SEC Enforcement Actions
356 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)
PlexCorps, et al.
SEC Litigation Release LR-24079 — PlexCorps, et al.
SEC EDGAR
2018-03-23
Litigation Release 2018
Howard B. Present
SEC Litigation Release LR-24077 — Howard B. Present
SEC EDGAR
2018-03-22
Litigation Release 2018
McKinley Mortgage Co. LLC, et al.
SEC Litigation Release LR-24076 — McKinley Mortgage Co. LLC, et al.
SEC EDGAR
2018-03-22
Litigation Release 2018
Robert W. Murray
SEC Litigation Release LR-24075 — Robert W. Murray
SEC EDGAR
2018-03-22
Litigation Release 2018
American Bondholders Foundation, LLC
SEC Litigation Release LR-24074 — American Bondholders Foundation, LLC
SEC EDGAR
2018-03-22
Litigation Release 2018
Jun Ying
SEC Litigation Release LR-24073 — Jun Ying
SEC EDGAR
2018-03-22
Litigation Release 2018
Revolutions Medical Corp., et al.
SEC Litigation Release LR-24072 — Revolutions Medical Corp., et al.
SEC EDGAR
2018-03-21
Litigation Release 2018
Nicholas J. Genovese, Willow Creek Investments, LP, and Willow Creek Advisors, LLC
SEC Litigation Release LR-24071 — Nicholas J. Genovese, Willow Creek Investments, LP, and Willow Creek Advisors, LLC
SEC EDGAR
2018-03-21
Litigation Release 2018
Steven Metro
SEC Litigation Release LR-24070 — Steven Metro
SEC EDGAR
2018-03-19
Litigation Release 2018
Elizabeth Holmes, et al. and Ramesh "Sunny" Balwani
SEC Litigation Release LR-24069 — Elizabeth Holmes, et al. and Ramesh "Sunny" Balwani
SEC EDGAR
2018-03-19
Litigation Release 2018
Americrude, et. al.
SEC Litigation Release LR-24068 — Americrude, et. al.
SEC EDGAR
2018-03-19
Litigation Release 2018
Beaufort Securities Ltd. and Panayiotis Kyriacou a/k/a Peter Kyriacou; Dennis J. Mancino, William T. Hirschy, DJK Investments 10 Inc., TJM Investments Inc., and WT Consulting Group, LLC
SEC Litigation Release LR-24067 — Beaufort Securities Ltd. and Panayiotis Kyriacou a/k/a Peter Kyriacou; Dennis J. Mancino, William T. Hirschy, DJK Investments 10 Inc., TJM Investments Inc., and WT Consulting Group, LLC
SEC EDGAR
2018-03-16
Litigation Release 2018
Jeffrey O. Friedland, Global Corporate Strategies LLC, and Intiva Pharma LLC, Defendants, and Lane 6552 LLC, Kathy B. Friedland, Aspen Upper Ranch LLC, Assurance Management, LLC, and The Jeffrey and Kathy Friedland Irrevocable Trust, Relief Defendants , Case.
SEC Litigation Release LR-24066 — Jeffrey O. Friedland, Global Corporate Strategies LLC, and Intiva Pharma LLC, Defendants, and Lane 6552 LLC, Kathy B. Friedland, Aspen Upper Ranch LLC, Assurance Management, LLC, and The Jeffrey and Kathy Friedland Irrevocable Trust, Relief Defendants , Case.
SEC EDGAR
2018-03-08
Litigation Release 2018
Robert M. Morano
SEC Litigation Release LR-24065 — Robert M. Morano
SEC EDGAR
2018-03-08
Litigation Release 2018
Jersey Consulting LLC
SEC Litigation Release LR-24064 — Jersey Consulting LLC
SEC EDGAR
2018-03-05
Litigation Release 2018
Edward Henderson
SEC Litigation Release LR-24063 — Edward Henderson
SEC EDGAR
2018-03-05
Litigation Release 2018
AVEO Pharmaceuticals, Inc., et al.
SEC Litigation Release LR-24062 — AVEO Pharmaceuticals, Inc., et al.
SEC EDGAR
2018-03-05
Litigation Release 2018
Stefan Lumiere
SEC Litigation Release LR-24061 — Stefan Lumiere
SEC EDGAR
2018-03-05
Litigation Release 2018
Steven J. Muehler, Claudia M. Muehler, Koorosh "Danny" Rahimi, AltaVista Capital Markets, LLC, AltaVista Private Client, LLC, and AltaVista Securities, LLC
SEC Litigation Release LR-24060 — Steven J. Muehler, Claudia M. Muehler, Koorosh "Danny" Rahimi, AltaVista Capital Markets, LLC, AltaVista Private Client, LLC, and AltaVista Securities, LLC
SEC EDGAR
2018-03-01
Litigation Release 2018
Leonard Genova
SEC Litigation Release LR-24059 — Leonard Genova
SEC EDGAR
2018-03-01
Litigation Release 2018
Analytica Bio-Energy Corp., et al., Marvin Winick
SEC Litigation Release LR-24058 — Analytica Bio-Energy Corp., et al., Marvin Winick
SEC EDGAR
2018-02-28
Litigation Release 2018
AmeraTex Energy, Inc., et al
SEC Litigation Release LR-24057 — AmeraTex Energy, Inc., et al
SEC EDGAR
2018-02-28
Litigation Release 2018
Yang Xie
SEC Litigation Release LR-24056 — Yang Xie
SEC EDGAR
2018-02-28
Litigation Release 2018
Dedicated Sound and Audio, Inc., et al.
SEC Litigation Release LR-24055 — Dedicated Sound and Audio, Inc., et al.
SEC EDGAR
2018-02-26
Litigation Release 2018
Strong Investment Management, Joseph B. Bronson (f/k/a Joseph B. Engebretson), and John B. Engebretson
SEC Litigation Release LR-24054 — Strong Investment Management, Joseph B. Bronson (f/k/a Joseph B. Engebretson), and John B. Engebretson
SEC EDGAR
2018-02-21
Litigation Release 2018
Eric McPhail, et al.
SEC Litigation Release LR-24053 — Eric McPhail, et al.
SEC EDGAR
2018-02-20
Litigation Release 2018
Sharone Perlstein, et al., Jonathan Strum, Alan Weinberg, et al.
SEC Litigation Release LR-24051 — Sharone Perlstein, et al., Jonathan Strum, Alan Weinberg, et al.
SEC EDGAR
2018-02-16
Litigation Release 2018
Daniel Thibeault, et al.
SEC Litigation Release LR-24052 — Daniel Thibeault, et al.
SEC EDGAR
2018-02-16
Litigation Release 2018
Commonwealth Advisors, Inc. and Walter A. Morales
SEC Litigation Release LR-24050 — Commonwealth Advisors, Inc. and Walter A. Morales
SEC EDGAR
2018-02-15
Litigation Release 2018
Southridge Capital Management LLC, et al.
SEC Litigation Release LR-24049 — Southridge Capital Management LLC, et al.
SEC EDGAR
2018-02-15
Litigation Release 2018
Kevin J. Amell
SEC Litigation Release LR-24048 — Kevin J. Amell
SEC EDGAR
2018-02-14
Litigation Release 2018
Terrence LeGall
SEC Litigation Release LR-24047 — Terrence LeGall
SEC EDGAR
2018-02-14
Litigation Release 2018
Brian S. Block, et al.
SEC Litigation Release LR-24046 — Brian S. Block, et al.
SEC EDGAR
2018-02-14
Litigation Release 2018
Timothy S. Batchelor
SEC Litigation Release LR-24045 — Timothy S. Batchelor
SEC EDGAR
2018-02-13
Litigation Release 2018
Todd M. LaVelle
SEC Litigation Release LR-24044 — Todd M. LaVelle
SEC EDGAR
2018-02-12
Litigation Release 2018
Geoffrey H. Lunn, et al.
SEC Litigation Release LR-24043 — Geoffrey H. Lunn, et al.
SEC EDGAR
2018-02-12
Litigation Release 2018
American Bondholders Foundation, LLC
SEC Litigation Release LR-24042 — American Bondholders Foundation, LLC
SEC EDGAR
2018-02-08
Litigation Release 2018
Hadsell Chemical Processing, LLC and Robert Walton, Jr.
SEC Litigation Release LR-24041 — Hadsell Chemical Processing, LLC and Robert Walton, Jr.
SEC EDGAR
2018-02-02
Litigation Release 2018
Tom Simeo
SEC Litigation Release LR-24040 — Tom Simeo
SEC EDGAR
2018-02-02
Litigation Release 2018
Boston Trading and Research, LLC, et al.
SEC Litigation Release LR-24039 — Boston Trading and Research, LLC, et al.
SEC EDGAR
2018-02-02
Litigation Release 2018
Nicholas J. Genovese, Willow Creek Investments, LP, and Willow Creek Advisors, LLC
SEC Litigation Release LR-24038 — Nicholas J. Genovese, Willow Creek Investments, LP, and Willow Creek Advisors, LLC
SEC EDGAR
2018-02-02
Litigation Release 2018
James S. Polese, et al.
SEC Litigation Release LR-24037 — James S. Polese, et al.
SEC EDGAR
2018-01-31
Litigation Release 2018
Pawel P. Dynkowski, et al.
SEC Litigation Release LR-24036 — Pawel P. Dynkowski, et al.
SEC EDGAR
2018-01-30
Litigation Release 2018
One or More Unknown Traders in the Securities of Bioverativ, Inc.
SEC Litigation Release LR-24035 — One or More Unknown Traders in the Securities of Bioverativ, Inc.
SEC EDGAR
2018-01-26
Litigation Release 2018
Robert L. Sonfield, Jason Landess, et al.
SEC Litigation Release LR-24034 — Robert L. Sonfield, Jason Landess, et al.
SEC EDGAR
2018-01-25
Litigation Release 2018
Quicksilver Stock Transfer and Alan Shinderman
SEC Litigation Release LR-24033 — Quicksilver Stock Transfer and Alan Shinderman
SEC EDGAR
2018-01-24
Litigation Release 2018
Robert H. Shapiro, Woodbridge Group of Companies, LLC, et al.
SEC Litigation Release LR-24032 — Robert H. Shapiro, Woodbridge Group of Companies, LLC, et al.
SEC EDGAR
2018-01-24
Litigation Release 2018
Ash Narayan, The Ticket Reserve Inc. a/k/a Forward Market Media, Inc., Richard M. Harmon, and John A. Kaptrosky
SEC Litigation Release LR-24030 — Ash Narayan, The Ticket Reserve Inc. a/k/a Forward Market Media, Inc., Richard M. Harmon, and John A. Kaptrosky
SEC EDGAR
2018-01-22
Litigation Release 2018
Daniel H. Glick, et al
SEC Litigation Release LR-24029 — Daniel H. Glick, et al
SEC EDGAR
2018-01-22
Litigation Release 2018
Hoplon Financial Group et al.
SEC Litigation Release LR-24031 — Hoplon Financial Group et al.
SEC EDGAR
2018-01-22
Litigation Release 2018
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.