr., Travis A. Branch, James J. Caprio, Troy L. Gagliardi, Russell M. Kautz, Barry M. Kornfeld, Shane A. McCann, Clifford A. Popper, Alfred B. Rubin, and Steven I. Shrago
SEC Litigation Release LR-24112 — William Betta, Jr., Travis A. Branch, James J. Caprio, Troy L. Gagliardi, Russell M. Kautz, Barry M. Kornfeld, Shane A. McCann, Clifford A. Popper, Alfred B. Rubin, and Steven I. Shrago
SEC EDGAR
2018-04-13
Litigation Release 2018
Andrew J. Kandelapas
SEC Litigation Release LR-24111 — Andrew J. Kandelapas
SEC EDGAR
2018-04-13
Litigation Release 2018
Iftikar Ahmed, et al.
SEC Litigation Release LR-24110 — Iftikar Ahmed, et al.
SEC EDGAR
2018-04-12
Litigation Release 2018
Capital Cove Bancorp LLC and Christopher M. Lee aka Rashid K. Khalfani
SEC Litigation Release LR-24109 — Capital Cove Bancorp LLC and Christopher M. Lee aka Rashid K. Khalfani
SEC EDGAR
2018-04-11
Litigation Release 2018
William C. Gennity and Rocco Roveccio
SEC Litigation Release LR-24108 — William C. Gennity and Rocco Roveccio
SEC EDGAR
2018-04-11
Litigation Release 2018
The Lifepay Group, LLC, et. al.
SEC Litigation Release LR-24107 — The Lifepay Group, LLC, et. al.
SEC EDGAR
2018-04-10
Litigation Release 2018
Longfin Corp., et al.
SEC Litigation Release LR-24106 — Longfin Corp., et al.
SEC EDGAR
2018-04-09
Litigation Release 2018
Benjamin Wey, et al.
SEC Litigation Release LR-24105 — Benjamin Wey, et al.
SEC EDGAR
2018-04-09
Litigation Release 2018
Joseph Meli, et al., Craig H. Carton, et al.
SEC Litigation Release LR-24099 — Joseph Meli, et al., Craig H. Carton, et al.
SEC EDGAR
2018-04-05
Litigation Release 2018
Peter H. Pocklington, Lantson E. Eldred, Terrence J. Walton, Yolanda C. Velazquez a/k/a Lana Velazquez a/k/a Lana Puleo, Vanessa Puleo, Robert A. Vanetten, Nova Oculus Partners, LLC f/k/a The Eye Machine, LLC, and AMC Holdings, LLC
SEC Litigation Release LR-24098 — Peter H. Pocklington, Lantson E. Eldred, Terrence J. Walton, Yolanda C. Velazquez a/k/a Lana Velazquez a/k/a Lana Puleo, Vanessa Puleo, Robert A. Vanetten, Nova Oculus Partners, LLC f/k/a The Eye Machine, LLC, and AMC Holdings, LLC
SEC EDGAR
2018-04-05
Litigation Release 2018
Charlie Jinan Chen and Shui Foon Mok
SEC Litigation Release LR-24097 — Charlie Jinan Chen and Shui Foon Mok
SEC EDGAR
2018-04-05
Litigation Release 2018
Saverio J. Barbera
SEC Litigation Release LR-24104 — Saverio J. Barbera
SEC EDGAR
2018-04-05
Litigation Release 2018
Ikenna Ikokwu, et al.
SEC Litigation Release LR-24103 — Ikenna Ikokwu, et al.
SEC EDGAR
2018-04-05
Litigation Release 2018
CSIR Group, LLC, et al.
SEC Litigation Release LR-24102 — CSIR Group, LLC, et al.
SEC EDGAR
2018-04-05
Litigation Release 2018
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
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.