Exchange Act s.13(d) and 13(g)

Requires anyone who gathers more than five per cent of a class of listed shares to disclose it publicly; cited where control blocks were kept hidden. 37 records cite it, filed 2009 to 2024.

United States · Securities Exchange Act of 1934 · 15 U.S.C. 78m(d), (g)

Official text: 15 U.S.C. 78m (LII)

Counts

Most recent matched records

• SEC v. John S. Clayton and others (insider trading, 2024) (2024-12-11)
• SEC v. Timothy Page, Trevor Page and others (boiler rooms, 2024) (2024-11-20)
• SEC v. Kevan Casey, Adrian James, Jonathan Friedlander and Robert Wheat (pump and dump, 2024) (2024-08-09)
• SEC v. Nutra Pharma Corp. et al (unregistered distributions, 2024) (2024-05-15)
• SEC v. Andrew DeFrancesco, Marlio Mauricio Diaz Cardona, Carlos Felipe Rezk, Nikola Faukovic, and Catherine DeFrancesco (pump and dump, 2023) (2023-07-07)
• SEC v. Nutra Pharma Corp. et al (unregistered distributions, 2022) (2022-09-16)
• SEC v. Rahim Mohamed, Davies ("Dave") Wong, et al. (hijacked account ramping, 2022) (2022-08-15)
• SEC v. Timothy Page et al., Daniel Cattlin and William R. Shupe (boiler rooms, 2021) (2021-09-27)
• SEC v. Gomes et al. (unregistered distributions, 2020) (2020-06-18)
• SEC v. Barry Honig, et al. (pump and dump, 2020) (2020-03-11)
• SEC v. David Aubel and Robert Raffa (pump and dump, 2020) (2020-01-27)
• SEC v. Bajic et al., Ciapala et al. (unregistered distributions, 2020) (2020-01-10)
• SEC v. S. Paul Kelley, et al. (reverse merger schemes, 2019) (2019-12-20)
• SEC v. Brian Robert Sodi, et al. (newsletter scalping, 2019) (2019-09-19)
• SEC v. Zev Saltsman, et al. (unregistered distributions, 2019) (2019-07-17)