SEC Enforcement Actions
289 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)
World Tree Financial, LLC, et al.
SEC Litigation Release LR-25042 — World Tree Financial, LLC, et al.
SEC EDGAR
2021-03-04
Litigation Release 2021
EarthSource Minerals International, LLC et al.
SEC Litigation Release LR-25040 — EarthSource Minerals International, LLC et al.
SEC EDGAR
2021-03-02
Litigation Release 2021
Renew Forestry Group, LLC et al.
SEC Litigation Release LR-25041 — Renew Forestry Group, LLC et al.
SEC EDGAR
2021-03-02
Litigation Release 2021
Michael J. Starkweather and Andiamo Corporation
SEC Litigation Release LR-25039 — Michael J. Starkweather and Andiamo Corporation
SEC EDGAR
2021-03-01
Litigation Release 2021
Christopher Fulco (a/k/a Christian Anthony, Johnathan Stewart, and Michael Barron
SEC Litigation Release LR-25038 — Christopher Fulco (a/k/a Christian Anthony, Johnathan Stewart, and Michael Barron
SEC EDGAR
2021-02-26
Litigation Release 2021
Bolton Securities Corporation d/b/a Bolton Global Asset Management
SEC Litigation Release LR-25037 — Bolton Securities Corporation d/b/a Bolton Global Asset Management
SEC EDGAR
2021-02-26
Litigation Release 2021
Glen A. Stewart
SEC Litigation Release LR-25036 — Glen A. Stewart
SEC EDGAR
2021-02-24
Litigation Release 2021
Bajic et al.
SEC Litigation Release LR-25035 — Bajic et al.
SEC EDGAR
2021-02-24
Litigation Release 2021
Bruce Schoengood, Medifirst Solutions, Inc. and Joshua Tyrell
SEC Litigation Release LR-25034 — Bruce Schoengood, Medifirst Solutions, Inc. and Joshua Tyrell
SEC EDGAR
2021-02-24
Litigation Release 2021
James T. Booth
SEC Litigation Release LR-25033 — James T. Booth
SEC EDGAR
2021-02-22
Litigation Release 2021
Coinseed, Inc. and Delgerdalai Davaasambuu
SEC Litigation Release LR-25032 — Coinseed, Inc. and Delgerdalai Davaasambuu
SEC EDGAR
2021-02-17
Litigation Release 2021
Joseph Cimino
SEC Litigation Release LR-25031 — Joseph Cimino
SEC EDGAR
2021-02-17
Litigation Release 2021
Morningstar Credit Ratings LLC
SEC Litigation Release LR-25030 — Morningstar Credit Ratings LLC
SEC EDGAR
2021-02-17
Litigation Release 2021
Arrayit Corporation and Rene Schena
SEC Litigation Release LR-25029 — Arrayit Corporation and Rene Schena
SEC EDGAR
2021-02-11
Litigation Release 2021
David Hu
SEC Litigation Release LR-25028 — David Hu
SEC EDGAR
2021-02-10
Litigation Release 2021
Daniel Dirk Coddington, et al.
SEC Litigation Release LR-25027 — Daniel Dirk Coddington, et al.
SEC EDGAR
2021-02-09
Litigation Release 2021
Isaiah L. Goodman
SEC Litigation Release LR-25026 — Isaiah L. Goodman
SEC EDGAR
2021-02-09
Litigation Release 2021
Stephen Moleski, et al.
SEC Litigation Release LR-25025 — Stephen Moleski, et al.
SEC EDGAR
2021-02-05
Litigation Release 2021
Mark Ahn
SEC Litigation Release LR-25024 — Mark Ahn
SEC EDGAR
2021-02-05
Litigation Release 2021
Lev Parnas and David Correia
SEC Litigation Release LR-25023 — Lev Parnas and David Correia
SEC EDGAR
2021-02-05
Litigation Release 2021
CR Intrinsic Investors, et al.
SEC Litigation Release LR-25022 — CR Intrinsic Investors, et al.
SEC EDGAR
2021-02-03
Litigation Release 2021
Premier Holding Corporation, Randall Letcavage and Joseph Greenblatt
SEC Litigation Release LR-25021 — Premier Holding Corporation, Randall Letcavage and Joseph Greenblatt
SEC EDGAR
2021-02-02
Litigation Release 2021
Kristijan Krstic (a/k/a Felix Logan), John DeMarr and Robin Enos
SEC Litigation Release LR-25020 — Kristijan Krstic (a/k/a Felix Logan), John DeMarr and Robin Enos
SEC EDGAR
2021-02-01
Litigation Release 2021
Revolutionary Concepts, Inc., et al
SEC Litigation Release LR-25019 — Revolutionary Concepts, Inc., et al
SEC EDGAR
2021-01-29
Litigation Release 2021
Viktor Gjonaj
SEC Litigation Release LR-25018 — Viktor Gjonaj
SEC EDGAR
2021-01-28
Litigation Release 2021
Vuuzle Media Corp., Ronald Shane Flynn, and Richard Marchitto
SEC Litigation Release LR-25017 — Vuuzle Media Corp., Ronald Shane Flynn, and Richard Marchitto
SEC EDGAR
2021-01-27
Litigation Release 2021
Ivan Ramos
SEC Litigation Release LR-25016 — Ivan Ramos
SEC EDGAR
2021-01-27
Litigation Release 2021
Peter Baker, et al.
SEC Litigation Release LR-25015 — Peter Baker, et al.
SEC EDGAR
2021-01-26
Litigation Release 2021
Geoffrey Thompson
SEC Litigation Release LR-25014 — Geoffrey Thompson
SEC EDGAR
2021-01-21
Litigation Release 2021
William Andrew Stack, Esq.
SEC Litigation Release LR-25013 — William Andrew Stack, Esq.
SEC EDGAR
2021-01-21
Litigation Release 2021
Abhi Batra a/k/a Abhimanyu Batra
SEC Litigation Release LR-25012 — Abhi Batra a/k/a Abhimanyu Batra
SEC EDGAR
2021-01-19
Litigation Release 2021
Jacob C. Glick
SEC Litigation Release LR-25011 — Jacob C. Glick
SEC EDGAR
2021-01-19
Litigation Release 2021
Michael Sztrom, David Sztrom, and Sztrom Wealth Management, Inc.
SEC Litigation Release LR-25010 — Michael Sztrom, David Sztrom, and Sztrom Wealth Management, Inc.
SEC EDGAR
2021-01-19
Litigation Release 2021
Thomas V. Conwell and Kerry L. Hoffman
SEC Litigation Release LR-25008 — Thomas V. Conwell and Kerry L. Hoffman
SEC EDGAR
2021-01-14
Litigation Release 2021
City of Harvey, et al.
SEC Litigation Release LR-25009 — City of Harvey, et al.
SEC EDGAR
2021-01-14
Litigation Release 2021
Eric C. Malley, et al.
SEC Litigation Release LR-25007 — Eric C. Malley, et al.
SEC EDGAR
2021-01-12
Litigation Release 2021
Justin Robert King, et al.
SEC Litigation Release LR-25006 — Justin Robert King, et al.
SEC EDGAR
2021-01-11
Litigation Release 2021
ConTXT, Inc, Thomas J. Robbins, Daniel J. Merriman, Mark W. Wiseman, and Clark J. Madsen
SEC Litigation Release LR-25005 — ConTXT, Inc, Thomas J. Robbins, Daniel J. Merriman, Mark W. Wiseman, and Clark J. Madsen
SEC EDGAR
2021-01-08
Litigation Release 2021
Barry F. Connell
SEC Litigation Release LR-25004 — Barry F. Connell
SEC EDGAR
2021-01-05
Litigation Release 2021
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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.