Securities Act s.17(a)
Bans fraud and misleading statements in the offer or sale of securities; two of its three limbs do not require proof of intent. 814 records cite it, filed 2005 to 2026.
Official text: 15 U.S.C. 77q (LII)
Counts
By year filed
- 2005: 1
- 2011: 1
- 2013: 17
- 2014: 16
- 2015: 76
- 2016: 70
- 2017: 90
- 2018: 82
- 2019: 81
- 2020: 58
- 2021: 54
- 2022: 64
- 2023: 77
- 2024: 61
- 2025: 42
- 2026: 24
By agency
- SEC: 813
- OSC: 1
By status
- Settled: 364
- Judgment entered: 350
- Alleged, pending: 86
- Dismissed: 5
- On appeal: 5
- Status unknown: 4
Technique mix
Most recent matched records
- SEC v. Mark D. Hanf and Hoai-Nam Chu Phan (ponzi schemes, 2026)
- SEC v. David T. Gilchrist, Christopher Aaron Novinger and Rebecca Novinger (2026)
- SEC v. Mordechai Haim Ferder, Simba IL Holdings LLC and others (2026)
- SEC v. Frank M. Cerisano Jr. (spoofing, 2026)
- SEC v. Gotbit Consulting LLC a/k/a Gotbit Hedge Fund and Fedor Kedrov (paid crypto market making, 2026)
- SEC v. Aras Investment Business Group S.A.P.I. de C.V. and others (ponzi schemes, 2026)
- SEC v. Michael J. Forster (pump and dump, 2026)
- SEC v. NanoBit Limited, et al. (2026)
- SEC v. Mingran Wang (spoofing, 2026)
- SEC v. Sanders Family Office and others (ponzi schemes, 2026)
- SEC v. Santos Kidd (ponzi schemes, 2026)
- SEC v. Robert Newell and Black Hawk Funding, Inc. (2026)
- SEC v. Voyager Pacific Capital Management, LLC, Roger David Hardcastle and others (ponzi schemes, 2026)
- SEC v. Geoffrey Allen Wall (pump and dump, 2026)
- SEC v. Brent David Willis (2026)
All 814 matched records
- SEC v. Mark D. Hanf and Hoai-Nam Chu Phan (ponzi schemes, 2026)
- SEC v. David T. Gilchrist, Christopher Aaron Novinger and Rebecca Novinger (2026)
- SEC v. Mordechai Haim Ferder, Simba IL Holdings LLC and others (2026)
- SEC v. Frank M. Cerisano Jr. (spoofing, 2026)
- SEC v. Gotbit Consulting LLC a/k/a Gotbit Hedge Fund and Fedor Kedrov (paid crypto market making, 2026)
- SEC v. Aras Investment Business Group S.A.P.I. de C.V. and others (ponzi schemes, 2026)
- SEC v. Michael J. Forster (pump and dump, 2026)
- SEC v. NanoBit Limited, et al. (2026)
- SEC v. Mingran Wang (spoofing, 2026)
- SEC v. Sanders Family Office and others (ponzi schemes, 2026)
- SEC v. Santos Kidd (ponzi schemes, 2026)
- SEC v. Robert Newell and Black Hawk Funding, Inc. (2026)
- SEC v. Voyager Pacific Capital Management, LLC, Roger David Hardcastle and others (ponzi schemes, 2026)
- SEC v. Geoffrey Allen Wall (pump and dump, 2026)
- SEC v. Brent David Willis (2026)
- SEC v. Titanium Capital LLC and Henry Abdo (ponzi schemes, 2026)
- SEC v. Bin Hao and Qidian LLC (ponzi schemes, 2026)
- SEC v. Justin Sun, Tron Foundation Limited, BitTorrent Foundation Ltd., Rainberry, Inc., and DeAndre Cortez Way (wash trading, 2026)
- SEC v. Gerald Shvartsman and others (insider trading, 2026)
- SEC v. Marat Likhtenstein (ponzi schemes, 2026)
- SEC v. Brett Rosen and others (social media ramps, 2026)
- SEC v. Satish Appalakutty and others (ponzi schemes, 2026)
- SEC v. Mark A. Miller, Saeid Jaberian and Christopher J. Rajkaran (pump and dump, 2026)
- SEC v. Muhammad Saad Shoukat and others (fake press releases, 2026)
- SEC v. David Hudzik (unregistered distributions, 2025)
- SEC v. George John Drazenovic (pump and dump, 2025)
- SEC v. Mina Tadrus (ponzi schemes, 2025)
- SEC v. Artur Khachatryan (spoofing, 2025)
- SEC v. Solomon Lichtenstein (ponzi schemes, 2025)
- SEC v. Linh Thuy Le and Trong Hoang Luu (ponzi schemes, 2025)
- SEC v. Agridime, LLC, Jed Wood, and Joshua Link (ponzi schemes, 2025)
- SEC v. Taino Adrian Lopez, Alexander Farhang Mehr, and Maya Rose Burkenroad (ponzi schemes, 2025)
- SEC v. Pathyam Patel (2025)
- SEC v. Justin R. Kimbrough and Prosperity Consultants, LLC (ponzi schemes, 2025)
- SEC v. Allen C. Giltman (fake certificate-of-deposit fraud, 2025)
- SEC v. Henry Paul Regan, Jr. (ponzi schemes, 2025)
- SEC v. Arsalan Rawjani and others (ponzi schemes, 2025)
- SEC v. Austin D. Ellison-Meade (2025)
- SEC v. Daryl F. Heller and others (ponzi schemes, 2025)
- SEC v. Stock Purse Trading LLC and others (ponzi schemes, 2025)
- SEC v. Ryan R. Wear and others (ponzi schemes, 2025)
- SEC v. Ryan N. Cole (spoofing, 2025)
- SEC v. Jose D. Rocha (ponzi schemes, 2025)
- SEC v. Edwin Brant Frost IV and First Liberty Building & Loan LLC (ponzi schemes, 2025)
- SEC v. Edwin Emmett Lickiss, Jr. (ponzi schemes, 2025)
- SEC v. Suyun Gu, et al. (wash trading, 2025)
- SEC v. Diana Mae Fernandez (2025)
- SEC v. William A. Justice, Keith A. Rosenbaum, Brian D. Shibley, and Randell R. Torno (pump and dump, 2025)
- SEC v. Benjamin Ballout and Mohamed Zayed (pump and dump, 2025)
- SEC v. Ongkaruck Sripetch and others (pump and dump, 2025)
- SEC v. Peter Scalise III and The3rdBevco Inc. (unregistered distributions, 2025)
- SEC v. Medallion Financial Corp., Andrew Murstein, Lawrence Meyers, and Ichabod’s Cranium, Inc. (paid stock promotion, 2025)
- SEC v. Kronus Financial Corporation, Finser International Corporation, Andrew H. Jacobus (ponzi schemes, 2025)
- SEC v. Christopher Aubin and others (ponzi schemes, 2025)
- SEC v. Joel J. Natario and Jefferson Scott Baker (ponzi schemes, 2025)
- SEC v. Jenni Yoon Jeong Lee and Evergreen Property Developments LLC (ponzi schemes, 2025)
- SEC v. CLS Global FZC LLC (paid crypto market making, 2025)
- SEC v. Mark A. Miller, Saeid Jaberian and Christopher J. Rajkaran (pump and dump, 2025)
- SEC v. Ronald Pallek (2025)
- SEC v. George N. Demos (insider trading, 2025)
- SEC v. Thurman P. Bryant, III and others (ponzi schemes, 2025)
- SEC v. Charlie Jinan Chen (insider trading, 2025)
- SEC v. Airborne Wireless Network and others (pump and dump, 2025)
- SEC v. John A. Heropoulos (insider trading, 2025)
- SEC v. Naufal Sanaullah (2025)
- SEC v. Eric Zhu (rug pulls, 2025)
- SEC v. Dale B. Chappell, et al. (insider trading, 2024)
- SEC v. Tai Mo Shan Limited (unregistered distributions, 2024)
- SEC v. Ronald Bauer and seven others (pump and dump, 2024)
- SEC v. Zachary Stevenson (spoofing, 2024)
- SEC v. Frederick Tayton Dencer, Luke Abelard Dencer and others (2024)
- SEC v. John S. Clayton and others (insider trading, 2024)
- SEC v. David Banister, et al. (social media ramps, 2024)
- SEC v. Timothy Page, Trevor Page and others (boiler rooms, 2024)
- SEC v. Unisys Corporation (2024)
- SEC v. Brian Quinn and David Skriloff (Environmental Packaging, 2024)
- SEC v. Baris Cabalar (churning, 2024)
- SEC v. Matthew Groom (insider trading, 2024)
- SEC v. CLS Global FZC LLC and Andrey Zhorzhes (paid crypto market making, 2024)
- SEC v. Gotbit Consulting LLC a/k/a Gotbit Hedge Fund and Fedor Kedrov (paid crypto market making, 2024)
- SEC v. Minerco, Inc., Bobby Shumake Japhia, and Julius Makiri Jenge (pump and dump, 2024)
- SEC v. Russell Armand, Maxwell Hernandez, Manpreet Singh Kohli, and Nam Tran (paid crypto market making, 2024)
- SEC v. Vy Pham (paid crypto market making, 2024)
- SEC v. ZM Quant Investment Ltd., Baijun Ou a/k/a Eric Ou, and Ruiqi Lau a/k/a Ricky Liu (paid crypto market making, 2024)
- SEC v. Barry Siegel (insider trading, 2024)
- SEC v. TD Securities (USA) LLC (spoofing, 2024)
- SEC v. Marco Babini, et al. (price manipulation, 2024)
- SEC v. Karina N. Fernandez and others (ponzi schemes, 2024)
- SEC v. Benjamin Ballout, Mohamed Zayed, and William Fielding (pump and dump, 2024)
- SEC v. Joel David Castro Leon and Shmuel A. Sherr (spoofing, 2024)
- SEC v. NanoBit Limited, Radiant Horizons Limited, Sweet Karma Fashion Inc., Zhao Tropical Deli Inc., Jiajie Liu, Fei Liao, and Hua Zhao (2024)
- SEC v. Hunter Haithcock (ponzi schemes, 2024)
- SEC v. Chanon Gordon (2024)
- SEC v. Drew Morgan Ciccarelli (pump and dump, 2024)
- SEC v. Nutra Pharma Corporation, et al. (unregistered distributions, 2024)
- SEC v. Tanner S. Adam, Jonathan L. Adam, Triten Financial Group, LLC and GCZ Global LLC (ponzi schemes, 2024)
- SEC v. FlowPoint Partners, LLC and Peter J. DeCaprio (2024)
- SEC v. Drive Planning, LLC and Russell Todd Burkhalter (ponzi schemes, 2024)
- SEC v. Stephen Durland (pump and dump, 2024)
- SEC v. Kevan Casey, Adrian James, Jonathan Friedlander and Robert Wheat (pump and dump, 2024)
- SEC v. South Bay Acquisitions, LLC and John N. Matson (ponzi schemes, 2024)
- SEC v. Robert Newell and Black Hawk Funding, Inc. (ponzi schemes, 2024)
- SEC v. Eliyahu Weinstein, Aryeh L. Bromberg, Joel L. Wittels, Richard M. Curry, Christopher J. Anderson, Alaa Mohamed Hattab, and Shlomo Erez (ponzi schemes, 2024)
- SEC v. Gene Daniel Levoff (insider trading, 2024)
- SEC v. John J. Kralik V, JKV Capital, LLC and JKV LLC (2024)
- SEC v. Adrian J. Kawuba (ponzi schemes, 2024)
- SEC v. John Brda and Georgios Palikaras (engineered short squeeze, 2024)
- SEC v. Meta Materials, Inc. ( and others (engineered short squeeze, 2024)
- SEC v. Janusz (John) Zukowski and Jerry Samaras (2024)
- SEC v. Mario Gogliormella, Steven Lacaj, and Karim Ibrahim a/k/a/ Chris Hayes (boiler rooms, 2024)
- SEC v. Marc Henry Menard and Laesha Jean-Louis (2024)
- SEC v. HF Foods Group Inc. (2024)
- SEC v. Frank Lynold Mercado and Tiger Wolf Capital, LLC (ponzi schemes, 2024)
- SEC v. Pedram Abraham Mehrian, Strategic Legacy Investment Group, Inc., and SLIG High-Interest Liquid Savings Company (ponzi schemes, 2024)
- SEC v. Nutra Pharma Corp. et al (unregistered distributions, 2024)
- SEC v. Michael M. Beck and Helen Robinson (social media ramps, 2024)
- SEC v. C-Bond Systems, Inc. and Scott Silverman (2024)
- SEC v. Ahmed Alomari and MCM Consulting (paid stock promotion, 2024)
- SEC v. Zachary J. Horwitz (ponzi schemes, 2024)
- SEC v. ClearPath Wealth Management, LLC and Patrick Churchville (ponzi schemes, 2024)
- SEC v. Jason Nielsen (spoofing, 2024)
- SEC v. Ronald Heineman (price manipulation, 2024)
- SEC v. Harmel S. Rayat, RenovaCare, Inc., Jatinder Bhogal (pump and dump, 2024)
- SEC v. Rafael Vargas (2024)
- SEC v. J. Jeremy Barbera, et. al. (2024)
- SEC v. Jonathan Farber, Aarif Jamani, Brian Keasberry (pump and dump, 2024)
- SEC v. Carnovale, et al. (undisclosed control blocks, 2024)
- SEC v. Diana Mae Fernandez (2023)
- SEC v. Agridime LLC, Joshua Link, and Jed Wood (ponzi schemes, 2023)
- SEC v. Dozy Mmobuosi, et al. (financial-statement fraud, 2023)
- SEC v. Titanium Capital LLC and others (ponzi schemes, 2023)
- SEC v. Marc E. Wexler (price manipulation, 2023)
- SEC v. Andrew DeFrancesco, Marlio Mauricio Diaz Cardona, Carlos Felipe Rezk, Nicola Faukovic, and Catherine DeFrancesco (pump and dump, 2023)
- SEC v. Nadim Ahmed et al. (unregistered distributions, 2023)
- SEC v. Laidlaw and Company (UK) Ltd. (churning, 2023)
- SEC v. John A. Masanotti, Jr. and Middlesex Mortgage Group, LLC (ponzi schemes, 2023)
- SEC v. SafeMoon LLC, SafeMoon US LLC, Kyle Nagy, Braden John Karony, Thomas Glenn Smith (wash trading, 2023)
- SEC v. Bruce Schoengood, Medifirst Solutions, Inc., and Joshua Tyrell (unregistered distributions, 2023)
- SEC v. Matthew M. Motil (ponzi schemes, 2023)
- SEC v. Zera Financial LLC and Luis A. Romero (ponzi schemes, 2023)
- SEC v. Bin Hao and Qidian LLC (ponzi schemes, 2023)
- SEC v. John Feloni and Stock Squirrel, Inc. (2023)
- SEC v. Michael Blumer, John Kuprianchik, David Page, Steven Thompson, Joseph Todaro (churning, 2023)
- SEC v. Philip Verges, James D. Tilton, Jr., Robert F. Malin, Linda Malin and Blue Citi, LLC (pump and dump, 2023)
- SEC v. Stephen L. Bailey, Sapphire Exploration LLC, and Harris Exploration Inc. (ponzi schemes, 2023)
- SEC v. Empirex Capital LLC and Rafael Alberto Vargas Gonzalez (ponzi schemes, 2023)
- SEC v. Jon P. Kubler, Kubler Consulting LLC, Aksarben Evolution LLC, AV Bhill LLC, CFH Texas LLC, Green Saddle LLC (ponzi schemes, 2023)
- SEC v. Aras Investment Business Group S.A.P.I. de C.V., Armando Gutierrez Rosas and others (ponzi schemes, 2023)
- SEC v. MFB 111 Investment, LLC and Monise François Bien Aimé (ponzi schemes, 2023)
- SEC v. Rand Heckler (2023)
- SEC v. Esos Rings, Inc. and Michelle Silverstein aka Michelle Silverstein Bisnoff (ponzi schemes, 2023)
- SEC v. George Stubos (undisclosed control blocks, 2023)
- SEC v. Virtu Financial Inc. and Virtu Americas LLC (2023)
- SEC v. Mina Tadrus, et al. (ponzi schemes, 2023)
- SEC v. Jeremy Koski (fake press releases, 2023)
- SEC v. Brady Jack Speers, Chatree Thiranon and GHAP, LLC d/b/a Blue Star Texas (2023)
- SEC v. William V. Conn, Jr. (ponzi schemes, 2023)
- SEC v. Chad Stickforth (2023)
- SEC v. Jose D. Rocha (ponzi schemes, 2023)
- SEC v. Mina Tadrus and Tadrus Capital LLC (ponzi schemes, 2023)
- SEC v. Brent Seaman, Accanito Holdings, LLC, and others (ponzi schemes, 2023)
- SEC v. Robert D. Christensen, Anthony M. Matic and four entities (ponzi schemes, 2023)
- SEC v. James P. Anglim (price manipulation, 2023)
- SEC v. Celsius Network Limited and Alexander "Alex" Mashinsky (price manipulation, 2023)
- SEC v. Joseph Michael Todd, Todd Financial Services, LLC and TFS Insurance Services LLC (2023)
- SEC v. Nayeem Choudhury and Dream Venture Capital Group, LLC (ponzi schemes, 2023)
- SEC v. Costello et al. (paid stock promotion, 2023)
- SEC v. Andrew DeFrancesco, Marlio Mauricio Diaz Cardona, Carlos Felipe Rezk, Nikola Faukovic, and Catherine DeFrancesco (pump and dump, 2023)
- SEC v. Bruce Garelick, Michael Shvartsman, Rocket One Capital LLC, and Gerald Shvartsman (insider trading, 2023)
- SEC v. Wilson Baston (ponzi schemes, 2023)
- SEC v. Vuuzle Media Corp., Vuuzle Media Corp. Limited, Ronald Shane Flynn, and Richard Marchitto (boiler rooms, 2023)
- SEC v. Royal Bengal Logistics, Inc. and Sanjay Singh (ponzi schemes, 2023)
- SEC v. Infinity Q Capital Management, LLC (mismarking, 2023)
- SEC v. Josh S. Verne (2023)
- SEC v. Chimene Van Gundy and others (ponzi schemes, 2023)
- SEC v. Francis Sabo (social media ramps, 2023)
- SEC v. Eleazar Kauderer, GPL Ventures LLC, et al. (paid stock promotion, 2023)
- SEC v. Integrated National Resources, Inc. (WeedGenics), Rolf Max Hirschmann and Patrick Earl Williams (ponzi schemes, 2023)
- SEC v. Thomas Carter Ronk (paid stock promotion, 2023)
- SEC v. Sam A. Antar (ponzi schemes, 2023)
- SEC v. Matthew Bell (CodeSmart price manipulation, 2023)
- SEC v. Charles T. Lawrence, Jr. and others (2023)
- SEC v. Cedric Dewayne Griffin (ponzi schemes, 2023)
- SEC v. Brett M. Bartlett and others (ponzi schemes, 2023)
- SEC v. Carlos Eduardo Reyes Alvarez (wash trading, 2023)
- SEC v. Neil Bergquist; Up and Global SEZC; Coinme, Inc. (unregistered distributions, 2023)
- SEC v. Donald G. Blakstad, Energy Sources International Corporation and Xact Holdings Corporation (2023)
- SEC v. Matthew Nicosia, William Reininger, Fabrizio Di Carlo, and Ronald Touchard (boiler rooms, 2023)
- SEC v. Michael J. French, MJF Holdings, LLC and MJF Capital, LLC (ponzi schemes, 2023)
- SEC v. Darren Ofsink and Michael T. Morris (CodeSmart, 2023)
- SEC v. Carnovale, et al. (undisclosed control blocks, 2023)
- SEC v. Surage Kamal Roshan Perera and Janues Capital Incorporated (ponzi schemes, 2023)
- SEC v. Aaron Cain McKnight and others (2023)
- SEC v. Justin Sun et al. (paid stock promotion, 2023)
- SEC v. Terren S. Peizer and Acuitas Group Holdings, LLC (insider trading, 2023)
- SEC v. BKCoin Management, LLC and Kevin Kang (ponzi schemes, 2023)
- SEC v. Stephen Keith Woodard, Sr. (ponzi schemes, 2023)
- SEC v. Shawn E. Good (ponzi schemes, 2023)
- SEC v. Energy & Environmental Investments, LLC and others (ponzi schemes, 2023)
- SEC v. Paul Anthony Pierce (paid stock promotion, 2023)
- SEC v. Milan Patel (false rumors, 2023)
- SEC v. Austin D. Ellison-Meade (2023)
- SEC v. Charlie Abujudeh (pump and dump, 2023)
- SEC v. Yossi Engel (ponzi schemes, 2023)
- SEC v. Caroline Ellison and Zixiao "Gary" Wang (price manipulation, 2022)
- SEC v. Lawrence Billimek and Alan Williams (front running, 2022)
- SEC v. Edward Constantin, et al. (social media ramps, 2022)
- SEC v. Adrian J. Kawuba (ponzi schemes, 2022)
- SEC v. Douver Torres Braga, Joff Paradise, Keleionalani Akana Taylor and Jonathan Tetreault (ponzi schemes, 2022)
- SEC v. Jeremy K. Rounsville (Arbitraging.co offering fraud, 2022)
- SEC v. Mark Alan Lisser a/k/a Mark Alan a/k/a Mark Allen (boiler rooms, 2022)
- SEC v. Brent David Willis (2022)
- SEC v. National Realty Investment Advisors LLC, Rey E. Grabato II, Daniel Coley O'Brien, Thomas Nicholas Salzano and others (ponzi schemes, 2022)
- SEC v. Justin Costello and David Ferraro (social media ramps, 2022)
- SEC v. Mauricio Chavez, Giorgio Benvenuto and CryptoFX, LLC (ponzi schemes, 2022)
- SEC v. Scott Lindell (mismarking, 2022)
- SEC v. Charles Parrino (false rumors, 2022)
- SEC v. Matthew Nicosia, William Reninger, Fabrizio Di Carlo, and Ronald Touchard (boiler rooms, 2022)
- SEC v. The Hydrogen Technology Corporation, Michael Ross Kane, and Tyler Ostern (paid crypto market making, 2022)
- SEC v. Christian J. Gonzalez (ponzi schemes, 2022)
- SEC v. James T. Patten, Peter L. Coker Sr. and Peter L. Coker Jr. (reverse merger schemes, 2022)
- SEC v. Judith Paris-Pinder (ponzi schemes, 2022)
- SEC v. Brian Lam, NineSquare Capital Partners LLC and others (2022)
- SEC v. James Arthur McDonald, Jr. and Hercules Investments, LLC (ponzi schemes, 2022)
- SEC v. Sheng Fu and Ming Xu (insider trading, 2022)
- SEC v. Gabriel Edelman, Creative Advancement LLC and Edelman Blockchain Advisors LLC (ponzi schemes, 2022)
- SEC v. Harmel S. Rayat, RenovaCare, Inc., Jatinder Bhogal, Jeetenderjit Singh Sidhu, and Sharon Fleming (newsletter scalping, 2022)
- SEC v. Nicolas Arkells (unregistered distributions, 2022)
- SEC v. Lee Simmons (price manipulation, 2022)
- SEC v. Sergei Polevikov (front running, 2022)
- SEC v. Rahim Mohamed, Davies ("Dave") Wong, et al. (hijacked account ramping, 2022)
- SEC v. Vladimir Okhotnikov and others (ponzi schemes, 2022)
- SEC v. Mark Klein, et al. (insider trading, 2022)
- SEC v. Alexandra Robert, Chalala Academy LLC (ponzi schemes, 2022)
- SEC v. Todd Lahr and Thomas Megas (ponzi schemes, 2022)
- SEC v. Bruce Schoengood, Medifirst Solutions, Inc., and Joshua Tyrell (paid stock promotion, 2022)
- SEC v. John David McAfee and Jimmy Gale Watson, Jr. (newsletter scalping, 2022)
- SEC v. Hugh Lee Sweeney (insider trading, 2022)
- SEC v. John W. Pauciulo, Esq. (2022)
- SEC v. Justin R. Kimbrough, Terry Nikopoulos and others (ponzi schemes, 2022)
- SEC v. StraightPath Venture Partners LLC, et al. (2022)
- SEC v. Vali Management Partners (Avalon FA Ltd), Nathan Fayyer and Sergey Pustelnik (layering, 2022)
- SEC v. Michael Mooney, Britt Wright and Penny Flippen (2022)
- SEC v. Patrick Churchville, et al. (ponzi schemes, 2022)
- SEC v. Stubos, et al. (undisclosed control blocks, 2022)
- SEC v. Andrew M. Middlebrooks, et al. (2022)
- SEC v. Wynn Charlebois et al. (ponzi schemes, 2022)
- SEC v. Jillian Sidoti (undisclosed control blocks, 2022)
- SEC v. Manuel A. Romero (ponzi schemes, 2022)
- SEC v. TKO Farms, Inc., Agravitae, Inc., Kenneth Owen and others (undisclosed control blocks, 2022)
- SEC v. Derek J. Slattery and TradeSmart Software RIC Corporation (2022)
- SEC v. Mark Marchi (ponzi schemes, 2022)
- SEC v. American Equities, Inc., American Eagle Mortgage Management, LLC, Ross C. Miles and Maureen T. Wile (ponzi schemes, 2022)
- SEC v. Domenic Calabrigo, Curtis Lehner, Courtney Vasseur and Hasan Sario (pump and dump, 2022)
- SEC v. Damon Elliott, et al. (ponzi schemes, 2022)
- SEC v. Dean Shah et al. (undisclosed control blocks, 2022)
- SEC v. Ronald Bauer and seven others (pump and dump, 2022)
- SEC v. Justin Wallace Herman, Anthony Michael Baker, Ian Horn, and Island Capital Inc (boiler rooms, 2022)
- SEC v. Anthony Salandra (false rumors, 2022)
- SEC v. Julie Minuskin, Joshua Stoll, Dennis DiRicco, Tom Casey and Golden Genesis, Inc. (ponzi schemes, 2022)
- SEC v. Francis Biller, et al. (pump and dump, 2022)
- SEC v. Andrew T.E. Coldicutt (pump and dump, 2022)
- SEC v. Global Wholehealth Partners Corp., Charles Strongo, Brian M. Volmer, Joshua Yafa, Jamie M. Yafa, and Empire Associates, Inc. (paid stock promotion, 2022)
- SEC v. Robert Lenard Booth, Michael D'Urso, Daniel T. Wellcome Jr., Alyssa D'Urso, Antonella Chiaramonte, and Jay Garnock) (boiler rooms, 2022)
- SEC v. Michael M. Beck, a/k/a @BigMoneyMike6, and Relief Defendant Helen P. Robinson (newsletter scalping, 2022)
- SEC v. SeeThruEquity, LLC, Ajay Tandon, and Amit Tandon (newsletter scalping, 2022)
- SEC v. Aleksandr Milrud (layering, 2022)
- SEC v. Tanmaya Kabra et al. (ponzi schemes, 2022)
- SEC v. Vladislav Kliushin, Nikolai Rumiantcev, Mikhail Irzak, Igor Sladkov, and Ivan Yermakov (hack to trade, 2021)
- SEC v. Auzins (unregistered distributions, 2021)
- SEC v. Carnovale, et al. (undisclosed control blocks, 2021)
- SEC v. Guy Scott Griffithe and Robert William Russell (ponzi schemes, 2021)
- SEC v. ProPetro Holding Corp. and Dale Redman (2021)
- SEC v. David P. Godwin (financial statement fraud, 2021)
- SEC v. Mark A. Miller, Saeid Jaberian and Christopher J. Rajkaran (pump and dump, 2021)
- SEC v. BNZ One Capital, LLC, et al. (ponzi schemes, 2021)
- SEC v. Ann M. Vick (2021)
- SEC v. Denis Georgiyevich Sotnikov, et al. (fake certificate-of-deposit fraud, 2021)
- SEC v. Steven M. Gallagher, a/k/a "Alexander Delarge" (social media ramps, 2021)
- SEC v. Steven Pagartanis (ponzi schemes, 2021)
- SEC v. Keith A. Wakefield (unauthorized trading and fictitious commissions, 2021)
- SEC v. Gregory L. Ciccone, et al. (2021)
- SEC v. Sky Group, et al. (ponzi schemes, 2021)
- SEC v. Jaeson Birnbaum (2021)
- SEC v. Suyun Gu, et al. (wash trading, 2021)
- SEC v. Timothy Page et al., Daniel Cattlin and William R. Shupe (boiler rooms, 2021)
- SEC v. Xuepeng Xie (layering, 2021)
- SEC v. Frantz Simeon and First Black Enterprises, Inc. (ponzi schemes, 2021)
- SEC v. Simon Piers Thurlow, Roger Fidler and others (reverse merger schemes, 2021)
- SEC v. Cavco Industries, Inc., Joseph Stegmayer, and Daniel Urness, Robert Scott Parkhurst (insider trading, 2021)
- SEC v. Zeeshawn S. Zia (boiler rooms, 2021)
- SEC v. Steven Fitzgerald Brown (ponzi schemes, 2021)
- SEC v. Andrew L. Fassari (social media ramps, 2021)
- SEC v. John J. Woods, Livingston Group Asset Management Company d/b/a Southport Capital, and Horizon Private Equity, III, LLC (ponzi schemes, 2021)
- SEC v. Ahmad Haris Tajyar and Eric Leo Marsoubian (marking the close, 2021)
- SEC v. Martin Adrian Ruiz, et al. (2021)
- SEC v. MJ Capital Funding, LLC, et al, (ponzi schemes, 2021)
- SEC v. Live Ventures Incorporated et al. (financial reporting fraud, 2021)
- SEC v. George Heckler (2021)
- SEC v. Charlie Abujudeh (pump and dump, 2021)
- SEC v. Outdoor Capital Partners, LLC (ponzi schemes, 2021)
- SEC v. Profit Connect Wealth Services, Inc., et al. (2021)
- SEC v. Jonathan Mimun a/k/a Jonathan Maymon and Ronn BenHarav (boiler rooms, 2021)
- SEC v. Ron Phillips (matched orders, 2021)
- SEC v. Matthew J. Skinner, et al. (2021)
- SEC v. Mark A. Miller (fake press releases, 2021)
- SEC v. Edgar M. Radjabli, Apis Capital Management LLC and My Loan Doctor LLC (sham tender offers, 2021)
- SEC v. The Estate of Kenneth J. Casey (ponzi schemes, 2021)
- SEC v. LFS Funding Limited Partnership, Stephen Thompson, Steven Comisar, Dale Engelhardt and Ross Erskine (undisclosed control blocks, 2021)
- SEC v. David N. Osegueda, et al. (pump and dump, 2021)
- SEC v. Gregory Altieri (ponzi schemes, 2021)
- SEC v. Ubong Uboh and Tyler Crockett (pump and dump, 2021)
- SEC v. Edward J. Kosinski (insider trading, 2021)
- SEC v. Zachary J. Horwitz, et al. (ponzi schemes, 2021)
- SEC v. Seth P. Levine (2021)
- SEC v. Shawn C. Cutting (2021)
- SEC v. EarthSource Minerals International, LLC et al. (ponzi schemes, 2021)
- SEC v. Bruce Schoengood, Medifirst Solutions, Inc. and Joshua Tyrell (paid stock promotion, 2021)
- SEC v. James T. Booth (ponzi schemes, 2021)
- SEC v. Isaiah L. Goodman (2021)
- SEC v. CR Intrinsic Investors, et al. (insider trading, 2021)
- SEC v. Vuuzle Media Corp., Ronald Shane Flynn, and Richard Marchitto (boiler rooms, 2021)
- SEC v. Gregory Altieri (ponzi schemes, 2020)
- SEC v. Barton S. Ross (false rumors, 2020)
- SEC v. J. Jeremy Barbera, Carl Smith, and Nanobeak Biotech Inc. (2020)
- SEC v. Mark Alan Lisser a/k/a Mark Alan a/k/a Mark Allen (boiler rooms, 2020)
- SEC v. Garrett M. O'Rourke and Michael J. Black (pump and dump, 2020)
- SEC v. Craig Rumbaugh, et al. (2020)
- SEC v. American Portfolios Financial Services, Inc. and American Portfolios Advisors, Inc. (2020)
- SEC v. Ieremenko et al.: settlements with Cho, Olefir and Capyield (hack to trade, 2020)
- SEC v. Terrence Chalk, et al. (2020)
- SEC v. Paul Horton Smith, Sr. and others (ponzi schemes, 2020)
- SEC v. Jillian Sidoti (undisclosed control blocks, 2020)
- SEC v. Rudden, et al. (ponzi schemes, 2020)
- SEC v. Alexander Rowland (2020)
- SEC v. McAfee et al. (paid stock promotion, 2020)
- SEC v. Drew Morgan Ciccarelli (pump and dump, 2020)
- SEC v. Joel Stohlman, et al. (matched orders, 2020)
- SEC v. Michael Staisil (ponzi schemes, 2020)
- SEC v. Thomas J. Gity, et al. (2020)
- SEC v. Todd W. Mixon (2020)
- SEC v. J.P. Morgan Securities LLC (layering and spoofing, 2020)
- SEC v. Lewis I. Wallach (ponzi schemes, 2020)
- SEC v. Craig A. Zabala (2020)
- SEC v. PowerTradersPress.com, Inc., et al. (boiler rooms, 2020)
- SEC v. Robert Hoddes Jacobs (insider trading, 2020)
- SEC v. Scott Allen Fries (2020)
- SEC v. Frederick Mintz and Alan Fraade (undisclosed control blocks, 2020)
- SEC v. Ryan Felton, FLiK, and CoinSpark (price manipulation, 2020)
- SEC v. Peter DiChiara (reverse merger schemes, 2020)
- SEC v. Steven Fitzgerald Brown (ponzi schemes, 2020)
- SEC v. Victor Lee Farias and Integrity Aviation & Leasing, LLC (ponzi schemes, 2020)
- SEC v. Michelle Dipp (2020)
- SEC v. Todd Lahr and Thomas Megas (ponzi schemes, 2020)
- SEC v. Gomes et al. (unregistered distributions, 2020)
- SEC v. Dubovoy et al.: settlements with eight defendants (hack to trade, 2020)
- SEC v. Jason C. Nielsen (pump and dump, 2020)
- SEC v. Daniel F. Putnam, et al. (2020)
- SEC v. Clinton Maurice Tucker II (boiler rooms, 2020)
- SEC v. Damon Elliott, et al. (ponzi schemes, 2020)
- SEC v. Wei Duan (insider trading, 2020)
- SEC v. Aequitas Management, LLC, et al. (ponzi schemes, 2020)
- SEC v. Barry R. Bekkedam (2020)
- SEC v. Ieremenko et al.: settlements with Kwon and Sabodakha (hack to trade, 2020)
- SEC v. David M. Mahan (insider trading, 2020)
- SEC v. Denis Georgiyevich Sotnikov, et al. (fake certificate-of-deposit fraud, 2020)
- SEC v. Barry Honig, et al. (pump and dump, 2020)
- SEC v. Kit Mun Chan, Lau Kean Chong, Chong Poui Fan, Binji Lu, and Youn Chien Wong (matched orders, 2020)
- SEC v. EquiAlt LLC, et al. (2020)
- SEC v. Charlie Jinan Chen and Shui Foon Mok (insider trading, 2020)
- SEC v. Edward E. Matthes (2020)
- SEC v. David Aubel and Robert Raffa (pump and dump, 2020)
- SEC v. Jeffrey P. Carpoff and Paulette Carpoff (ponzi schemes, 2020)
- SEC v. Benjamin L. Bunker, Esq. (pump and dump, 2020)
- SEC v. Guy Scott Griffithe, et al. (2020)
- SEC v. Drake et al., Messier et al., Brooks (boiler rooms, 2020)
- SEC v. Lidingo Holdings, LLC, et al. (paid stock promotion, 2020)
- SEC v. Bajic et al., Ciapala et al. (unregistered distributions, 2020)
- SEC v. John James Sheehan, Jr. (ponzi schemes, 2020)
- SEC v. Donald G. Blakstad (2020)
- SEC v. Retirement Surety LLC Crescendo Financial LLC Rose and others (unregistered distributions, 2019)
- SEC v. Robert A. Karmann (ponzi schemes, 2019)
- SEC v. Sam A. Antar (2019)
- SEC v. Christopher Collins, et al. (insider trading, 2019)
- SEC v. David F. Bandimere (ponzi schemes, 2019)
- SEC v. Ruless Pierre a/k/a Rules Pierre (ponzi schemes, 2019)
- SEC v. David N. Osegueda, et al. (pump and dump, 2019)
- SEC v. Richard Eden, Christopher Neumann and Dale Pearlman (matched orders, 2019)
- SEC v. DFRF Enterprises LLC, et al. (ponzi schemes, 2019)
- SEC v. Bryan Cohen and George Nikas (insider trading, 2019)
- SEC v. Michael J. Starkweather and Andiamo Corporation, William White (matched orders, 2019)
- SEC v. Eric J. "EJ" Dalius et al. (ponzi schemes, 2019)
- SEC v. Lek Securities Corporation and Samuel Lek (layering, 2019)
- SEC v. Gil Beserglik, et al. (boiler rooms, 2019)
- SEC v. James T. Booth (ponzi schemes, 2019)
- SEC v. Andres Fernandez and Edison Denizard (ponzi schemes, 2019)
- SEC v. Chip Hackley (matched orders, 2019)
- SEC v. George Matin (matched orders, 2019)
- SEC v. Harold Minsky (matched orders, 2019)
- SEC v. William M. Apostelos, et al. (ponzi schemes, 2019)
- SEC v. Benjamin Conde, with Essex Global Investment Corp. and Facultas Capital Management, Inc. as relief defendants (boiler rooms, 2019)
- SEC v. Brian Robert Sodi, et al. (newsletter scalping, 2019)
- SEC v. Mediatrix Capital Inc., et al. (2019)
- SEC v. Bio Defense Corporation, et al. (boiler rooms, 2019)
- SEC v. Abner Silva (2019)
- SEC v. Executive Financial Services, Inc. (ponzi schemes, 2019)
- SEC v. Morrie Tobin et al. (undisclosed control blocks, 2019)
- SEC v. Terry Wayne Kelly and Kelly Management, LLC (ponzi schemes, 2019)
- SEC v. Jehu Hand, et al. (pump and dump, 2019)
- SEC v. Samuel Brown, et al. (price manipulation, 2019)
- SEC v. Mark E. Burns (price manipulation, 2019)
- SEC v. Reginald Middleton and Veritaseum (price manipulation, 2019)
- SEC v. Tanmaya Kabra, et al. (2019)
- SEC v. Imran Husain, et al. (shell factories, 2019)
- SEC v. Carol J. Wayland, et al. (boiler rooms, 2019)
- SEC v. Garrett M. O'Rourke and Michael J. Black (pump and dump, 2019)
- SEC v. Jun Ying (insider trading, 2019)
- SEC v. William J. Milles, Jr. and Donald J. Lutzko (ponzi schemes, 2019)
- SEC v. Zev Saltsman, et al. (unregistered distributions, 2019)
- SEC v. Henry J. Wieniewitz, III, et al. (ponzi schemes, 2019)
- SEC v. Talman Harris and Victor Alfaya (boiler rooms, 2019)
- SEC v. Amrit J. S. Chahal (2019)
- SEC v. Henry Sargent, Joseph Tomasek, Patrick Giordano, Frederick Mintz and Alan Fraade (undisclosed control blocks, 2019)
- SEC v. Matthew A. Krimm, et al. (2019)
- SEC v. Avi Chiat (2019)
- SEC v. Landon M. Smith (ponzi schemes, 2019)
- SEC v. Andrew J. Kandalepas (marking the close, 2019)
- SEC v. Edward Lee Moody, Jr. (ponzi schemes, 2019)
- SEC v. Kit Mun Chan, Lau Kean Chong, Chong Poui Fan, Binji Lu, and Youn Chien Wong (matched orders, 2019)
- SEC v. Raymond Starker (insider trading, 2019)
- SEC v. Wedbush Securities, Inc. (2019)
- SEC v. Industrial and Commercial Bank of China Financial Services LLC (2019)
- SEC v. Longfin Corp. and Venkata S. Meenavalli, Longfin et. al (unregistered distributions, 2019)
- SEC v. James E. Hocker (ponzi schemes, 2019)
- SEC v. Syed Arham Arbab, Artis Proficio Capital Investments, LLC, and Artis Proficio Capital Management, LLC (ponzi schemes, 2019)
- SEC v. Craig H. Carton, et al. (ponzi schemes, 2019)
- SEC v. Robert C. Morgan (ponzi schemes, 2019)
- SEC v. Howard M. Appel (float locking, 2019)
- SEC v. Jonathan H. Seigel, et al. (ponzi schemes, 2019)
- SEC v. David N. Osegueda, Ishmail Calvin Ross, aka Calvin Ross, Zachary R. Logan, and Jessica Snyder, fka Jessica Gutierrez (pump and dump, 2019)
- SEC v. Rocco Roveccio (churning, 2019)
- SEC v. Christopher D. Dougherty, et al. (ponzi schemes, 2019)
- SEC v. Anthony C. Zufelt (ponzi schemes, 2019)
- SEC v. David M. Loflin (pump and dump, 2019)
- SEC v. Quentin Louis Wilcox (insider trading, 2019)
- SEC v. Ivan Acevedo & Dane R. Roseman (ponzi schemes, 2019)
- SEC v. Jeffrey Gainer (ponzi schemes, 2019)
- SEC v. Scott Newsholme (2019)
- SEC v. Carol Ann Pedersen (ponzi schemes, 2019)
- SEC v. Kent R.E. Whitney, David Lee Parrish, The Church for the Healthy Self a/k/a CHS Trust, and CHS Asset Management Inc. (ponzi schemes, 2019)
- SEC v. William Neil "Doc" Gallagher, Gallagher Financial Group, Inc., and W. Neil Gallagher, Ph.D. Agency, Inc. (ponzi schemes, 2019)
- SEC v. William C. Gennity (churning, 2019)
- SEC v. Demitrios Hallas (2019)
- SEC v. Walter C. Little and Andrew M. Berke (insider trading, 2019)
- SEC v. Joseph Frank Vacante (insider trading, 2019)
- SEC v. Gene Daniel Levoff (insider trading, 2019)
- SEC v. Jason McDiarmid, et al. (pump and dump, 2019)
- SEC v. NL Technology, LLC et al. (ponzi schemes, 2019)
- SEC v. Spark Trading Group, LLC and Niket Shah (ponzi schemes, 2019)
- SEC v. Edward Withrow, et al. (2019)
- SEC v. Oleksandr Ieremenko et al. (hack to trade, 2019)
- SEC v. Cherubim Interests, Inc., PDX Partners, Inc., Victura Construction Group, Inc., and Patrick Jevon Johnson (2018)
- SEC v. James E. Cohen and Joseph A. Corazzi (Natural Blue Resources) (undisclosed control blocks, 2018)
- SEC v. The Bank of New York Mellon (2018)
- SEC v. NVC Fund LLC and Frank Ekejija (2018)
- SEC v. David G. Dreslin, Michael Toups and Leslie Toups (2018)
- SEC v. Fifth Street Management, LLC (2018)
- SEC v. Eric T. Landis et al. (matched orders, 2018)
- SEC v. Morrie Tobin et al. (paid stock promotion, 2018)
- SEC v. Craig H. Carton, et al. (ponzi schemes, 2018)
- SEC v. SeeThruEquity, LLC et al. (newsletter scalping, 2018)
- SEC v. Citibank, N.A. (2018)
- SEC v. Philip Thomas Kueber (undisclosed control blocks, 2018)
- SEC v. Mark E. Fisher and Joseph F. Capuozzo (pump and dump, 2018)
- SEC v. Zachary S. Berkey (churning, 2018)
- SEC v. Merrill, et al. (ponzi schemes, 2018)
- SEC v. Dennis Wayne Hamilton (insider trading, 2018)
- SEC v. Todd Elliott Hitt, et al. (2018)
- SEC v. Edward J. Kosinski (insider trading, 2018)
- SEC v. Jehu Hand and Antonio Katz (pump and dump, 2018)
- SEC v. NL Technology, LLC et al. (ponzi schemes, 2018)
- SEC v. Nutra Pharma Corp. et al (unregistered distributions, 2018)
- SEC v. Thomas Carter Ronk (boiler rooms, 2018)
- SEC v. James Thomas Bramlette, et al. (2018)
- SEC v. CSIR Group, LLC, et al. (paid stock promotion, 2018)
- SEC v. Michael L. LaPenna (2018)
- SEC v. Ernest J. Romer, III (2018)
- SEC v. Barry C. Honig, et al. (pump and dump, 2018)
- SEC v. Jeffrey Goldman and Christopher Eikenberry (2018)
- SEC v. Delaney Equity Group LLC, David C. Delaney and Ian C. Kass (reverse merger schemes, 2018)
- SEC v. Gary S. Williky (insider trading, price manipulation, 2018)
- SEC v. James T. Lentz (insider trading, 2018)
- SEC v. Citigroup Global Markets Inc. and Citigroup Inc. (mismarking, 2018)
- SEC v. Christopher Collins, et al., Lauren Zarksy, Dorothy Zarsky (insider trading, 2018)
- SEC v. John C. Maccoll (ponzi schemes, 2018)
- SEC v. Murakami, et al. (2018)
- SEC v. Howard M. Appel (matched orders, 2018)
- SEC v. Rudden, et al. (ponzi schemes, 2018)
- SEC v. Matthew Brunstrum and Susan Brunstrum (insider trading, 2018)
- SEC v. Yao Li (insider trading, 2018)
- SEC v. Deutsche Bank Trust Company Americas (2018)
- SEC v. Joseph Mangiapane, Jr. (Dynkowski penny stock manipulation, 2018)
- SEC v. Dubovoy, et al. (hack to trade, 2018)
- SEC v. Edward Lee Moody Jr., et. al. (ponzi schemes, 2018)
- SEC v. Alexander Capital, L.P. (churning, 2018)
- SEC v. Richard Weed et al. (reverse merger schemes, 2018)
- SEC v. James E. Hocker (ponzi schemes, 2018)
- SEC v. Joseph A. Fiore, Berkshire Capital Management Company, Inc., and Eat at Joe's, Ltd. (n/k/a SPYR, Inc.) (newsletter scalping, 2018)
- SEC v. Santillo, Parris, LaRocco, Piccarreto and Brenner (ponzi schemes, 2018)
- SEC v. Ralph T. Iannelli and Essex Capital Corporation (ponzi schemes, 2018)
- SEC v. Keith Houlihan (boiler rooms, 2018)
- SEC v. Visium Asset Management, LP (insider trading, 2018)
- SEC v. Eddy U. Marin and Shane R. Spierdowis (pump and dump, 2018)
- SEC v. Small Business Capital Corp. and Mark Feathers (ponzi schemes, 2018)
- SEC v. Christopher R. Esposito, et al. (undisclosed control blocks, 2018)
- SEC v. Diane J. Harrison, Michael J. Daniels and Catherine A. Bradaick-Zolla (shell factories, 2018)
- SEC v. AF Ocean Investment Management Company (reverse merger schemes, 2018)
- SEC v. Andy Z. Fan (fake press releases, 2018)
- SEC v. ChinAmerica Andy Movie Entertainment Media Company (reverse merger schemes, 2018)
- SEC v. Scott Newsholme (2018)
- SEC v. Amrit J. S. Chahal (ponzi schemes, 2018)
- SEC v. Wellness Center USA, Inc. (fake press releases, 2018)
- SEC v. William C. Gennity and Rocco Roveccio (churning, 2018)
- SEC v. The Lifepay Group, Clifton E. Stanley and Michael E. Watts (ponzi schemes, 2018)
- SEC v. Peter H. Pocklington, The Eye Machine LLC and others (boiler rooms, 2018)
- SEC v. Joseph Meli and Craig H. Carton (ponzi schemes, 2018)
- SEC v. Michael Scronic (ponzi schemes, 2018)
- SEC v. Sohrab ("Sam") Sharma and Robert Farkas (unregistered distributions, 2018)
- SEC v. Timary Delorme (pump and dump, 2018)
- SEC v. Joseph Spera, et al. (insider trading, 2018)
- SEC v. Jon E. Montroll and Bitfunder (unregistered distributions, 2018)
- SEC v. Jun Ying (insider trading, 2018)
- SEC v. Robert W. Murray (sham tender offers, 2018)
- SEC v. Steven Metro (insider trading, 2018)
- SEC v. Beaufort Securities Ltd. and others (matched orders, 2018)
- SEC v. Spark Trading Group LLC and Niket Shah (ponzi schemes, 2018)
- SEC v. New York Stock Exchange LLC, NYSE American LLC and NYSE Arca, Inc. (2018)
- SEC v. AmeraTex Energy, Inc., et al (unregistered distributions, 2018)
- SEC v. Analytica Bio-Energy Corp., Douglas Murdock, Luiz Brasil and Marvin Winick (undisclosed control blocks, 2018)
- SEC v. Geoffrey H. Lunn (2018)
- SEC v. Daniel T. Fischer (churning, 2018)
- SEC v. Ash Narayan, The Ticket Reserve Inc. a/k/a Forward Market Media, Inc., Richard M. Harmon, and John A. Kaptrosky (ponzi schemes, 2018)
- SEC v. David S. Haddad, et al. (ponzi schemes, 2018)
- SEC v. Stephen C. Peters, VisionQuest Wealth Management, LLC, VisionQuest Capital, LLC, and VQ Wealth, LLC (ponzi schemes, 2017)
- SEC v. Robert H. Shapiro and Woodbridge Group of Companies (ponzi schemes, 2017)
- SEC v. Ronald A. Fossum, Jr. and Alonzo R. Cahoon (unregistered distributions, 2017)
- SEC v. Jason A. Wallace (boiler rooms, 2017)
- SEC v. Capital Financial Partners, Allen and Daub: final judgments (ponzi schemes, 2017)
- SEC v. Robert W. Murray (sham tender offers, 2017)
- SEC v. The End of the Rainbow Partners and the Estate of Michael F. Anderson (ponzi schemes, 2017)
- SEC v. Joseph Meli, et al. and Craig H. Carton, et al. (ponzi schemes, 2017)
- SEC v. Joseph P. Willner (hijacked account ramping, 2017)
- SEC v. Artemus Mayor (pump and dump, 2017)
- SEC v. Henry Lin-Han Jan (pump and dump, 2017)
- SEC v. James M. Schneider and Andrew H. Wilson (blank check shells, 2017)
- SEC v. Marc A. Celello (ponzi schemes, 2017)
- SEC v. Homero Joshua Garza (ponzi schemes, 2017)
- SEC v. Wayne Weaver (Jammin' Java pump and dump, 2017)
- SEC v. Avaneesh Krishnamoorthy (insider trading, 2017)
- SEC v. Jason McDiarmid, et al. (boiler rooms, 2017)
- SEC v. Micheal A. Skerry (newsletter scalping, 2017)
- SEC v. Laurence M. Torres (churning, 2017)
- SEC v. Naris Chamroonrat (2017)
- SEC v. Craig H. Carton, et al. (ponzi schemes, 2017)
- SEC v. Scott Newsholme (2017)
- SEC v. Richard P. Cedrone, Steven R. Ferris and George R. Thoreson (marking the close, 2017)
- SEC v. Tennstar Energy, Inc., et al. (boiler rooms, 2017)
- SEC v. Lek Securities Corporation, Samuel Lek, Avalon FA Ltd, Nathan Fayyer and Sergey Pustelnik (layering, 2017 ruling)
- SEC v. Dawn J. Bennett and DJB Holdings (ponzi schemes, 2017)
- SEC v. Banca IMI Securities Corp. (2017)
- SEC v. Louis Martin Blazer III (2017)
- SEC v. David Blaszczak, et al. (insider trading, 2017)
- SEC v. Joe Yiu Cheung, a/k/a Dylon de lu Zhang (paid stock promotion, 2017)
- SEC v. Jeffrey D. Martin, Thomas L. Tedrow and others (Mainstream Entertainment pump and dump, 2017)
- SEC v. Karen F. Aalders (pump and dump, 2017)
- SEC v. Sterling Craig Barton (unregistered distributions, 2017)
- SEC v. Joey Stanton Dodson (ponzi schemes, 2017)
- SEC v. Joey Giamichael and Umbrella Research, LLC (newsletter scalping, 2017)
- SEC v. Andrew Farmer, et al. (pump and dump, 2017)
- SEC v. Troy Joseph Flowers, Sean Nevett and Fruition Inc. (undisclosed control blocks, 2017)
- SEC v. Steve G. Blasko (boiler rooms, 2017)
- SEC v. Andrew S. Keck (undisclosed control blocks, 2017)
- SEC v. Christopher A. Conley (undisclosed control blocks, 2017)
- SEC v. Marilyn Stark (undisclosed control blocks, 2017)
- SEC v. Matthew L. Egna (undisclosed control blocks, 2017)
- SEC v. Nigel G. Lindsay (undisclosed control blocks, 2017)
- SEC v. Sarah E. Keck (undisclosed control blocks, 2017)
- SEC v. Diana P. Lovera (boiler rooms, 2017)
- SEC v. James M. Farinella, et al. (matched orders, 2017)
- SEC v. Edwin Yoshihiro Fujinaga and MRI International, Inc., et al. (ponzi schemes, 2017)
- SEC v. Jehu Hand and Antonio Katz (pump and dump, 2017)
- SEC v. Homero Joshua Garza, GAW Miners, LLC, and ZenMiner, LLC (ponzi schemes, 2017)
- SEC v. Adesh Kumar Tyagi (marking the close, 2017)
- SEC v. Harrison Katzen (boiler rooms, 2017)
- SEC v. Mark A. Jones (ponzi schemes, 2017)
- SEC v. William J. Wells and Promitor Capital Management LLC (ponzi schemes, 2017)
- SEC v. Imran Husain, et al. (shell factories, 2017)
- SEC v. Yasuna Murakami and Avi Chiat (ponzi schemes, 2017)
- SEC v. Robert W. Murray (price manipulation, 2017)
- SEC v. Emerald Isle Exploration, Ltd. and Samuell Eads and Lloyd C. Brewer (undisclosed control blocks, 2017)
- SEC v. Walter C. Little and Andrew M. Berke (insider trading, 2017)
- SEC v. William R. Schantz III and Verto Capital Management LLC (ponzi schemes, 2017)
- SEC v. Mark J. Varacchi and Sentinel Growth Fund Management (ponzi schemes, 2017)
- SEC v. Demitrios Hallas (2017)
- SEC v. Kent P. Watts, et al. (unregistered distributions, 2017)
- SEC v. Christopher R. Esposito, et al. (undisclosed control blocks, 2017)
- SEC v. Mustafa David Sayid, Norman Reynolds and Kevin Jasper (pump and dump, 2017)
- SEC v. Lidingo Holdings, LLC, et al., CSIR Group, LLC, et al. (paid stock promotion, 2017)
- SEC v. Craig Keolanui (paid stock promotion, 2017)
- SEC v. Edward Borrelli and Dunedin, Inc. (paid stock promotion, 2017)
- SEC v. Galena Biopharma, Inc. and Mark J. Ahn (unregistered distributions, 2017)
- SEC v. ImmunoCellular Therapeutics, Ltd. (paid stock promotion, 2017)
- SEC v. Joel Corenman (paid stock promotion, 2017)
- SEC v. Lion Biotechnologies, Inc. (paid stock promotion, 2017)
- SEC v. Michael A. McCarthy (paid stock promotion, 2017)
- SEC v. Stephen Ramey (paid stock promotion, 2017)
- SEC v. William Quigley (2017)
- SEC v. Sheldon Rose and MKJJ Consulting LLC (reverse merger schemes, 2017)
- SEC v. Patrick Churchville and ClearPath Wealth Management (ponzi schemes, 2017)
- SEC v. Lek Securities Corporation, Samuel Lek, Avalon FA Ltd, Nathan Fayyer and Sergey Pustelnik (layering, 2017)
- SEC v. FX & Beyond Corporation and Steve H. Karroum (ponzi schemes, 2017)
- SEC v. Raymond H. Barton (fake press releases, 2017)
- SEC v. William G. Goode (unregistered distributions, 2017)
- SEC v. Michael Affa and four others (Amogear pump and dump, 2017)
- SEC v. Mark J. Varacchi and Sentinel Growth Fund Management (ponzi schemes, 2017)
- SEC v. Herman Ronnie Young, Jr. d/b/a Race Cycler (ponzi schemes, 2017)
- SEC v. George N. Krinos (2017)
- SEC v. Cort Poyner et al. (price manipulation, 2017)
- SEC v. Eytan Bar (2017)
- SEC v. MDC Partners Inc. (2017)
- SEC v. Gregory W. Gray, Jr., Archipel Capital and BIM Management (ponzi schemes, 2017)
- SEC v. ITG Inc. (2017)
- SEC v. Douglas Furth (matched orders, 2017)
- SEC v. Naris Chamroonrat and Adam L. Plumer (2016)
- SEC v. Chamroonrat, Plumer, Avnon, Armon and G Six Trading (2017)
- SEC v. Edward F. Panos, et al. (shell factories, 2016)
- SEC v. Gary L. McDuff (ponzi schemes, 2016)
- SEC v. Michael J. Muellerleile, Esq. and M2 Law Professional Corp. (shell factories, 2016)
- SEC v. Shervin Neman and Neman Financial, Inc. (ponzi schemes, 2016)
- SEC v. Blackbird Capital Partners, Kelley and Shumway (ponzi schemes, 2016)
- SEC v. Capital Financial Partners, Allen and Daub: guilty pleas (ponzi schemes, 2016)
- SEC v. Sanjay Valvani and Gordon Johnston (insider trading, 2016)
- SEC v. Steven R. Markusen and Jay C. Cope (marking the close, 2016)
- SEC v. Dubovoy, et al. (hack to trade, 2016)
- SEC v. Daniel Christian Stanley Powell (ponzi schemes, 2016)
- SEC v. Nicholas H. Shermeta and Napa Properties, LLC (2016)
- SEC v. Michael L. Reger (undisclosed control blocks, 2016)
- SEC v. Artis Capital Management, L.P. and Michael W. Harden (insider trading, 2016)
- SEC v. Ikenna Ikokwu and his firms (2016)
- SEC v. Jason W. Galanis, et al. (matched orders, 2016)
- SEC v. Louis T. Buonocore, Jeremy R. Draper, Frank J. Morelli, III, Berardino "Dino" Paolucci, Jr. and Don L. Rose (matched orders, 2016)
- SEC v. Marcus A. Luna, et al. (boiler rooms, 2016)
- SEC v. Vladimir Eydelman and Steven Metro (insider trading, 2016)
- SEC v. Nino Coppero del Valle et al. (insider trading, 2016)
- SEC v. Craig V. Sizer, and Miguel Mesa (boiler rooms, 2016)
- SEC v. Jason A. Wallace (boiler rooms, 2016)
- SEC v. Frank Tamayo (insider trading, 2016)
- SEC v. Mark A. Jones (ponzi schemes, 2016)
- SEC v. Cliffe R. Bodden (2016)
- SEC v. Fusion Pharm, Inc. (undisclosed control blocks, 2016)
- SEC v. Microcap Management LLC, Bayside Realty Holdings LLC and Meadpoint Venture Partners, LLC (undisclosed control blocks, 2016)
- SEC v. William J. Sears (undisclosed control blocks, 2016)
- SEC v. BOKF, NA (2016)
- SEC v. Dennis W. Hamilton (insider trading, 2016)
- SEC v. Dennis Wayne Hamilton (insider trading, 2016)
- SEC v. Richard Weed, Coleman Flaherty III and Thomas Brazil (pump and dump, 2016)
- SEC v. Patrick Churchville and ClearPath Wealth Management (ponzi schemes, 2016)
- SEC v. Edward J. Kosinski (insider trading, 2016)
- SEC v. Dubovoy et al.: Leonid Momotok guilty plea (hack to trade, 2016)
- SEC v. Diane D. Dalmy, Esq. (unregistered distributions, 2016)
- SEC v. Jeffery A. McCollum and JNL Oilfield Instruments, LLC (ponzi schemes, 2016)
- SEC v. Traffic Monsoon and Charles Scoville (ponzi schemes, 2016)
- SEC v. Deven Sellers and Roland Barrera (ponzi schemes, 2016)
- SEC v. Malcolm Segal (ponzi schemes, 2016)
- SEC v. Idris D. Mustapha (hijacked account ramping, 2016)
- SEC v. Mitchell Brown (pump and dump, 2016)
- SEC v. StratoComm Corporation, et al. (unregistered distributions, 2016)
- SEC v. Andrew K. Proctor, et al. (2016)
- SEC v. Providence Financial Investments, Inc., Providence Fixed Income Fund, LLC, Jeffory Churchfield, and Jack Jarrell (unregistered distributions, 2016)
- SEC v. Vinay Kumar Nevatia (2016)
- SEC v. JSG Capital Investments, Gill and Rios (ponzi schemes, 2016)
- SEC v. Christopher R. Esposito, et al. (undisclosed control blocks, 2016)
- SEC v. David B. Kaplan and Synchronized Organizational Solutions (ponzi schemes, 2016)
- SEC v. Imran Husain, et al. (shell factories, 2016)
- SEC v. Louis Martin Blazer III (2016)
- SEC v. Richard St. Julien et al. (paid stock promotion, 2016)
- SEC v. Asher Z. Zwebner, Luke C. Zouvas and others (pump and dump, 2016)
- SEC v. Sky Capital LLC, Ross Mandell and others (boiler rooms, 2016)
- SEC v. Ener1, Inc. (2016)
- SEC v. Ariel Quiros, William Stenger and Jay Peak (ponzi schemes, 2016)
- SEC v. Town of Ramapo and others (municipal bond disclosure, 2016)
- SEC v. William E. Mapp, III, et al. (paid stock promotion, 2016)
- SEC v. David Aubel and Robert Raffa (pump and dump, 2016)
- SEC v. Arcturus Corporation, et al. (unregistered distributions, 2016)
- SEC v. Daniel Rivera, Matthew Rivera and Robbins Lane (ponzi schemes, 2016)
- SEC v. Guy Gentile (paid stock promotion, 2016)
- SEC v. Gedrey Thompson (ponzi schemes, 2016)
- SEC v. Mark A. Jones (ponzi schemes, 2016)
- SEC v. Aequitas Management, LLC, et al. (ponzi schemes, 2016)
- SEC v. Steven Fishoff, et al. (insider trading, 2016)
- SEC v. L&L Energy, Inc. and Dickson Lee, CPA (undisclosed control blocks, 2016)
- SEC v. Randy A. Hamdan and Oracle Consultants, LLC (fake press releases, 2016)
- SEC v. Zavodchiko et al. (hack to trade, 2016)
- SEC v. Michael J. Ling (marking the close, 2015)
- SEC v. Morgan Stanley Investment Management Inc. and Sheila Huang (prearranged client cross trades, 2015)
- SEC v. Traci J. Anderson, Timothy W. Carnahan and CYIOS Corporation (2015)
- SEC v. Oxford City Football Club, Inc. and Thomas Anthony Guerriero (boiler rooms, 2015)
- SEC v. Jehu Hand and Antonio Katz (pump and dump, 2015)
- SEC v. Trudy R. Gilmond (ponzi schemes, 2015)
- SEC v. Homero Joshua Garza, GAW Miners and ZenMiner (ponzi schemes, 2015)
- SEC v. James A. Torchia and Credit Nation Capital (ponzi schemes, 2015)
- SEC v. Abraxas J. Discala, Marc E. Wexler, Matthew A. Bell, Craig L. Josephberg, and Ira Shapiro (reverse merger schemes, 2015)
- SEC v. William M. Apostelos and WMA Enterprises (ponzi schemes, 2015)
- SEC v. Diverse Financial Corp., Dekel and Kandell (ponzi schemes, 2015)
- SEC v. Mary Beth Knight and Rebecca Norton (insider trading, 2015)
- SEC v. James N. Fry (2015)
- SEC v. Joseph Catapano and Michael Piervinanzi (price manipulation, 2015)
- SEC v. Vladimir Eydelman (insider trading, 2015)
- SEC v. Craig Danzig (unregistered distributions, 2015)
- SEC v. Andrew Farmer, et al. (pump and dump, 2015)
- SEC v. Allen Ross Smith (unregistered distributions, 2015)
- SEC v. Briargate Trading, LLC and Eric Oscher (spoofing, 2015)
- SEC v. Garfield Taylor, Jeffrey King and Gibraltar Asset Management (ponzi schemes, 2015)
- SEC v. Commodore Financial Corp., et al. (boiler rooms, 2015)
- SEC v. Spencer Pharmaceutical Inc., Jean-François Amyot and others (pump and dump, 2015)
- SEC v. David P. Godwin and Anthony G. Roth (financial statement fraud, 2015)
- SEC v. Charles Riel III and REinvest LLC (2015)
- SEC v. iShopNoMarkup.com, Inc. (unregistered distributions, 2015)
- SEC v. Jason W. Galanis (matched orders, 2015)
- SEC v. Frank Morelli III and Louis Buonocore (undisclosed control blocks, 2015)
- SEC v. 8000, Inc., Jonathan E. Bryant, Thomas J. Kelly, and Carl N. Duncan, Esq. (fake press releases, 2015)
- SEC v. Dubovoy, et al. (hack to trade, 2015)
- SEC v. Marco Babini et al. (pump and dump, 2015)
- SEC v. Benjamin Wey, et al. (reverse merger schemes, 2015)
- SEC v. Bennett Group Financial Services, LLC and Dawn J. Bennett (2015)
- SEC v. Timothy M. Roberts, Terrance F. Taylor, and Craig Constantinou (unregistered distributions, 2015)
- SEC v. Manny J. Shulman and David K. Hirschman (undisclosed control blocks, 2015)
- SEC v. Kevin McDonnell (undisclosed control blocks, 2015)
- SEC v. Moshe Yehuda Dunoff (boiler rooms, 2015)
- SEC v. Citigroup Global Markets, Inc. (2015)
- SEC v. Citigroup Alternative Investments LLC and Citigroup Global Markets Inc. (2015)
- SEC v. Total Wealth Management and Jacob Keith Cooper (2015)
- SEC v. Judy K. Wolf (2015)
- SEC v. Harold Bailey "B.J." Gallison II et al. (paid stock promotion, 2015)
- SEC v. Frank Tamayo (insider trading, 2015)
- SEC v. Gerard Boudreault (insider trading, 2015)
- SEC v. Luca International Group, Yang and others (ponzi schemes, 2015)
- SEC v. Malcolm Segal (ponzi schemes, 2015)
- SEC v. DFRF Enterprises, Filho and others (ponzi schemes, 2015)
- SEC v. Peter Voutsas (undisclosed control blocks, 2015)
- SEC v. Equity Trust Company (2015)
- SEC v. Capital Financial Partners, Allen and Daub: criminal charges (ponzi schemes, 2015)
- SEC v. Charles Raymond Langston III, CRL Management, LLC, and Guarantee Reinsurance, Ltd. (insider trading, 2015)
- SEC v. Spectrum Concepts, LLC Worswick and others (unregistered distributions, 2015)
- SEC v. Adam S. Gottbetter, Mitchell G. Adam, and K. David Stevenson (pump and dump, 2015)
- SEC v. Luis Chang and Everbright Development Overseas, Limited (sham tender offers, 2015)
- SEC v. Mike Taxon and Itamar Cohen (paid stock promotion, 2015)
- SEC v. Veros Partners, Haab, Risinger and Senefeld (ponzi schemes, 2015)
- SEC v. Joseph John Labadia (unregistered distributions, 2015)
- SEC v. eCareer Holdings, Inc., eCareer, Inc., Joseph J. Azzata, Dean A. Esposito, Joseph DeVito, and Frederick J. Birks, et al. (boiler rooms, 2015)
- SEC v. Edward T. Farmer (undisclosed control blocks, 2015)
- SEC v. Kevin D. Miller (undisclosed control blocks, 2015)
- SEC v. Ronald A. Warren (undisclosed control blocks, 2015)
- SEC v. William J. Gaffney (undisclosed control blocks, 2015)
- SEC v. James A. Evans, Jr., d/b/a Cashflowbot.com, d/b/a DollarMonster (ponzi schemes, 2015)
- SEC v. Capital Financial Partners, Allen and Daub (ponzi schemes, 2015)
- SEC v. David Craven and Alexander J. Craven (pump and dump, 2015)
- SEC v. Gregory W. Gray, Jr., et al. (ponzi schemes, 2015)
- SEC v. David Craven and Alexander J. Craven (pump and dump, 2015)
- SEC v. Julieann Palmer Martin (ponzi schemes, 2015)
- SEC v. Gary S. Williky (insider trading, 2015)
- SEC v. John A. Geringer and GLR Advisors (ponzi schemes, 2015)
- SEC v. Kristine L. Johnson, Troy A. Barnes and Work With Troy Barnes, Inc. (ponzi schemes, 2015)
- SEC v. Fujinaga and MRI International (ponzi schemes, 2015)
- SEC v. Marlon Quan and Stewardship Investment Advisors, LLC (2015)
- SEC v. Oppenheimer & Co. Inc. (unregistered distributions, 2015)
- SEC v. Loren W. Holzhueter and Insurance Service Center (ponzi schemes, 2015)
- SEC v. Frederic Elm and Elm Tree Investment Advisors (ponzi schemes, 2015)
- SEC v. Aleksandr Milrud (layering, 2015)
- SEC v. Nicholas D. Skaltsounis (ponzi schemes, 2014)
- SEC v. Steven Durrelle Williams (insider trading, 2014)
- SEC v. Thomas and Delsa U. The D. Christopher Capital Management Group, LLC (ponzi schemes, 2014)
- SEC v. Marlon Quan and Stewardship Investment Advisors, LLC (2014)
- SEC v. Eli D. Okman (churning, 2014)
- SEC v. Armand R. Franquelin (ponzi schemes, 2014)
- SEC v. Anthony Coronati and Bidtoask LLC (ponzi schemes, 2014)
- SEC v. Judy K. Wolf (2014)
- SEC v. Wells Fargo Advisors, LLC (insider trading controls, 2014)
- SEC v. Advanced Cell Technology, Inc. (2014)
- SEC v. Erik H. Perry (undisclosed control blocks, 2014)
- SEC v. Montanino and David J. (2014)
- SEC v. Joseph P. Doxey and William J. Daniels (fake press releases, 2014)
- SEC v. New York Stock Exchange LLC and others (2014)
- SEC v. Gonul Colak and Milen K. Kostov (naked short selling debate, 2014)
- SEC v. Richard D. Hicks (ponzi schemes, 2014)
- SEC v. Frank Bluestein (ponzi schemes, 2013)
- SEC v. Julieann Palmer Martin (ponzi schemes, 2013)
- SEC v. Michael Bresner, Ralph Calabro, Jason Konner and Dimitrios Koutsoubos (churning, 2013)
- SEC v. TD Bank, N.A. (2013)
- SEC v. Ricardo Bonilla Rojas (ponzi schemes, 2013)
- SEC v. North East Capital and LLCand Anthony T. Vicidomine (unregistered distributions, 2013)
- SEC v. Joseph Hilton a/k/a Joseph Yurkin (boiler rooms, 2013)
- SEC v. Bogar, Young and Green (ponzi schemes, 2013)
- SEC v. Jennifer E. Thoennes (ponzi schemes, 2013)
- SEC v. Chicago Board Options Exchange and others (2013)
- SEC v. optionsXpress, Inc., Thomas E. Stern and Jonathan I. Feldman (Regulation SHO, 2013)
- SEC v. Scuderi Group, Inc. and Salvatore Scuderi (unregistered distributions, 2013)
- SEC v. Larry Michael Parrish (ponzi schemes, 2013)
- SEC v. Sean Nathan Healy (ponzi schemes, 2013)
- OSC v. Fernando Honorate Fagundes also known as Henry Roche and New Futures Trading International Corporation (ponzi schemes, 2013)
- SEC v. James S. Tagliaferri (ponzi schemes, 2013)
- SEC v. Kris Chellam (insider trading, 2013)
- SEC v. David W. Baldt (insider trading, 2011)
- SEC v. James F. Glaza d/b/a Falcon Financial Services, Inc. (unregistered distributions, 2005)
What this does not show
These are statutes cited in the record's document where it charges, finds or alleges a violation, not necessarily proven ones. Dismissed and pending matters count as alleged. A release that names no section is not matched, so counts understate use of this provision. The plain-language meaning is a summary, not legal advice.