Actions · 30d
78
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33,976
SEC litigation releases, administrative proceedings, FINRA monthly reports
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Actions · 150 shown
| Date | Source | Release | Respondents | Link |
|---|---|---|---|---|
| 2026-10-21 | SEC litigation | LR-26677 | Benjamin Conde Securities and Exchange Commission v. Benjamin Conde, et al. | open ↗ |
| 2026-10-20 | SEC litigation | LR-26676 | Siddhi Patel, as Administrator of the Estate of Chirayu Vijay Patel (Deceased) Securities and Exchange Commission v. Siddhi Patel, as Administrator of the Estate of Chirayu Vijay Patel | open ↗ |
| 2026-10-20 | SEC litigation | LR-26675 | Terrance P. Berland and David Michael Scalzo Securities and Exchange Commission v. Terrance P. Berland and David Michael Scalzo · M.D. Fla. | open ↗ |
| 2026-10-19 | SEC litigation | LR-26674 | Nihat Cardak Securities and Exchange Commission v. Robert Bernardi, Nihat Cardak, and Sunil Chandra, Defendants, and Daniel Bernardi, Diane Olson, and Jenifer Bernardi, Relief Defendants | open ↗ |
| 2026-10-15 | SEC admin | IA-7027 | Michael D. Williams | open ↗ |
| 2026-10-15 | SEC admin | 34-106674 | Tai Mo Shan Limited | open ↗ |
| 2026-10-15 | SEC admin | 34-106673 | Raymond Lawrence Lent (Dba the Putney Financial Group and Registered Investment Advisors) | open ↗ |
| 2026-10-14 | SEC admin | 34-106667 | Silver Star Properties REIT, Inc. | open ↗ |
| 2026-10-14 | SEC admin | IA-7026 | Stephen Kenneth Leech II | open ↗ |
| 2026-10-13 | SEC admin | IA-7024 | Lawrence Billimek | open ↗ |
| 2026-10-13 | SEC admin | 34-106645 | Nikola Corporation | open ↗ |
| 2026-10-13 | SEC litigation | LR-26673 | Matthew Brown and Matthew Brown Companies, LLC Securities and Exchange Commission v. Matthew Brown, et al. · N.D. Tex. | open ↗ |
| 2026-10-13 | SEC admin | IA-7025 | David Kushner | open ↗ |
| 2026-10-13 | SEC admin | 34-106650 | John Arthur Hanratty | open ↗ |
| 2026-10-09 | SEC litigation | LR-26672 | William Sarris and Joseph Endoso Securities and Exchange Commission v. William Sarris and Joseph Endoso · N.D. Cal. | open ↗ |
| 2026-10-09 | SEC litigation | LR-26671 | Jeremiah Silkowski and SQN Capital Management LLC Securities and Exchange Commission v. Jeremiah Silkowski and SQN Capital Management LLC | open ↗ |
| 2026-10-09 | SEC admin | 34-106641 | Jefferies LLC | open ↗ |
| 2026-10-08 | SEC litigation | LR-26670 | Francis Biller; Raymond Dove; Chester Alvarez; Troy Gran-Brooks; Justin Plaizier; Shredderz International Corp.; Edward Clarke; Lia Patricia Sepulveda Salazar; and Edward Lopez Giraldo Securities and Exchange Commission v. Francis Biller, et al. · D. Mass. | open ↗ |
| 2026-10-08 | SEC litigation | LR-26669 | Darren J. Caris and Caris Investment Partners, Inc. Securities and Exchange Commission v. Darren J. Caris and Caris Investment Partners, Inc. · S.D. Cal. | open ↗ |
| 2026-10-08 | SEC admin | 34-106633 | Carlos Lopez, CPA | open ↗ |
| 2026-10-07 | SEC litigation | LR-26665 | Himanshu Jindal a/k/a Manish Jindal Securities and Exchange Commission v. Himanshu Jindal a/k/a Manish Jindal | open ↗ |
| 2026-10-07 | SEC litigation | LR-26668 | Robert D. Welsh and Caedrynn E. Conner Securities and Exchange Commission v. Kenneth W. Alexander II, et al. · E.D. Tex. | open ↗ |
| 2026-10-07 | SEC litigation | LR-26667 | Kalder Inc. and Gökçe Güven | open ↗ |
| 2026-10-06 | SEC litigation | LR-26666 | Stephen Kenneth Leech Securities and Exchange Commission v. Stephen Kenneth Leech | open ↗ |
| 2026-10-02 | SEC admin | 34-106569 | J.P. Morgan Securities LLC And JPMorgan Chase Bank, N.A. | open ↗ |
| 2026-10-02 | SEC litigation | LR-26664 | David Reichman et al. Securities and Exchange Commission v. David Reichman et al. | open ↗ |
| 2026-10-02 | SEC admin | IA-7021 | CityVest Capital Inc., CV Manager LLC, and Alan P. Donenfeld | open ↗ |
| 2026-10-01 | SEC litigation | LR-26663 | Thomas J. Moore, III Securities and Exchange Commission v. Thomas J. Moore, III · S.D. Miss. | open ↗ |
| 2026-10-01 | SEC admin | 33-11450 | Latch, Inc. | open ↗ |
| 2026-09-30 | SEC admin | 34-106542 | Michael Levi Peters | open ↗ |
| 2026-09-30 | SEC admin | 34-106541 | Lewis Neal | open ↗ |
| 2026-09-30 | SEC admin | 34-106538 | Quillan Black | open ↗ |
| 2026-09-30 | SEC admin | 34-106540 | Jordan Morgan | open ↗ |
| 2026-09-30 | SEC admin | 34-106539 | Tyler MacKechnie | open ↗ |
| 2026-09-30 | SEC litigation | LR-26656 | Lamar D. Fletcher Securities and Exchange Commission v. Lamar D. Fletcher · N.D. Ga. | open ↗ |
| 2026-09-30 | SEC admin | 34-106553 | Trevon Brown | open ↗ |
| 2026-09-30 | SEC admin | 34-106544 | Anthony Tyler Williams | open ↗ |
| 2026-09-30 | SEC admin | 34-106543 | Michael Talento | open ↗ |
| 2026-09-30 | SEC litigation | LR-26662 | Mukesh Asudani Securities and Exchange Commission v. Mukesh Asudani | open ↗ |
| 2026-09-30 | SEC litigation | LR-26661 | Robert Bernardi and Sunil Chandra Securities and Exchange Commission v. Robert Bernardi, Nihat Cardak, and Sunil Chandra, Defendants, and Daniel Bernardi, Diane Olson, and Jenifer Bernardi, Relief Defendants | open ↗ |
| 2026-09-30 | SEC litigation | LR-26660 | Trevon Brown, Craig Grant, and Michael Noble Securities and Exchange Commission v. Brown et al. | open ↗ |
| 2026-09-30 | SEC litigation | LR-26659 | Owen E.H. Meyer and Meyer Global Management LLC Securities and Exchange Commission v. Owen E.H. Meyer and Meyer Global Management LLC | open ↗ |
| 2026-09-30 | SEC litigation | LR-26658 | Christopher Kenji Dinelli a/k/a Kenji Dinelli and Jacob David Frankel a/k/a Kobi Frankel Securities and Exchange Commission v. Christopher Kenji Dinelli, et al. | open ↗ |
| 2026-09-30 | SEC litigation | LR-26657 | Travel + Leisure Co. Securities and Exchange Commission v. Travel + Leisure Co . · S.D. Fla. | open ↗ |
| 2026-09-30 | SEC admin | 34-106555 | Eagle Bancorp, Inc. | open ↗ |
| 2026-09-29 | SEC litigation | LR-26655 | Timothy E. Alatorre, Rhonda D. Stevenson, and Above: Space Development Corporation f/k/a Orbital Assembly Corporation Securities and Exchange Commission v. Timothy E. Alatorre, Rhonda D. Stevenson, and Above: Space Development Corporation f/k/a Orbital Assembly Corporation · N.D. Cal. | open ↗ |
| 2026-09-29 | SEC litigation | LR-26654 | Cryptoaiml Ltd.; Cryptoaiml Capital Foundation; TSAI Pro Ltd.; TSAI Capital Foundation Securities and Exchange Commission v. Cryptoaiml Ltd.; Cryptoaiml Capital Foundation | open ↗ |
| 2026-09-29 | SEC litigation | LR-26653 | Chris Farrant Securities and Exchange Commission v. Jordan Meadow, et. al. | open ↗ |
| 2026-09-29 | SEC litigation | LR-26652 | Cheryl R. Kramer Securities and Exchange Commission v. Cheryl R. Kramer · D. Maryland | open ↗ |
| 2026-09-29 | SEC admin | 34-106519 | Brian D. Yarch | open ↗ |
| 2026-09-28 | SEC admin | 33-11441 | CBIZ, Inc. | open ↗ |
| 2026-09-28 | SEC litigation | LR-26651 | Jacob Garfinkel; 5G Funding LLC; Five G Funding LLC Securities and Exchange Commission v. Jacob Garfinkel, 5G Funding LLC , and Five G Funding LLC · N.D. Ill. | open ↗ |
| 2026-09-28 | SEC litigation | LR-26650 | Fan “Jocelyn” Yang; Jing Tian; Zijun Zhang; Shuchen Zhu; Chong Zhang; and Hanxiong Bo Securities and Exchange Commission v. Fan | open ↗ |
| 2026-09-28 | SEC litigation | LR-26649 | Lloyd Anderson Wilson, C.P.A. Securities and Exchange Commission v. Lloyd Anderson Wilson, C.P.A. | open ↗ |
| 2026-09-28 | SEC admin | IA-7019 | Zoe Financial, Inc. | open ↗ |
| 2026-09-28 | SEC admin | 34-106514 | Miller Energy Resources, Inc. Boyd, Paul W., CPA Hall, David M. Vogt, Carlton W., III, CPA | open ↗ |
| 2026-09-25 | SEC litigation | LR-26648 | Kristopher A. Lunsford; AKL Transport LLC; Southern Truck Leasing LLC Securities and Exchange Commission v. Kristopher A. Lunsford, et al. · M.D. Fla. | open ↗ |
| 2026-09-25 | SEC admin | 34-106504 | Fifth Street Management, LLC | open ↗ |
| 2026-09-25 | SEC admin | 34-106501 | Vincent Ayar | open ↗ |
| 2026-09-25 | SEC admin | 34-106500 | Venar Ayar | open ↗ |
| 2026-09-25 | SEC admin | 34-106499 | Johnathan Denha | open ↗ |
| 2026-09-25 | SEC admin | 34-106497 | Fiat Chrysler Automobiles N.V. | open ↗ |
| 2026-09-24 | SEC litigation | LR-26647 | Manish Lachwani Securities and Exchange Commission v. Manish Lachwani · N.D. Cal. | open ↗ |
| 2026-09-24 | SEC admin | IA-7018 | Keith R. Gebert | open ↗ |
| 2026-09-23 | SEC litigation | LR-26646 | Michael D. Williams and CMI Capital, LLC Securities and Exchange Commission v. Michael D. Williams and CMI Capital, LLC · S.D. Fla. | open ↗ |
| 2026-09-23 | SEC admin | 34-106476 | Platinum Wealth Partners, Inc. and David L. Potter | open ↗ |
| 2026-09-23 | SEC admin | 34-106475 | ShipChain, Inc. | open ↗ |
| 2026-09-23 | SEC admin | 34-106473 | Petróleo Brasileiro S.A. – Petrobras | open ↗ |
| 2026-09-23 | SEC admin | 34-106472 | Quantstamp, Inc. | open ↗ |
| 2026-09-23 | SEC admin | 34-106471 | The Kraft Heinze Co. and Eduardo Pelleissone | open ↗ |
| 2026-09-23 | SEC admin | 34-106470 | Ameritas Advisory Services, LLC | open ↗ |
| 2026-09-22 | SEC litigation | LR-26645 | Lawrence Billimek and Alan Williams Securities and Exchange Commission v. Lawrence Billimek and Alan Williams | open ↗ |
| 2026-09-22 | SEC admin | 34-106468 | Parcelpal Logistics Inc. | open ↗ |
| 2026-09-22 | SEC admin | 34-106467 | Novagant Corp.a/k/a Golden Bee Health Products Investment Limited, Inc. | open ↗ |
| 2026-09-22 | SEC admin | IA-7017 | Giovanni Pennetta | open ↗ |
| 2026-09-22 | SEC admin | IA-7016 | Truist Advisory Services, Inc. | open ↗ |
| 2026-09-22 | SEC admin | 34-106459 | Nihat Cardak | open ↗ |
| 2026-09-22 | SEC admin | 34-106458 | OTC Link LLC | open ↗ |
| 2026-09-21 | SEC litigation | LR-26644 | Michael T. Christensen Securities and Exchange Commission v. Michael T. Christensen · D. Idaho | open ↗ |
| 2026-09-21 | SEC litigation | LR-26643 | Michael Ayala; Wavemark Capital, LLC Securities and Exchange Commission v. Michael Ayala and Wavemark Capital, LLC · W.D. Tex. | open ↗ |
| 2026-09-21 | SEC admin | 34-106455 | Reelcause, Inc., | open ↗ |
| 2026-09-21 | SEC admin | 34-106456 | Santa Fe Gold Corp. | open ↗ |
| 2026-09-21 | SEC admin | 34-106452 | Zerify, Inc., | open ↗ |
| 2026-09-21 | SEC admin | 34-106451 | Wall Street Acquisitions Corp. | open ↗ |
| 2026-09-21 | SEC admin | 34-106454 | Virtual Interactive Technologies Corp. | open ↗ |
| 2026-09-21 | SEC admin | 34-106453 | Tombstone Exploration Corp. | open ↗ |
| 2026-09-21 | SEC admin | 34-106446 | Shefford Companies, Inc. | open ↗ |
| 2026-09-21 | SEC admin | 34-106447 | Streetex Corp. | open ↗ |
| 2026-09-21 | SEC admin | 34-106445 | Clarice Saw | open ↗ |
| 2026-09-21 | SEC admin | 34-106440 | Real Brands, Inc. | open ↗ |
| 2026-09-21 | SEC admin | 34-106439 | Petro USA, Inc. | open ↗ |
| 2026-09-18 | SEC litigation | LR-26642 | Ellen Polcari Securities and Exchange Commission v. Ellen Polcari | open ↗ |
| 2026-09-18 | SEC admin | 34-106418 | Hatteras Investment Partners, LP and David B. Perkins | open ↗ |
| 2026-09-18 | SEC admin | IA-6996 | Philip Pursino and Pursino Advisory Group LLC | open ↗ |
| 2026-09-17 | SEC admin | 34-106405 | Manhattan Scientifics, Inc. | open ↗ |
| 2026-09-17 | SEC admin | 34-106404 | Linktory Inc. | open ↗ |
| 2026-09-16 | SEC litigation | LR-26641 | Jessica Richman and Zachary Apte Securities and Exchange Commission v. Jessica Richman and Zachary Apte · N.D. Cal. | open ↗ |
| 2026-09-16 | SEC admin | 34-106399 | Golden Ally Lifetech Group, Inc. | open ↗ |
| 2026-09-16 | SEC admin | 34-106398 | Forza Innovations Inc. | open ↗ |
| 2026-09-16 | SEC admin | 34-106395 | Entertainment Holdings, Inc. | open ↗ |
| 2026-09-16 | SEC admin | 34-106394 | Ecomax, Inc. | open ↗ |
| 2026-09-16 | SEC admin | 34-106389 | Newpoint Financial Corp. | open ↗ |
| 2026-09-16 | SEC admin | 34-106388 | MCX Technologies Corporation | open ↗ |
| 2026-09-15 | SEC litigation | LR-26640 | Jon P. Kipp Securities and Exchange Commission v. Jon P. Kipp · W.D. Wash. | open ↗ |
| 2026-09-15 | SEC admin | 34-106366 | Ironstone Properties, Inc. f/k/a Ironstone Group, Inc., | open ↗ |
| 2026-09-15 | SEC admin | 34-106365 | IntelGenx Technologies Corp. | open ↗ |
| 2026-09-15 | SEC admin | 34-106364 | Jack E. Alexander | open ↗ |
| 2026-09-15 | SEC admin | 34-106363 | Andrew T. Neller | open ↗ |
| 2026-09-15 | SEC admin | 34-106362 | S&P Dow Jones Indices, LLC | open ↗ |
| 2026-09-15 | SEC admin | 34-106361 | Gregory Dale Smith | open ↗ |
| 2026-09-15 | SEC admin | 34-106360 | Himalaya Technologies, Inc., | open ↗ |
| 2026-09-15 | SEC admin | 34-106359 | Gresham Worldwide, Inc. f/k/a Giga-tronics Incorporated | open ↗ |
| 2026-09-15 | SEC admin | 34-106355 | Fomo Worldwide, Inc. | open ↗ |
| 2026-09-15 | SEC admin | 34-106354 | First Capital International, Inc. | open ↗ |
| 2026-09-14 | SEC litigation | LR-26639 | Ernest Ossei Boateng, Intercontinental Wealth Network, LLC, and I Wealth Network LP Securities and Exchange Commission v. Ernest Ossei Boateng, et al. | open ↗ |
| 2026-09-14 | SEC litigation | LR-26638 | Paul Thomas Croft, Jonathan David Frost, Matthew William Dira Securities and Exchange Commission v. Paul Thomas Croft et al. · E.D. Tenn. | open ↗ |
| 2026-09-14 | SEC admin | 34-106350 | Raymond Lawrence Lent (Dba the Putney Financial Group and Registered Investment Advisors) | open ↗ |
| 2026-09-11 | SEC litigation | LR-26637 | Adam B. Rundle Securities and Exchange Commission v. Adam B. Rundle · D. Md. | open ↗ |
| 2026-09-11 | SEC litigation | LR-26636 | Invesco Alpha Inc. Securities and Exchange Commission v. Invesco Alpha Inc. · D. Colo. | open ↗ |
| 2026-09-11 | SEC admin | 34-106344 | Dada Nexus Limited | open ↗ |
| 2026-09-11 | SEC admin | 34-106333 | Haywood Securities (USA) Inc. | open ↗ |
| 2026-09-10 | SEC litigation | LR-26635 | Paul W. Jorgensen Securities and Exchange Commission v. Paul W. Jorgensen | open ↗ |
| 2026-09-10 | SEC admin | 34-106332 | Evil Empire Designs, Inc. | open ↗ |
| 2026-09-10 | SEC admin | 34-106331 | Evergreen Sustainable Enterprises, Inc. | open ↗ |
| 2026-09-10 | SEC admin | 34-106327 | Clearday, Inc. | open ↗ |
| 2026-09-10 | SEC admin | 34-106326 | China Health Industries Holdings, Inc. | open ↗ |
| 2026-09-09 | SEC litigation | LR-26634 | Justin Chen Securities and Exchange Commission v. Chen et al. | open ↗ |
| 2026-09-08 | SEC admin | 34-106289 | CuraScientific Corp. | open ↗ |
| 2026-09-08 | SEC admin | 34-106288 | Coretec Group Inc. | open ↗ |
| 2026-09-08 | SEC litigation | LR-26633 | Francisco Javier Sarabia Securities and Exchange Commission v. Francisco Javier Sarabia · C.D. Cal. | open ↗ |
| 2026-09-08 | SEC admin | 34-106287 | Independent Financial Group, LLC | open ↗ |
| 2026-09-04 | SEC litigation | LR-26632 | Institutional Shareholder Services, Inc. Securities and Exchange Commission v. Institutional Shareholder Services, Inc. · E.D. Pa. | open ↗ |
| 2026-09-04 | SEC litigation | LR-26631 | Parker Terrill Austin; Embarcadero Capital Advisors, Inc. Securities and Exchange Commission v. Parker Terrill Austin and Embarcadero Capital Advisors, Inc. · C.D. Cal. | open ↗ |
| 2026-09-04 | SEC litigation | LR-26630 | Omar Dario Chavez Securities and Exchange Commission v. Omar Dario Chavez · C.D. Cal. | open ↗ |
| 2026-09-04 | SEC litigation | LR-26629 | Trijya Vakil and Neeraj Visen Securities and Exchange Commission v. Trijya Vakil and Neeraj Visen | open ↗ |
| 2026-09-04 | SEC litigation | LR-26628 | Waldon Fenster Securities and Exchange Commission v. Waldon Fenster · N.D. Ill. | open ↗ |
| 2026-09-04 | SEC litigation | LR-26627 | Mark D. Hanf and Hoai-Nam Chu Phan a/k/a Nam Phan Securities and Exchange Commission v. Mark D. Hanf and Hoai-Nam Chu Phan a/k/a Nam Phan · N.D. Cal. | open ↗ |
| 2026-09-04 | SEC admin | 34-106277 | American Entertainment Group, Inc., | open ↗ |
| 2026-09-04 | SEC admin | 34-106278 | BrewBilt Manufacturing Inc., | open ↗ |
| 2026-09-04 | SEC admin | 34-106285 | NewAge, Inc. | open ↗ |
| 2026-09-04 | SEC admin | 34-106284 | NextPlay Technologies Inc. | open ↗ |
| 2026-09-03 | SEC litigation | LR-26626 | Corey Ortiz Securities and Exchange Commission v. Hernandez | open ↗ |
| 2026-09-03 | SEC admin | 34-106272 | Standard Energy Corporation | open ↗ |
| 2026-09-03 | SEC admin | 34-106270 | Wolf Energy Services Inc. | open ↗ |
| 2026-09-03 | SEC admin | 34-106273 | Saratoga Resources, Inc. | open ↗ |
| 2026-09-03 | SEC admin | 34-106274 | Paul Frenkiel | open ↗ |
| 2026-09-03 | SEC admin | 34-106271 | Teeco Properties, LP | open ↗ |
| 2026-09-03 | SEC admin | 34-106265 | LZG International, Inc. | open ↗ |
| 2026-09-03 | SEC admin | 34-106266 | Liaoning Shuiyun Qinghe Rice Industry Co., Ltd. (f/k/a Evergreen International Corp.) | open ↗ |
| 2026-09-02 | SEC admin | 34-106258 | Comscore, Inc., Serge Matta | open ↗ |
Actions are as the regulators list them; a listing is not a finding against every respondent named. Resolution to filing entities is by name and CRD and may miss or over-match. Not legal advice.