SEC Enforcement Actions
306 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)
Chatfield PCS Ltd. et al.
SEC Litigation Release LR-25351 — Chatfield PCS Ltd. et al.
SEC EDGAR
2022-03-31
Litigation Release 2022
Richard G. Duncan
SEC Litigation Release LR-25352 — Richard G. Duncan
SEC EDGAR
2022-03-31
Litigation Release 2022
Gregory Lemelson, Lemelson Capital Management, LLC, and The Amvona Fund
SEC Litigation Release LR-25353 — Gregory Lemelson, Lemelson Capital Management, LLC, and The Amvona Fund
SEC EDGAR
2022-03-31
Litigation Release 2022
Hari Prasad Sure, et al., Civ. Act.
SEC Litigation Release LR-25350 — Hari Prasad Sure, et al., Civ. Act.
SEC EDGAR
2022-03-29
Litigation Release 2022
Knox et al.
SEC Litigation Release LR-25349 — Knox et al.
SEC EDGAR
2022-03-24
Litigation Release 2022
Scott Allen Fries
SEC Litigation Release LR-25347 — Scott Allen Fries
SEC EDGAR
2022-03-17
Litigation Release 2022
Francis Biller, et al.
SEC Litigation Release LR-25348 — Francis Biller, et al.
SEC EDGAR
2022-03-17
Litigation Release 2022
Mario E. Rivero
SEC Litigation Release LR-25346 — Mario E. Rivero
SEC EDGAR
2022-03-15
Litigation Release 2022
Eric C. Malley, et al.
SEC Litigation Release LR-25343 — Eric C. Malley, et al.
SEC EDGAR
2022-03-15
Litigation Release 2022
S-Ray Incorporated and Stephen Alexander Baird
SEC Litigation Release LR-25344 — S-Ray Incorporated and Stephen Alexander Baird
SEC EDGAR
2022-03-15
Litigation Release 2022
Cell Point, LLC, Terry A. Colip, and Greg R. Colip
SEC Litigation Release LR-25345 — Cell Point, LLC, Terry A. Colip, and Greg R. Colip
SEC EDGAR
2022-03-15
Litigation Release 2022
Stefan H. Qin, et al.
SEC Litigation Release LR-25342 — Stefan H. Qin, et al.
SEC EDGAR
2022-03-09
Litigation Release 2022
John Barksdale, JonAtina Barksdale
SEC Litigation Release LR-25341 — John Barksdale, JonAtina Barksdale
SEC EDGAR
2022-03-08
Litigation Release 2022
Joseph Orazio DeGregorio
SEC Litigation Release LR-25339 — Joseph Orazio DeGregorio
SEC EDGAR
2022-03-02
Litigation Release 2022
Cambridge Investment Research Advisors, Inc., et al.
SEC Litigation Release LR-25340 — Cambridge Investment Research Advisors, Inc., et al.
SEC EDGAR
2022-03-02
Litigation Release 2022
Andrew T.E. Coldicutt
SEC Litigation Release LR-25338 — Andrew T.E. Coldicutt
SEC EDGAR
2022-03-01
Litigation Release 2022
Ofer Abarbanel et al.
SEC Litigation Release LR-25336 — Ofer Abarbanel et al.
SEC EDGAR
2022-02-28
Litigation Release 2022
Martin Shkreli, et al.
SEC Litigation Release LR-25337 — Martin Shkreli, et al.
SEC EDGAR
2022-02-28
Litigation Release 2022
Marguerite Cassandra Toroian and Bell Rock Capital, LLC
SEC Litigation Release LR-25335 — Marguerite Cassandra Toroian and Bell Rock Capital, LLC
SEC EDGAR
2022-02-25
Litigation Release 2022
Arthur S. Hoffman
SEC Litigation Release LR-25334 — Arthur S. Hoffman
SEC EDGAR
2022-02-24
Litigation Release 2022
John-Michael Havrilla
SEC Litigation Release LR-25333 — John-Michael Havrilla
SEC EDGAR
2022-02-22
Litigation Release 2022
James Velissaris
SEC Litigation Release LR-25331 — James Velissaris
SEC EDGAR
2022-02-17
Litigation Release 2022
Global Wholehealth Partners Corp., Charles Strongo, Brian M. Volmer, Joshua Yafa, Jamie M. Yafa, and Empire Associates, Inc.
SEC Litigation Release LR-25332 — Global Wholehealth Partners Corp., Charles Strongo, Brian M. Volmer, Joshua Yafa, Jamie M. Yafa, and Empire Associates, Inc.
SEC EDGAR
2022-02-17
Litigation Release 2022
Seyed Taher Kameli, et al.
SEC Litigation Release LR-25328 — Seyed Taher Kameli, et al.
SEC EDGAR
2022-02-11
Litigation Release 2022
Mark J. Boucher and Strategic Wealth Advisor Group Services Inc.
SEC Litigation Release LR-25329 — Mark J. Boucher and Strategic Wealth Advisor Group Services Inc.
SEC EDGAR
2022-02-11
Litigation Release 2022
Nathaniel Brown, Benjamin Wylam, Naveen Sood, Marcus Bannon, Matthew Rauch, And Naresh Ramaiya
SEC Litigation Release LR-25330 — Nathaniel Brown, Benjamin Wylam, Naveen Sood, Marcus Bannon, Matthew Rauch, And Naresh Ramaiya
SEC EDGAR
2022-02-11
Litigation Release 2022
Edward S. Walczak
SEC Litigation Release LR-25327 — Edward S. Walczak
SEC EDGAR
2022-02-10
Litigation Release 2022
Robert Lenard Booth, Michael D'Urso, Daniel T. Wellcome Jr., Alyssa D'Urso, Antonella Chiaramonte, and Jay Garnock)
SEC Litigation Release LR-25326 — Robert Lenard Booth, Michael D'Urso, Daniel T. Wellcome Jr., Alyssa D'Urso, Antonella Chiaramonte, and Jay Garnock)
SEC EDGAR
2022-02-09
Litigation Release 2022
George S. Blankenbaker, et al
SEC Litigation Release LR-25324 — George S. Blankenbaker, et al
SEC EDGAR
2022-02-08
Litigation Release 2022
Michael M. Beck, a/k/a @BigMoneyMike6, and Relief Defendant Helen P. Robinson
SEC Litigation Release LR-25325 — Michael M. Beck, a/k/a @BigMoneyMike6, and Relief Defendant Helen P. Robinson
SEC EDGAR
2022-02-07
Litigation Release 2022
Robert Samuel Shumake, Jr., et al
SEC Litigation Release LR-25323 — Robert Samuel Shumake, Jr., et al
SEC EDGAR
2022-02-02
Litigation Release 2022
Safeguard Metals LLC and Jeffrey S. Santulan
SEC Litigation Release LR-25322 — Safeguard Metals LLC and Jeffrey S. Santulan
SEC EDGAR
2022-02-02
Litigation Release 2022
HeadSpin, Inc.
SEC Litigation Release LR-25320 — HeadSpin, Inc.
SEC EDGAR
2022-01-28
Litigation Release 2022
SeeThruEquity, LLC, Ajay Tandon, and Amit Tandon
SEC Litigation Release LR-25321 — SeeThruEquity, LLC, Ajay Tandon, and Amit Tandon
SEC EDGAR
2022-01-28
Litigation Release 2022
German Nino
SEC Litigation Release LR-25316 — German Nino
SEC EDGAR
2022-01-26
Litigation Release 2022
Gary Pryor, et al
SEC Litigation Release LR-25317 — Gary Pryor, et al
SEC EDGAR
2022-01-26
Litigation Release 2022
David J.C. Bolton
SEC Litigation Release LR-25318 — David J.C. Bolton
SEC EDGAR
2022-01-26
Litigation Release 2022
Milrud
SEC Litigation Release LR-25319 — Milrud
SEC EDGAR
2022-01-26
Litigation Release 2022
CKB168 Holdings Ltd., et al.
SEC Litigation Release LR-25315 — CKB168 Holdings Ltd., et al.
SEC EDGAR
2022-01-25
Litigation Release 2022
Viktor Gjonaj
SEC Litigation Release LR-25313 — Viktor Gjonaj
SEC EDGAR
2022-01-24
Litigation Release 2022
Ronald C. Montano, et al.
SEC Litigation Release LR-25312 — Ronald C. Montano, et al.
SEC EDGAR
2022-01-21
Litigation Release 2022
Justin W. Keener d/b/a JMJ Financial
SEC Litigation Release LR-25314 — Justin W. Keener d/b/a JMJ Financial
SEC EDGAR
2022-01-21
Litigation Release 2022
Phillip W. Offill, Jr. and Justin W. Herman
SEC Litigation Release LR-25309 — Phillip W. Offill, Jr. and Justin W. Herman
SEC EDGAR
2022-01-19
Litigation Release 2022
Peter Baker, et al.
SEC Litigation Release LR-25310 — Peter Baker, et al.
SEC EDGAR
2022-01-19
Litigation Release 2022
David P. Forte, Gregory P. Manning and John D. Younis
SEC Litigation Release LR-25311 — David P. Forte, Gregory P. Manning and John D. Younis
SEC EDGAR
2022-01-19
Litigation Release 2022
Paul A. Garcia
SEC Litigation Release LR-25308 — Paul A. Garcia
SEC EDGAR
2022-01-18
Litigation Release 2022
Anthony M. Cottone, et al.
SEC Litigation Release LR-25307 — Anthony M. Cottone, et al.
SEC EDGAR
2022-01-14
Litigation Release 2022
Douglas A. Roth
SEC Litigation Release LR-25306 — Douglas A. Roth
SEC EDGAR
2022-01-13
Litigation Release 2022
David S. Sargent and Christopher M. Klundt
SEC Litigation Release LR-25305 — David S. Sargent and Christopher M. Klundt
SEC EDGAR
2022-01-11
Litigation Release 2022
Michael F. Shillin
SEC Litigation Release LR-25304 — Michael F. Shillin
SEC EDGAR
2022-01-10
Litigation Release 2022
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.