SEC v. STANFORD INTERNATIONAL BANK LTD, No. 3:09-cv-298, Northern District of Texas (Apr. 7, 2026)
raw: In re Thrivent Investment Management
In re Thrivent Investment Management, No. 3:09-cv-298 (Apr. 7, 2026)
Classified broker-dealer-fraud(confidence 95%). EDGAR detection: forms Form D· recall 29% / precision 9%. detection rule →
Parties
Securities and Exchange CommissionSTANFORD INTERNATIONAL BANK LTD
Keywords
admin procstandalone adminproc mattermatteradminproccivil injunctivestandaloneseccivilinjunctivelr-follow-on adminincllc
Extracted insights
Dollar amounts 9
- $14.90B $14.9 billion ≥$1B
- $9.00B $9 billion ≥$1B
- $5.90B $5.9 billion ≥$1B
- $3.00B $3 billion ≥$1B
- $2.70B $2.7 billion ≥$1B
- $2.30B $2.3 billion ≥$1B
- $1.70B $1.7 billion ≥$1B
- $1.30B $1.3 billion ≥$1B
- $71.00M $71 million $10M–$100M
Entities 7
- person action against baris cabalar
- company action against cumberland drw llc
- company action against palos management inc.
- company action against phx financial, inc.
- company action against thrivent investment management, inc.
- agency sec v. stanford international bank ltd., et al
- person settled administrative proceedings
Triples 11
- SEC v. Stanford International Bank Ltd., et al ordered penalties of $5.9 billion and disgorgement of $9 billion
- SEC instituted settled administrative proceedings
- settled administrative proceedings imposed $2.3 billion in penalties against firms
- firms failed to maintain off-channel communications
- Commission views use of enforcement resources as inappropriate
- SEC filed action against Thrivent Investment Management, Inc.
- SEC filed action against Cumberland DRW LLC
- SEC filed action against Palos Management Inc.
- SEC filed action against PHX Financial, Inc.
- SEC filed action against Baris Cabalar
- subject verb object
Text layers
Extracted body text (69,101c)
ADDENDUM TO
DIVISION OF ENFORCEMENT PRESS RELEASE
FISCAL YEAR 2025
1234
1 Standalone Enforcement Actions is a combined count of Civil Actions and Standalone APs.
2 Of the total for FY 2025, a significant amount arises from orders related to a single action (SEC v. Stanford International
Bank Ltd., et al, No. 3:09-cv-298-N (N.D. Tex. filed Feb. 16, 2009)). The FY 2025 monies ordered from that case are:
penalties of $5.9 billion and disgorgement of $9 billion, for a total of $14.9 billion. Excluding that case, the FY 2025 monies
ordered are: penalties of $1.3 billion and disgorgement of $1.7 billion, for a total of $3 billion ($2.7 billion excluding certain
offsets and certain penalties as set forth in the table).
3 In some cases, the SEC obtains judgments where all or a portion of the amount of disgorgement ordered is deemed
satisfied by a court order in a separate non-SEC action (e.g., a parallel criminal proceeding that orders restitution and/or
forfeiture). This row shows the approximate total of such amounts based on currently available data.
4 From FY 2022 through the early part of FY 2025, the SEC instituted settled administrative proceedings that imposed $2.3
billion in penalties against firms for failing to maintain and preserve off-channel communications, which this Commission
views as representing an inappropriate use of enforcement resources by the prior Commission that did little to advance
investor protection. Of the $2.3 billion total imposed, $71 million was ordered in early FY 2025.
ADDENDUM TO
DIVISION OF ENFORCEMENT PRESS RELEASE
FISCAL YEAR 2025
FISCAL YEAR 2025 ENFORCEMENT CASES
LISTED BY PROGRAM AREA
Case
Name
Type of
Action
Release
No.
Date
Filed
BROKER-DEALER
In the Matter of Thrivent Investment Management, Inc. Standalone Admin. Proc. 34-101234 10/02/24
SEC v. Cumberland DRW LLC Civil Injunctive LR-26151 10/10/24
In the Matter of Palos Management Inc., et al. Standalone Admin. Proc. 34-101324 10/15/24
In the Matter of PHX Financial, Inc. Standalone Admin. Proc. 34-101361 10/16/24
SEC v. Baris Cabalar Civil Injunctive LR-26161 10/16/24
In the Matter of Martin Zizi Follow-on Admin. Proc. 34-101472 10/30/24
In the Matter of J.P. Morgan Securities LLC Standalone Admin. Proc. 33-11324 10/31/24
In the Matter of J.P. Morgan Securities LLC Standalone Admin. Proc. 34-101493 10/31/24
In the Matter of Lion Street Financial, LLC Standalone Admin. Proc. 34-101633 11/15/24
In the Matter of Lightspeed Financial Services Group LLC Standalone Admin. Proc. 34-101705 11/22/24
In the Matter of Paulson Investment Company, LLC Standalone Admin. Proc. 34-101706 11/22/24
In the Matter of Webull Financial LLC Standalone Admin. Proc. 34-101707 11/22/24
SEC v. Brad Hare, et al. Civil Injunctive LR-26181 11/25/24
In the Matter of Industrial and Commercial Bank of China Financial
Services LLC
Standalone Admin. Proc. 34-101794 12/02/24
In the Matter of Brad Hare Follow-on Admin. Proc. 34-101859 12/10/24
In the Matter of Mammoth West Corporation Follow-on Admin. Proc. 34-101861 12/10/24
SEC v. Christopher Booth Kennedy Civil Injunctive LR-26191 12/10/24
In the Matter of David Harry-Nelson Austin Follow-on Admin. Proc. 34-101926 12/16/24
In the Matter of SogoTrade, Inc. Standalone Admin. Proc. 34-101936 12/17/24
In the Matter of David Chong Kyi Standalone Admin. Proc. 34-101937 12/17/24
In the Matter of Christopher S. Knight Follow-on Admin. Proc. 34-101981 12/19/24
In the Matter of John N. Matson Follow-on Admin. Proc. 34-102021 12/20/24
In the Matter of Deutsche Bank Securities Inc. Standalone Admin. Proc. 34-102011 12/20/24
In the Matter of Wells Fargo Clearing Services, LLC Standalone Admin. Proc. 34-102009 12/20/24
In the Matter of LPL Financial LLC Standalone Admin. Proc. 34-102008 12/20/24
In the Matter of Richard Brown Follow-on Admin. Proc. 34-102031 12/23/24
In the Matter of Morningview Financial, LLC, et al. Follow-on Admin. Proc. 34-102088 01/02/25
In the Matter of Jonathan Mimun (a/k/a Jonathan “Yoni” Maymon,
Yonatan Mimun and Jonatan Mimun), et al.
Follow-on Admin. Proc. 34-102142 01/10/25
In the Matter of SpeedRoute LLC Standalone Admin. Proc. 34-102157 01/10/25
In the Matter of Liquidnet, Inc. Standalone Admin. Proc. 33-11351 01/10/25
In the Matter of Akshay Niranjan Follow-on Admin. Proc. 34-102173 01/13/25
In the Matter of BMO Capital Markets Corp. Standalone Admin. Proc. 34-102160 01/13/25
In the Matter of PJT Partners LP Standalone Admin. Proc. 34-102167 01/13/25
In the Matter of Charles Schwab & Co., Inc. Standalone Admin. Proc. 34-102172 01/13/25
https://www.sec.gov/files/litigation/admin/2024/34-101234.pdf
https://www.sec.gov/enforcement-litigation/litigation-releases/lr-26151
https://www.sec.gov/files/litigation/admin/2024/34-101324.pdf
https://www.sec.gov/files/litigation/admin/2024/34-101361.pdf
https://www.sec.gov/enforcement-litigation/litigation-releases/lr-26161
https://www.sec.gov/files/litigation/admin/2024/34-101472.pdf
https://www.sec.gov/files/litigation/admin/2024/33-11324.pdf
https://www.sec.gov/files/litigation/admin/2024/34-101493.pdf
https://www.sec.gov/files/litigation/admin/2024/34-101633.pdf
https://www.sec.gov/files/litigation/admin/2024/34-101705.pdf
https://www.sec.gov/files/litigation/admin/2024/34-101706.pdf
https://www.sec.gov/files/litigation/admin/2024/34-101707.pdf
https://www.sec.gov/enforcement-litigation/litigation-releases/lr-26181
https://www.sec.gov/files/litigation/admin/2024/34-101794.pdf
https://www.sec.gov/files/litigation/admin/2024/34-101859.pdf
https://www.sec.gov/files/litigation/opinions/2024/34-101861.pdf
https://www.sec.gov/enforcement-litigation/litigation-releases/lr-26191
https://www.sec.gov/files/litigation/admin/2024/34-101926.pdf
https://www.sec.gov/files/litigation/admin/2024/34-101936.pdf
https://www.sec.gov/files/litigation/admin/2024/34-101937.pdf
https://www.sec.gov/files/litigation/admin/2024/34-101981.pdf
https://www.sec.gov/files/litigation/admin/2024/34-102021.pdf
https://www.sec.gov/files/litigation/admin/2024/34-102011.pdf
https://www.sec.gov/files/litigation/admin/2024/34-102009.pdf
https://www.sec.gov/files/litigation/admin/2024/34-102008.pdf
https://www.sec.gov/files/litigation/admin/2024/34-102031.pdf
https://www.sec.gov/files/litigation/admin/2025/34-102088.pdf
https://www.sec.gov/files/litigation/admin/2025/34-102142.pdf
https://www.sec.gov/files/litigation/admin/2025/34-102157.pdf
https://www.sec.gov/files/litigation/admin/2025/33-11351.pdf
https://www.sec.gov/files/litigation/admin/2025/34-102173.pdf
https://www.sec.gov/files/litigation/admin/2025/34-102160.pdf
https://www.sec.gov/files/litigation/admin/2025/34-102167.pdf
https://www.sec.gov/files/litigation/admin/2025/34-102172.pdf
In the Matter of Santander US Capital Markets LLC Standalone Admin. Proc. 34-102171 01/13/25
In the Matter of Robinhood Financial LLC, et al. Standalone Admin. Proc. 34-102170 01/13/25
In the Matter of Joseph J. Orlando Jr. Standalone Admin. Proc. 34-102176 01/14/25
In the Matter of Danny Z. Spiegel Standalone Admin. Proc. 34-102175 01/14/25
In the Matter of Tamir Shabat Standalone Admin. Proc. 34-102174 01/14/25
In the Matter of GTS Securities, LLC Standalone Admin. Proc. 34-102192 01/14/25
In the Matter of Karina N. Fernandez, Esq. Follow-on Admin. Proc. 34-102204 & 01/16/25
34-102251
In the Matter of Janalie C. Joseph a/k/a Janalie C. Bingham Follow-on Admin. Proc. 34-102221 01/16/25
In the Matter of Jean Joseph Follow-on Admin. Proc. 34-102222 01/16/25
In the Matter of LPL Financial LLC Standalone Admin. Proc. 34-102224 01/17/25
In the Matter of Paul John McCabe, Jr., et al. Standalone Admin. Proc. 34-102230 01/17/25
In the Matter of Michael Sealy Standalone Admin. Proc. 34-102233 01/17/25
In the Matter of Christopher Booth Kennedy Follow-on Admin. Proc. 34-102268 01/23/25
In the Matter of Manuel Alvis Follow-on Admin. Proc. 34-102307 01/30/25
In the Matter of Arthur P. Pizzello, Jr Follow-on Admin. Proc. 34-102340 02/04/25
In the Matter of Ashish Aggarwal Follow-on Admin. Proc. 34-102360 02/05/25
In the Matter of Centaurus Financial, Inc., et al. Standalone Admin. Proc. 34-102379 02/07/25
In the Matter of John S. Winslow Follow-on Admin. Proc. 34-102674 03/14/25
In the Matter of Erik Matz Follow-on Admin. Proc. 34-102741 03/27/25
In the Matter of Brian Heepke Follow-on Admin. Proc. 34-102740 03/27/25
In the Matter of Ashley Antos Follow-on Admin. Proc. 34-102739 03/27/25
In the Matter of Velox Clearing LLC Standalone Admin. Proc. 34-102769 04/04/25
SEC v. Rajesh Markan Civil Injunctive LR-26337 06/27/25
In the Matter of Marco Antonio Lemus Follow-on Admin. Proc. 34-103362 07/01/25
In the Matter of Rajesh Markan Follow-on Admin. Proc. 34-103479 07/16/25
In the Matter of Caz L. Craffy a/k/a Carz Levinski Craffey Follow-on Admin. Proc. 34-103538 07/24/25
In the Matter of Justin R. Kimbrough Follow-on Admin. Proc. 34-103656 08/07/25
In the Matter of Emerson Equity, LLC Standalone Admin. Proc. 34-103674 08/11/25
In the Matter of Tony Barouti Standalone Admin. Proc. 34-103675 08/11/25
In the Matter of Dennis Verderosa Follow-on Admin. Proc. 34-103770 08/25/25
In the Matter of Bloomberg Tradebook LLC Standalone Admin. Proc. 33-11390 09/18/25
DELINQUENT FILINGS
In the Matter of B2Digital, Incorporated Standalone Admin. Proc. 34-101278 10/08/24
In the Matter of ABCO Energy, Inc. Standalone Admin. Proc. 34-101279 10/08/24
In the Matter of American Bio Medica Corporation Standalone Admin. Proc. 34-101284 10/08/24
In the Matter of ARtelligence Holdings, Inc. (fka Tautachrome, Inc.) Standalone Admin. Proc. 34-101285 10/08/24
In the Matter of Cannagistics, Inc. Standalone Admin. Proc. 34-101287 10/09/24
In the Matter of China Energy Technology Corp., Ltd. Standalone Admin. Proc. 34-101288 10/09/24
In the Matter of International Fast Food Corporation Standalone Admin. Proc. 34-101292 10/09/24
In the Matter of Lattice, Inc. Standalone Admin. Proc. 34-101293 10/09/24
In the Matter of Clickstream Corporation Standalone Admin. Proc. 34-101326 10/15/24
In the Matter of GeneThera, Inc. Standalone Admin. Proc. 34-101327 10/15/24
https://www.sec.gov/files/litigation/admin/2025/34-102171.pdf
https://www.sec.gov/files/litigation/admin/2025/34-102170.pdf
https://www.sec.gov/files/litigation/admin/2025/34-102176.pdf
https://www.sec.gov/files/litigation/admin/2025/34-102175.pdf
https://www.sec.gov/files/litigation/admin/2025/34-102174.pdf
https://www.sec.gov/files/litigation/admin/2025/34-102192_0.pdf
https://www.sec.gov/files/litigation/admin/2025/34-102204.pdf
https://www.sec.gov/files/litigation/admin/2025/34-102251.pdf
https://www.sec.gov/files/litigation/admin/2025/34-102221.pdf
https://www.sec.gov/files/litigation/admin/2025/34-102222.pdf
https://www.sec.gov/files/litigation/admin/2025/34-102224.pdf
https://www.sec.gov/files/litigation/admin/2025/34-102230.pdf
https://www.sec.gov/files/litigation/admin/2025/34-102233.pdf
https://www.sec.gov/files/litigation/admin/2025/34-102268.pdf
https://www.sec.gov/files/litigation/admin/2025/34-102307.pdf
https://www.sec.gov/files/litigation/admin/2025/34-102340.pdf
https://www.sec.gov/files/litigation/admin/2025/34-102360.pdf
https://www.sec.gov/files/litigation/admin/2025/34-102379.pdf
https://www.sec.gov/files/litigation/admin/2025/34-102674.pdf
https://www.sec.gov/files/litigation/admin/2025/34-102741.pdf
https://www.sec.gov/files/litigation/admin/2025/34-102740.pdf
https://www.sec.gov/files/litigation/admin/2025/34-102739.pdf
https://www.sec.gov/files/litigation/admin/2025/34-102769.pdf
https://www.sec.gov/enforcement-litigation/litigation-releases/lr-26337
https://www.sec.gov/files/litigation/admin/2025/34-103362.pdf
https://www.sec.gov/files/litigation/admin/2025/34-103479.pdf
https://www.sec.gov/files/litigation/admin/2025/34-103538.pdf
https://www.sec.gov/files/litigation/admin/2025/34-103656.pdf
https://www.sec.gov/files/litigation/admin/2025/34-103674.pdf
https://www.sec.gov/files/litigation/admin/2025/34-103675.pdf
https://www.sec.gov/files/litigation/admin/2025/34-103770.pdf
https://www.sec.gov/files/litigation/admin/2025/33-11390.pdf
https://www.sec.gov/files/litigation/admin/2024/34-101278.pdf
https://www.sec.gov/files/litigation/admin/2024/34-101279.pdf
https://www.sec.gov/files/litigation/admin/2024/34-101284.pdf
https://www.sec.gov/files/litigation/admin/2024/34-101285.pdf
https://www.sec.gov/files/litigation/admin/2024/34-101287.pdf
https://www.sec.gov/files/litigation/admin/2024/34-101288.pdf
https://www.sec.gov/files/litigation/admin/2024/34-101292.pdf
https://www.sec.gov/files/litigation/admin/2024/34-101293.pdf
https://www.sec.gov/files/litigation/admin/2024/34-101326.pdf
https://www.sec.gov/files/litigation/admin/2024/34-101327.pdf
In the Matter of Live Current Media Inc. Standalone Admin. Proc. 34-101328 10/15/24
In the Matter of Mexus Gold US Standalone Admin. Proc. 34-101329 10/15/24
In the Matter of OS Support, Inc. Standalone Admin. Proc. 34-101332 10/15/24
In the Matter of Point of Care Nano-Technology, Inc. Standalone Admin. Proc. 34-101333 10/15/24
In the Matter of Sharing Economy International Inc. Standalone Admin. Proc. 34-101334 10/15/24
In the Matter of Sollensys Corp. Standalone Admin. Proc. 34-101335 10/15/24
In the Matter of Taihe Group, Inc. Standalone Admin. Proc. 34-101330 10/15/24
In the Matter of TORtec Group Corporation Standalone Admin. Proc. 34-101331 10/15/24
In the Matter of UBI Blockchain Internet Ltd. Standalone Admin. Proc. 34-101343 10/15/24
In the Matter of Worldwide Strategies Inc. Standalone Admin. Proc. 34-101344 10/15/24
In the Matter of 808 Renewable Energy Corporation Standalone Admin. Proc. 34-101347 10/15/24
In the Matter of Globesat Holding Corp. Standalone Admin. Proc. 34-101365 10/16/24
In the Matter of Integral Vision Inc. Standalone Admin. Proc. 34-101366 10/16/24
In the Matter of MusclePharm Corporation Standalone Admin. Proc. 34-101354 10/16/24
In the Matter of Nutralife Biosciences, Inc. Standalone Admin. Proc. 34-101355 10/16/24
In the Matter of Purthanol Resources Limited Standalone Admin. Proc. 34-101363 10/16/24
In the Matter of Renewable Innovations, Inc. Standalone Admin. Proc. 34-101364 10/16/24
In the Matter of Traqer Corp. Standalone Admin. Proc. 34-101362 10/16/24
In the Matter of Spectrascience, Inc. Standalone Admin. Proc. 34-101376 10/17/24
In the Matter of Striker Oil & Gas, Inc. Standalone Admin. Proc. 34-101378 10/17/24
In the Matter of Amanasu Techno Holdings Corp. Standalone Admin. Proc. 34-101522 11/06/24
In the Matter of Confluence Acquisition Partners I, Inc. Standalone Admin. Proc. 34-101523 11/06/24
In the Matter of Subaye.com, Inc. Standalone Admin. Proc. 34-101527 11/06/24
In the Matter of Sunwin Stevia International, Inc. Standalone Admin. Proc. 34-101528 11/06/24
In the Matter of EliteSoft Global Inc. Standalone Admin. Proc. 34-101553 11/07/24
In the Matter of G.G.S. Plastic Engineering Inc. Standalone Admin. Proc. 34-101554 11/07/24
In the Matter of Golden Goliath Resources Ltd. Standalone Admin. Proc. 34-101548 11/07/24
In the Matter of H3 Enterprises, Inc. (f/k/a Uptown Restaurant Group, Inc.) Standalone Admin. Proc. 34-101549 11/07/24
In the Matter of New Asia Partners China Corp. Standalone Admin. Proc. 34-101544 11/07/24
In the Matter of Pharmamatrix Acquisition Corp. Standalone Admin. Proc. 34-101545 11/07/24
In the Matter of Redstar Partners, Inc. Standalone Admin. Proc. 34-101541 11/07/24
In the Matter of Rystar Communications Ltd. Standalone Admin. Proc. 34-101542 11/07/24
In the Matter of Sino American Oil Co. Standalone Admin. Proc. 34-101538 11/07/24
In the Matter of Spongetech Delivery Systems, Inc. Standalone Admin. Proc. 34-101539 11/07/24
In the Matter of TolerRx, Inc. Standalone Admin. Proc. 34-101534 11/07/24
In the Matter of Vision Energy Corp. Standalone Admin. Proc. 34-101535 11/07/24
In the Matter of DG Acquisition Corp. Standalone Admin. Proc. 34-101590 11/12/24
In the Matter of Digatrade Financial Corp. Standalone Admin. Proc. 34-101591 11/12/24
In the Matter of Galaxy Next Generation, Inc. Standalone Admin. Proc. 34-101592 11/13/24
In the Matter of Global Secure Corp. (n/k/a Global Secure Ltd.) Standalone Admin. Proc. 34-101593 11/13/24
In the Matter of Innovative Energy Solutions, Inc. Standalone Admin. Proc. 34-101594 11/13/24
In the Matter of MJ Harvest, Inc. Standalone Admin. Proc. 34-101595 11/13/24
In the Matter of PRN Corp. Standalone Admin. Proc. 34-101600 11/13/24
In the Matter of QuatRx Pharmaceuticals Company Standalone Admin. Proc. 34-101602 11/13/24
In the Matter of Sangui Biotech International, Inc. Standalone Admin. Proc. 34-101607 11/13/24
https://www.sec.gov/files/litigation/admin/2024/34-101328.pdf
https://www.sec.gov/files/litigation/admin/2024/34-101329.pdf
https://www.sec.gov/files/litigation/admin/2024/34-101332.pdf
https://www.sec.gov/files/litigation/admin/2024/34-101333.pdf
https://www.sec.gov/files/litigation/admin/2024/34-101334.pdf
https://www.sec.gov/files/litigation/admin/2024/34-101335.pdf
https://www.sec.gov/files/litigation/admin/2024/34-101330.pdf
https://www.sec.gov/files/litigation/admin/2024/34-101331.pdf
https://www.sec.gov/files/litigation/admin/2024/34-101343.pdf
https://www.sec.gov/files/litigation/admin/2024/34-101344.pdf
https://www.sec.gov/files/litigation/admin/2024/34-101347.pdf
https://www.sec.gov/files/litigation/admin/2024/34-101365.pdf
https://www.sec.gov/files/litigation/admin/2024/34-101366.pdf
https://www.sec.gov/files/litigation/admin/2024/34-101354.pdf
https://www.sec.gov/files/litigation/admin/2024/34-101355.pdf
https://www.sec.gov/files/litigation/admin/2024/34-101363.pdf
https://www.sec.gov/files/litigation/admin/2024/34-101364.pdf
https://www.sec.gov/files/litigation/admin/2024/34-101362.pdf
https://www.sec.gov/files/litigation/admin/2024/34-101376.pdf
https://www.sec.gov/files/litigation/admin/2024/34-101378.pdf
https://www.sec.gov/files/litigation/admin/2024/34-101522.pdf
https://www.sec.gov/files/litigation/admin/2024/34-101523.pdf
https://www.sec.gov/files/litigation/admin/2024/34-101527.pdf
https://www.sec.gov/files/litigation/admin/2024/34-101528.pdf
https://www.sec.gov/files/litigation/admin/2024/34-101553.pdf
https://www.sec.gov/files/litigation/admin/2024/34-101554.pdf
https://www.sec.gov/files/litigation/admin/2024/34-101548.pdf
https://www.sec.gov/files/litigation/admin/2024/34-101549.pdf
https://www.sec.gov/files/litigation/admin/2024/34-101544.pdf
https://www.sec.gov/files/litigation/admin/2024/34-101545.pdf
https://www.sec.gov/files/litigation/admin/2024/34-101541.pdf
https://www.sec.gov/files/litigation/admin/2024/34-101542.pdf
https://www.sec.gov/files/litigation/admin/2024/34-101538.pdf
https://www.sec.gov/files/litigation/admin/2024/34-101539.pdf
https://www.sec.gov/files/litigation/admin/2024/34-101534.pdf
https://www.sec.gov/files/litigation/admin/2024/34-101535.pdf
https://www.sec.gov/files/litigation/admin/2024/34-101590.pdf
https://www.sec.gov/files/litigation/admin/2024/34-101591.pdf
https://www.sec.gov/files/litigation/admin/2024/34-101592.pdf
https://www.sec.gov/files/litigation/admin/2024/34-101593.pdf
https://www.sec.gov/files/litigation/admin/2024/34-101594.pdf
https://www.sec.gov/files/litigation/admin/2024/34-101595.pdf
https://www.sec.gov/files/litigation/admin/2024/34-101600.pdf
https://www.sec.gov/files/litigation/admin/2024/34-101602.pdf
https://www.sec.gov/files/litigation/admin/2024/34-101607.pdf
In the Matter of Seven Networks, Inc. (n/k/a Seven Networks, LLC) Standalone Admin. Proc. 34-101608 11/13/24
In the Matter of Unico American Corporation Standalone Admin. Proc. 34-102265 01/23/25
In the Matter of iSign Solutions Inc. Standalone Admin. Proc. 34-102520 03/04/25
In the Matter of Adorbs Inc. (f/k/a Soul Biotechnology Corp.) Standalone Admin. Proc. 34-103792 08/28/25
In the Matter of Agri-Fintech Holdings, Inc. (f/k/a Tingo, Inc.) Standalone Admin. Proc. 34-103840 09/03/25
In the Matter of Amergent Hospitality Group, Inc. Standalone Admin. Proc. 34-103857 09/04/25
In the Matter of American Noble Gas, Inc. Standalone Admin. Proc. 34-103858 09/04/25
In the Matter of Arowana Media Holdings, Inc. (f/k/a Mike The Pike
Productions, Inc.)
Standalone Admin. Proc. 34-103853 09/04/25
In the Matter of Century Cobalt Corp. Standalone Admin. Proc. 34-103855 09/04/25
In the Matter of GrowLife, Inc. Standalone Admin. Proc. 34-103874 09/05/25
In the Matter of Healthtech Solutions, Inc./UT Standalone Admin. Proc. 34-103875 09/05/25
In the Matter of Hfactor, Inc. Standalone Admin. Proc. 34-103898 09/05/25
In the Matter of Huaizhong Health Group, Inc. Standalone Admin. Proc. 34-103899 09/05/25
In the Matter of InnovaQor, Inc. Standalone Admin. Proc. 34-103909 09/08/25
In the Matter of Lucent Holdings, Inc. Standalone Admin. Proc. 34-103910 09/08/25
In the Matter of Maiden Creek Mining Co., Inc. Standalone Admin. Proc. 34-103916 09/09/25
In the Matter of Manuka, Inc. Standalone Admin. Proc. 34-103917 09/09/25
In the Matter of MedMen Enterprises, Inc. Standalone Admin. Proc. 34-103924 09/09/25
In the Matter of MJ Holdings, Inc. Standalone Admin. Proc. 34-103925 09/09/25
In the Matter of National Competitive Bowlers Association, Inc. Standalone Admin. Proc. 34-103934 09/10/25
In the Matter of Q BioMed Inc. Standalone Admin. Proc. 34-103935 09/10/25
In the Matter of Dais Corp. Standalone Admin. Proc. 34-103948 09/11/25
In the Matter of GlassBridge Enterprises, Inc. Standalone Admin. Proc. 34-103949 09/11/25
In the Matter of RespireRx Pharmaceuticals Inc. Standalone Admin. Proc. 34-103942 09/11/25
In the Matter of Stem Cell Inc. Standalone Admin. Proc. 34-103943 09/11/25
In the Matter of Sysorex, Inc. Standalone Admin. Proc. 34-103962 09/12/25
In the Matter of Tenaya Group, Inc. Standalone Admin. Proc. 34-103963 09/12/25
In the Matter of Victoria Lake, Inc. Standalone Admin. Proc. 34-103953 09/12/25
In the Matter of W&E Source Corp. Standalone Admin. Proc. 34-103954 09/12/25
FOREIGN CORRUPT PRACTICES ACT
In the Matter of Moog Inc. Standalone Admin. Proc. 34-101307 10/11/24
In the Matter of RTX Corporation Standalone Admin. Proc. 34-101353 10/16/24
In the Matter of BIT Mining Ltd. Standalone Admin. Proc. 34-101649 11/18/24
SEC v. Cyril Sebastien Dominique Cabanes Civil Injunctive LR-26177 11/20/24
In the Matter of AAR CORP. Standalone Admin. Proc. 34-101987 12/19/24
In the Matter of Deepak Sharma Standalone Admin. Proc. 34-101988 12/19/24
INSIDER TRADING
SEC v. Matthew Groom Civil Injunctive LR-26159 10/15/24
SEC v. Ruimin Xie Civil Injunctive LR-26162 10/15/24
In the Matter of Umapathi Kakkera Standalone Admin. Proc. 34-101379 10/17/24
SEC v. Carlos Sacanell Civil Injunctive LR-26168 10/31/24
https://www.sec.gov/files/litigation/admin/2024/34-101608.pdf
https://www.sec.gov/files/litigation/admin/2025/34-102265.pdf
https://www.sec.gov/files/litigation/admin/2025/34-102520.pdf
https://www.sec.gov/files/litigation/admin/2025/34-103792.pdf
https://www.sec.gov/files/litigation/admin/2025/34-103840.pdf
https://www.sec.gov/files/litigation/admin/2025/34-103857.pdf
https://www.sec.gov/files/litigation/admin/2025/34-103858.pdf
https://www.sec.gov/files/litigation/admin/2025/34-103853.pdf
https://www.sec.gov/files/litigation/admin/2025/34-103855.pdf
https://www.sec.gov/files/litigation/admin/2025/34-103874.pdf
https://www.sec.gov/files/litigation/admin/2025/34-103875.pdf
https://www.sec.gov/files/litigation/admin/2025/34-103898.pdf
https://www.sec.gov/files/litigation/admin/2025/34-103899.pdf
https://www.sec.gov/files/litigation/admin/2025/34-103909.pdf
https://www.sec.gov/files/litigation/admin/2025/34-103910.pdf
https://www.sec.gov/files/litigation/admin/2025/34-103916.pdf
https://www.sec.gov/files/litigation/admin/2025/34-103917.pdf
https://www.sec.gov/files/litigation/admin/2025/34-103924.pdf
https://www.sec.gov/files/litigation/admin/2025/34-103925.pdf
https://www.sec.gov/files/litigation/admin/2025/34-103934.pdf
https://www.sec.gov/files/litigation/admin/2025/34-103935.pdf
https://www.sec.gov/files/litigation/admin/2025/34-103948.pdf
https://www.sec.gov/files/litigation/admin/2025/34-103949.pdf
https://www.sec.gov/files/litigation/admin/2025/34-103942.pdf
https://www.sec.gov/files/litigation/admin/2025/34-103943.pdf
https://www.sec.gov/files/litigation/admin/2025/34-103962.pdf
https://www.sec.gov/files/litigation/admin/2025/34-103963.pdf
https://www.sec.gov/files/litigation/admin/2025/34-103953.pdf
https://www.sec.gov/files/litigation/admin/2025/34-103954.pdf
https://www.sec.gov/files/litigation/admin/2024/34-101307.pdf
https://www.sec.gov/files/litigation/admin/2024/34-101353.pdf
https://www.sec.gov/files/litigation/admin/2024/34-101649.pdf
https://www.sec.gov/enforcement-litigation/litigation-releases/lr-26177
https://www.sec.gov/files/litigation/admin/2024/34-101987.pdf
https://www.sec.gov/files/litigation/admin/2024/34-101988.pdf
https://www.sec.gov/enforcement-litigation/litigation-releases/lr-26159
https://www.sec.gov/enforcement-litigation/litigation-releases/lr-26162
https://www.sec.gov/files/litigation/admin/2024/34-101379.pdf
https://www.sec.gov/enforcement-litigation/litigation-releases/lr-26168
SEC v. Robert Brian Thompson Civil Injunctive LR-26172 11/08/24
SEC v. Ken Peterman Civil Injunctive LR-26197 12/11/24
SEC v. Sai-Hong Ignatius Ou Civil Injunctive LR-26198 12/18/24
SEC v. Curt Ludwig Dewitz Civil Injunctive LR-26200 12/18/24
In the Matter of David S. Sargent Follow-on Admin. Proc. 34-102117 01/06/25
SEC v. Alfred V. Tobia, Jr., et al. Civil Injunctive LR-26218 01/13/25
SEC v. John C. Lowe, Jr., et al. Civil Injunctive LR-26236 01/15/25
SEC v. Anthony Marsico, et al. Civil Injunctive LR-26243 01/16/25
In the Matter of Barry A. Ruffalo Standalone Admin. Proc. 34-102246 01/17/25
In the Matter of William R. Ruffalo Standalone Admin. Proc. 34-102247 01/17/25
In the Matter of Robert L. Ruffalo, et al. Standalone Admin. Proc. 34-102248 01/17/25
SEC v. Gabriel Rebeiz Civil Injunctive LR-26231 01/21/25
In the Matter of John A. Heropoulos Standalone Admin. Proc. 33-11362 01/24/25
In the Matter of Kenneth G. Miccio Standalone Admin. Proc. 34-102266 01/24/25
SEC v. Eamma Safi, et al. Civil Injunctive LR-26268 03/04/25
In the Matter of Jeffrey Suchecki Standalone Admin. Proc. 34-102515 03/04/25
SEC v. George N. Demos Civil Injunctive LR-26262 03/07/25
SEC v. Trijya Vakil, et al. Civil Injunctive LR-26348 07/10/25
SEC v. Brian M. Kashman Civil Injunctive LR-26359 07/21/25
In the Matter of Vincent Barbuto Standalone Admin. Proc. 34-103615 08/01/25
In the Matter of Anthony Finale Standalone Admin. Proc. 34-103614 08/01/25
SEC v. Bruce Cameron Conway Civil Injunctive LR-26370 08/07/25
SEC v. Robert Yedid, et al. Civil Injunctive LR-26376 08/14/25
SEC v. Brent Cranmer, et al. Civil Injunctive LR-26378 08/18/25
SEC v. Justin Chen, et al. Civil Injunctive LR-26380 08/18/25
SEC v. Rouzbeh “Ross” Haghighat, et al. Civil Injunctive LR-26383 08/22/25
In the Matter of David J. Minson Standalone Admin. Proc. 34-103764 08/22/25
SEC v. Ryan Squillante Civil Injunctive LR-26388 09/05/25
INVESTMENT ADVISERS / INVESTMENT COMPANIES
In the Matter of Daniel Stephen Madasz Follow-on Admin. Proc. IA-6740 10/02/24
In the Matter of LDP Partners LLC, et al. Standalone Admin. Proc. IA-6743 10/07/24
In the Matter of Rimar Capital USA, Inc., et al. Standalone Admin. Proc. 33-11316 10/10/24
SEC v. Jeffrey Arsenault, et al. Civil Injunctive LR-26160 10/11/24
In the Matter of WisdomTree Asset Management, Inc. Standalone Admin. Proc. IA-6753 10/21/24
In the Matter of Francisco Javier Malave Hernandez Follow-on Admin. Proc. IA-6754 10/22/24
In the Matter of Raymond J. DiMuro Follow-on Admin. Proc. IA-6756 10/24/24
In the Matter of J.P. Morgan Securities LLC Standalone Admin. Proc. 34-101494 10/31/24
In the Matter of J.P. Morgan Investment Management Inc. Standalone Admin. Proc. IC-35373 10/31/24
In the Matter of J.P. Morgan Investment Management Inc. Standalone Admin. Proc. IA-6761 10/31/24
In the Matter of Wahed Invest, LLC Standalone Admin. Proc. IA-6763 11/01/24
In the Matter of Mark J. Boucher Follow-on Admin. Proc. 34-101521 11/06/24
In the Matter of Christopher Turean Follow-on Admin. Proc. IA-6766 11/07/24
In the Matter of Sean Michael Kane Follow-on Admin. Proc. 34-101558 11/07/24
https://www.sec.gov/enforcement-litigation/litigation-releases/lr-26172
https://www.sec.gov/enforcement-litigation/litigation-releases/lr-26197
https://www.sec.gov/enforcement-litigation/litigation-releases/lr-26198
https://www.sec.gov/enforcement-litigation/litigation-releases/lr-26200
https://www.sec.gov/files/litigation/admin/2025/34-102117.pdf
https://www.sec.gov/enforcement-litigation/litigation-releases/lr-26218
https://www.sec.gov/enforcement-litigation/litigation-releases/lr-26236
https://www.sec.gov/enforcement-litigation/litigation-releases/lr-26243
https://www.sec.gov/files/litigation/admin/2025/34-102246.pdf
https://www.sec.gov/files/litigation/admin/2025/34-102247.pdf
https://www.sec.gov/files/litigation/admin/2025/34-102248.pdf
https://www.sec.gov/enforcement-litigation/litigation-releases/lr-26231
https://www.sec.gov/files/litigation/admin/2025/33-11362.pdf
https://www.sec.gov/files/litigation/admin/2025/34-102266.pdf
https://www.sec.gov/enforcement-litigation/litigation-releases/lr-26268
https://www.sec.gov/files/litigation/admin/2025/34-102515.pdf
https://www.sec.gov/enforcement-litigation/litigation-releases/lr-26262
https://www.sec.gov/enforcement-litigation/litigation-releases/lr-26348
https://www.sec.gov/enforcement-litigation/litigation-releases/lr-26359
https://www.sec.gov/files/litigation/admin/2025/34-103615.pdf
https://www.sec.gov/files/litigation/admin/2025/34-103614.pdf
https://www.sec.gov/enforcement-litigation/litigation-releases/lr-26370
https://www.sec.gov/enforcement-litigation/litigation-releases/lr-26376
https://www.sec.gov/enforcement-litigation/litigation-releases/lr-26378
https://www.sec.gov/enforcement-litigation/litigation-releases/lr-26380
https://www.sec.gov/enforcement-litigation/litigation-releases/lr-26383
https://www.sec.gov/files/litigation/admin/2025/34-103764.pdf
https://www.sec.gov/enforcement-litigation/litigation-releases/lr-26388
https://www.sec.gov/files/litigation/admin/2024/ia-6740.pdf
https://www.sec.gov/files/litigation/admin/2024/ia-6743.pdf
https://www.sec.gov/files/litigation/admin/2024/33-11316.pdf
https://www.sec.gov/enforcement-litigation/litigation-releases/lr-26160
https://www.sec.gov/files/litigation/admin/2024/ia-6753.pdf
https://www.sec.gov/files/litigation/admin/2024/ia-6754.pdf
https://www.sec.gov/files/litigation/admin/2024/ia-6756.pdf
https://www.sec.gov/files/litigation/admin/2024/34-101494.pdf
https://www.sec.gov/files/litigation/admin/2024/ic-35373.pdf
https://www.sec.gov/files/litigation/admin/2024/ia-6761.pdf
https://www.sec.gov/files/litigation/admin/2024/ia-6763.pdf
https://www.sec.gov/files/litigation/admin/2024/34-101521.pdf
https://www.sec.gov/files/litigation/admin/2024/ia-6766.pdf
https://www.sec.gov/files/litigation/admin/2024/34-101558.pdf
In the Matter of Dusan Varga Follow-on Admin. Proc. IA-6768 11/07/24
In the Matter of Invesco Advisers, Inc. Standalone Admin. Proc. IA-6770 11/08/24
In the Matter of Epic Capital Wealth Advisors, LLC Standalone Admin. Proc. IA-6771 11/08/24
In the Matter of David M. Anthony Follow-on Admin. Proc. IA-6772 11/08/24
In the Matter of Kevin John Kane Follow-on Admin. Proc. 34-101657 11/20/24
SEC v. James Burleson Civil Injunctive LR-26178 11/21/24
SEC v. David Kushner, et al. Civil Injunctive LR-26176 11/21/24
In the Matter of Fair Invest, LLC, et al. Standalone Admin. Proc. 33-11329 11/25/24
SEC v. Stephen Kenneth Leech Civil Injunctive LR-26183 11/25/24
In the Matter of Richard Dow Rockwell Follow-on Admin. Proc. 34-101813 12/04/24
In the Matter of Morgan Stanley Smith Barney LLC Standalone Admin. Proc. 34-101842 12/09/24
In the Matter of SeaCrest Wealth Management, LLC Standalone Admin. Proc. 33-11338 12/12/24
SEC v. Eric McKenzie Cobb Civil Injunctive LR-26201 12/12/24
In the Matter of Greenhaven Road Investment Management, LP Standalone Admin. Proc. IA-6789 12/13/24
In the Matter of GSSG Solar, LLC Standalone Admin. Proc. IA-6790 12/13/24
In the Matter of Kudu Investment Holdings, LLC Standalone Admin. Proc. IA-6791 12/13/24
In the Matter of Longpoint Partners LP Standalone Admin. Proc. IA-6793 12/13/24
In the Matter of NFC Investments, LLC Standalone Admin. Proc. IA-6794 12/13/24
In the Matter of The Catalyst Capital Group Inc. Standalone Admin. Proc. IA-6792 12/13/24
In the Matter of WPAM Advisers LLC Standalone Admin. Proc. IA-6795 12/13/24
In the Matter of William V. Conn, Jr. Follow-on Admin. Proc. IA-6798 12/19/24
SEC v. Silver Point Capital, L.P. Civil Injunctive LR-26202 12/20/24
SEC v. Dolphin Associates III, LLC, et al. Civil Injunctive LR-26203 12/20/24
In the Matter of Rose Park Advisors, LLC, et al. Standalone Admin. Proc. IA-6802 12/20/24
In the Matter of Driftwood Advisors, LLC Standalone Admin. Proc. IA-6804 12/20/24
In the Matter of Atlas Financial Advisors, Inc. Standalone Admin. Proc. IA-6803 12/20/24
In the Matter of Steven J. Susoeff Follow-on Admin. Proc. IA-6806 12/30/24
In the Matter of Touradji Capital Management LP, et al. Standalone Admin. Proc. IA-6810 01/10/25
In the Matter of One Thousand & One Voices Management, LLC, et al. Standalone Admin. Proc. IA-6811 01/10/25
In the Matter of Apollo Capital Management, L.P. Standalone Admin. Proc. IA-6815 01/13/25
In the Matter of Blackstone Alternative Credit Advisors LP, et al. Standalone Admin. Proc. IA-6812 01/13/25
In the Matter of Carlyle Investment Management L.L.C, et al. Standalone Admin. Proc. IA-6816 01/13/25
In the Matter of Kohlberg Kravis Roberts & Co. L.P. Standalone Admin. Proc. IA-6814 01/13/25
In the Matter of TPG Capital Advisors, LLC Standalone Admin. Proc. IA-6813 01/13/25
In the Matter of VCP Financial LLC Standalone Admin. Proc. IA-6819 01/14/25
In the Matter of Navy Capital Green Management, LLC Standalone Admin. Proc. IA-6823 01/14/25
In the Matter of Two Sigma Investments, LP, et al. Standalone Admin. Proc. 34-102207 01/16/25
In the Matter of Wells Fargo Clearing Services, LLC, et al. Standalone Admin. Proc. 34-102229 01/17/25
In the Matter of Transamerica Retirement Advisors, LLC Standalone Admin. Proc. IA-6826 01/17/25
In the Matter of The Vanguard Group, Inc. Standalone Admin. Proc. 33-11359 01/17/25
In the Matter of Merrill Lynch, Pierce, Fenner & Smith Incorporated Standalone Admin. Proc. IA-6829 01/17/25
SEC v. Arete Wealth Management, LLC, et al. Civil Injunctive LR-26228 01/17/25
SEC v. Scott Jeffrey Mason, et al. Civil Injunctive LR-26224 01/17/25
In the Matter of Retirement Specialty Group, Inc. Follow-on Admin. Proc. IA-6832 01/22/25
In the Matter of Donald Anthony Wright Follow-on Admin. Proc. IA-6833 01/22/25
https://www.sec.gov/files/litigation/admin/2024/ia-6768.pdf
https://www.sec.gov/files/litigation/admin/2024/ia-6770.pdf
https://www.sec.gov/files/litigation/admin/2024/ia-6771.pdf
https://www.sec.gov/files/litigation/admin/2024/ia-6772.pdf
https://www.sec.gov/files/litigation/admin/2024/34-101657.pdf
https://www.sec.gov/enforcement-litigation/litigation-releases/lr-26178
https://www.sec.gov/enforcement-litigation/litigation-releases/lr-26176
https://www.sec.gov/files/litigation/admin/2024/33-11329.pdf
https://www.sec.gov/enforcement-litigation/litigation-releases/lr-26183
https://www.sec.gov/files/litigation/admin/2024/34-101813.pdf
https://www.sec.gov/files/litigation/admin/2024/34-101842.pdf
https://www.sec.gov/files/litigation/admin/2024/33-11338.pdf
https://www.sec.gov/enforcement-litigation/litigation-releases/lr-26201
https://www.sec.gov/files/litigation/admin/2024/ia-6789.pdf
https://www.sec.gov/files/litigation/admin/2024/ia-6790.pdf
https://www.sec.gov/files/litigation/admin/2024/ia-6791.pdf
https://www.sec.gov/files/litigation/admin/2024/ia-6793.pdf
https://www.sec.gov/files/litigation/admin/2024/ia-6794.pdf
https://www.sec.gov/files/litigation/admin/2024/ia-6792.pdf
https://www.sec.gov/files/litigation/admin/2024/ia-6795.pdf
https://www.sec.gov/files/litigation/admin/2024/ia-6798.pdf
https://www.sec.gov/enforcement-litigation/litigation-releases/lr-26202
https://www.sec.gov/enforcement-litigation/litigation-releases/lr-26203
https://www.sec.gov/files/litigation/admin/2024/ia-6802.pdf
https://www.sec.gov/files/litigation/admin/2024/ia-6804.pdf
https://www.sec.gov/files/litigation/admin/2024/ia-6803.pdf
https://www.sec.gov/files/litigation/admin/2024/ia-6806.pdf
https://www.sec.gov/files/litigation/admin/2025/ia-6810.pdf
https://www.sec.gov/files/litigation/admin/2025/ia-6811.pdf
https://www.sec.gov/files/litigation/admin/2025/ia-6815.pdf
https://www.sec.gov/files/litigation/admin/2025/ia-6812.pdf
https://www.sec.gov/files/litigation/admin/2025/ia-6816.pdf
https://www.sec.gov/files/litigation/admin/2025/ia-6814.pdf
https://www.sec.gov/files/litigation/admin/2025/ia-6813.pdf
https://www.sec.gov/files/litigation/admin/2025/ia-6819.pdf
https://www.sec.gov/files/litigation/admin/2025/ia-6823.pdf
https://www.sec.gov/files/litigation/admin/2025/34-102207.pdf
https://www.sec.gov/files/litigation/admin/2025/34-102229.pdf
https://www.sec.gov/files/litigation/admin/2025/ia-6826.pdf
https://www.sec.gov/files/litigation/admin/2025/33-11359.pdf
https://www.sec.gov/files/litigation/admin/2025/ia-6829.pdf
https://www.sec.gov/enforcement-litigation/litigation-releases/lr-26228
https://www.sec.gov/enforcement-litigation/litigation-releases/lr-26224
https://www.sec.gov/files/litigation/admin/2025/ia-6832.pdf
https://www.sec.gov/files/litigation/admin/2025/ia-6833.pdf
In the Matter of Naufal Sanaullah Follow-on Admin. Proc. IA-6850 02/11/25
In the Matter of Sakthivel Palani Gounder Follow-on Admin. Proc. 34-102431 02/14/25
In the Matter of One Oak Capital Management, LLC, et al. Standalone Admin. Proc. 34-102425 02/14/25
In the Matter of Gopala Krishnan Follow-on Admin. Proc. IA-6857 02/18/25
In the Matter of Manivannan Shanmugam Follow-on Admin. Proc. IA-6858 02/19/25
In the Matter of Momentum Advisors, LLC, et al. Standalone Admin. Proc. IA-6860 03/07/25
In the Matter of Tiffany L. Hawkins, a/k/a Tiffany Taylor-Watson Standalone Admin. Proc. IA-6861 03/07/25
SEC v. David Yow Shang Chiueh, et al. Civil Injunctive LR-26270 03/17/25
In the Matter of Scott J. Mason Follow-on Admin. Proc. IA-6867 03/20/25
In the Matter of Advance Capital Management, Inc. Standalone Admin. Proc. 40-35522 04/07/25
SEC v. Derek R. Taller Civil Injunctive LR-26300 04/29/25
SEC v. David A. Nagler, et al. Civil Injunctive LR-26319 06/02/25
In the Matter of North East Asset Management Group, Inc., et al. Standalone Admin. Proc. 34-103173 06/03/25
In the Matter of Ronald A. Pallek Follow-on Admin. Proc. IA-6882 06/03/25
SEC v. El Capitan Advisors, Inc., et al. Civil Injunctive LR-26327 06/04/25
In the Matter of Surage Kamal Roshan Perera Follow-on Admin. Proc. 34-103246 06/12/25
In the Matter of Andrew D. Nash Follow-on Admin. Proc. IA-6886 06/17/25
In the Matter of El Capitan Advisors, Inc. Follow-on Admin. Proc. IA-6887 06/17/25
SEC v. Eliseo Jojo Prisno, et al. Civil Injunctive LR-26339 07/03/25
In the Matter of American Portfolios Advisors, Inc. Standalone Admin. Proc. IA-6893 07/11/25
In the Matter of Colin Michael Moors Standalone Admin. Proc. 34-103437 07/11/25
In the Matter of Gary Bruce Gordon Standalone Admin. Proc. 34-103438 07/11/25
In the Matter of Suzanne Ballek Standalone Admin. Proc. IA-6896 07/15/25
In the Matter of Gary Steven Costello Standalone Admin. Proc. 33-11380 07/16/25
SEC v. Joseph J. D’Ambrosio Civil Injunctive LR-26354 07/17/25
In the Matter of Steven J. Jacobson Follow-on Admin. Proc. IA-6899 07/22/25
In the Matter of Paul Anthony Larocco Follow-on Admin. Proc. IA-6902 08/01/25
In the Matter of Munakata Associates LLC Standalone Admin. Proc. IA-6901 08/01/25
In the Matter of Joseph J. D'Ambrosio Follow-on Admin. Proc. IA-6907 08/13/25
SEC v. Jordan Chirico Civil Injunctive LR-26375 08/14/25
In the Matter of TZP Management Associates, LLC Standalone Admin. Proc. IA-6908 08/15/25
In the Matter of Empower Advisory Group, LLC, et al. Standalone Admin. Proc. 34-103809 08/29/25
In the Matter of Vanguard Advisers, Inc. Standalone Admin. Proc. IA-6912 08/29/25
In the Matter of Meridian Financial, LLC Standalone Admin. Proc. IA-6916 09/04/25
In the Matter of James D. Warring Standalone Admin. Proc. 34-103901 09/08/25
SEC v. Vukota Capital Management, LLC, et al. Civil Injunctive LR-26393 09/09/25
SEC v. Parker Terrill Austin, et al. Civil Injunctive LR-26395 09/10/25
SEC v. Jian Wu Civil Injunctive LR-26398 09/11/25
In the Matter of James Burleson Follow-on Admin. Proc. IA-6918 09/12/25
SEC v. Prophecy Asset Management LP, et al. Civil Injunctive LR-26414 09/29/25
ISSUER REPORTING / AUDITING & ACCOUNTING
In the Matter of Robert H. Turner Standalone Admin. Proc. 33-11317 10/11/24
In the Matter of Unisys Corporation Standalone Admin. Proc. 33-11323 10/22/24
https://www.sec.gov/files/litigation/admin/2025/ia-6850.pdf
https://www.sec.gov/files/litigation/admin/2025/34-102431.pdf
https://www.sec.gov/files/litigation/admin/2025/34-102425.pdf
https://www.sec.gov/files/litigation/admin/2025/ia-6857.pdf
https://www.sec.gov/files/litigation/admin/2025/34-102452.pdf
https://www.sec.gov/files/litigation/admin/2025/ia-6860.pdf
https://www.sec.gov/files/litigation/admin/2025/ia-6861.pdf
https://www.sec.gov/enforcement-litigation/litigation-releases/lr-26270
https://www.sec.gov/files/litigation/admin/2025/ia-6867.pdf
https://www.sec.gov/files/litigation/admin/2025/ic-35522.pdf
https://www.sec.gov/enforcement-litigation/litigation-releases/lr-26300
https://www.sec.gov/enforcement-litigation/litigation-releases/lr-26319
https://www.sec.gov/files/litigation/admin/2025/34-103173.pdf
https://www.sec.gov/files/litigation/admin/2025/ia-6882.pdf
https://www.sec.gov/enforcement-litigation/litigation-releases/lr-26327
https://www.sec.gov/files/litigation/admin/2025/34-103246.pdf
https://www.sec.gov/files/litigation/admin/2025/ia-6886.pdf
https://www.sec.gov/files/litigation/admin/2025/ia-6887.pdf
https://www.sec.gov/enforcement-litigation/litigation-releases/lr-26339
https://www.sec.gov/files/litigation/admin/2025/ia-6893.pdf
https://www.sec.gov/files/litigation/admin/2025/34-103437.pdf
https://www.sec.gov/files/litigation/admin/2025/34-103438.pdf
https://www.sec.gov/files/litigation/admin/2025/ia-6896.pdf
https://www.sec.gov/files/litigation/admin/2025/33-11380.pdf
https://www.sec.gov/enforcement-litigation/litigation-releases/lr-26354
https://www.sec.gov/files/litigation/admin/2025/ia-6899.pdf
https://www.sec.gov/files/litigation/admin/2025/ia-6902.pdf
https://www.sec.gov/files/litigation/admin/2025/ia-6901.pdf
https://www.sec.gov/files/litigation/admin/2025/ia-6907.pdf
https://www.sec.gov/enforcement-litigation/litigation-releases/lr-26375
https://www.sec.gov/files/litigation/admin/2025/ia-6908.pdf
https://www.sec.gov/files/litigation/admin/2025/34-103809.pdf
https://www.sec.gov/files/litigation/admin/2025/ia-6912.pdf
https://www.sec.gov/files/litigation/admin/2025/ia-6916.pdf
https://www.sec.gov/files/litigation/admin/2025/34-103901.pdf
https://www.sec.gov/enforcement-litigation/litigation-releases/lr-26393
https://www.sec.gov/enforcement-litigation/litigation-releases/lr-26395
https://www.sec.gov/enforcement-litigation/litigation-releases/lr-26398
https://www.sec.gov/files/litigation/admin/2025/ia-6918.pdf
https://www.sec.gov/enforcement-litigation/litigation-releases/lr-26414
https://www.sec.gov/files/litigation/admin/2024/33-11317.pdf
https://www.sec.gov/files/litigation/admin/2024/33-11323.pdf
In the Matter of Avaya Holdings Corp. Standalone Admin. Proc. 33-11320 10/22/24
In the Matter of Check Point Software Technologies Ltd. Standalone Admin. Proc. 33-11321 10/22/24
In the Matter of Mimecast Limited Standalone Admin. Proc. 33-11322 10/22/24
SEC v. Donna Dellomo, et al. Civil Injunctive LR-26166 10/29/24
In the Matter of Aldo Piscitello Follow-on Admin. Proc. 34-101585 11/12/24
In the Matter of Prager Metis CPAs, LLP Follow-on Admin. Proc. 34-101580 11/12/24
In the Matter of Prager Metis CPAs, LLC Follow-on Admin. Proc. 34-101579 11/12/24
In the Matter of Elanco Animal Health Inc. Standalone Admin. Proc. 33-11326 11/12/24
SEC v. Frank Igwealor, et al. Civil Injunctive LR-26171 11/18/24
In the Matter of United Parcel Service, Inc. Standalone Admin. Proc. 33-11328 11/22/24
In the Matter of Kiromic BioPharma, Inc. Standalone Admin. Proc. 33-11332 12/03/24
SEC v. Maurizio Chiriva-Internati Civil Injunctive LR-26184 12/03/24
In the Matter of Tony Tontat Standalone Admin. Proc. 34-101796 12/03/24
In the Matter of Cantor Fitzgerald, L.P. Standalone Admin. Proc. 33-11339 12/12/24
In the Matter of Flagstar Bancorp, Inc., now known as "Flagstar Financial,
Inc."
Standalone Admin. Proc. 33-11343 12/16/24
In the Matter of Becton, Dickinson and Company Standalone Admin. Proc. 33-11344 12/16/24
In the Matter of Express, Inc. Standalone Admin. Proc. 34-101934 12/17/24
In the Matter of Davidson & Company LLP, et al. Standalone Admin. Proc. 34-101972 12/19/24
SEC v. Entergy Corporation Civil Injunctive 2024-206 12/20/24
SEC v. Theodore J. Farnsworth Civil Injunctive LR-26208 12/23/24
In the Matter of Christopher Hiestand, CPA Follow-on Admin. Proc. 34-102047 12/27/24
In the Matter of Accell Audit & Compliance, PA Follow-on Admin. Proc. 34-102060 12/31/24
In the Matter of Acreage Holdings, Inc. Standalone Admin. Proc. 34-102141 01/10/25
In the Matter of Vincent Kennedy McMahon Standalone Admin. Proc. 34-102143 01/10/25
In the Matter of Shift4 Payments, Inc. Standalone Admin. Proc. 34-102146 01/10/25
SEC v. Ashford Inc. Civil Injunctive LR-26215 01/13/25
In the Matter of Presto Automation Inc. Standalone Admin. Proc. 33-11352 01/14/25
In the Matter of DMK Pharmaceuticals Corporation (f/k/a Adamis
Pharmaceuticals Corporation), et al.
Standalone Admin. Proc. 33-11353 01/14/25
In the Matter of American Electric Power Company, Inc. Standalone Admin. Proc. 33-11356 01/17/25
In the Matter of Celsius Holdings, Inc. Standalone Admin. Proc. 34-102227 01/17/25
In the Matter of Jeffery Q. Johnson, CPA Standalone Admin. Proc. 34-102231 01/17/25
In the Matter of Singularity Future Technology, Ltd. Standalone Admin. Proc. 34-102225 01/17/25
In the Matter of Jason M. Boucher, CPA Follow-on Admin. Proc. 33-11363 01/29/25
In the Matter of Karen J. Smith, CPA Follow-on Admin. Proc. 33-11364 02/04/25
In the Matter of Allarity Therapeutics, Inc. Standalone Admin. Proc. 33-11367 03/12/25
SEC v. Stefano R. Carchedi, et al. Civil Injunctive LR-26265 03/12/25
SEC v. Glen Leibowitz Civil Injunctive LR-26271 03/14/25
In the Matter of Peter J. Magee, CPA Follow-on Admin. Proc. 34-102749 03/31/25
In the Matter of Robert Scott Murray, CPA Follow-on Admin. Proc. 34-102867 04/15/25
In the Matter of Edward O'Donnell, CPA Follow-on Admin. Proc. 34-103214 06/09/25
SEC v. Roderick Vanderbilt Civil Injunctive LR-26326 06/13/25
SEC v. Shahnawaz Mathias, a/k/a Shah Mathias, et al. Civil Injunctive LR-26353 07/18/25
In the Matter of Olayinka Temitope Oyebola, et al. Follow-on Admin. Proc. 34-103689 08/12/25
https://www.sec.gov/files/litigation/admin/2024/33-11320.pdf
https://www.sec.gov/files/litigation/admin/2024/33-11321.pdf
https://www.sec.gov/files/litigation/admin/2024/33-11322.pdf
https://www.sec.gov/enforcement-litigation/litigation-releases/lr-26166
https://www.sec.gov/files/litigation/admin/2024/34-101585.pdf
https://www.sec.gov/files/litigation/admin/2024/34-101580.pdf
https://www.sec.gov/files/litigation/admin/2024/34-101579.pdf
https://www.sec.gov/files/litigation/admin/2024/33-11326.pdf
https://www.sec.gov/enforcement-litigation/litigation-releases/lr-26171
https://www.sec.gov/files/litigation/admin/2024/33-11328.pdf
https://www.sec.gov/files/litigation/admin/2024/33-11332.pdf
https://www.sec.gov/enforcement-litigation/litigation-releases/lr-26184
https://www.sec.gov/files/litigation/admin/2024/34-101796.pdf
https://www.sec.gov/files/litigation/admin/2024/33-11339.pdf
https://www.sec.gov/files/litigation/admin/2024/33-11343.pdf
https://www.sec.gov/files/litigation/admin/2024/33-11344.pdf
https://www.sec.gov/files/litigation/admin/2024/34-101934.pdf
https://www.sec.gov/files/litigation/admin/2024/34-101972.pdf
https://www.sec.gov/newsroom/press-releases/2024-206
https://www.sec.gov/enforcement-litigation/litigation-releases/lr-26208
https://www.sec.gov/files/litigation/admin/2024/34-102047.pdf
https://www.sec.gov/files/litigation/admin/2024/34-102060.pdf
https://www.sec.gov/files/litigation/admin/2025/34-102141.pdf
https://www.sec.gov/files/litigation/admin/2025/34-102143.pdf
https://www.sec.gov/files/litigation/admin/2025/34-102146.pdf
https://www.sec.gov/enforcement-litigation/litigation-releases/lr-26215
https://www.sec.gov/files/litigation/admin/2025/33-11352.pdf
https://www.sec.gov/files/litigation/admin/2025/33-11353.pdf
https://www.sec.gov/files/litigation/admin/2025/33-11356.pdf
https://www.sec.gov/files/litigation/admin/2025/34-102227.pdf
https://www.sec.gov/files/litigation/admin/2025/34-102231.pdf
https://www.sec.gov/files/litigation/admin/2025/34-102225.pdf
https://www.sec.gov/files/litigation/admin/2025/33-11363.pdf
https://www.sec.gov/files/litigation/admin/2025/33-11364.pdf
https://www.sec.gov/files/litigation/admin/2025/33-11367.pdf
https://www.sec.gov/enforcement-litigation/litigation-releases/lr-26265
https://www.sec.gov/enforcement-litigation/litigation-releases/lr-26271
https://www.sec.gov/files/litigation/admin/2025/34-102749.pdf
https://www.sec.gov/files/litigation/admin/2025/34-102867.pdf
https://www.sec.gov/files/litigation/admin/2025/34-103214.pdf
https://www.sec.gov/enforcement-litigation/litigation-releases/lr-26326
https://www.sec.gov/enforcement-litigation/litigation-releases/lr-26353
https://www.sec.gov/files/litigation/admin/2025/34-103689.pdf
SEC v. Kin-Hung Peony Yu Civil Injunctive LR-26394 09/05/25
In the Matter of FibroGen, Inc. Standalone Admin. Proc. 33-11387 09/05/25
MARKET MANIPULATION
SEC v. ZM Quant Investment Ltd., et al. Civil Injunctive LR-26158 10/09/24
SEC v. Gotbit Consulting LLC, a/k/a Gotbit Hedge Fund, et al. Civil Injunctive LR-26156 10/09/24
SEC v. CLS Global FZC LLC, et al. Civil Injunctive LR-26154 10/09/24
SEC v. Minerco, Inc., et al. Civil Injunctive LR-26150 10/09/24
SEC v. Ryan Choi Civil Injunctive LR-26164 10/22/24
In the Matter of FiveT Capital AG Standalone Admin. Proc. 34-101763 11/26/24
SEC v. David Banister, et al. Civil Injunctive LR-26187 12/06/24
SEC v. John S. Clayton, et al. Civil Injunctive LR-26193 12/11/24
In the Matter of Zachary Stevenson Standalone Admin. Proc. 33-11340 12/13/24
In the Matter of Snow Lake Capital (HK) Limited Standalone Admin. Proc. 34-102001 12/19/24
SEC v. Albert Golusin, et al. Civil Injunctive LR-26296 04/29/25
In the Matter of Elliot Maza, Esq., CPA Follow-on Admin. Proc. 34-103001 05/07/25
SEC v. Keith A. Rosenbaum, et al. Civil Injunctive LR-26344 07/01/25
In the Matter of Sourcerock Group, LLC Standalone Admin. Proc. 34-103629 08/04/25
SEC v. Ryan N. Cole Civil Injunctive LR-26371 08/11/25
SEC v. Dmitrii Yevgenyevich Kushnarev Civil Injunctive LR-26410 09/22/25
MISCELLANEOUS
SEC v. Chibuzo Augustine Onyeachonam, et al. Civil Injunctive LR-26194 12/11/24
In the Matter of Underdog Sports Holdings, Inc. Standalone Admin. Proc. 33-11348 12/20/24
In the Matter of Pipe Technologies Inc. Standalone Admin. Proc. 33-11347 12/20/24
In the Matter of GRID 202 LLC d/b/a Re-Envision Wealth Standalone Admin. Proc. 33-11346 12/20/24
SEC v. Elon R. Musk Civil Injunctive LR-26219 01/14/25
SEC v. Rey D. Acosta Civil Injunctive LR-26261 02/24/25
SEC v. Cyrus P. Naderi Civil Injunctive LR-26418 07/03/25
In the Matter of MUFG Securities EMEA plc Standalone Admin. Proc. 34-103646 08/06/25
SEC v. Aaron O'Brian Freeman Civil Injunctive LR-26407 09/19/25
PUBLIC FINANCE ABUSE
In the Matter of Choice Advisors, LLC, et al. Follow-on Admin. Proc. 34-101339 10/15/24
In the Matter of A.G.P./Alliance Global Partners, LLC Standalone Admin. Proc. 34-101352 10/16/24
In the Matter of Hamlin Capital Advisors, LLC, et al. Standalone Admin. Proc. 34-101424 10/24/24
In the Matter of Level Field Charter Partners, LLC, et al. Standalone Admin. Proc. 34-101762 11/26/24
SEC v. Randall J. Miller, et al. Civil Injunctive LR 26280 04/01/25
In the Matter of Agentis Capital Advisors General Partnership, fka Agentis
Capital Advisors
Standalone Admin. Proc. 34-103154 05/30/25
In the Matter of Highmark School Development, LLC Standalone Admin. Proc. 34-103169 06/02/25
https://www.sec.gov/enforcement-litigation/litigation-releases/lr-26394
https://www.sec.gov/files/litigation/admin/2025/33-11387.pdf
https://www.sec.gov/enforcement-litigation/litigation-releases/lr-26158
https://www.sec.gov/enforcement-litigation/litigation-releases/lr-26156
https://www.sec.gov/enforcement-litigation/litigation-releases/lr-26154
https://www.sec.gov/enforcement-litigation/litigation-releases/lr-26150
https://www.sec.gov/enforcement-litigation/litigation-releases/lr-26164
https://www.sec.gov/files/litigation/admin/2024/34-101763.pdf
https://www.sec.gov/enforcement-litigation/litigation-releases/lr-26187
https://www.sec.gov/enforcement-litigation/litigation-releases/lr-26193
https://www.sec.gov/files/litigation/admin/2024/33-11340.pdf
https://www.sec.gov/files/litigation/admin/2024/34-102001.pdf
https://www.sec.gov/enforcement-litigation/litigation-releases/lr-26296
https://www.sec.gov/files/litigation/admin/2025/34-103001.pdf
https://www.sec.gov/enforcement-litigation/litigation-releases/lr-26344
https://www.sec.gov/files/litigation/admin/2025/34-103629.pdf
https://www.sec.gov/enforcement-litigation/litigation-releases/lr-26371
https://www.sec.gov/enforcement-litigation/litigation-releases/lr-26410
https://www.sec.gov/enforcement-litigation/litigation-releases/lr-26194
https://www.sec.gov/files/litigation/admin/2024/33-11348.pdf
https://www.sec.gov/files/litigation/admin/2024/33-11347.pdf
https://www.sec.gov/files/litigation/admin/2024/33-11346.pdf
https://www.sec.gov/enforcement-litigation/litigation-releases/lr-26219
https://www.sec.gov/enforcement-litigation/litigation-releases/lr-26261
https://www.sec.gov/enforcement-litigation/litigation-releases/lr-26418
https://www.sec.gov/files/litigation/admin/2025/34-103646.pdf
https://www.sec.gov/enforcement-litigation/litigation-releases/lr-26407
https://www.sec.gov/files/litigation/admin/2024/34-101339.pdf
https://www.sec.gov/files/litigation/admin/2024/34-101352.pdf
https://www.sec.gov/files/litigation/admin/2024/34-101424.pdf
https://www.sec.gov/files/litigation/admin/2024/34-101762.pdf
https://www.sec.gov/enforcement-litigation/litigation-releases/lr-26280
https://www.sec.gov/files/litigation/admin/2025/34-103154.pdf
https://www.sec.gov/files/litigation/admin/2025/34-103169.pdf
SECURITIES OFFERING
In the Matter of CQC Impact Investors LLC Standalone Admin. Proc. 33-11315 10/02/24
SEC v. Russell Armand, a/k/a "Saitamaguru1", et al. Civil Injunctive LR-26155 10/09/24
SEC v. Vy Pham, a/k/a/ "msvy_crypto" Civil Injunctive LR-26153 10/09/24
SEC v. Norman V. Meier, et al. Civil Injunctive LR-26152 10/11/24
SEC v. Destiny Robotics Corp., et al. Civil Injunctive LR-26157 10/15/24
In the Matter of Gustavo Dolfino Standalone Admin. Proc. 33-11318 10/15/24
SEC v. Pannon Investment Advisors LLC, et al. Civil Injunctive LR-26167 10/30/24
SEC v. Ian Mitchell Civil Injunctive LR-26173 11/18/24
SEC v. Eng Taing, et al. Civil Injunctive LR-26182 11/20/24
SEC v. Gautam Adani, et al. Civil Injunctive LR-26177 11/20/24
SEC v. Steve A. Smith, Jr., et al. Civil Injunctive LR-26188 12/09/24
In the Matter of Stephen R. Bishop Standalone Admin. Proc. 33-11334 12/09/24
In the Matter of Richard K. Diamond Standalone Admin. Proc. 33-11333 12/09/24
In the Matter of Marc J. Toomey Standalone Admin. Proc. 33-11335 12/09/24
In the Matter of David C. Underwood Standalone Admin. Proc. 33-11336 12/09/24
SEC v. Ian G. Bell Civil Injunctive LR-26189 12/09/24
SEC v. Frederick Tayton Dencer, et al. Civil Injunctive LR-26192 12/10/24
In the Matter of Allen Y. Hsu, Esq. Follow-on Admin. Proc. 34-101904 12/13/24
SEC v. Historic Asset Placement Services Global, LLC, et al. Civil Injunctive LR-26196 12/13/24
In the Matter of Tai Mo Shan Limited Standalone Admin. Proc. 33-11349 12/20/24
SEC v. Joecool.com, LLC, et al. Civil Injunctive LR-26216 01/13/25
SEC v. Naufal Sanaullah Civil Injunctive LR-26227 01/16/25
SEC v. Eric Zhu Civil Injunctive LR-26223 01/16/25
SEC v. Quest Education, L.L.C., et al. Civil Injunctive LR-26226 01/17/25
In the Matter of GrubMarket, Inc. Standalone Admin. Proc. 33-11354 01/17/25
SEC v. Old South Trading Co., LLC, et al. Civil Injunctive LR-26230 01/17/25
In the Matter of Digital Currency Group, Inc. Standalone Admin. Proc. 33-11357 01/17/25
In the Matter of Soichiro "Michael" Moro Standalone Admin. Proc. 33-11358 01/17/25
In the Matter of Investview, Inc. Standalone Admin. Proc. 33-11355 01/17/25
SEC v. Nova Labs, Inc. Civil Injunctive LR-26229 01/17/25
SEC v. Alexander C. Beckman, et al. Civil Injunctive LR-26232 01/23/25
SEC v. David J. Feingold, et al. Civil Injunctive LR-26289 01/29/25
SEC v. Max Infinity Management LLC d/b/a Max Infinity Fund, et al. Civil Injunctive LR-26233 01/31/25
SEC v. Elchonon Schwartz, et al. Civil Injunctive LR-26254 02/12/25
SEC v. Harshad Shah, et al. Civil Injunctive LR-26248 02/18/25
SEC v. Alan Burak Civil Injunctive LR-26256 02/26/25
SEC v. Justinas Butkus, also known as "Darius Karpavicius," individually and
doing business as TBO Capital Group and Gray Capital Group, et al.
Civil Injunctive LR-26259 02/27/25
SEC v. Peter Stuart, et al. Civil Injunctive LR-26263 03/07/25
SEC v. Ronald A. Pallek Civil Injunctive LR-26264 03/10/25
SEC v. Gauntlet Holdings, LLC, et al. Civil Injunctive LR-26266 03/13/25
SEC v. Jonathan Webb Civil Injunctive LR-26267 03/13/25
SEC v. Morbex Automation LLC, et al. Civil Injunctive LR-26272 03/14/25
https://www.sec.gov/files/litigation/admin/2024/33-11315.pdf
https://www.sec.gov/enforcement-litigation/litigation-releases/lr-26155
https://www.sec.gov/enforcement-litigation/litigation-releases/lr-26153
https://www.sec.gov/enforcement-litigation/litigation-releases/lr-26152
https://www.sec.gov/enforcement-litigation/litigation-releases/lr-26157
https://www.sec.gov/files/litigation/admin/2024/33-11318.pdf
https://www.sec.gov/enforcement-litigation/litigation-releases/lr-26167
https://www.sec.gov/enforcement-litigation/litigation-releases/lr-26173
https://www.sec.gov/enforcement-litigation/litigation-releases/lr-26182
https://www.sec.gov/enforcement-litigation/litigation-releases/lr-26177
https://www.sec.gov/enforcement-litigation/litigation-releases/lr-26188
https://www.sec.gov/files/litigation/admin/2024/33-11334.pdf
https://www.sec.gov/files/litigation/admin/2024/33-11333.pdf
https://www.sec.gov/files/litigation/admin/2024/33-11335.pdf
https://www.sec.gov/files/litigation/admin/2024/33-11336.pdf
https://www.sec.gov/enforcement-litigation/litigation-releases/lr-26189
https://www.sec.gov/enforcement-litigation/litigation-releases/lr-26192
https://www.sec.gov/files/litigation/admin/2024/34-101904.pdf
https://www.sec.gov/enforcement-litigation/litigation-releases/lr-26196
https://www.sec.gov/files/litigation/admin/2024/33-11349.pdf
https://www.sec.gov/enforcement-litigation/litigation-releases/lr-26216
https://www.sec.gov/enforcement-litigation/litigation-releases/lr-26227
https://www.sec.gov/enforcement-litigation/litigation-releases/lr-26223
https://www.sec.gov/enforcement-litigation/litigation-releases/lr-26226
https://www.sec.gov/files/litigation/admin/2025/33-11354.pdf
https://www.sec.gov/enforcement-litigation/litigation-releases/lr-26230
https://www.sec.gov/files/litigation/admin/2025/33-11357.pdf
https://www.sec.gov/files/litigation/admin/2025/33-11358.pdf
https://www.sec.gov/files/litigation/admin/2025/33-11355.pdf
https://www.sec.gov/enforcement-litigation/litigation-releases/lr-26229
https://www.sec.gov/enforcement-litigation/litigation-releases/lr-26232
https://www.sec.gov/enforcement-litigation/litigation-releases/lr-26289
https://www.sec.gov/enforcement-litigation/litigation-releases/lr-26233
https://www.sec.gov/enforcement-litigation/litigation-releases/lr-26254
https://www.sec.gov/enforcement-litigation/litigation-releases/lr-26248
https://www.sec.gov/enforcement-litigation/litigation-releases/lr-26256
https://www.sec.gov/enforcement-litigation/litigation-releases/lr-26259
https://www.sec.gov/enforcement-litigation/litigation-releases/lr-26263
https://www.sec.gov/enforcement-litigation/litigation-releases/lr-26264
https://www.sec.gov/enforcement-litigation/litigation-releases/lr-26266
https://www.sec.gov/enforcement-litigation/litigation-releases/lr-26267
https://www.sec.gov/enforcement-litigation/litigation-releases/lr-26272
SEC v. David A. Spargo, et al. Civil Injunctive LR-26297 03/28/25
In the Matter of Emergent BioSolutions, Inc. Standalone Admin. Proc. 33-11371 04/07/25
SEC v. Alberto Saniger Mantinan, a/k/a Albert Saniger Civil Injunctive LR-26282 04/09/25
SEC v. Ramil Ventura Palafox, et al. Civil Injunctive LR-26295 04/22/25
SEC v. Daniel J. Motha Civil Injunctive LR-26293 04/25/25
SEC v. Kenneth W. Alexander II, et al. Civil Injunctive LR-26301 04/29/25
SEC v. Jenni Yoon Jeong Lee (a/k/a Jenni Lee or Yoon Jeong Lee), et al. Civil Injunctive LR-26298 04/30/25
SEC v. Richard T. Kim Civil Injunctive LR-26304 05/07/25
SEC v. Joshua Schuster, et al. Civil Injunctive LR-26305 05/07/25
SEC v. Christopher Aubin, et al. Civil Injunctive LR-26315 05/15/25
SEC v. Unicoin, Inc. f/k/a TransparentBusiness, Inc., et al. Civil Injunctive LR-26314 05/20/25
SEC v. Joel J. Natario, et al. Civil Injunctive LR-26311 05/21/25
SEC v. Jeremy Jordan-Jones Civil Injunctive LR-26309 05/21/25
SEC v. Kenneth Mattson, et al. Civil Injunctive LR-26312 05/22/25
SEC v. Kronus Financial Corporation, et al. Civil Injunctive LR-26317 05/28/25
SEC v. Sergio Damian Lopez Civil Injunctive LR-26325 05/28/25
SEC v. Peter Scalise III, et al. Civil Injunctive LR-26328 06/17/25
SEC v. Ian O. Mausner, et al. Civil Injunctive LR-26333 06/23/25
SEC v. Robynne Alexander Civil Injunctive LR-26336 06/26/25
SEC v. Cheetah X Inc. (d/b/a Go X), et al. Civil Injunctive LR-26341 07/03/25
SEC v. Joshua Thomas Jackson Civil Injunctive LR-26345 07/08/25
SEC v. Edwin Brant Frost IV, et al. Civil Injunctive LR-26358 07/10/25
SEC v. Imer Gomez, individually and d/b/a K&G Investment Solutions, LLC,
et al.
Civil Injunctive LR-26349 07/14/25
SEC v. Christine M. Hunsicker Civil Injunctive LR-26352 07/18/25
SEC v. Edwin Emmett Lickiss, Jr. Civil Injunctive LR-26360 07/21/25
SEC v. Dr. Joseph J. Nantomah, et al. Civil Injunctive LR-26368 08/01/25
In the Matter of Huynh Tran Quang Duy (a/k/a Duy Huynh) Standalone Admin. Proc. 33-11382 08/05/25
SEC v. Ryan R. Wear, et al. Civil Injunctive LR-26375 08/14/25
SEC v. Stock Purse Trading, LLC, et al. Civil Injunctive LR-26379 08/18/25
SEC v. Joseph Neal Sanberg Civil Injunctive LR-26382 08/21/25
SEC v. Kenneth Thom Civil Injunctive LR-26381 08/21/25
SEC v. Faraz Dar, (also known as Osman Dar), et al. Civil Injunctive LR-26386 08/28/25
SEC v. Daryl F. Heller, et al. Civil Injunctive LR-26387 09/03/25
SEC v. Calvin Guess, et al. Civil Injunctive LR-26390 09/04/25
SEC v. Henry Paul Regan, Jr. Civil Injunctive LR-26392 09/04/25
SEC v. Arsalan Rawjani, et al. Civil Injunctive LR-26391 09/05/25
SEC v. Kevin N. Richards Civil Injunctive LR-26442 09/11/25
SEC v. David P. Ortiz, et al. Civil Injunctive LR-26442 09/11/25
SEC v. Charles D. Oliver Civil Injunctive LR-26442 09/11/25
In the Matter of Abraham Borenstein, Esq. Follow-on Admin. Proc. 33-11388 09/11/25
SEC v. Todd O'Gara, et al. Civil Injunctive LR-26401 09/15/25
SEC v. Pathyam Patel Civil Injunctive LR-26406 09/19/25
SEC v. Taino Adrian Lopez, et al. Civil Injunctive LR-26413 09/23/25
SEC v. Matthew Derrick Hudson Civil Injunctive LR-26411 09/24/25
https://www.sec.gov/enforcement-litigation/litigation-releases/lr-26297
https://www.sec.gov/files/litigation/admin/2025/33-11371.pdf
https://www.sec.gov/enforcement-litigation/litigation-releases/lr-26282
https://www.sec.gov/enforcement-litigation/litigation-releases/lr-26295
https://www.sec.gov/enforcement-litigation/litigation-releases/lr-26293
https://www.sec.gov/enforcement-litigation/litigation-releases/lr-26301
https://www.sec.gov/enforcement-litigation/litigation-releases/lr-26298
https://www.sec.gov/enforcement-litigation/litigation-releases/lr-26304
https://www.sec.gov/enforcement-litigation/litigation-releases/lr-26305
https://www.sec.gov/enforcement-litigation/litigation-releases/lr-26315
https://www.sec.gov/enforcement-litigation/litigation-releases/lr-26314
https://www.sec.gov/enforcement-litigation/litigation-releases/lr-26311
https://www.sec.gov/enforcement-litigation/litigation-releases/lr-26309
https://www.sec.gov/enforcement-litigation/litigation-releases/lr-26312
https://www.sec.gov/enforcement-litigation/litigation-releases/lr-26317
https://www.sec.gov/enforcement-litigation/litigation-releases/lr-26325
https://www.sec.gov/enforcement-litigation/litigation-releases/lr-26328
https://www.sec.gov/enforcement-litigation/litigation-releases/lr-26333
https://www.sec.gov/enforcement-litigation/litigation-releases/lr-26336
https://www.sec.gov/enforcement-litigation/litigation-releases/lr-26341
https://www.sec.gov/enforcement-litigation/litigation-releases/lr-26345
https://www.sec.gov/enforcement-litigation/litigation-releases/lr-26358
https://www.sec.gov/enforcement-litigation/litigation-releases/lr-26349
https://www.sec.gov/enforcement-litigation/litigation-releases/lr-26352
https://www.sec.gov/enforcement-litigation/litigation-releases/lr-26360
https://www.sec.gov/enforcement-litigation/litigation-releases/lr-26368
https://www.sec.gov/files/litigation/admin/2025/33-11382.pdf
https://www.sec.gov/enforcement-litigation/litigation-releases/lr-26375
https://www.sec.gov/enforcement-litigation/litigation-releases/lr-26379
https://www.sec.gov/enforcement-litigation/litigation-releases/lr-26382
https://www.sec.gov/enforcement-litigation/litigation-releases/lr-26381
https://www.sec.gov/enforcement-litigation/litigation-releases/lr-26386
https://www.sec.gov/enforcement-litigation/litigation-releases/lr-26387
https://www.sec.gov/enforcement-litigation/litigation-releases/lr-26390
https://www.sec.gov/enforcement-litigation/litigation-releases/lr-26392
https://www.sec.gov/enforcement-litigation/litigation-releases/lr-26391
https://www.sec.gov/enforcement-litigation/litigation-releases/lr-26442
https://www.sec.gov/enforcement-litigation/litigation-releases/lr-26442
https://www.sec.gov/enforcement-litigation/litigation-releases/lr-26442
https://www.sec.gov/files/litigation/admin/2025/33-11388.pdf
https://www.sec.gov/enforcement-litigation/litigation-releases/lr-26401
https://www.sec.gov/enforcement-litigation/litigation-releases/lr-26406
https://www.sec.gov/enforcement-litigation/litigation-releases/lr-26413
https://www.sec.gov/enforcement-litigation/litigation-releases/lr-26411
SEC v. Marat Likhtenstein Civil Injunctive LR-26476 09/26/25
SEC v. Kevin L. Jefferson Civil Injunctive LR-26440 09/29/25
SEC v. Demetrius L. Early Civil Injunctive LR-26440 09/29/25
SEC v. Andrew Scott Corbman Civil Injunctive LR-26428 09/29/25
TRANSFER AGENT
In the Matter of Direct Transfer LLC Standalone Admin. Proc. 34-101924 12/16/24
https://www.sec.gov/enforcement-litigation/litigation-releases/lr-26476
https://www.sec.gov/enforcement-litigation/litigation-releases/lr-26440
https://www.sec.gov/enforcement-litigation/litigation-releases/lr-26440
https://www.sec.gov/enforcement-litigation/litigation-releases/lr-26428
https://www.sec.gov/files/litigation/admin/2024/34-101924.pdfOCR text (69,101c · textlayer · 95% conf)
ADDENDUM TO
DIVISION OF ENFORCEMENT PRESS RELEASE
FISCAL YEAR 2025
1234
1 Standalone Enforcement Actions is a combined count of Civil Actions and Standalone APs.
2 Of the total for FY 2025, a significant amount arises from orders related to a single action (SEC v. Stanford International
Bank Ltd., et al, No. 3:09-cv-298-N (N.D. Tex. filed Feb. 16, 2009)). The FY 2025 monies ordered from that case are:
penalties of $5.9 billion and disgorgement of $9 billion, for a total of $14.9 billion. Excluding that case, the FY 2025 monies
ordered are: penalties of $1.3 billion and disgorgement of $1.7 billion, for a total of $3 billion ($2.7 billion excluding certain
offsets and certain penalties as set forth in the table).
3 In some cases, the SEC obtains judgments where all or a portion of the amount of disgorgement ordered is deemed
satisfied by a court order in a separate non-SEC action (e.g., a parallel criminal proceeding that orders restitution and/or
forfeiture). This row shows the approximate total of such amounts based on currently available data.
4 From FY 2022 through the early part of FY 2025, the SEC instituted settled administrative proceedings that imposed $2.3
billion in penalties against firms for failing to maintain and preserve off-channel communications, which this Commission
views as representing an inappropriate use of enforcement resources by the prior Commission that did little to advance
investor protection. Of the $2.3 billion total imposed, $71 million was ordered in early FY 2025.
ADDENDUM TO
DIVISION OF ENFORCEMENT PRESS RELEASE
FISCAL YEAR 2025
FISCAL YEAR 2025 ENFORCEMENT CASES
LISTED BY PROGRAM AREA
Case
Name
Type of
Action
Release
No.
Date
Filed
BROKER-DEALER
In the Matter of Thrivent Investment Management, Inc. Standalone Admin. Proc. 34-101234 10/02/24
SEC v. Cumberland DRW LLC Civil Injunctive LR-26151 10/10/24
In the Matter of Palos Management Inc., et al. Standalone Admin. Proc. 34-101324 10/15/24
In the Matter of PHX Financial, Inc. Standalone Admin. Proc. 34-101361 10/16/24
SEC v. Baris Cabalar Civil Injunctive LR-26161 10/16/24
In the Matter of Martin Zizi Follow-on Admin. Proc. 34-101472 10/30/24
In the Matter of J.P. Morgan Securities LLC Standalone Admin. Proc. 33-11324 10/31/24
In the Matter of J.P. Morgan Securities LLC Standalone Admin. Proc. 34-101493 10/31/24
In the Matter of Lion Street Financial, LLC Standalone Admin. Proc. 34-101633 11/15/24
In the Matter of Lightspeed Financial Services Group LLC Standalone Admin. Proc. 34-101705 11/22/24
In the Matter of Paulson Investment Company, LLC Standalone Admin. Proc. 34-101706 11/22/24
In the Matter of Webull Financial LLC Standalone Admin. Proc. 34-101707 11/22/24
SEC v. Brad Hare, et al. Civil Injunctive LR-26181 11/25/24
In the Matter of Industrial and Commercial Bank of China Financial
Services LLC
Standalone Admin. Proc. 34-101794 12/02/24
In the Matter of Brad Hare Follow-on Admin. Proc. 34-101859 12/10/24
In the Matter of Mammoth West Corporation Follow-on Admin. Proc. 34-101861 12/10/24
SEC v. Christopher Booth Kennedy Civil Injunctive LR-26191 12/10/24
In the Matter of David Harry-Nelson Austin Follow-on Admin. Proc. 34-101926 12/16/24
In the Matter of SogoTrade, Inc. Standalone Admin. Proc. 34-101936 12/17/24
In the Matter of David Chong Kyi Standalone Admin. Proc. 34-101937 12/17/24
In the Matter of Christopher S. Knight Follow-on Admin. Proc. 34-101981 12/19/24
In the Matter of John N. Matson Follow-on Admin. Proc. 34-102021 12/20/24
In the Matter of Deutsche Bank Securities Inc. Standalone Admin. Proc. 34-102011 12/20/24
In the Matter of Wells Fargo Clearing Services, LLC Standalone Admin. Proc. 34-102009 12/20/24
In the Matter of LPL Financial LLC Standalone Admin. Proc. 34-102008 12/20/24
In the Matter of Richard Brown Follow-on Admin. Proc. 34-102031 12/23/24
In the Matter of Morningview Financial, LLC, et al. Follow-on Admin. Proc. 34-102088 01/02/25
In the Matter of Jonathan Mimun (a/k/a Jonathan “Yoni” Maymon,
Yonatan Mimun and Jonatan Mimun), et al.
Follow-on Admin. Proc. 34-102142 01/10/25
In the Matter of SpeedRoute LLC Standalone Admin. Proc. 34-102157 01/10/25
In the Matter of Liquidnet, Inc. Standalone Admin. Proc. 33-11351 01/10/25
In the Matter of Akshay Niranjan Follow-on Admin. Proc. 34-102173 01/13/25
In the Matter of BMO Capital Markets Corp. Standalone Admin. Proc. 34-102160 01/13/25
In the Matter of PJT Partners LP Standalone Admin. Proc. 34-102167 01/13/25
In the Matter of Charles Schwab & Co., Inc. Standalone Admin. Proc. 34-102172 01/13/25
https://www.sec.gov/files/litigation/admin/2024/34-101234.pdf
https://www.sec.gov/enforcement-litigation/litigation-releases/lr-26151
https://www.sec.gov/files/litigation/admin/2024/34-101324.pdf
https://www.sec.gov/files/litigation/admin/2024/34-101361.pdf
https://www.sec.gov/enforcement-litigation/litigation-releases/lr-26161
https://www.sec.gov/files/litigation/admin/2024/34-101472.pdf
https://www.sec.gov/files/litigation/admin/2024/33-11324.pdf
https://www.sec.gov/files/litigation/admin/2024/34-101493.pdf
https://www.sec.gov/files/litigation/admin/2024/34-101633.pdf
https://www.sec.gov/files/litigation/admin/2024/34-101705.pdf
https://www.sec.gov/files/litigation/admin/2024/34-101706.pdf
https://www.sec.gov/files/litigation/admin/2024/34-101707.pdf
https://www.sec.gov/enforcement-litigation/litigation-releases/lr-26181
https://www.sec.gov/files/litigation/admin/2024/34-101794.pdf
https://www.sec.gov/files/litigation/admin/2024/34-101859.pdf
https://www.sec.gov/files/litigation/opinions/2024/34-101861.pdf
https://www.sec.gov/enforcement-litigation/litigation-releases/lr-26191
https://www.sec.gov/files/litigation/admin/2024/34-101926.pdf
https://www.sec.gov/files/litigation/admin/2024/34-101936.pdf
https://www.sec.gov/files/litigation/admin/2024/34-101937.pdf
https://www.sec.gov/files/litigation/admin/2024/34-101981.pdf
https://www.sec.gov/files/litigation/admin/2024/34-102021.pdf
https://www.sec.gov/files/litigation/admin/2024/34-102011.pdf
https://www.sec.gov/files/litigation/admin/2024/34-102009.pdf
https://www.sec.gov/files/litigation/admin/2024/34-102008.pdf
https://www.sec.gov/files/litigation/admin/2024/34-102031.pdf
https://www.sec.gov/files/litigation/admin/2025/34-102088.pdf
https://www.sec.gov/files/litigation/admin/2025/34-102142.pdf
https://www.sec.gov/files/litigation/admin/2025/34-102157.pdf
https://www.sec.gov/files/litigation/admin/2025/33-11351.pdf
https://www.sec.gov/files/litigation/admin/2025/34-102173.pdf
https://www.sec.gov/files/litigation/admin/2025/34-102160.pdf
https://www.sec.gov/files/litigation/admin/2025/34-102167.pdf
https://www.sec.gov/files/litigation/admin/2025/34-102172.pdf
In the Matter of Santander US Capital Markets LLC Standalone Admin. Proc. 34-102171 01/13/25
In the Matter of Robinhood Financial LLC, et al. Standalone Admin. Proc. 34-102170 01/13/25
In the Matter of Joseph J. Orlando Jr. Standalone Admin. Proc. 34-102176 01/14/25
In the Matter of Danny Z. Spiegel Standalone Admin. Proc. 34-102175 01/14/25
In the Matter of Tamir Shabat Standalone Admin. Proc. 34-102174 01/14/25
In the Matter of GTS Securities, LLC Standalone Admin. Proc. 34-102192 01/14/25
In the Matter of Karina N. Fernandez, Esq. Follow-on Admin. Proc. 34-102204 & 01/16/25
34-102251
In the Matter of Janalie C. Joseph a/k/a Janalie C. Bingham Follow-on Admin. Proc. 34-102221 01/16/25
In the Matter of Jean Joseph Follow-on Admin. Proc. 34-102222 01/16/25
In the Matter of LPL Financial LLC Standalone Admin. Proc. 34-102224 01/17/25
In the Matter of Paul John McCabe, Jr., et al. Standalone Admin. Proc. 34-102230 01/17/25
In the Matter of Michael Sealy Standalone Admin. Proc. 34-102233 01/17/25
In the Matter of Christopher Booth Kennedy Follow-on Admin. Proc. 34-102268 01/23/25
In the Matter of Manuel Alvis Follow-on Admin. Proc. 34-102307 01/30/25
In the Matter of Arthur P. Pizzello, Jr Follow-on Admin. Proc. 34-102340 02/04/25
In the Matter of Ashish Aggarwal Follow-on Admin. Proc. 34-102360 02/05/25
In the Matter of Centaurus Financial, Inc., et al. Standalone Admin. Proc. 34-102379 02/07/25
In the Matter of John S. Winslow Follow-on Admin. Proc. 34-102674 03/14/25
In the Matter of Erik Matz Follow-on Admin. Proc. 34-102741 03/27/25
In the Matter of Brian Heepke Follow-on Admin. Proc. 34-102740 03/27/25
In the Matter of Ashley Antos Follow-on Admin. Proc. 34-102739 03/27/25
In the Matter of Velox Clearing LLC Standalone Admin. Proc. 34-102769 04/04/25
SEC v. Rajesh Markan Civil Injunctive LR-26337 06/27/25
In the Matter of Marco Antonio Lemus Follow-on Admin. Proc. 34-103362 07/01/25
In the Matter of Rajesh Markan Follow-on Admin. Proc. 34-103479 07/16/25
In the Matter of Caz L. Craffy a/k/a Carz Levinski Craffey Follow-on Admin. Proc. 34-103538 07/24/25
In the Matter of Justin R. Kimbrough Follow-on Admin. Proc. 34-103656 08/07/25
In the Matter of Emerson Equity, LLC Standalone Admin. Proc. 34-103674 08/11/25
In the Matter of Tony Barouti Standalone Admin. Proc. 34-103675 08/11/25
In the Matter of Dennis Verderosa Follow-on Admin. Proc. 34-103770 08/25/25
In the Matter of Bloomberg Tradebook LLC Standalone Admin. Proc. 33-11390 09/18/25
DELINQUENT FILINGS
In the Matter of B2Digital, Incorporated Standalone Admin. Proc. 34-101278 10/08/24
In the Matter of ABCO Energy, Inc. Standalone Admin. Proc. 34-101279 10/08/24
In the Matter of American Bio Medica Corporation Standalone Admin. Proc. 34-101284 10/08/24
In the Matter of ARtelligence Holdings, Inc. (fka Tautachrome, Inc.) Standalone Admin. Proc. 34-101285 10/08/24
In the Matter of Cannagistics, Inc. Standalone Admin. Proc. 34-101287 10/09/24
In the Matter of China Energy Technology Corp., Ltd. Standalone Admin. Proc. 34-101288 10/09/24
In the Matter of International Fast Food Corporation Standalone Admin. Proc. 34-101292 10/09/24
In the Matter of Lattice, Inc. Standalone Admin. Proc. 34-101293 10/09/24
In the Matter of Clickstream Corporation Standalone Admin. Proc. 34-101326 10/15/24
In the Matter of GeneThera, Inc. Standalone Admin. Proc. 34-101327 10/15/24
https://www.sec.gov/files/litigation/admin/2025/34-102171.pdf
https://www.sec.gov/files/litigation/admin/2025/34-102170.pdf
https://www.sec.gov/files/litigation/admin/2025/34-102176.pdf
https://www.sec.gov/files/litigation/admin/2025/34-102175.pdf
https://www.sec.gov/files/litigation/admin/2025/34-102174.pdf
https://www.sec.gov/files/litigation/admin/2025/34-102192_0.pdf
https://www.sec.gov/files/litigation/admin/2025/34-102204.pdf
https://www.sec.gov/files/litigation/admin/2025/34-102251.pdf
https://www.sec.gov/files/litigation/admin/2025/34-102221.pdf
https://www.sec.gov/files/litigation/admin/2025/34-102222.pdf
https://www.sec.gov/files/litigation/admin/2025/34-102224.pdf
https://www.sec.gov/files/litigation/admin/2025/34-102230.pdf
https://www.sec.gov/files/litigation/admin/2025/34-102233.pdf
https://www.sec.gov/files/litigation/admin/2025/34-102268.pdf
https://www.sec.gov/files/litigation/admin/2025/34-102307.pdf
https://www.sec.gov/files/litigation/admin/2025/34-102340.pdf
https://www.sec.gov/files/litigation/admin/2025/34-102360.pdf
https://www.sec.gov/files/litigation/admin/2025/34-102379.pdf
https://www.sec.gov/files/litigation/admin/2025/34-102674.pdf
https://www.sec.gov/files/litigation/admin/2025/34-102741.pdf
https://www.sec.gov/files/litigation/admin/2025/34-102740.pdf
https://www.sec.gov/files/litigation/admin/2025/34-102739.pdf
https://www.sec.gov/files/litigation/admin/2025/34-102769.pdf
https://www.sec.gov/enforcement-litigation/litigation-releases/lr-26337
https://www.sec.gov/files/litigation/admin/2025/34-103362.pdf
https://www.sec.gov/files/litigation/admin/2025/34-103479.pdf
https://www.sec.gov/files/litigation/admin/2025/34-103538.pdf
https://www.sec.gov/files/litigation/admin/2025/34-103656.pdf
https://www.sec.gov/files/litigation/admin/2025/34-103674.pdf
https://www.sec.gov/files/litigation/admin/2025/34-103675.pdf
https://www.sec.gov/files/litigation/admin/2025/34-103770.pdf
https://www.sec.gov/files/litigation/admin/2025/33-11390.pdf
https://www.sec.gov/files/litigation/admin/2024/34-101278.pdf
https://www.sec.gov/files/litigation/admin/2024/34-101279.pdf
https://www.sec.gov/files/litigation/admin/2024/34-101284.pdf
https://www.sec.gov/files/litigation/admin/2024/34-101285.pdf
https://www.sec.gov/files/litigation/admin/2024/34-101287.pdf
https://www.sec.gov/files/litigation/admin/2024/34-101288.pdf
https://www.sec.gov/files/litigation/admin/2024/34-101292.pdf
https://www.sec.gov/files/litigation/admin/2024/34-101293.pdf
https://www.sec.gov/files/litigation/admin/2024/34-101326.pdf
https://www.sec.gov/files/litigation/admin/2024/34-101327.pdf
In the Matter of Live Current Media Inc. Standalone Admin. Proc. 34-101328 10/15/24
In the Matter of Mexus Gold US Standalone Admin. Proc. 34-101329 10/15/24
In the Matter of OS Support, Inc. Standalone Admin. Proc. 34-101332 10/15/24
In the Matter of Point of Care Nano-Technology, Inc. Standalone Admin. Proc. 34-101333 10/15/24
In the Matter of Sharing Economy International Inc. Standalone Admin. Proc. 34-101334 10/15/24
In the Matter of Sollensys Corp. Standalone Admin. Proc. 34-101335 10/15/24
In the Matter of Taihe Group, Inc. Standalone Admin. Proc. 34-101330 10/15/24
In the Matter of TORtec Group Corporation Standalone Admin. Proc. 34-101331 10/15/24
In the Matter of UBI Blockchain Internet Ltd. Standalone Admin. Proc. 34-101343 10/15/24
In the Matter of Worldwide Strategies Inc. Standalone Admin. Proc. 34-101344 10/15/24
In the Matter of 808 Renewable Energy Corporation Standalone Admin. Proc. 34-101347 10/15/24
In the Matter of Globesat Holding Corp. Standalone Admin. Proc. 34-101365 10/16/24
In the Matter of Integral Vision Inc. Standalone Admin. Proc. 34-101366 10/16/24
In the Matter of MusclePharm Corporation Standalone Admin. Proc. 34-101354 10/16/24
In the Matter of Nutralife Biosciences, Inc. Standalone Admin. Proc. 34-101355 10/16/24
In the Matter of Purthanol Resources Limited Standalone Admin. Proc. 34-101363 10/16/24
In the Matter of Renewable Innovations, Inc. Standalone Admin. Proc. 34-101364 10/16/24
In the Matter of Traqer Corp. Standalone Admin. Proc. 34-101362 10/16/24
In the Matter of Spectrascience, Inc. Standalone Admin. Proc. 34-101376 10/17/24
In the Matter of Striker Oil & Gas, Inc. Standalone Admin. Proc. 34-101378 10/17/24
In the Matter of Amanasu Techno Holdings Corp. Standalone Admin. Proc. 34-101522 11/06/24
In the Matter of Confluence Acquisition Partners I, Inc. Standalone Admin. Proc. 34-101523 11/06/24
In the Matter of Subaye.com, Inc. Standalone Admin. Proc. 34-101527 11/06/24
In the Matter of Sunwin Stevia International, Inc. Standalone Admin. Proc. 34-101528 11/06/24
In the Matter of EliteSoft Global Inc. Standalone Admin. Proc. 34-101553 11/07/24
In the Matter of G.G.S. Plastic Engineering Inc. Standalone Admin. Proc. 34-101554 11/07/24
In the Matter of Golden Goliath Resources Ltd. Standalone Admin. Proc. 34-101548 11/07/24
In the Matter of H3 Enterprises, Inc. (f/k/a Uptown Restaurant Group, Inc.) Standalone Admin. Proc. 34-101549 11/07/24
In the Matter of New Asia Partners China Corp. Standalone Admin. Proc. 34-101544 11/07/24
In the Matter of Pharmamatrix Acquisition Corp. Standalone Admin. Proc. 34-101545 11/07/24
In the Matter of Redstar Partners, Inc. Standalone Admin. Proc. 34-101541 11/07/24
In the Matter of Rystar Communications Ltd. Standalone Admin. Proc. 34-101542 11/07/24
In the Matter of Sino American Oil Co. Standalone Admin. Proc. 34-101538 11/07/24
In the Matter of Spongetech Delivery Systems, Inc. Standalone Admin. Proc. 34-101539 11/07/24
In the Matter of TolerRx, Inc. Standalone Admin. Proc. 34-101534 11/07/24
In the Matter of Vision Energy Corp. Standalone Admin. Proc. 34-101535 11/07/24
In the Matter of DG Acquisition Corp. Standalone Admin. Proc. 34-101590 11/12/24
In the Matter of Digatrade Financial Corp. Standalone Admin. Proc. 34-101591 11/12/24
In the Matter of Galaxy Next Generation, Inc. Standalone Admin. Proc. 34-101592 11/13/24
In the Matter of Global Secure Corp. (n/k/a Global Secure Ltd.) Standalone Admin. Proc. 34-101593 11/13/24
In the Matter of Innovative Energy Solutions, Inc. Standalone Admin. Proc. 34-101594 11/13/24
In the Matter of MJ Harvest, Inc. Standalone Admin. Proc. 34-101595 11/13/24
In the Matter of PRN Corp. Standalone Admin. Proc. 34-101600 11/13/24
In the Matter of QuatRx Pharmaceuticals Company Standalone Admin. Proc. 34-101602 11/13/24
In the Matter of Sangui Biotech International, Inc. Standalone Admin. Proc. 34-101607 11/13/24
https://www.sec.gov/files/litigation/admin/2024/34-101328.pdf
https://www.sec.gov/files/litigation/admin/2024/34-101329.pdf
https://www.sec.gov/files/litigation/admin/2024/34-101332.pdf
https://www.sec.gov/files/litigation/admin/2024/34-101333.pdf
https://www.sec.gov/files/litigation/admin/2024/34-101334.pdf
https://www.sec.gov/files/litigation/admin/2024/34-101335.pdf
https://www.sec.gov/files/litigation/admin/2024/34-101330.pdf
https://www.sec.gov/files/litigation/admin/2024/34-101331.pdf
https://www.sec.gov/files/litigation/admin/2024/34-101343.pdf
https://www.sec.gov/files/litigation/admin/2024/34-101344.pdf
https://www.sec.gov/files/litigation/admin/2024/34-101347.pdf
https://www.sec.gov/files/litigation/admin/2024/34-101365.pdf
https://www.sec.gov/files/litigation/admin/2024/34-101366.pdf
https://www.sec.gov/files/litigation/admin/2024/34-101354.pdf
https://www.sec.gov/files/litigation/admin/2024/34-101355.pdf
https://www.sec.gov/files/litigation/admin/2024/34-101363.pdf
https://www.sec.gov/files/litigation/admin/2024/34-101364.pdf
https://www.sec.gov/files/litigation/admin/2024/34-101362.pdf
https://www.sec.gov/files/litigation/admin/2024/34-101376.pdf
https://www.sec.gov/files/litigation/admin/2024/34-101378.pdf
https://www.sec.gov/files/litigation/admin/2024/34-101522.pdf
https://www.sec.gov/files/litigation/admin/2024/34-101523.pdf
https://www.sec.gov/files/litigation/admin/2024/34-101527.pdf
https://www.sec.gov/files/litigation/admin/2024/34-101528.pdf
https://www.sec.gov/files/litigation/admin/2024/34-101553.pdf
https://www.sec.gov/files/litigation/admin/2024/34-101554.pdf
https://www.sec.gov/files/litigation/admin/2024/34-101548.pdf
https://www.sec.gov/files/litigation/admin/2024/34-101549.pdf
https://www.sec.gov/files/litigation/admin/2024/34-101544.pdf
https://www.sec.gov/files/litigation/admin/2024/34-101545.pdf
https://www.sec.gov/files/litigation/admin/2024/34-101541.pdf
https://www.sec.gov/files/litigation/admin/2024/34-101542.pdf
https://www.sec.gov/files/litigation/admin/2024/34-101538.pdf
https://www.sec.gov/files/litigation/admin/2024/34-101539.pdf
https://www.sec.gov/files/litigation/admin/2024/34-101534.pdf
https://www.sec.gov/files/litigation/admin/2024/34-101535.pdf
https://www.sec.gov/files/litigation/admin/2024/34-101590.pdf
https://www.sec.gov/files/litigation/admin/2024/34-101591.pdf
https://www.sec.gov/files/litigation/admin/2024/34-101592.pdf
https://www.sec.gov/files/litigation/admin/2024/34-101593.pdf
https://www.sec.gov/files/litigation/admin/2024/34-101594.pdf
https://www.sec.gov/files/litigation/admin/2024/34-101595.pdf
https://www.sec.gov/files/litigation/admin/2024/34-101600.pdf
https://www.sec.gov/files/litigation/admin/2024/34-101602.pdf
https://www.sec.gov/files/litigation/admin/2024/34-101607.pdf
In the Matter of Seven Networks, Inc. (n/k/a Seven Networks, LLC) Standalone Admin. Proc. 34-101608 11/13/24
In the Matter of Unico American Corporation Standalone Admin. Proc. 34-102265 01/23/25
In the Matter of iSign Solutions Inc. Standalone Admin. Proc. 34-102520 03/04/25
In the Matter of Adorbs Inc. (f/k/a Soul Biotechnology Corp.) Standalone Admin. Proc. 34-103792 08/28/25
In the Matter of Agri-Fintech Holdings, Inc. (f/k/a Tingo, Inc.) Standalone Admin. Proc. 34-103840 09/03/25
In the Matter of Amergent Hospitality Group, Inc. Standalone Admin. Proc. 34-103857 09/04/25
In the Matter of American Noble Gas, Inc. Standalone Admin. Proc. 34-103858 09/04/25
In the Matter of Arowana Media Holdings, Inc. (f/k/a Mike The Pike
Productions, Inc.)
Standalone Admin. Proc. 34-103853 09/04/25
In the Matter of Century Cobalt Corp. Standalone Admin. Proc. 34-103855 09/04/25
In the Matter of GrowLife, Inc. Standalone Admin. Proc. 34-103874 09/05/25
In the Matter of Healthtech Solutions, Inc./UT Standalone Admin. Proc. 34-103875 09/05/25
In the Matter of Hfactor, Inc. Standalone Admin. Proc. 34-103898 09/05/25
In the Matter of Huaizhong Health Group, Inc. Standalone Admin. Proc. 34-103899 09/05/25
In the Matter of InnovaQor, Inc. Standalone Admin. Proc. 34-103909 09/08/25
In the Matter of Lucent Holdings, Inc. Standalone Admin. Proc. 34-103910 09/08/25
In the Matter of Maiden Creek Mining Co., Inc. Standalone Admin. Proc. 34-103916 09/09/25
In the Matter of Manuka, Inc. Standalone Admin. Proc. 34-103917 09/09/25
In the Matter of MedMen Enterprises, Inc. Standalone Admin. Proc. 34-103924 09/09/25
In the Matter of MJ Holdings, Inc. Standalone Admin. Proc. 34-103925 09/09/25
In the Matter of National Competitive Bowlers Association, Inc. Standalone Admin. Proc. 34-103934 09/10/25
In the Matter of Q BioMed Inc. Standalone Admin. Proc. 34-103935 09/10/25
In the Matter of Dais Corp. Standalone Admin. Proc. 34-103948 09/11/25
In the Matter of GlassBridge Enterprises, Inc. Standalone Admin. Proc. 34-103949 09/11/25
In the Matter of RespireRx Pharmaceuticals Inc. Standalone Admin. Proc. 34-103942 09/11/25
In the Matter of Stem Cell Inc. Standalone Admin. Proc. 34-103943 09/11/25
In the Matter of Sysorex, Inc. Standalone Admin. Proc. 34-103962 09/12/25
In the Matter of Tenaya Group, Inc. Standalone Admin. Proc. 34-103963 09/12/25
In the Matter of Victoria Lake, Inc. Standalone Admin. Proc. 34-103953 09/12/25
In the Matter of W&E Source Corp. Standalone Admin. Proc. 34-103954 09/12/25
FOREIGN CORRUPT PRACTICES ACT
In the Matter of Moog Inc. Standalone Admin. Proc. 34-101307 10/11/24
In the Matter of RTX Corporation Standalone Admin. Proc. 34-101353 10/16/24
In the Matter of BIT Mining Ltd. Standalone Admin. Proc. 34-101649 11/18/24
SEC v. Cyril Sebastien Dominique Cabanes Civil Injunctive LR-26177 11/20/24
In the Matter of AAR CORP. Standalone Admin. Proc. 34-101987 12/19/24
In the Matter of Deepak Sharma Standalone Admin. Proc. 34-101988 12/19/24
INSIDER TRADING
SEC v. Matthew Groom Civil Injunctive LR-26159 10/15/24
SEC v. Ruimin Xie Civil Injunctive LR-26162 10/15/24
In the Matter of Umapathi Kakkera Standalone Admin. Proc. 34-101379 10/17/24
SEC v. Carlos Sacanell Civil Injunctive LR-26168 10/31/24
https://www.sec.gov/files/litigation/admin/2024/34-101608.pdf
https://www.sec.gov/files/litigation/admin/2025/34-102265.pdf
https://www.sec.gov/files/litigation/admin/2025/34-102520.pdf
https://www.sec.gov/files/litigation/admin/2025/34-103792.pdf
https://www.sec.gov/files/litigation/admin/2025/34-103840.pdf
https://www.sec.gov/files/litigation/admin/2025/34-103857.pdf
https://www.sec.gov/files/litigation/admin/2025/34-103858.pdf
https://www.sec.gov/files/litigation/admin/2025/34-103853.pdf
https://www.sec.gov/files/litigation/admin/2025/34-103855.pdf
https://www.sec.gov/files/litigation/admin/2025/34-103874.pdf
https://www.sec.gov/files/litigation/admin/2025/34-103875.pdf
https://www.sec.gov/files/litigation/admin/2025/34-103898.pdf
https://www.sec.gov/files/litigation/admin/2025/34-103899.pdf
https://www.sec.gov/files/litigation/admin/2025/34-103909.pdf
https://www.sec.gov/files/litigation/admin/2025/34-103910.pdf
https://www.sec.gov/files/litigation/admin/2025/34-103916.pdf
https://www.sec.gov/files/litigation/admin/2025/34-103917.pdf
https://www.sec.gov/files/litigation/admin/2025/34-103924.pdf
https://www.sec.gov/files/litigation/admin/2025/34-103925.pdf
https://www.sec.gov/files/litigation/admin/2025/34-103934.pdf
https://www.sec.gov/files/litigation/admin/2025/34-103935.pdf
https://www.sec.gov/files/litigation/admin/2025/34-103948.pdf
https://www.sec.gov/files/litigation/admin/2025/34-103949.pdf
https://www.sec.gov/files/litigation/admin/2025/34-103942.pdf
https://www.sec.gov/files/litigation/admin/2025/34-103943.pdf
https://www.sec.gov/files/litigation/admin/2025/34-103962.pdf
https://www.sec.gov/files/litigation/admin/2025/34-103963.pdf
https://www.sec.gov/files/litigation/admin/2025/34-103953.pdf
https://www.sec.gov/files/litigation/admin/2025/34-103954.pdf
https://www.sec.gov/files/litigation/admin/2024/34-101307.pdf
https://www.sec.gov/files/litigation/admin/2024/34-101353.pdf
https://www.sec.gov/files/litigation/admin/2024/34-101649.pdf
https://www.sec.gov/enforcement-litigation/litigation-releases/lr-26177
https://www.sec.gov/files/litigation/admin/2024/34-101987.pdf
https://www.sec.gov/files/litigation/admin/2024/34-101988.pdf
https://www.sec.gov/enforcement-litigation/litigation-releases/lr-26159
https://www.sec.gov/enforcement-litigation/litigation-releases/lr-26162
https://www.sec.gov/files/litigation/admin/2024/34-101379.pdf
https://www.sec.gov/enforcement-litigation/litigation-releases/lr-26168
SEC v. Robert Brian Thompson Civil Injunctive LR-26172 11/08/24
SEC v. Ken Peterman Civil Injunctive LR-26197 12/11/24
SEC v. Sai-Hong Ignatius Ou Civil Injunctive LR-26198 12/18/24
SEC v. Curt Ludwig Dewitz Civil Injunctive LR-26200 12/18/24
In the Matter of David S. Sargent Follow-on Admin. Proc. 34-102117 01/06/25
SEC v. Alfred V. Tobia, Jr., et al. Civil Injunctive LR-26218 01/13/25
SEC v. John C. Lowe, Jr., et al. Civil Injunctive LR-26236 01/15/25
SEC v. Anthony Marsico, et al. Civil Injunctive LR-26243 01/16/25
In the Matter of Barry A. Ruffalo Standalone Admin. Proc. 34-102246 01/17/25
In the Matter of William R. Ruffalo Standalone Admin. Proc. 34-102247 01/17/25
In the Matter of Robert L. Ruffalo, et al. Standalone Admin. Proc. 34-102248 01/17/25
SEC v. Gabriel Rebeiz Civil Injunctive LR-26231 01/21/25
In the Matter of John A. Heropoulos Standalone Admin. Proc. 33-11362 01/24/25
In the Matter of Kenneth G. Miccio Standalone Admin. Proc. 34-102266 01/24/25
SEC v. Eamma Safi, et al. Civil Injunctive LR-26268 03/04/25
In the Matter of Jeffrey Suchecki Standalone Admin. Proc. 34-102515 03/04/25
SEC v. George N. Demos Civil Injunctive LR-26262 03/07/25
SEC v. Trijya Vakil, et al. Civil Injunctive LR-26348 07/10/25
SEC v. Brian M. Kashman Civil Injunctive LR-26359 07/21/25
In the Matter of Vincent Barbuto Standalone Admin. Proc. 34-103615 08/01/25
In the Matter of Anthony Finale Standalone Admin. Proc. 34-103614 08/01/25
SEC v. Bruce Cameron Conway Civil Injunctive LR-26370 08/07/25
SEC v. Robert Yedid, et al. Civil Injunctive LR-26376 08/14/25
SEC v. Brent Cranmer, et al. Civil Injunctive LR-26378 08/18/25
SEC v. Justin Chen, et al. Civil Injunctive LR-26380 08/18/25
SEC v. Rouzbeh “Ross” Haghighat, et al. Civil Injunctive LR-26383 08/22/25
In the Matter of David J. Minson Standalone Admin. Proc. 34-103764 08/22/25
SEC v. Ryan Squillante Civil Injunctive LR-26388 09/05/25
INVESTMENT ADVISERS / INVESTMENT COMPANIES
In the Matter of Daniel Stephen Madasz Follow-on Admin. Proc. IA-6740 10/02/24
In the Matter of LDP Partners LLC, et al. Standalone Admin. Proc. IA-6743 10/07/24
In the Matter of Rimar Capital USA, Inc., et al. Standalone Admin. Proc. 33-11316 10/10/24
SEC v. Jeffrey Arsenault, et al. Civil Injunctive LR-26160 10/11/24
In the Matter of WisdomTree Asset Management, Inc. Standalone Admin. Proc. IA-6753 10/21/24
In the Matter of Francisco Javier Malave Hernandez Follow-on Admin. Proc. IA-6754 10/22/24
In the Matter of Raymond J. DiMuro Follow-on Admin. Proc. IA-6756 10/24/24
In the Matter of J.P. Morgan Securities LLC Standalone Admin. Proc. 34-101494 10/31/24
In the Matter of J.P. Morgan Investment Management Inc. Standalone Admin. Proc. IC-35373 10/31/24
In the Matter of J.P. Morgan Investment Management Inc. Standalone Admin. Proc. IA-6761 10/31/24
In the Matter of Wahed Invest, LLC Standalone Admin. Proc. IA-6763 11/01/24
In the Matter of Mark J. Boucher Follow-on Admin. Proc. 34-101521 11/06/24
In the Matter of Christopher Turean Follow-on Admin. Proc. IA-6766 11/07/24
In the Matter of Sean Michael Kane Follow-on Admin. Proc. 34-101558 11/07/24
https://www.sec.gov/enforcement-litigation/litigation-releases/lr-26172
https://www.sec.gov/enforcement-litigation/litigation-releases/lr-26197
https://www.sec.gov/enforcement-litigation/litigation-releases/lr-26198
https://www.sec.gov/enforcement-litigation/litigation-releases/lr-26200
https://www.sec.gov/files/litigation/admin/2025/34-102117.pdf
https://www.sec.gov/enforcement-litigation/litigation-releases/lr-26218
https://www.sec.gov/enforcement-litigation/litigation-releases/lr-26236
https://www.sec.gov/enforcement-litigation/litigation-releases/lr-26243
https://www.sec.gov/files/litigation/admin/2025/34-102246.pdf
https://www.sec.gov/files/litigation/admin/2025/34-102247.pdf
https://www.sec.gov/files/litigation/admin/2025/34-102248.pdf
https://www.sec.gov/enforcement-litigation/litigation-releases/lr-26231
https://www.sec.gov/files/litigation/admin/2025/33-11362.pdf
https://www.sec.gov/files/litigation/admin/2025/34-102266.pdf
https://www.sec.gov/enforcement-litigation/litigation-releases/lr-26268
https://www.sec.gov/files/litigation/admin/2025/34-102515.pdf
https://www.sec.gov/enforcement-litigation/litigation-releases/lr-26262
https://www.sec.gov/enforcement-litigation/litigation-releases/lr-26348
https://www.sec.gov/enforcement-litigation/litigation-releases/lr-26359
https://www.sec.gov/files/litigation/admin/2025/34-103615.pdf
https://www.sec.gov/files/litigation/admin/2025/34-103614.pdf
https://www.sec.gov/enforcement-litigation/litigation-releases/lr-26370
https://www.sec.gov/enforcement-litigation/litigation-releases/lr-26376
https://www.sec.gov/enforcement-litigation/litigation-releases/lr-26378
https://www.sec.gov/enforcement-litigation/litigation-releases/lr-26380
https://www.sec.gov/enforcement-litigation/litigation-releases/lr-26383
https://www.sec.gov/files/litigation/admin/2025/34-103764.pdf
https://www.sec.gov/enforcement-litigation/litigation-releases/lr-26388
https://www.sec.gov/files/litigation/admin/2024/ia-6740.pdf
https://www.sec.gov/files/litigation/admin/2024/ia-6743.pdf
https://www.sec.gov/files/litigation/admin/2024/33-11316.pdf
https://www.sec.gov/enforcement-litigation/litigation-releases/lr-26160
https://www.sec.gov/files/litigation/admin/2024/ia-6753.pdf
https://www.sec.gov/files/litigation/admin/2024/ia-6754.pdf
https://www.sec.gov/files/litigation/admin/2024/ia-6756.pdf
https://www.sec.gov/files/litigation/admin/2024/34-101494.pdf
https://www.sec.gov/files/litigation/admin/2024/ic-35373.pdf
https://www.sec.gov/files/litigation/admin/2024/ia-6761.pdf
https://www.sec.gov/files/litigation/admin/2024/ia-6763.pdf
https://www.sec.gov/files/litigation/admin/2024/34-101521.pdf
https://www.sec.gov/files/litigation/admin/2024/ia-6766.pdf
https://www.sec.gov/files/litigation/admin/2024/34-101558.pdf
In the Matter of Dusan Varga Follow-on Admin. Proc. IA-6768 11/07/24
In the Matter of Invesco Advisers, Inc. Standalone Admin. Proc. IA-6770 11/08/24
In the Matter of Epic Capital Wealth Advisors, LLC Standalone Admin. Proc. IA-6771 11/08/24
In the Matter of David M. Anthony Follow-on Admin. Proc. IA-6772 11/08/24
In the Matter of Kevin John Kane Follow-on Admin. Proc. 34-101657 11/20/24
SEC v. James Burleson Civil Injunctive LR-26178 11/21/24
SEC v. David Kushner, et al. Civil Injunctive LR-26176 11/21/24
In the Matter of Fair Invest, LLC, et al. Standalone Admin. Proc. 33-11329 11/25/24
SEC v. Stephen Kenneth Leech Civil Injunctive LR-26183 11/25/24
In the Matter of Richard Dow Rockwell Follow-on Admin. Proc. 34-101813 12/04/24
In the Matter of Morgan Stanley Smith Barney LLC Standalone Admin. Proc. 34-101842 12/09/24
In the Matter of SeaCrest Wealth Management, LLC Standalone Admin. Proc. 33-11338 12/12/24
SEC v. Eric McKenzie Cobb Civil Injunctive LR-26201 12/12/24
In the Matter of Greenhaven Road Investment Management, LP Standalone Admin. Proc. IA-6789 12/13/24
In the Matter of GSSG Solar, LLC Standalone Admin. Proc. IA-6790 12/13/24
In the Matter of Kudu Investment Holdings, LLC Standalone Admin. Proc. IA-6791 12/13/24
In the Matter of Longpoint Partners LP Standalone Admin. Proc. IA-6793 12/13/24
In the Matter of NFC Investments, LLC Standalone Admin. Proc. IA-6794 12/13/24
In the Matter of The Catalyst Capital Group Inc. Standalone Admin. Proc. IA-6792 12/13/24
In the Matter of WPAM Advisers LLC Standalone Admin. Proc. IA-6795 12/13/24
In the Matter of William V. Conn, Jr. Follow-on Admin. Proc. IA-6798 12/19/24
SEC v. Silver Point Capital, L.P. Civil Injunctive LR-26202 12/20/24
SEC v. Dolphin Associates III, LLC, et al. Civil Injunctive LR-26203 12/20/24
In the Matter of Rose Park Advisors, LLC, et al. Standalone Admin. Proc. IA-6802 12/20/24
In the Matter of Driftwood Advisors, LLC Standalone Admin. Proc. IA-6804 12/20/24
In the Matter of Atlas Financial Advisors, Inc. Standalone Admin. Proc. IA-6803 12/20/24
In the Matter of Steven J. Susoeff Follow-on Admin. Proc. IA-6806 12/30/24
In the Matter of Touradji Capital Management LP, et al. Standalone Admin. Proc. IA-6810 01/10/25
In the Matter of One Thousand & One Voices Management, LLC, et al. Standalone Admin. Proc. IA-6811 01/10/25
In the Matter of Apollo Capital Management, L.P. Standalone Admin. Proc. IA-6815 01/13/25
In the Matter of Blackstone Alternative Credit Advisors LP, et al. Standalone Admin. Proc. IA-6812 01/13/25
In the Matter of Carlyle Investment Management L.L.C, et al. Standalone Admin. Proc. IA-6816 01/13/25
In the Matter of Kohlberg Kravis Roberts & Co. L.P. Standalone Admin. Proc. IA-6814 01/13/25
In the Matter of TPG Capital Advisors, LLC Standalone Admin. Proc. IA-6813 01/13/25
In the Matter of VCP Financial LLC Standalone Admin. Proc. IA-6819 01/14/25
In the Matter of Navy Capital Green Management, LLC Standalone Admin. Proc. IA-6823 01/14/25
In the Matter of Two Sigma Investments, LP, et al. Standalone Admin. Proc. 34-102207 01/16/25
In the Matter of Wells Fargo Clearing Services, LLC, et al. Standalone Admin. Proc. 34-102229 01/17/25
In the Matter of Transamerica Retirement Advisors, LLC Standalone Admin. Proc. IA-6826 01/17/25
In the Matter of The Vanguard Group, Inc. Standalone Admin. Proc. 33-11359 01/17/25
In the Matter of Merrill Lynch, Pierce, Fenner & Smith Incorporated Standalone Admin. Proc. IA-6829 01/17/25
SEC v. Arete Wealth Management, LLC, et al. Civil Injunctive LR-26228 01/17/25
SEC v. Scott Jeffrey Mason, et al. Civil Injunctive LR-26224 01/17/25
In the Matter of Retirement Specialty Group, Inc. Follow-on Admin. Proc. IA-6832 01/22/25
In the Matter of Donald Anthony Wright Follow-on Admin. Proc. IA-6833 01/22/25
https://www.sec.gov/files/litigation/admin/2024/ia-6768.pdf
https://www.sec.gov/files/litigation/admin/2024/ia-6770.pdf
https://www.sec.gov/files/litigation/admin/2024/ia-6771.pdf
https://www.sec.gov/files/litigation/admin/2024/ia-6772.pdf
https://www.sec.gov/files/litigation/admin/2024/34-101657.pdf
https://www.sec.gov/enforcement-litigation/litigation-releases/lr-26178
https://www.sec.gov/enforcement-litigation/litigation-releases/lr-26176
https://www.sec.gov/files/litigation/admin/2024/33-11329.pdf
https://www.sec.gov/enforcement-litigation/litigation-releases/lr-26183
https://www.sec.gov/files/litigation/admin/2024/34-101813.pdf
https://www.sec.gov/files/litigation/admin/2024/34-101842.pdf
https://www.sec.gov/files/litigation/admin/2024/33-11338.pdf
https://www.sec.gov/enforcement-litigation/litigation-releases/lr-26201
https://www.sec.gov/files/litigation/admin/2024/ia-6789.pdf
https://www.sec.gov/files/litigation/admin/2024/ia-6790.pdf
https://www.sec.gov/files/litigation/admin/2024/ia-6791.pdf
https://www.sec.gov/files/litigation/admin/2024/ia-6793.pdf
https://www.sec.gov/files/litigation/admin/2024/ia-6794.pdf
https://www.sec.gov/files/litigation/admin/2024/ia-6792.pdf
https://www.sec.gov/files/litigation/admin/2024/ia-6795.pdf
https://www.sec.gov/files/litigation/admin/2024/ia-6798.pdf
https://www.sec.gov/enforcement-litigation/litigation-releases/lr-26202
https://www.sec.gov/enforcement-litigation/litigation-releases/lr-26203
https://www.sec.gov/files/litigation/admin/2024/ia-6802.pdf
https://www.sec.gov/files/litigation/admin/2024/ia-6804.pdf
https://www.sec.gov/files/litigation/admin/2024/ia-6803.pdf
https://www.sec.gov/files/litigation/admin/2024/ia-6806.pdf
https://www.sec.gov/files/litigation/admin/2025/ia-6810.pdf
https://www.sec.gov/files/litigation/admin/2025/ia-6811.pdf
https://www.sec.gov/files/litigation/admin/2025/ia-6815.pdf
https://www.sec.gov/files/litigation/admin/2025/ia-6812.pdf
https://www.sec.gov/files/litigation/admin/2025/ia-6816.pdf
https://www.sec.gov/files/litigation/admin/2025/ia-6814.pdf
https://www.sec.gov/files/litigation/admin/2025/ia-6813.pdf
https://www.sec.gov/files/litigation/admin/2025/ia-6819.pdf
https://www.sec.gov/files/litigation/admin/2025/ia-6823.pdf
https://www.sec.gov/files/litigation/admin/2025/34-102207.pdf
https://www.sec.gov/files/litigation/admin/2025/34-102229.pdf
https://www.sec.gov/files/litigation/admin/2025/ia-6826.pdf
https://www.sec.gov/files/litigation/admin/2025/33-11359.pdf
https://www.sec.gov/files/litigation/admin/2025/ia-6829.pdf
https://www.sec.gov/enforcement-litigation/litigation-releases/lr-26228
https://www.sec.gov/enforcement-litigation/litigation-releases/lr-26224
https://www.sec.gov/files/litigation/admin/2025/ia-6832.pdf
https://www.sec.gov/files/litigation/admin/2025/ia-6833.pdf
In the Matter of Naufal Sanaullah Follow-on Admin. Proc. IA-6850 02/11/25
In the Matter of Sakthivel Palani Gounder Follow-on Admin. Proc. 34-102431 02/14/25
In the Matter of One Oak Capital Management, LLC, et al. Standalone Admin. Proc. 34-102425 02/14/25
In the Matter of Gopala Krishnan Follow-on Admin. Proc. IA-6857 02/18/25
In the Matter of Manivannan Shanmugam Follow-on Admin. Proc. IA-6858 02/19/25
In the Matter of Momentum Advisors, LLC, et al. Standalone Admin. Proc. IA-6860 03/07/25
In the Matter of Tiffany L. Hawkins, a/k/a Tiffany Taylor-Watson Standalone Admin. Proc. IA-6861 03/07/25
SEC v. David Yow Shang Chiueh, et al. Civil Injunctive LR-26270 03/17/25
In the Matter of Scott J. Mason Follow-on Admin. Proc. IA-6867 03/20/25
In the Matter of Advance Capital Management, Inc. Standalone Admin. Proc. 40-35522 04/07/25
SEC v. Derek R. Taller Civil Injunctive LR-26300 04/29/25
SEC v. David A. Nagler, et al. Civil Injunctive LR-26319 06/02/25
In the Matter of North East Asset Management Group, Inc., et al. Standalone Admin. Proc. 34-103173 06/03/25
In the Matter of Ronald A. Pallek Follow-on Admin. Proc. IA-6882 06/03/25
SEC v. El Capitan Advisors, Inc., et al. Civil Injunctive LR-26327 06/04/25
In the Matter of Surage Kamal Roshan Perera Follow-on Admin. Proc. 34-103246 06/12/25
In the Matter of Andrew D. Nash Follow-on Admin. Proc. IA-6886 06/17/25
In the Matter of El Capitan Advisors, Inc. Follow-on Admin. Proc. IA-6887 06/17/25
SEC v. Eliseo Jojo Prisno, et al. Civil Injunctive LR-26339 07/03/25
In the Matter of American Portfolios Advisors, Inc. Standalone Admin. Proc. IA-6893 07/11/25
In the Matter of Colin Michael Moors Standalone Admin. Proc. 34-103437 07/11/25
In the Matter of Gary Bruce Gordon Standalone Admin. Proc. 34-103438 07/11/25
In the Matter of Suzanne Ballek Standalone Admin. Proc. IA-6896 07/15/25
In the Matter of Gary Steven Costello Standalone Admin. Proc. 33-11380 07/16/25
SEC v. Joseph J. D’Ambrosio Civil Injunctive LR-26354 07/17/25
In the Matter of Steven J. Jacobson Follow-on Admin. Proc. IA-6899 07/22/25
In the Matter of Paul Anthony Larocco Follow-on Admin. Proc. IA-6902 08/01/25
In the Matter of Munakata Associates LLC Standalone Admin. Proc. IA-6901 08/01/25
In the Matter of Joseph J. D'Ambrosio Follow-on Admin. Proc. IA-6907 08/13/25
SEC v. Jordan Chirico Civil Injunctive LR-26375 08/14/25
In the Matter of TZP Management Associates, LLC Standalone Admin. Proc. IA-6908 08/15/25
In the Matter of Empower Advisory Group, LLC, et al. Standalone Admin. Proc. 34-103809 08/29/25
In the Matter of Vanguard Advisers, Inc. Standalone Admin. Proc. IA-6912 08/29/25
In the Matter of Meridian Financial, LLC Standalone Admin. Proc. IA-6916 09/04/25
In the Matter of James D. Warring Standalone Admin. Proc. 34-103901 09/08/25
SEC v. Vukota Capital Management, LLC, et al. Civil Injunctive LR-26393 09/09/25
SEC v. Parker Terrill Austin, et al. Civil Injunctive LR-26395 09/10/25
SEC v. Jian Wu Civil Injunctive LR-26398 09/11/25
In the Matter of James Burleson Follow-on Admin. Proc. IA-6918 09/12/25
SEC v. Prophecy Asset Management LP, et al. Civil Injunctive LR-26414 09/29/25
ISSUER REPORTING / AUDITING & ACCOUNTING
In the Matter of Robert H. Turner Standalone Admin. Proc. 33-11317 10/11/24
In the Matter of Unisys Corporation Standalone Admin. Proc. 33-11323 10/22/24
https://www.sec.gov/files/litigation/admin/2025/ia-6850.pdf
https://www.sec.gov/files/litigation/admin/2025/34-102431.pdf
https://www.sec.gov/files/litigation/admin/2025/34-102425.pdf
https://www.sec.gov/files/litigation/admin/2025/ia-6857.pdf
https://www.sec.gov/files/litigation/admin/2025/34-102452.pdf
https://www.sec.gov/files/litigation/admin/2025/ia-6860.pdf
https://www.sec.gov/files/litigation/admin/2025/ia-6861.pdf
https://www.sec.gov/enforcement-litigation/litigation-releases/lr-26270
https://www.sec.gov/files/litigation/admin/2025/ia-6867.pdf
https://www.sec.gov/files/litigation/admin/2025/ic-35522.pdf
https://www.sec.gov/enforcement-litigation/litigation-releases/lr-26300
https://www.sec.gov/enforcement-litigation/litigation-releases/lr-26319
https://www.sec.gov/files/litigation/admin/2025/34-103173.pdf
https://www.sec.gov/files/litigation/admin/2025/ia-6882.pdf
https://www.sec.gov/enforcement-litigation/litigation-releases/lr-26327
https://www.sec.gov/files/litigation/admin/2025/34-103246.pdf
https://www.sec.gov/files/litigation/admin/2025/ia-6886.pdf
https://www.sec.gov/files/litigation/admin/2025/ia-6887.pdf
https://www.sec.gov/enforcement-litigation/litigation-releases/lr-26339
https://www.sec.gov/files/litigation/admin/2025/ia-6893.pdf
https://www.sec.gov/files/litigation/admin/2025/34-103437.pdf
https://www.sec.gov/files/litigation/admin/2025/34-103438.pdf
https://www.sec.gov/files/litigation/admin/2025/ia-6896.pdf
https://www.sec.gov/files/litigation/admin/2025/33-11380.pdf
https://www.sec.gov/enforcement-litigation/litigation-releases/lr-26354
https://www.sec.gov/files/litigation/admin/2025/ia-6899.pdf
https://www.sec.gov/files/litigation/admin/2025/ia-6902.pdf
https://www.sec.gov/files/litigation/admin/2025/ia-6901.pdf
https://www.sec.gov/files/litigation/admin/2025/ia-6907.pdf
https://www.sec.gov/enforcement-litigation/litigation-releases/lr-26375
https://www.sec.gov/files/litigation/admin/2025/ia-6908.pdf
https://www.sec.gov/files/litigation/admin/2025/34-103809.pdf
https://www.sec.gov/files/litigation/admin/2025/ia-6912.pdf
https://www.sec.gov/files/litigation/admin/2025/ia-6916.pdf
https://www.sec.gov/files/litigation/admin/2025/34-103901.pdf
https://www.sec.gov/enforcement-litigation/litigation-releases/lr-26393
https://www.sec.gov/enforcement-litigation/litigation-releases/lr-26395
https://www.sec.gov/enforcement-litigation/litigation-releases/lr-26398
https://www.sec.gov/files/litigation/admin/2025/ia-6918.pdf
https://www.sec.gov/enforcement-litigation/litigation-releases/lr-26414
https://www.sec.gov/files/litigation/admin/2024/33-11317.pdf
https://www.sec.gov/files/litigation/admin/2024/33-11323.pdf
In the Matter of Avaya Holdings Corp. Standalone Admin. Proc. 33-11320 10/22/24
In the Matter of Check Point Software Technologies Ltd. Standalone Admin. Proc. 33-11321 10/22/24
In the Matter of Mimecast Limited Standalone Admin. Proc. 33-11322 10/22/24
SEC v. Donna Dellomo, et al. Civil Injunctive LR-26166 10/29/24
In the Matter of Aldo Piscitello Follow-on Admin. Proc. 34-101585 11/12/24
In the Matter of Prager Metis CPAs, LLP Follow-on Admin. Proc. 34-101580 11/12/24
In the Matter of Prager Metis CPAs, LLC Follow-on Admin. Proc. 34-101579 11/12/24
In the Matter of Elanco Animal Health Inc. Standalone Admin. Proc. 33-11326 11/12/24
SEC v. Frank Igwealor, et al. Civil Injunctive LR-26171 11/18/24
In the Matter of United Parcel Service, Inc. Standalone Admin. Proc. 33-11328 11/22/24
In the Matter of Kiromic BioPharma, Inc. Standalone Admin. Proc. 33-11332 12/03/24
SEC v. Maurizio Chiriva-Internati Civil Injunctive LR-26184 12/03/24
In the Matter of Tony Tontat Standalone Admin. Proc. 34-101796 12/03/24
In the Matter of Cantor Fitzgerald, L.P. Standalone Admin. Proc. 33-11339 12/12/24
In the Matter of Flagstar Bancorp, Inc., now known as "Flagstar Financial,
Inc."
Standalone Admin. Proc. 33-11343 12/16/24
In the Matter of Becton, Dickinson and Company Standalone Admin. Proc. 33-11344 12/16/24
In the Matter of Express, Inc. Standalone Admin. Proc. 34-101934 12/17/24
In the Matter of Davidson & Company LLP, et al. Standalone Admin. Proc. 34-101972 12/19/24
SEC v. Entergy Corporation Civil Injunctive 2024-206 12/20/24
SEC v. Theodore J. Farnsworth Civil Injunctive LR-26208 12/23/24
In the Matter of Christopher Hiestand, CPA Follow-on Admin. Proc. 34-102047 12/27/24
In the Matter of Accell Audit & Compliance, PA Follow-on Admin. Proc. 34-102060 12/31/24
In the Matter of Acreage Holdings, Inc. Standalone Admin. Proc. 34-102141 01/10/25
In the Matter of Vincent Kennedy McMahon Standalone Admin. Proc. 34-102143 01/10/25
In the Matter of Shift4 Payments, Inc. Standalone Admin. Proc. 34-102146 01/10/25
SEC v. Ashford Inc. Civil Injunctive LR-26215 01/13/25
In the Matter of Presto Automation Inc. Standalone Admin. Proc. 33-11352 01/14/25
In the Matter of DMK Pharmaceuticals Corporation (f/k/a Adamis
Pharmaceuticals Corporation), et al.
Standalone Admin. Proc. 33-11353 01/14/25
In the Matter of American Electric Power Company, Inc. Standalone Admin. Proc. 33-11356 01/17/25
In the Matter of Celsius Holdings, Inc. Standalone Admin. Proc. 34-102227 01/17/25
In the Matter of Jeffery Q. Johnson, CPA Standalone Admin. Proc. 34-102231 01/17/25
In the Matter of Singularity Future Technology, Ltd. Standalone Admin. Proc. 34-102225 01/17/25
In the Matter of Jason M. Boucher, CPA Follow-on Admin. Proc. 33-11363 01/29/25
In the Matter of Karen J. Smith, CPA Follow-on Admin. Proc. 33-11364 02/04/25
In the Matter of Allarity Therapeutics, Inc. Standalone Admin. Proc. 33-11367 03/12/25
SEC v. Stefano R. Carchedi, et al. Civil Injunctive LR-26265 03/12/25
SEC v. Glen Leibowitz Civil Injunctive LR-26271 03/14/25
In the Matter of Peter J. Magee, CPA Follow-on Admin. Proc. 34-102749 03/31/25
In the Matter of Robert Scott Murray, CPA Follow-on Admin. Proc. 34-102867 04/15/25
In the Matter of Edward O'Donnell, CPA Follow-on Admin. Proc. 34-103214 06/09/25
SEC v. Roderick Vanderbilt Civil Injunctive LR-26326 06/13/25
SEC v. Shahnawaz Mathias, a/k/a Shah Mathias, et al. Civil Injunctive LR-26353 07/18/25
In the Matter of Olayinka Temitope Oyebola, et al. Follow-on Admin. Proc. 34-103689 08/12/25
https://www.sec.gov/files/litigation/admin/2024/33-11320.pdf
https://www.sec.gov/files/litigation/admin/2024/33-11321.pdf
https://www.sec.gov/files/litigation/admin/2024/33-11322.pdf
https://www.sec.gov/enforcement-litigation/litigation-releases/lr-26166
https://www.sec.gov/files/litigation/admin/2024/34-101585.pdf
https://www.sec.gov/files/litigation/admin/2024/34-101580.pdf
https://www.sec.gov/files/litigation/admin/2024/34-101579.pdf
https://www.sec.gov/files/litigation/admin/2024/33-11326.pdf
https://www.sec.gov/enforcement-litigation/litigation-releases/lr-26171
https://www.sec.gov/files/litigation/admin/2024/33-11328.pdf
https://www.sec.gov/files/litigation/admin/2024/33-11332.pdf
https://www.sec.gov/enforcement-litigation/litigation-releases/lr-26184
https://www.sec.gov/files/litigation/admin/2024/34-101796.pdf
https://www.sec.gov/files/litigation/admin/2024/33-11339.pdf
https://www.sec.gov/files/litigation/admin/2024/33-11343.pdf
https://www.sec.gov/files/litigation/admin/2024/33-11344.pdf
https://www.sec.gov/files/litigation/admin/2024/34-101934.pdf
https://www.sec.gov/files/litigation/admin/2024/34-101972.pdf
https://www.sec.gov/newsroom/press-releases/2024-206
https://www.sec.gov/enforcement-litigation/litigation-releases/lr-26208
https://www.sec.gov/files/litigation/admin/2024/34-102047.pdf
https://www.sec.gov/files/litigation/admin/2024/34-102060.pdf
https://www.sec.gov/files/litigation/admin/2025/34-102141.pdf
https://www.sec.gov/files/litigation/admin/2025/34-102143.pdf
https://www.sec.gov/files/litigation/admin/2025/34-102146.pdf
https://www.sec.gov/enforcement-litigation/litigation-releases/lr-26215
https://www.sec.gov/files/litigation/admin/2025/33-11352.pdf
https://www.sec.gov/files/litigation/admin/2025/33-11353.pdf
https://www.sec.gov/files/litigation/admin/2025/33-11356.pdf
https://www.sec.gov/files/litigation/admin/2025/34-102227.pdf
https://www.sec.gov/files/litigation/admin/2025/34-102231.pdf
https://www.sec.gov/files/litigation/admin/2025/34-102225.pdf
https://www.sec.gov/files/litigation/admin/2025/33-11363.pdf
https://www.sec.gov/files/litigation/admin/2025/33-11364.pdf
https://www.sec.gov/files/litigation/admin/2025/33-11367.pdf
https://www.sec.gov/enforcement-litigation/litigation-releases/lr-26265
https://www.sec.gov/enforcement-litigation/litigation-releases/lr-26271
https://www.sec.gov/files/litigation/admin/2025/34-102749.pdf
https://www.sec.gov/files/litigation/admin/2025/34-102867.pdf
https://www.sec.gov/files/litigation/admin/2025/34-103214.pdf
https://www.sec.gov/enforcement-litigation/litigation-releases/lr-26326
https://www.sec.gov/enforcement-litigation/litigation-releases/lr-26353
https://www.sec.gov/files/litigation/admin/2025/34-103689.pdf
SEC v. Kin-Hung Peony Yu Civil Injunctive LR-26394 09/05/25
In the Matter of FibroGen, Inc. Standalone Admin. Proc. 33-11387 09/05/25
MARKET MANIPULATION
SEC v. ZM Quant Investment Ltd., et al. Civil Injunctive LR-26158 10/09/24
SEC v. Gotbit Consulting LLC, a/k/a Gotbit Hedge Fund, et al. Civil Injunctive LR-26156 10/09/24
SEC v. CLS Global FZC LLC, et al. Civil Injunctive LR-26154 10/09/24
SEC v. Minerco, Inc., et al. Civil Injunctive LR-26150 10/09/24
SEC v. Ryan Choi Civil Injunctive LR-26164 10/22/24
In the Matter of FiveT Capital AG Standalone Admin. Proc. 34-101763 11/26/24
SEC v. David Banister, et al. Civil Injunctive LR-26187 12/06/24
SEC v. John S. Clayton, et al. Civil Injunctive LR-26193 12/11/24
In the Matter of Zachary Stevenson Standalone Admin. Proc. 33-11340 12/13/24
In the Matter of Snow Lake Capital (HK) Limited Standalone Admin. Proc. 34-102001 12/19/24
SEC v. Albert Golusin, et al. Civil Injunctive LR-26296 04/29/25
In the Matter of Elliot Maza, Esq., CPA Follow-on Admin. Proc. 34-103001 05/07/25
SEC v. Keith A. Rosenbaum, et al. Civil Injunctive LR-26344 07/01/25
In the Matter of Sourcerock Group, LLC Standalone Admin. Proc. 34-103629 08/04/25
SEC v. Ryan N. Cole Civil Injunctive LR-26371 08/11/25
SEC v. Dmitrii Yevgenyevich Kushnarev Civil Injunctive LR-26410 09/22/25
MISCELLANEOUS
SEC v. Chibuzo Augustine Onyeachonam, et al. Civil Injunctive LR-26194 12/11/24
In the Matter of Underdog Sports Holdings, Inc. Standalone Admin. Proc. 33-11348 12/20/24
In the Matter of Pipe Technologies Inc. Standalone Admin. Proc. 33-11347 12/20/24
In the Matter of GRID 202 LLC d/b/a Re-Envision Wealth Standalone Admin. Proc. 33-11346 12/20/24
SEC v. Elon R. Musk Civil Injunctive LR-26219 01/14/25
SEC v. Rey D. Acosta Civil Injunctive LR-26261 02/24/25
SEC v. Cyrus P. Naderi Civil Injunctive LR-26418 07/03/25
In the Matter of MUFG Securities EMEA plc Standalone Admin. Proc. 34-103646 08/06/25
SEC v. Aaron O'Brian Freeman Civil Injunctive LR-26407 09/19/25
PUBLIC FINANCE ABUSE
In the Matter of Choice Advisors, LLC, et al. Follow-on Admin. Proc. 34-101339 10/15/24
In the Matter of A.G.P./Alliance Global Partners, LLC Standalone Admin. Proc. 34-101352 10/16/24
In the Matter of Hamlin Capital Advisors, LLC, et al. Standalone Admin. Proc. 34-101424 10/24/24
In the Matter of Level Field Charter Partners, LLC, et al. Standalone Admin. Proc. 34-101762 11/26/24
SEC v. Randall J. Miller, et al. Civil Injunctive LR 26280 04/01/25
In the Matter of Agentis Capital Advisors General Partnership, fka Agentis
Capital Advisors
Standalone Admin. Proc. 34-103154 05/30/25
In the Matter of Highmark School Development, LLC Standalone Admin. Proc. 34-103169 06/02/25
https://www.sec.gov/enforcement-litigation/litigation-releases/lr-26394
https://www.sec.gov/files/litigation/admin/2025/33-11387.pdf
https://www.sec.gov/enforcement-litigation/litigation-releases/lr-26158
https://www.sec.gov/enforcement-litigation/litigation-releases/lr-26156
https://www.sec.gov/enforcement-litigation/litigation-releases/lr-26154
https://www.sec.gov/enforcement-litigation/litigation-releases/lr-26150
https://www.sec.gov/enforcement-litigation/litigation-releases/lr-26164
https://www.sec.gov/files/litigation/admin/2024/34-101763.pdf
https://www.sec.gov/enforcement-litigation/litigation-releases/lr-26187
https://www.sec.gov/enforcement-litigation/litigation-releases/lr-26193
https://www.sec.gov/files/litigation/admin/2024/33-11340.pdf
https://www.sec.gov/files/litigation/admin/2024/34-102001.pdf
https://www.sec.gov/enforcement-litigation/litigation-releases/lr-26296
https://www.sec.gov/files/litigation/admin/2025/34-103001.pdf
https://www.sec.gov/enforcement-litigation/litigation-releases/lr-26344
https://www.sec.gov/files/litigation/admin/2025/34-103629.pdf
https://www.sec.gov/enforcement-litigation/litigation-releases/lr-26371
https://www.sec.gov/enforcement-litigation/litigation-releases/lr-26410
https://www.sec.gov/enforcement-litigation/litigation-releases/lr-26194
https://www.sec.gov/files/litigation/admin/2024/33-11348.pdf
https://www.sec.gov/files/litigation/admin/2024/33-11347.pdf
https://www.sec.gov/files/litigation/admin/2024/33-11346.pdf
https://www.sec.gov/enforcement-litigation/litigation-releases/lr-26219
https://www.sec.gov/enforcement-litigation/litigation-releases/lr-26261
https://www.sec.gov/enforcement-litigation/litigation-releases/lr-26418
https://www.sec.gov/files/litigation/admin/2025/34-103646.pdf
https://www.sec.gov/enforcement-litigation/litigation-releases/lr-26407
https://www.sec.gov/files/litigation/admin/2024/34-101339.pdf
https://www.sec.gov/files/litigation/admin/2024/34-101352.pdf
https://www.sec.gov/files/litigation/admin/2024/34-101424.pdf
https://www.sec.gov/files/litigation/admin/2024/34-101762.pdf
https://www.sec.gov/enforcement-litigation/litigation-releases/lr-26280
https://www.sec.gov/files/litigation/admin/2025/34-103154.pdf
https://www.sec.gov/files/litigation/admin/2025/34-103169.pdf
SECURITIES OFFERING
In the Matter of CQC Impact Investors LLC Standalone Admin. Proc. 33-11315 10/02/24
SEC v. Russell Armand, a/k/a "Saitamaguru1", et al. Civil Injunctive LR-26155 10/09/24
SEC v. Vy Pham, a/k/a/ "msvy_crypto" Civil Injunctive LR-26153 10/09/24
SEC v. Norman V. Meier, et al. Civil Injunctive LR-26152 10/11/24
SEC v. Destiny Robotics Corp., et al. Civil Injunctive LR-26157 10/15/24
In the Matter of Gustavo Dolfino Standalone Admin. Proc. 33-11318 10/15/24
SEC v. Pannon Investment Advisors LLC, et al. Civil Injunctive LR-26167 10/30/24
SEC v. Ian Mitchell Civil Injunctive LR-26173 11/18/24
SEC v. Eng Taing, et al. Civil Injunctive LR-26182 11/20/24
SEC v. Gautam Adani, et al. Civil Injunctive LR-26177 11/20/24
SEC v. Steve A. Smith, Jr., et al. Civil Injunctive LR-26188 12/09/24
In the Matter of Stephen R. Bishop Standalone Admin. Proc. 33-11334 12/09/24
In the Matter of Richard K. Diamond Standalone Admin. Proc. 33-11333 12/09/24
In the Matter of Marc J. Toomey Standalone Admin. Proc. 33-11335 12/09/24
In the Matter of David C. Underwood Standalone Admin. Proc. 33-11336 12/09/24
SEC v. Ian G. Bell Civil Injunctive LR-26189 12/09/24
SEC v. Frederick Tayton Dencer, et al. Civil Injunctive LR-26192 12/10/24
In the Matter of Allen Y. Hsu, Esq. Follow-on Admin. Proc. 34-101904 12/13/24
SEC v. Historic Asset Placement Services Global, LLC, et al. Civil Injunctive LR-26196 12/13/24
In the Matter of Tai Mo Shan Limited Standalone Admin. Proc. 33-11349 12/20/24
SEC v. Joecool.com, LLC, et al. Civil Injunctive LR-26216 01/13/25
SEC v. Naufal Sanaullah Civil Injunctive LR-26227 01/16/25
SEC v. Eric Zhu Civil Injunctive LR-26223 01/16/25
SEC v. Quest Education, L.L.C., et al. Civil Injunctive LR-26226 01/17/25
In the Matter of GrubMarket, Inc. Standalone Admin. Proc. 33-11354 01/17/25
SEC v. Old South Trading Co., LLC, et al. Civil Injunctive LR-26230 01/17/25
In the Matter of Digital Currency Group, Inc. Standalone Admin. Proc. 33-11357 01/17/25
In the Matter of Soichiro "Michael" Moro Standalone Admin. Proc. 33-11358 01/17/25
In the Matter of Investview, Inc. Standalone Admin. Proc. 33-11355 01/17/25
SEC v. Nova Labs, Inc. Civil Injunctive LR-26229 01/17/25
SEC v. Alexander C. Beckman, et al. Civil Injunctive LR-26232 01/23/25
SEC v. David J. Feingold, et al. Civil Injunctive LR-26289 01/29/25
SEC v. Max Infinity Management LLC d/b/a Max Infinity Fund, et al. Civil Injunctive LR-26233 01/31/25
SEC v. Elchonon Schwartz, et al. Civil Injunctive LR-26254 02/12/25
SEC v. Harshad Shah, et al. Civil Injunctive LR-26248 02/18/25
SEC v. Alan Burak Civil Injunctive LR-26256 02/26/25
SEC v. Justinas Butkus, also known as "Darius Karpavicius," individually and
doing business as TBO Capital Group and Gray Capital Group, et al.
Civil Injunctive LR-26259 02/27/25
SEC v. Peter Stuart, et al. Civil Injunctive LR-26263 03/07/25
SEC v. Ronald A. Pallek Civil Injunctive LR-26264 03/10/25
SEC v. Gauntlet Holdings, LLC, et al. Civil Injunctive LR-26266 03/13/25
SEC v. Jonathan Webb Civil Injunctive LR-26267 03/13/25
SEC v. Morbex Automation LLC, et al. Civil Injunctive LR-26272 03/14/25
https://www.sec.gov/files/litigation/admin/2024/33-11315.pdf
https://www.sec.gov/enforcement-litigation/litigation-releases/lr-26155
https://www.sec.gov/enforcement-litigation/litigation-releases/lr-26153
https://www.sec.gov/enforcement-litigation/litigation-releases/lr-26152
https://www.sec.gov/enforcement-litigation/litigation-releases/lr-26157
https://www.sec.gov/files/litigation/admin/2024/33-11318.pdf
https://www.sec.gov/enforcement-litigation/litigation-releases/lr-26167
https://www.sec.gov/enforcement-litigation/litigation-releases/lr-26173
https://www.sec.gov/enforcement-litigation/litigation-releases/lr-26182
https://www.sec.gov/enforcement-litigation/litigation-releases/lr-26177
https://www.sec.gov/enforcement-litigation/litigation-releases/lr-26188
https://www.sec.gov/files/litigation/admin/2024/33-11334.pdf
https://www.sec.gov/files/litigation/admin/2024/33-11333.pdf
https://www.sec.gov/files/litigation/admin/2024/33-11335.pdf
https://www.sec.gov/files/litigation/admin/2024/33-11336.pdf
https://www.sec.gov/enforcement-litigation/litigation-releases/lr-26189
https://www.sec.gov/enforcement-litigation/litigation-releases/lr-26192
https://www.sec.gov/files/litigation/admin/2024/34-101904.pdf
https://www.sec.gov/enforcement-litigation/litigation-releases/lr-26196
https://www.sec.gov/files/litigation/admin/2024/33-11349.pdf
https://www.sec.gov/enforcement-litigation/litigation-releases/lr-26216
https://www.sec.gov/enforcement-litigation/litigation-releases/lr-26227
https://www.sec.gov/enforcement-litigation/litigation-releases/lr-26223
https://www.sec.gov/enforcement-litigation/litigation-releases/lr-26226
https://www.sec.gov/files/litigation/admin/2025/33-11354.pdf
https://www.sec.gov/enforcement-litigation/litigation-releases/lr-26230
https://www.sec.gov/files/litigation/admin/2025/33-11357.pdf
https://www.sec.gov/files/litigation/admin/2025/33-11358.pdf
https://www.sec.gov/files/litigation/admin/2025/33-11355.pdf
https://www.sec.gov/enforcement-litigation/litigation-releases/lr-26229
https://www.sec.gov/enforcement-litigation/litigation-releases/lr-26232
https://www.sec.gov/enforcement-litigation/litigation-releases/lr-26289
https://www.sec.gov/enforcement-litigation/litigation-releases/lr-26233
https://www.sec.gov/enforcement-litigation/litigation-releases/lr-26254
https://www.sec.gov/enforcement-litigation/litigation-releases/lr-26248
https://www.sec.gov/enforcement-litigation/litigation-releases/lr-26256
https://www.sec.gov/enforcement-litigation/litigation-releases/lr-26259
https://www.sec.gov/enforcement-litigation/litigation-releases/lr-26263
https://www.sec.gov/enforcement-litigation/litigation-releases/lr-26264
https://www.sec.gov/enforcement-litigation/litigation-releases/lr-26266
https://www.sec.gov/enforcement-litigation/litigation-releases/lr-26267
https://www.sec.gov/enforcement-litigation/litigation-releases/lr-26272
SEC v. David A. Spargo, et al. Civil Injunctive LR-26297 03/28/25
In the Matter of Emergent BioSolutions, Inc. Standalone Admin. Proc. 33-11371 04/07/25
SEC v. Alberto Saniger Mantinan, a/k/a Albert Saniger Civil Injunctive LR-26282 04/09/25
SEC v. Ramil Ventura Palafox, et al. Civil Injunctive LR-26295 04/22/25
SEC v. Daniel J. Motha Civil Injunctive LR-26293 04/25/25
SEC v. Kenneth W. Alexander II, et al. Civil Injunctive LR-26301 04/29/25
SEC v. Jenni Yoon Jeong Lee (a/k/a Jenni Lee or Yoon Jeong Lee), et al. Civil Injunctive LR-26298 04/30/25
SEC v. Richard T. Kim Civil Injunctive LR-26304 05/07/25
SEC v. Joshua Schuster, et al. Civil Injunctive LR-26305 05/07/25
SEC v. Christopher Aubin, et al. Civil Injunctive LR-26315 05/15/25
SEC v. Unicoin, Inc. f/k/a TransparentBusiness, Inc., et al. Civil Injunctive LR-26314 05/20/25
SEC v. Joel J. Natario, et al. Civil Injunctive LR-26311 05/21/25
SEC v. Jeremy Jordan-Jones Civil Injunctive LR-26309 05/21/25
SEC v. Kenneth Mattson, et al. Civil Injunctive LR-26312 05/22/25
SEC v. Kronus Financial Corporation, et al. Civil Injunctive LR-26317 05/28/25
SEC v. Sergio Damian Lopez Civil Injunctive LR-26325 05/28/25
SEC v. Peter Scalise III, et al. Civil Injunctive LR-26328 06/17/25
SEC v. Ian O. Mausner, et al. Civil Injunctive LR-26333 06/23/25
SEC v. Robynne Alexander Civil Injunctive LR-26336 06/26/25
SEC v. Cheetah X Inc. (d/b/a Go X), et al. Civil Injunctive LR-26341 07/03/25
SEC v. Joshua Thomas Jackson Civil Injunctive LR-26345 07/08/25
SEC v. Edwin Brant Frost IV, et al. Civil Injunctive LR-26358 07/10/25
SEC v. Imer Gomez, individually and d/b/a K&G Investment Solutions, LLC,
et al.
Civil Injunctive LR-26349 07/14/25
SEC v. Christine M. Hunsicker Civil Injunctive LR-26352 07/18/25
SEC v. Edwin Emmett Lickiss, Jr. Civil Injunctive LR-26360 07/21/25
SEC v. Dr. Joseph J. Nantomah, et al. Civil Injunctive LR-26368 08/01/25
In the Matter of Huynh Tran Quang Duy (a/k/a Duy Huynh) Standalone Admin. Proc. 33-11382 08/05/25
SEC v. Ryan R. Wear, et al. Civil Injunctive LR-26375 08/14/25
SEC v. Stock Purse Trading, LLC, et al. Civil Injunctive LR-26379 08/18/25
SEC v. Joseph Neal Sanberg Civil Injunctive LR-26382 08/21/25
SEC v. Kenneth Thom Civil Injunctive LR-26381 08/21/25
SEC v. Faraz Dar, (also known as Osman Dar), et al. Civil Injunctive LR-26386 08/28/25
SEC v. Daryl F. Heller, et al. Civil Injunctive LR-26387 09/03/25
SEC v. Calvin Guess, et al. Civil Injunctive LR-26390 09/04/25
SEC v. Henry Paul Regan, Jr. Civil Injunctive LR-26392 09/04/25
SEC v. Arsalan Rawjani, et al. Civil Injunctive LR-26391 09/05/25
SEC v. Kevin N. Richards Civil Injunctive LR-26442 09/11/25
SEC v. David P. Ortiz, et al. Civil Injunctive LR-26442 09/11/25
SEC v. Charles D. Oliver Civil Injunctive LR-26442 09/11/25
In the Matter of Abraham Borenstein, Esq. Follow-on Admin. Proc. 33-11388 09/11/25
SEC v. Todd O'Gara, et al. Civil Injunctive LR-26401 09/15/25
SEC v. Pathyam Patel Civil Injunctive LR-26406 09/19/25
SEC v. Taino Adrian Lopez, et al. Civil Injunctive LR-26413 09/23/25
SEC v. Matthew Derrick Hudson Civil Injunctive LR-26411 09/24/25
https://www.sec.gov/enforcement-litigation/litigation-releases/lr-26297
https://www.sec.gov/files/litigation/admin/2025/33-11371.pdf
https://www.sec.gov/enforcement-litigation/litigation-releases/lr-26282
https://www.sec.gov/enforcement-litigation/litigation-releases/lr-26295
https://www.sec.gov/enforcement-litigation/litigation-releases/lr-26293
https://www.sec.gov/enforcement-litigation/litigation-releases/lr-26301
https://www.sec.gov/enforcement-litigation/litigation-releases/lr-26298
https://www.sec.gov/enforcement-litigation/litigation-releases/lr-26304
https://www.sec.gov/enforcement-litigation/litigation-releases/lr-26305
https://www.sec.gov/enforcement-litigation/litigation-releases/lr-26315
https://www.sec.gov/enforcement-litigation/litigation-releases/lr-26314
https://www.sec.gov/enforcement-litigation/litigation-releases/lr-26311
https://www.sec.gov/enforcement-litigation/litigation-releases/lr-26309
https://www.sec.gov/enforcement-litigation/litigation-releases/lr-26312
https://www.sec.gov/enforcement-litigation/litigation-releases/lr-26317
https://www.sec.gov/enforcement-litigation/litigation-releases/lr-26325
https://www.sec.gov/enforcement-litigation/litigation-releases/lr-26328
https://www.sec.gov/enforcement-litigation/litigation-releases/lr-26333
https://www.sec.gov/enforcement-litigation/litigation-releases/lr-26336
https://www.sec.gov/enforcement-litigation/litigation-releases/lr-26341
https://www.sec.gov/enforcement-litigation/litigation-releases/lr-26345
https://www.sec.gov/enforcement-litigation/litigation-releases/lr-26358
https://www.sec.gov/enforcement-litigation/litigation-releases/lr-26349
https://www.sec.gov/enforcement-litigation/litigation-releases/lr-26352
https://www.sec.gov/enforcement-litigation/litigation-releases/lr-26360
https://www.sec.gov/enforcement-litigation/litigation-releases/lr-26368
https://www.sec.gov/files/litigation/admin/2025/33-11382.pdf
https://www.sec.gov/enforcement-litigation/litigation-releases/lr-26375
https://www.sec.gov/enforcement-litigation/litigation-releases/lr-26379
https://www.sec.gov/enforcement-litigation/litigation-releases/lr-26382
https://www.sec.gov/enforcement-litigation/litigation-releases/lr-26381
https://www.sec.gov/enforcement-litigation/litigation-releases/lr-26386
https://www.sec.gov/enforcement-litigation/litigation-releases/lr-26387
https://www.sec.gov/enforcement-litigation/litigation-releases/lr-26390
https://www.sec.gov/enforcement-litigation/litigation-releases/lr-26392
https://www.sec.gov/enforcement-litigation/litigation-releases/lr-26391
https://www.sec.gov/enforcement-litigation/litigation-releases/lr-26442
https://www.sec.gov/enforcement-litigation/litigation-releases/lr-26442
https://www.sec.gov/enforcement-litigation/litigation-releases/lr-26442
https://www.sec.gov/files/litigation/admin/2025/33-11388.pdf
https://www.sec.gov/enforcement-litigation/litigation-releases/lr-26401
https://www.sec.gov/enforcement-litigation/litigation-releases/lr-26406
https://www.sec.gov/enforcement-litigation/litigation-releases/lr-26413
https://www.sec.gov/enforcement-litigation/litigation-releases/lr-26411
SEC v. Marat Likhtenstein Civil Injunctive LR-26476 09/26/25
SEC v. Kevin L. Jefferson Civil Injunctive LR-26440 09/29/25
SEC v. Demetrius L. Early Civil Injunctive LR-26440 09/29/25
SEC v. Andrew Scott Corbman Civil Injunctive LR-26428 09/29/25
TRANSFER AGENT
In the Matter of Direct Transfer LLC Standalone Admin. Proc. 34-101924 12/16/24
https://www.sec.gov/enforcement-litigation/litigation-releases/lr-26476
https://www.sec.gov/enforcement-litigation/litigation-releases/lr-26440
https://www.sec.gov/enforcement-litigation/litigation-releases/lr-26440
https://www.sec.gov/enforcement-litigation/litigation-releases/lr-26428
https://www.sec.gov/files/litigation/admin/2024/34-101924.pdf