SEC Enforcement Actions

320 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)
Ivan Acevedo & Dane R. Roseman
SEC Litigation Release LR-24450 — Ivan Acevedo & Dane R. Roseman
SEC EDGAR
2019-04-12
Litigation Release 2019
Arif M. Naqvi and Abraaj Investment Management Limited
SEC Litigation Release LR-24449 — Arif M. Naqvi and Abraaj Investment Management Limited
SEC EDGAR
2019-04-11
Litigation Release 2019
Paul Bannon Powers
SEC Litigation Release LR-24448 — Paul Bannon Powers
SEC EDGAR
2019-04-10
Litigation Release 2019
Gonzalo Ortiz
SEC Litigation Release LR-24447 — Gonzalo Ortiz
SEC EDGAR
2019-04-10
Litigation Release 2019
Bevil et al., Duke et al., Duncan, Saccomanno et al.
SEC Litigation Release LR-24446 — Bevil et al., Duke et al., Duncan, Saccomanno et al.
SEC EDGAR
2019-04-09
Litigation Release 2019
Craig H. Carton, et al.
SEC Litigation Release LR-24445 — Craig H. Carton, et al.
SEC EDGAR
2019-04-08
Litigation Release 2019
Scott Newsholme
SEC Litigation Release LR-24444 — Scott Newsholme
SEC EDGAR
2019-04-05
Litigation Release 2019
Jeffrey E. Wall and The Lighthouse Events, LLC
SEC Litigation Release LR-24443 — Jeffrey E. Wall and The Lighthouse Events, LLC
SEC EDGAR
2019-04-04
Litigation Release 2019
AVEO Pharmaceuticals, Inc., et al.
SEC Litigation Release LR-24442 — AVEO Pharmaceuticals, Inc., et al.
SEC EDGAR
2019-04-04
Litigation Release 2019
Evan R. Kita, et al.
SEC Litigation Release LR-24441 — Evan R. Kita, et al.
SEC EDGAR
2019-04-04
Litigation Release 2019
Daniel Mattes
SEC Litigation Release LR-24440 — Daniel Mattes
SEC EDGAR
2019-04-03
Litigation Release 2019
Jeffrey C. Mack and Lawrence C. Blaney
SEC Litigation Release LR-24439 — Jeffrey C. Mack and Lawrence C. Blaney
SEC EDGAR
2019-04-03
Litigation Release 2019
Kimberly Pine Kitts
SEC Litigation Release LR-24438 — Kimberly Pine Kitts
SEC EDGAR
2019-04-02
Litigation Release 2019
Robert P. DePalo, et al.
SEC Litigation Release LR-24437 — Robert P. DePalo, et al.
SEC EDGAR
2019-04-02
Litigation Release 2019
Keith Borge
SEC Litigation Release LR-24436 — Keith Borge
SEC EDGAR
2019-04-02
Litigation Release 2019
Motty Mizrahi and MBIG Company
SEC Litigation Release LR-24435 — Motty Mizrahi and MBIG Company
SEC EDGAR
2019-04-01
Litigation Release 2019
Richard T. Diver
SEC Litigation Release LR-24434 — Richard T. Diver
SEC EDGAR
2019-03-28
Litigation Release 2019
James K. McKillop
SEC Litigation Release LR-24433 — James K. McKillop
SEC EDGAR
2019-03-26
Litigation Release 2019
Direct Lending Investments, LLC
SEC Litigation Release LR-24432 — Direct Lending Investments, LLC
SEC EDGAR
2019-03-25
Litigation Release 2019
Barry Honig, et al.
SEC Litigation Release LR-24431 — Barry Honig, et al.
SEC EDGAR
2019-03-22
Litigation Release 2019
Rhode Island Commerce Corporation (f/k/a Rhode Island Economic Development Corporation), et al.
SEC Litigation Release LR-24428 — Rhode Island Commerce Corporation (f/k/a Rhode Island Economic Development Corporation), et al.
SEC EDGAR
2019-03-20
Litigation Release 2019
Carol Ann Pedersen
SEC Litigation Release LR-24430 — Carol Ann Pedersen
SEC EDGAR
2019-03-20
Litigation Release 2019
Frank Morelli III and Louis Buonocore
SEC Litigation Release LR-24429 — Frank Morelli III and Louis Buonocore
SEC EDGAR
2019-03-20
Litigation Release 2019
Timothy W. Crawford, et al
SEC Litigation Release LR-24427 — Timothy W. Crawford, et al
SEC EDGAR
2019-03-19
Litigation Release 2019
Kent R.E. Whitney, David Lee Parrish, The Church for the Healthy Self a/k/a CHS Trust, and CHS Asset Management Inc.
SEC Litigation Release LR-24426 — Kent R.E. Whitney, David Lee Parrish, The Church for the Healthy Self a/k/a CHS Trust, and CHS Asset Management Inc.
SEC EDGAR
2019-03-18
Litigation Release 2019
Edward Withrow, et al.
SEC Litigation Release LR-24425 — Edward Withrow, et al.
SEC EDGAR
2019-03-15
Litigation Release 2019
Dale M. Walker
SEC Litigation Release LR-24424 — Dale M. Walker
SEC EDGAR
2019-03-15
Litigation Release 2019
Christina Marie Daniels, et al.
SEC Litigation Release LR-24423 — Christina Marie Daniels, et al.
SEC EDGAR
2019-03-15
Litigation Release 2019
Volkswagen Aktiengesellschaft, et al.
SEC Litigation Release LR-24422 — Volkswagen Aktiengesellschaft, et al.
SEC EDGAR
2019-03-15
Litigation Release 2019
Diane D. Dalmy
SEC Litigation Release LR-24421 — Diane D. Dalmy
SEC EDGAR
2019-03-13
Litigation Release 2019
William Neil "Doc" Gallagher, Gallagher Financial Group, Inc., and W. Neil Gallagher, Ph.D. Agency, Inc.
SEC Litigation Release LR-24420 — William Neil "Doc" Gallagher, Gallagher Financial Group, Inc., and W. Neil Gallagher, Ph.D. Agency, Inc.
SEC EDGAR
2019-03-12
Litigation Release 2019
River North Equity LLC, Edward M. Liceaga, Michael A. Chavez, NanoTech Entertainment, Inc., NanoTech Gaming, Inc., David R. Foley, Lisa L. Foley, Jeffrey A. Foley, and Bennie L. Blankenship
SEC Litigation Release LR-24419 — River North Equity LLC, Edward M. Liceaga, Michael A. Chavez, NanoTech Entertainment, Inc., NanoTech Gaming, Inc., David R. Foley, Lisa L. Foley, Jeffrey A. Foley, and Bennie L. Blankenship
SEC EDGAR
2019-03-12
Litigation Release 2019
Goldsky Asset Management, LLC and Kenneth Grace
SEC Litigation Release LR-24418 — Goldsky Asset Management, LLC and Kenneth Grace
SEC EDGAR
2019-03-06
Litigation Release 2019
Rong Chen, et al.
SEC Litigation Release LR-24417 — Rong Chen, et al.
SEC EDGAR
2019-03-04
Litigation Release 2019
William C. Gennity
SEC Litigation Release LR-24416 — William C. Gennity
SEC EDGAR
2019-03-04
Litigation Release 2019
MinTrade Technologies, LLC, Carla Marin
SEC Litigation Release LR-24415 — MinTrade Technologies, LLC, Carla Marin
SEC EDGAR
2019-03-04
Litigation Release 2019
John Gregory Schmidt
SEC Litigation Release LR-24414 — John Gregory Schmidt
SEC EDGAR
2019-03-01
Litigation Release 2019
Elon Musk
SEC Litigation Release LR-24413 — Elon Musk
SEC EDGAR
2019-02-27
Litigation Release 2019
Castleberry Financial Services Group, LLC, et al.
SEC Litigation Release LR-24412 — Castleberry Financial Services Group, LLC, et al.
SEC EDGAR
2019-02-27
Litigation Release 2019
Daniel Adams, Michael Flanders, Spiderworx Media LLC, and An L.A. Minute LLC
SEC Litigation Release LR-24411 — Daniel Adams, Michael Flanders, Spiderworx Media LLC, and An L.A. Minute LLC
SEC EDGAR
2019-02-26
Litigation Release 2019
Jack D. Massimino and Robert C. Owen
SEC Litigation Release LR-24410 — Jack D. Massimino and Robert C. Owen
SEC EDGAR
2019-02-25
Litigation Release 2019
Walter C. Little and Andrew M. Berke
SEC Litigation Release LR-24409 — Walter C. Little and Andrew M. Berke
SEC EDGAR
2019-02-22
Litigation Release 2019
James S. Polese, et al.
SEC Litigation Release LR-24408 — James S. Polese, et al.
SEC EDGAR
2019-02-22
Litigation Release 2019
Joseph Frank Vacante
SEC Litigation Release LR-24406 — Joseph Frank Vacante
SEC EDGAR
2019-02-21
Litigation Release 2019
Spartan Securities Group, Ltd., Island Capital Management LLC, Carl E. Dilley, Micah J. Eldred and David D. Lopez
SEC Litigation Release LR-24405 — Spartan Securities Group, Ltd., Island Capital Management LLC, Carl E. Dilley, Micah J. Eldred and David D. Lopez
SEC EDGAR
2019-02-21
Litigation Release 2019
Mathias Francisco Sandoval Herrera and Maria D. Cidre
SEC Litigation Release LR-24407 — Mathias Francisco Sandoval Herrera and Maria D. Cidre
SEC EDGAR
2019-02-21
Litigation Release 2019
Brian Hirsch et al.
SEC Litigation Release LR-24404 — Brian Hirsch et al.
SEC EDGAR
2019-02-15
Litigation Release 2019
Joshua Sason, et al. (Corrected)
SEC Litigation Release LR-24403 — Joshua Sason, et al. (Corrected)
SEC EDGAR
2019-02-15
Litigation Release 2019
Gordon J. Coburn and Steven E. Schwartz
SEC Litigation Release LR-24402 — Gordon J. Coburn and Steven E. Schwartz
SEC EDGAR
2019-02-15
Litigation Release 2019
Inteligentry, Ltd., PlasmERG, Inc., PTP Licensing, Ltd. and John P. Rohner
SEC Litigation Release LR-24401 — Inteligentry, Ltd., PlasmERG, Inc., PTP Licensing, Ltd. and John P. Rohner
SEC EDGAR
2019-02-15
Litigation Release 2019
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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.