SEC Enforcement Actions

314 SEC litigation releases (2018–2026) from EDGAR public records

Ho Wan Kwok (a/k/a Miles Guo, Miles Kwok, Wengui Guo and Brother Seven), Kin Ming Je (a/k/a William Je), Mountains of Spices LLC (d/b/a New York Farm), and G Club Operations LLC, Defendants, and Mei Guo, Qiang Guo (a/k/a Mileson Guo), Hing Chi Ngok, and Sin Ting Rong, Relief Defendants
SEC Litigation Release LR-25668 — Ho Wan Kwok (a/k/a Miles Guo, Miles Kwok, Wengui Guo and Brother Seven), Kin Ming Je (a/k/a William Je), Mountains of Spices LLC (d/b/a New York Farm), and G Club Operations LLC, Defendants, and Mei Guo, Qiang Guo (a/k/a Mileson Guo), Hing Chi Ngok, and Sin Ting Rong, Relief Defendants
SEC EDGAR
2023-03-15
Litigation Release 2023
Peter D. Krieger
SEC Litigation Release LR-25666 — Peter D. Krieger
SEC EDGAR
2023-03-15
Litigation Release 2023
John David Gessin et al.
SEC Litigation Release LR-25664 — John David Gessin et al.
SEC EDGAR
2023-03-14
Litigation Release 2023
Brian Robert Sodi, et al.
SEC Litigation Release LR-25665 — Brian Robert Sodi, et al.
SEC EDGAR
2023-03-14
Litigation Release 2023
Evoqua Water Technologies Corp. and Imran Parekh
SEC Litigation Release LR-25662 — Evoqua Water Technologies Corp. and Imran Parekh
SEC EDGAR
2023-03-13
Litigation Release 2023
Medsis International, Inc. et al.
SEC Litigation Release LR-25663 — Medsis International, Inc. et al.
SEC EDGAR
2023-03-13
Litigation Release 2023
Mahmoud Ali Abdelkader
SEC Litigation Release LR-25660 — Mahmoud Ali Abdelkader
SEC EDGAR
2023-03-09
Litigation Release 2023
Moynes, et al.;
SEC Litigation Release LR-25661 — Moynes, et al.;
SEC EDGAR
2023-03-09
Litigation Release 2023
Terren S. Peizer and Acuitas Group Holdings, LLC
SEC Litigation Release LR-25658 — Terren S. Peizer and Acuitas Group Holdings, LLC
SEC EDGAR
2023-03-08
Litigation Release 2023
Green United, LLC, Wright W. Thurston, and Kristoffer A. Krohn
SEC Litigation Release LR-25659 — Green United, LLC, Wright W. Thurston, and Kristoffer A. Krohn
SEC EDGAR
2023-03-08
Litigation Release 2023
BKCoin Management, LLC, et al.
SEC Litigation Release LR-25657 — BKCoin Management, LLC, et al.
SEC EDGAR
2023-03-06
Litigation Release 2023
Adam S. Kaplan and Daniel E. Kaplan
SEC Litigation Release LR-25656 — Adam S. Kaplan and Daniel E. Kaplan
SEC EDGAR
2023-03-03
Litigation Release 2023
Kevin J. Kane and Sean M. Kane
SEC Litigation Release LR-25655 — Kevin J. Kane and Sean M. Kane
SEC EDGAR
2023-03-02
Litigation Release 2023
Ryan R. Riley
SEC Litigation Release LR-25653 — Ryan R. Riley
SEC EDGAR
2023-03-01
Litigation Release 2023
Stephen Keith Woodard, Sr.
SEC Litigation Release LR-25654 — Stephen Keith Woodard, Sr.
SEC EDGAR
2023-03-01
Litigation Release 2023
Nishad Singh
SEC Litigation Release LR-25652 — Nishad Singh
SEC EDGAR
2023-02-28
Litigation Release 2023
Bradley Morgan Holts
SEC Litigation Release LR-25651 — Bradley Morgan Holts
SEC EDGAR
2023-02-27
Litigation Release 2023
Michael K. Molen, Enviro Impact Resources, Inc., f/k/a Industry Source Consulting, Seth M. Molen, and Pixel Arcanum
SEC Litigation Release LR-25648 — Michael K. Molen, Enviro Impact Resources, Inc., f/k/a Industry Source Consulting, Seth M. Molen, and Pixel Arcanum
SEC EDGAR
2023-02-24
Litigation Release 2023
Markman Biologics Corp. and Alan Shinderman
SEC Litigation Release LR-25649 — Markman Biologics Corp. and Alan Shinderman
SEC EDGAR
2023-02-24
Litigation Release 2023
Energy & Environmental Investments, LLC; Energy & Environment, Inc.; Amir A. Sardari; and Narysa Sardari Luddy
SEC Litigation Release LR-25650 — Energy & Environmental Investments, LLC; Energy & Environment, Inc.; Amir A. Sardari; and Narysa Sardari Luddy
SEC EDGAR
2023-02-24
Litigation Release 2023
Kevin A. Van de Grift and Gil Friedman
SEC Litigation Release LR-25645 — Kevin A. Van de Grift and Gil Friedman
SEC EDGAR
2023-02-23
Litigation Release 2023
Back to Green Mining, LLC, José Jiménez Cruz, and Manuel Portalatin
SEC Litigation Release LR-25646 — Back to Green Mining, LLC, José Jiménez Cruz, and Manuel Portalatin
SEC EDGAR
2023-02-23
Litigation Release 2023
James Andrew Stiles, Jr. & Edward Gray Stiles, Jr.
SEC Litigation Release LR-25647 — James Andrew Stiles, Jr. & Edward Gray Stiles, Jr.
SEC EDGAR
2023-02-23
Litigation Release 2023
HITE Hedge Asset Management LLC et al.
SEC Litigation Release LR-25643 — HITE Hedge Asset Management LLC et al.
SEC EDGAR
2023-02-21
Litigation Release 2023
Frederick L. Sharp et al.
SEC Litigation Release LR-25644 — Frederick L. Sharp et al.
SEC EDGAR
2023-02-21
Litigation Release 2023
Candlestick Capital Management LP et al.
SEC Litigation Release LR-25642 — Candlestick Capital Management LP et al.
SEC EDGAR
2023-02-21
Litigation Release 2023
Milan Patel
SEC Litigation Release LR-25641 — Milan Patel
SEC EDGAR
2023-02-16
Litigation Release 2023
Christopher S. Kirchner, et al.
SEC Litigation Release LR-25639 — Christopher S. Kirchner, et al.
SEC EDGAR
2023-02-14
Litigation Release 2023
Reliable One Resources, Inc., Quantum Filtration, Clyde Cameron Cravey, and Kenneth Wiedrich
SEC Litigation Release LR-25640 — Reliable One Resources, Inc., Quantum Filtration, Clyde Cameron Cravey, and Kenneth Wiedrich
SEC EDGAR
2023-02-14
Litigation Release 2023
Payward Ventures, Inc. (D/B/A Kraken) and Payward Trading, Ltd. (D/B/A Kraken)
SEC Litigation Release LR-25637 — Payward Ventures, Inc. (D/B/A Kraken) and Payward Trading, Ltd. (D/B/A Kraken)
SEC EDGAR
2023-02-13
Litigation Release 2023
Seong Yeol Lee and Ameritrust Corporation, et al.
SEC Litigation Release LR-25638 — Seong Yeol Lee and Ameritrust Corporation, et al.
SEC EDGAR
2023-02-13
Litigation Release 2023
DiScala et al
SEC Litigation Release LR-25636 — DiScala et al
SEC EDGAR
2023-02-09
Litigation Release 2023
GexCrypto Corp. (a/k/a GexCrypto Global Trading Corp.) and Emiliano S. Ryn
SEC Litigation Release LR-25634 — GexCrypto Corp. (a/k/a GexCrypto Global Trading Corp.) and Emiliano S. Ryn
SEC EDGAR
2023-02-07
Litigation Release 2023
Eric J. "EJ" Dalius et al.
SEC Litigation Release LR-25635 — Eric J. "EJ" Dalius et al.
SEC EDGAR
2023-02-07
Litigation Release 2023
Joshua W. Coleman
SEC Litigation Release LR-25633 — Joshua W. Coleman
SEC EDGAR
2023-02-06
Litigation Release 2023
Annetta Budhu
SEC Litigation Release LR-25631 — Annetta Budhu
SEC EDGAR
2023-02-03
Litigation Release 2023
Windsor Jones LLC and Anthony Collins
SEC Litigation Release LR-25632 — Windsor Jones LLC and Anthony Collins
SEC EDGAR
2023-02-03
Litigation Release 2023
Steven J. Susoeff and Steve Susoeff, LLC (dba Meritage Financial Group)
SEC Litigation Release LR-25629 — Steven J. Susoeff and Steve Susoeff, LLC (dba Meritage Financial Group)
SEC EDGAR
2023-02-02
Litigation Release 2023
John C. Wilson II, et al.
SEC Litigation Release LR-25630 — John C. Wilson II, et al.
SEC EDGAR
2023-02-02
Litigation Release 2023
Seong Yeol Lee and Ameritrust Corporation, et al.
SEC Litigation Release LR-25627 — Seong Yeol Lee and Ameritrust Corporation, et al.
SEC EDGAR
2023-02-01
Litigation Release 2023
John Brian McLane, Jr. and Paul Anthony Nash
SEC Litigation Release LR-25628 — John Brian McLane, Jr. and Paul Anthony Nash
SEC EDGAR
2023-02-01
Litigation Release 2023
Laura, et al.
SEC Litigation Release LR-25626 — Laura, et al.
SEC EDGAR
2023-01-26
Litigation Release 2023
Anthony B. Liddle
SEC Litigation Release LR-25622 — Anthony B. Liddle
SEC EDGAR
2023-01-24
Litigation Release 2023
Jack C. Ridall and Guss Capital, LLC
SEC Litigation Release LR-25624 — Jack C. Ridall and Guss Capital, LLC
SEC EDGAR
2023-01-24
Litigation Release 2023
Austin D. Ellison-Meade
SEC Litigation Release LR-25625 — Austin D. Ellison-Meade
SEC EDGAR
2023-01-24
Litigation Release 2023
Charlie Abujudeh
SEC Litigation Release LR-25621 — Charlie Abujudeh
SEC EDGAR
2023-01-23
Litigation Release 2023
Avraham Eisenberg
SEC Litigation Release LR-25623 — Avraham Eisenberg
SEC EDGAR
2023-01-23
Litigation Release 2023
Terrance Reagan and Nathaniel Clay
SEC Litigation Release LR-25619 — Terrance Reagan and Nathaniel Clay
SEC EDGAR
2023-01-20
Litigation Release 2023
Robert Donald Bruce Genovese, et al.
SEC Litigation Release LR-25620 — Robert Donald Bruce Genovese, et al.
SEC EDGAR
2023-01-20
Litigation Release 2023
Samuel Bankman-Fried
SEC Litigation Release LR-25616 — Samuel Bankman-Fried
SEC EDGAR
2023-01-19
Litigation Release 2023
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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.