SEC Enforcement Actions

300 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)
Bradley Davis
SEC Litigation Release LR-24750 — Bradley Davis
SEC EDGAR
2020-02-28
Litigation Release 2020
SCANA Corporation, et al.
SEC Litigation Release LR-24751 — SCANA Corporation, et al.
SEC EDGAR
2020-02-27
Litigation Release 2020
Nicholas Lattanzio et al.
SEC Litigation Release LR-24749 — Nicholas Lattanzio et al.
SEC EDGAR
2020-02-27
Litigation Release 2020
John D. Fierro and JDF Capital, Inc.
SEC Litigation Release LR-24748 — John D. Fierro and JDF Capital, Inc.
SEC EDGAR
2020-02-26
Litigation Release 2020
Dionne Van Zyl
SEC Litigation Release LR-24747 — Dionne Van Zyl
SEC EDGAR
2020-02-26
Litigation Release 2020
Kit Mun Chan, Lau Kean Chong, Chong Poui Fan, Binji Lu, and Youn Chien Wong
SEC Litigation Release LR-24746 — Kit Mun Chan, Lau Kean Chong, Chong Poui Fan, Binji Lu, and Youn Chien Wong
SEC EDGAR
2020-02-21
Litigation Release 2020
Jon L. Aronson and Elliet N. Aronson
SEC Litigation Release LR-24742 — Jon L. Aronson and Elliet N. Aronson
SEC EDGAR
2020-02-20
Litigation Release 2020
Winston Reed Investments LLC
SEC Litigation Release LR-24741 — Winston Reed Investments LLC
SEC EDGAR
2020-02-20
Litigation Release 2020
Emmanuel Kouyoumdjian (a/k/a "Manny K")
SEC Litigation Release LR-24745 — Emmanuel Kouyoumdjian (a/k/a "Manny K")
SEC EDGAR
2020-02-20
Litigation Release 2020
Navellier & Associates, Inc., and Louis Navellier
SEC Litigation Release LR-24744 — Navellier & Associates, Inc., and Louis Navellier
SEC EDGAR
2020-02-20
Litigation Release 2020
Richard Lee, et al.
SEC Litigation Release LR-24743 — Richard Lee, et al.
SEC EDGAR
2020-02-20
Litigation Release 2020
EquiAlt LLC et al.
SEC Litigation Release LR-24740 — EquiAlt LLC et al.
SEC EDGAR
2020-02-18
Litigation Release 2020
Richard G. Cody, et al.
SEC Litigation Release LR-24739 — Richard G. Cody, et al.
SEC EDGAR
2020-02-18
Litigation Release 2020
Criterion Wealth Management Insurance Services, Inc., Robert Allen Gravette, and Mark Andrew MacArthur
SEC Litigation Release LR-24738 — Criterion Wealth Management Insurance Services, Inc., Robert Allen Gravette, and Mark Andrew MacArthur
SEC EDGAR
2020-02-13
Litigation Release 2020
Michael Ackerman
SEC Litigation Release LR-24737 — Michael Ackerman
SEC EDGAR
2020-02-11
Litigation Release 2020
The Nutmeg Group LLC, Randall Goulding, and David Goulding
SEC Litigation Release LR-24736 — The Nutmeg Group LLC, Randall Goulding, and David Goulding
SEC EDGAR
2020-02-11
Litigation Release 2020
Rishi Shah, Shradha Agarwal, Brad Purdy and Ashik Desai
SEC Litigation Release LR-24735 — Rishi Shah, Shradha Agarwal, Brad Purdy and Ashik Desai
SEC EDGAR
2020-02-11
Litigation Release 2020
Timothy W. Crawford, et al.
SEC Litigation Release LR-24734 — Timothy W. Crawford, et al.
SEC EDGAR
2020-02-10
Litigation Release 2020
Charlie Jinan Chen and Shui Foon Mok
SEC Litigation Release LR-24733 — Charlie Jinan Chen and Shui Foon Mok
SEC EDGAR
2020-02-05
Litigation Release 2020
Bill Tsai
SEC Litigation Release LR-24732 — Bill Tsai
SEC EDGAR
2020-01-31
Litigation Release 2020
Michael Douglas Billings and MDB Group, LLC
SEC Litigation Release LR-24731 — Michael Douglas Billings and MDB Group, LLC
SEC EDGAR
2020-01-31
Litigation Release 2020
Alex C. Procopio, Mark S. Zouvas, and Christian R. Hansen
SEC Litigation Release LR-24730 — Alex C. Procopio, Mark S. Zouvas, and Christian R. Hansen
SEC EDGAR
2020-01-31
Litigation Release 2020
DFRF Enterprises LLC, et al.
SEC Litigation Release LR-24729 — DFRF Enterprises LLC, et al.
SEC EDGAR
2020-01-31
Litigation Release 2020
Philip E. Riehl
SEC Litigation Release LR-24728 — Philip E. Riehl
SEC EDGAR
2020-01-31
Litigation Release 2020
Eric T. Landis et al.
SEC Litigation Release LR-24727 — Eric T. Landis et al.
SEC EDGAR
2020-01-29
Litigation Release 2020
Edward E. Matthes
SEC Litigation Release LR-24726 — Edward E. Matthes
SEC EDGAR
2020-01-28
Litigation Release 2020
David Aubel and Robert Raffa
SEC Litigation Release LR-24725 — David Aubel and Robert Raffa
SEC EDGAR
2020-01-27
Litigation Release 2020
Jeffrey P. Carpoff and Paulette Carpoff
SEC Litigation Release LR-24724 — Jeffrey P. Carpoff and Paulette Carpoff
SEC EDGAR
2020-01-24
Litigation Release 2020
Sergii "Sergey" Grybniak, Opporty International, Inc., and Clever Solution Inc.
SEC Litigation Release LR-24723 — Sergii "Sergey" Grybniak, Opporty International, Inc., and Clever Solution Inc.
SEC EDGAR
2020-01-21
Litigation Release 2020
Guy Scott Griffithe, Robert William Russell, Renewable Technologies Solution, Inc., Green Acres Pharms, LLC, and SMRB, Defendants, and Sonja Marie Russell, Relief Defendant
SEC Litigation Release LR-24722 — Guy Scott Griffithe, Robert William Russell, Renewable Technologies Solution, Inc., Green Acres Pharms, LLC, and SMRB, Defendants, and Sonja Marie Russell, Relief Defendant
SEC EDGAR
2020-01-21
Litigation Release 2020
Daniel Markel
SEC Litigation Release LR-24721 — Daniel Markel
SEC EDGAR
2020-01-17
Litigation Release 2020
Hill International, Inc. et al.
SEC Litigation Release LR-24720 — Hill International, Inc. et al.
SEC EDGAR
2020-01-17
Litigation Release 2020
Allan L. Lundervold
SEC Litigation Release LR-24719 — Allan L. Lundervold
SEC EDGAR
2020-01-16
Litigation Release 2020
Drake et al., Messier et al., Brooks
SEC Litigation Release LR-24718 — Drake et al., Messier et al., Brooks
SEC EDGAR
2020-01-16
Litigation Release 2020
Todays Growth Consultant Inc. and Kenneth D. Courtright, III
SEC Litigation Release LR-24717 — Todays Growth Consultant Inc. and Kenneth D. Courtright, III
SEC EDGAR
2020-01-15
Litigation Release 2020
Lidingo Holdings, LLC, et al.
SEC Litigation Release LR-24716 — Lidingo Holdings, LLC, et al.
SEC EDGAR
2020-01-14
Litigation Release 2020
Diane D. Dalmy et al.
SEC Litigation Release LR-24715 — Diane D. Dalmy et al.
SEC EDGAR
2020-01-14
Litigation Release 2020
Michael B. Rothenberg
SEC Litigation Release LR-24714 — Michael B. Rothenberg
SEC EDGAR
2020-01-13
Litigation Release 2020
Robert O. Carr and Katherine M. Hanratty
SEC Litigation Release LR-24713 — Robert O. Carr and Katherine M. Hanratty
SEC EDGAR
2020-01-13
Litigation Release 2020
Bajic et al., Ciapala et al.
SEC Litigation Release LR-24712 — Bajic et al., Ciapala et al.
SEC EDGAR
2020-01-10
Litigation Release 2020
ARO Equity, LCC et al.
SEC Litigation Release LR-24710 — ARO Equity, LCC et al.
SEC EDGAR
2020-01-08
Litigation Release 2020
Donald G. Blakstad
SEC Litigation Release LR-24711 — Donald G. Blakstad
SEC EDGAR
2020-01-08
Litigation Release 2020
Jay Costa Kelter
SEC Litigation Release LR-24709 — Jay Costa Kelter
SEC EDGAR
2020-01-07
Litigation Release 2020
Edward Espinal and Cash Flow Partners, LLC
SEC Litigation Release LR-24708 — Edward Espinal and Cash Flow Partners, LLC
SEC EDGAR
2020-01-07
Litigation Release 2020
Steven A. Schwartz
SEC Litigation Release LR-24707 — Steven A. Schwartz
SEC EDGAR
2020-01-06
Litigation Release 2020
Longfin Corp. and Venkata S. Meenavalli
SEC Litigation Release LR-24706 — Longfin Corp. and Venkata S. Meenavalli
SEC EDGAR
2020-01-03
Litigation Release 2020
Ulrik Debo
SEC Litigation Release LR-24705 — Ulrik Debo
SEC EDGAR
2020-01-03
Litigation Release 2020
Pinto-Thomaz, et al.
SEC Litigation Release LR-24704 — Pinto-Thomaz, et al.
SEC EDGAR
2020-01-02
Litigation Release 2020
James V. Mazzo, et al.
SEC Litigation Release LR-24703 — James V. Mazzo, et al.
SEC EDGAR
2020-01-02
Litigation Release 2020
Benjamin Mekawy and Alan D. Seidel
SEC Litigation Release LR-24702 — Benjamin Mekawy and Alan D. Seidel
SEC EDGAR
2020-01-02
Litigation Release 2020
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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.