Actions · 30d
103
Actions on file
33,962
SEC litigation releases, administrative proceedings, FINRA monthly reports
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Actions · 150 shown
| Date | Source | Release | Respondents | Link |
|---|---|---|---|---|
| 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 ↗ |
| 2026-09-01 | SEC litigation | LR-26625 | Mordechai Haim Ferder and Simba IL Holdings LLC, Defendants; Mordechai Haim Ferder and Edit Fintzi Ferder in Their Capacities as Trustees of the Haim Family Trust, TF 2021 Irrevocable Trust, and RF 2021 Irrevocable Trust, Relief Defendants Securities and Exchange Commission v. Ferder, et al. · C.D. Cal. | open ↗ |
| 2026-09-01 | SEC litigation | LR-26624 | David T. Gilchrist, Christopher Aaron Novinger, Rebecca Novinger Securities and Exchange Commission v. David T. Gilchrist, et al. · N.D. Tex. | open ↗ |
| 2026-09-01 | SEC admin | 34-106247 | Rebus Holdings, Inc. | open ↗ |
| 2026-09-01 | SEC admin | 34-106248 | Organic Agricultural Company Limited | open ↗ |
| 2026-09-01 | SEC admin | 34-106249 | TIAA-CREF Individual & Institutional Services, LLC | open ↗ |
| 2026-09-01 | SEC admin | 34-106253 | Hancock Whitney Investment Services, Inc. | open ↗ |
| 2026-09-01 | SEC admin | 34-106250 | X METAVERSE INC. | open ↗ |
| 2026-08-31 | SEC admin | 34-106234 | LASV Enterprises, Inc. | open ↗ |
| 2026-08-31 | SEC admin | 34-106235 | Item 9 Labs Corp. | open ↗ |
| 2026-08-31 | SEC admin | 34-106241 | Cool Technologies, Inc. | open ↗ |
| 2026-08-31 | SEC admin | 34-106240 | Black Bird Biotech, Inc. | open ↗ |
| 2026-08-28 | SEC litigation | LR-26623 | Ichcoin Tech Corp. Securities and Exchange Commission v. Ichcoin Tech Corp. | open ↗ |
| 2026-08-28 | SEC admin | 34-106220 | INTREorg Systems, Inc. | open ↗ |
| 2026-08-28 | SEC admin | 34-106212 | Alpine 4 Holdings, Inc. (f/k/a Alpine 4 Technologies, Inc.) | 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.