| | VerDate Aug<31>2005 20:05 Jun 15, 2007 Jkt 211001 PO 00000 Frm 00001 Fmt 4717 Sfmt 4717 E:\FR\FM\18JNR2.SGM 18JNR2 | SEC-PR |
| | In re McNeal | SEC-PR |
| | In re Henry Schiffer | SEC-PR |
| | Wesley H. Colwell AAER-1894 | SEC-LR |
| | SEC Staff Report on Off-Balance Sheet Arrangements, Special Purpose Entities and Related Issues | SEC-PR |
| | SEC Settles Charges Against Easylink Services Corporation and its Former CFO for Overstating Advertising Barter Revenue | SEC-PR |
| | OCR_UNRECOVERABLE | SEC-PR |
| | In re CARL S. SANKO | SEC-PR |
| | Katherine Addleman Named Associate District Administrator for Enforcement in the SEC's Fort Worth District Office | SEC-PR |
| | In re Beckman Kirkland & Whitney | SEC-PR |
| | In re MICHAEL DEUTCHMAN | SEC-PR |
| | Securities and Exchange Commission v. Chiang, No. C-02-01234 (N.D. Cal. Apr. 20, 2002), alleged that the former President of Clarent Corporation’s Asia Pacific office fraudulently inflated revenue and misappropriated funds through undisclosed side arrangements and unauthorized cash transfers, violating federal securities laws | SEC-LR |
| | Press Release: Freddie Mac, Four Former Executives Settle SEC Action Relating to Multi-Billion Dollar Accounting Fraud (Press Release No. 2007-205; September 27, 2007) | SEC-PR |
| | In re William E. Costello | SEC-PR |
| | In re Bujan & Associates | SEC-PR |
| | Press Release: SEC Charges Four Former Senior Executives of Nortel Networks Corporation in Wide-Ranging Financial Fraud Scheme | SEC-PR |
| | SEC v. Chan et al., No. 2:02-cv-02345 (C.D. Cal. Apr. 25, 2002), alleged that former Homestore executives and a vendor owner fraudulently inflated advertising revenue through round-trip transactions and aided in concealing the scheme from auditors | SEC-LR |
| | In re Darilek | SEC-PR |
| | In re The Coca-Cola Company | SEC-PR |
| | In re Sanford H. Feibusch | SEC-PR |
| | Securities and Exchange Commission v. Kabler et al., No. 2:03-cv-01234 (C.D. Cal. Apr. 20, 2003), alleged that defendants engaged in fraudulent round-trip transactions to inflate Homestore’s advertising revenues, misled auditors, and concealed the scheme through falsified documents and offshore kickbacks | SEC-LR |
| | In re JAY J. SHAPIRO | SEC-PR |
| | of the Sarbanes-Oxley Act of 2002 On Arrangements with | SEC-PR |
| | In re RICHARD E. SELLERS | SEC-PR |
| | SEC v. Scrivo, No. 01-CV-5872 (S.D.N.Y. Apr. 20, 2001), alleged that he inflated Vicon Fiber Optics Corporation's inventory in its 1999 annual report and second quarter 2000 Form 10-Q through fabricated documents, resulting in a 22% reduction in reported net loss, and consented to an injunction, officer-director bar, and $20,000 civil penalty | SEC-LR |
| | SEC Suspends Former BDO Accountants for Improperly “Predating” Audit Work Papers | SEC-PR |
| | In re Isaac Gordon | SEC-PR |
| | SEC Obtains Court Order Against Maurice Greenberg, C.V. Starr and AIG To Protect Documents in Ongoing Investigation | SEC-PR |
| | SEC v. Kenneth L. Lay, No. 01-1234 (D.D.C. July 12, 2001), ordered to produce subpoenaed documents withheld on Fifth Amendment grounds. | SEC-LR |
| | Press Release: SEC Charges 4 Additional Former Officers of Nortel Networks Corporation in Financial Fraud Scheme | SEC-PR |
| | Press Release: SEC Distributions to WorldCom Fraud Victims Top Half-Billion Dollar Mark | SEC-PR |
| | In re Andrew M. Smith | SEC-PR |
| | In re James W. Barge | SEC-PR |
| | SEC v. Ilse Cappel, No. 02 (S.D.N.Y.), Securities and Exchange Commission v | SEC-LR |
| | In re Dan Clasby & Company and | SEC-PR |
| | DCI, et al. | SEC-LR |
| | In re Harvey S. Weingard | SEC-PR |
| | The Dodd-Frank Wall Street Reform and Consumer Protection Act added Section 10D to | SEC-PR |
| | SEC v. Richard A. Causey, Securities and Exchange Commission v | SEC-LR |
| | Press Release: SEC Settles With IBM for Misleading Statements Regarding Stock Option Expenses | SEC-PR |
| | SEC Charges Deloitte & Touche and Two of its Personnel for Failures in Their Audit of Just for Feet | SEC-PR |
| | In re F. X. Duffy & Co. | SEC-PR |
| | SEC Charges Former Qwest CEO Joseph Nacchio and Eight Others with Massive Financial Disclosure Fraud | SEC-PR |
| | In re Randy Simpson | SEC-PR |
| | In re Bruce Redlin | SEC-PR |
| | Press Release: SEC Seeks to Distribute $10 Million Civil Penalty to
i2 Technologies, Inc. Investors; 2006-11; Jan. 20, 2006 | SEC-PR |
| | and-desist proceedings be, and hereby are, instituted against Bray & Associates CPA’s LLC and | SEC-PR |
| | The United States Securities and Exchange Commission (Commission) announced the | SEC-PR |
| | In the Matter of Banker & Co. and Jitendra s. Banker | SEC-PR |
| | In re Charles R. Hunt | SEC-PR |
| | In re HALT | SEC-PR |
| | SEC Sues Tyson Foods and Former Chairman Don Tyson for Misleading Disclosure of Perquisites | SEC-PR |
| | In re David M. Winings | SEC-PR |
| | In re Berger | SEC-PR |
| | In re INTERNATIONAL BUSINESS | SEC-PR |
| | Press Release: Brocade to Pay $7 Million Penalty to Settle Charges for Fraudulent Stock Option Backdating | SEC-PR |
| | In re FREDERICK A. KADEN & CO. | SEC-PR |
| | Press Release: SEC Files Settled Enforcement Actions Against UnitedHealth Group and Former General Counsel in Stock Options Backdating Case (Dec. 22, 2008) | SEC-PR |
| | Cosmo Corigliano, CPA | SEC-LR |
| | In re EASYLINK SERVICES | SEC-PR |
| | In re BANKER & CO. and | SEC-PR |
| | In re Michael C. Lingerman | SEC-PR |
| | Press Release: SEC Files Action Against Integrated Silicon Solution and Its Former CFO for Improper Stock Options Backdating | SEC-PR |
| | In re Choi Dow Ian Hong & Lee | SEC-PR |
| | In re Joseph Mao | SEC-PR |
| | In re Preferred Accounting Services | SEC-PR |
| | In re Charles J. Birnberg | SEC-PR |
| | In the Matter of Richard e. Sellers, Cpa and Lester Rex | SEC-PR |
| | In re Milner and Brock | SEC-PR |
| | SEC Charges Deloitte & Touche for Adelphia Audit | SEC-PR |
| | Statement of SEC Chairman William H. Donaldson | SEC-PR |
| | In re Beutel Accountancy Corporation | SEC-PR |
| | Press Release: BISYS to Pay $25 Million to Settle Financial Reporting and Related Charges by SEC | SEC-PR |
| | Press Release: Four Current or Former KPMG Partners Settle SEC Litigation Relating To Xerox Audits; 2006-23; Feb. 22, 2006 | SEC-PR |
| | In the Matter of : Order Under Section 27A(b) of the | SEC-PR |
| | In the Matter of Halt, Buzas & Powell, Ltd. and Wayne a. | SEC-PR |
| | Press Release: SEC Charges Conagra Foods, Inc. in Financial Fraud and Accounting Case | SEC-PR |
| | In re SCHUHALTER | SEC-PR |
| | In re Forbush & Associates and Daniel | SEC-PR |
| | Securities and Exchange Commission v. Leonard J. Guida, No. 02-CV-10575-RGS (D. Mass. Mar. 28, 2002), alleged that Guida orchestrated a $12 million fraud by fabricating revenue through undisclosed side agreements with customers having no obligation to pay, causing PictureTel to materially overstate its revenues from Q3 1996 through Q2 1997 | SEC-LR |
| | Former KPMG Partner Pays $100,000 to Settle SEC Litigation Relating to Xerox Audits | SEC-PR |
| | KPMG Pays $22 Million to Settle SEC Litigation Relating to Xerox Audits | SEC-PR |
| | SEC v. JOHN J. TODD, No. 166441 (S.D.N.Y.), Complaint, llm-upgrade | SEC-LR |
| | Press Release: SEC Announces $316 Million Fair Fund Distribution to Investors Harmed by Fraud at Time Warner | SEC-PR |
| | In the Matter of Story & Company, P.c. and Brian l. Story, Cpa | SEC-PR |
| | In re Henry L. Creel Co. | SEC-PR |
| | Court Appoints Attorney Lee S. Richards Independent Examiner for Computer Associates International, Inc. | SEC-PR |
| 2026-04-23 | | "DOJ/SEC Enforcement Action: [Company Name] - [Nature of Violation] - [Date]" | DOJ-SDNY |
| 2026-03-24 | | Securities and Exchange Commission v. Ozy Media, Inc., et al., No. 1:23-cv-01424 (E.D.N.Y. Feb. 23, 2023), alleged that former executives misrepresented Ozy Media's financial condition and fundraising efforts to raise approximately $50 million from investors | SEC-LR |
| 2026-03-17 | | CEO And Consultant Plead Guilty To Creating False Books And Records | DOJ-SDNY |
| 2026-03-04 | | United States v. Hunsicker, S.D.N.Y. (Mar. 4, 2026), the defendant pleaded guilty to one count of securities fraud and agreed to forfeit nearly $300 million. | DOJ-SDNY |
| 2026-02-27 | | United States v. Philip Castracucco, S.D.N.Y. (Feb. 27, 2026), Philip Castracucco pleaded guilty to filing false U.S. individual income tax returns. | DOJ-SDNY |
| 2026-02-24 | | Final Judgment As To Bryan L. Waugh | SEC-LR |
| 2026-02-24 | | SEC v. IAN G. BELL (S.D.N.Y. Feb. 24, 2026), Judgment, llm-upgrade | SEC-LR |
| 2026-02-24 | | SEC v. Lewis et al., No. 1:23-cv-6438-CM (S.D.N.Y.), Defendant was permanently restrained and enjoined from violating Section 10(b) of the Securities Exchange Act and ordered to pay a civil penalty of $1,636,645.11. | SEC-LR |
| 2026-02-24 | | Final Judgment As To Patrick J. Oconnor | SEC-LR |
| 2026-02-17 | | United States v. Warner et al., S.D.N.Y. (Feb. 17, 2026), indictment alleges the former chief financial officer and former chief delivery officer of Mobileum conspired to commit securities and wire fraud by inflating financial metrics to overvalue the company in a $915 million acquisition. | DOJ-SDNY |
| 2026-02-11 | | SEC v. NICHOLAS BOWERMAN (S.D.N.Y. Feb. 11, 2026), Judgment, llm-upgrade | SEC-LR |
| 2026-02-11 | | SEC v. Bowerman, No. 1:24-cv-12282 (D. Mass. Dec. 23, 2025), The court entered a final judgment permanently enjoining Bowerman from violating antifraud provisions and ordering him to pay disgorgement of $17,823.80, prejudgment interest, and a $75,000 civil penalty for alleged accounting fraud at CIRCOR International. | SEC-LR |
| 2026-02-11 | | Final Judgment Against John David Gessin | SEC-LR |
| 2026-01-29 | | United States v. James et al., S.D.N.Y. (Jan. 29, 2026), alleged that the James brothers conspired to commit wire fraud, bank fraud, and money laundering by using fake collateral and misleading financial statements to defraud lenders of billions. | DOJ-SDNY |
| 2026-01-27 | | SEC v. ANIL MATHEWS (S.D.N.Y. Jan. 27, 2026), Complaint, llm-upgrade | SEC-LR |
| 2026-01-27 | | SEC v. Illingworth et al., No. 2:26-cv-00184 (C.D. Cal. Jan. 8, 2026), the complaint alleged a fraudulent scheme to conceal Illingworth’s control of GP Solutions and to hide related‑party transactions that comprised the majority of the company’s revenue. | SEC-LR |
| 2026-01-27 | | In re ARCHER-DANIELS (S.D.N.Y. Jan. 27, 2026), [OCR_UNRECOVERABLE method=recover reason=missing_pdf ts=2026-06-01T12:25:48 | SEC-LR |
| 2026-01-27 | | SEC v. VIKRAM LUTHAR (S.D.N.Y. Jan. 27, 2026), Complaint, llm-upgrade | SEC-LR |
| 2026-01-27 | | Anil Mathews; Rahul Agarwal; Kenneth M. Harlan; and MobileFuse, LLC | SEC-LR |
| 2026-01-27 | | SEC v. Vikram Luthar, No. 26-cv-0927 (N.D. Ill. Jan. 27, 2026), alleged that Luthar, while CFO of Archer‑Daniels‑Midland’s Nutrition segment and later corporate CFO, directed improper intersegment adjustments to inflate Nutrition’s operating profit and mislead investors, violating antifraud provisions of the Securities Act and Exchange Act. | SEC-LR |
| 2026-01-23 | | Securities and Exchange Commission v. Lawrence Anthony DiMatteo, et al., No. 1:26-cv-00603 (S.D.N.Y. Jan. 22, 2026), alleged a fraudulent scheme involving false revenue recognition and misleading financial statements in connection with a SPAC merger | SEC-LR |
| 2026-01-23 | | SEC v. Lawrence Anthony Dimatteo; Vadim | SEC-LR |
| 2026-01-01 | | SEC Charges ADM and Three Former Executives with Accounting and Disclosure Fraud | SEC-PR |
| 2025-12-18 | | United States v. Holtz, et al., No. 25-cr-789 (S.D.N.Y. Dec. 18, 2025), indicted for conspiracy to defraud the United States and aiding in the preparation of false federal tax returns through a scheme that falsified client deductions to fraudulently increase tax refunds and inflate fees | DOJ-SDNY |
| 2025-12-17 | | Ceo, Cfo, Coo Charged In Connection With Billion-Dollar Collapse Of Tricolor Auto | DOJ-SDNY |
| 2025-12-17 | | SEC v. Fred W. Wagenhals (S.D.N.Y. Dec. 17, 2025), Complaint, llm-upgrade | SEC-LR |
| 2025-12-17 | | SEC v. Wagenhals et al., No. CV-25-04696-PHX-SMB (D. Ariz. Dec. 15, 2025), the SEC alleged that the defendants made false and misleading statements in public filings and concealed a court‑ordered prohibition on Larson’s executive role, constituting accounting and disclosure fraud. | SEC-LR |
| 2025-12-05 | | SEC v. Collins et al., No. 1:21-cv-05040 (N.D. Ill. Dec. 3, 2025), the SEC obtained a final judgment ordering the defendants to pay disgorgement, prejudgment interest, and permanently enjoining them from future securities law violations. | SEC-LR |
| 2025-12-05 | | SEC v. Gregoire P. Tournant et al., No. 1:22-cv-4016 (S.D.N.Y. Nov. 26, 2025), the SEC obtained final judgments enjoining the defendants from securities law violations and ordering disgorgement of $32,649,081. | SEC-LR |
| 2025-11-25 | | United States v. Smothermon, S.D.N.Y. (Nov. 25, 2025), United States sentenced David Smothermon to three years in prison after he pleaded guilty to wire fraud for concealing over $240 million in trading losses to obtain a $15 million bonus. | DOJ-SDNY |
| 2025-11-21 | | SEC v. Luckey, No. 2:25-cv-10026 (C.D. Cal. Oct. 20, 2025), SEC alleged that Shiloh Luckey fraudulently raised over $13 million from investors by misrepresenting her company’s revenue and her qualifications, and misappropriated funds for personal use. | SEC-LR |
| 2025-11-18 | | Final Judgment As to Defendant Cyrus p. Naderi | SEC-LR |
| 2025-11-18 | | SEC v. JOSHUA WANDER (S.D.N.Y. Nov. 18, 2025), Complaint, llm-upgrade | SEC-LR |
| 2025-09-25 | | Former CEO Of Public Telecommunications Company Sentenced To 12 Years In Prison For Accounting Fraud | DOJ-SDNY |
| 2025-09-18 | | SEC v. Ozy Media, No. 26403 (S.D.N.Y. Feb. 23, 2023), defs:body | SEC-LR |
| 2025-09-17 | | SEC v. Kimbrough et al., No. 4:22-cv-000558 (E.D. Tex. Aug. 5, 2025), ordered to permanently restrain and enjoin the defendant from violating Section 10(b) of the Securities Exchange Act and Section 17(a) of the Securities Act. | SEC-LR |
| 2025-09-11 | | United States v. Wu, S.D.N.Y. (Sept. 11, 2025), the government alleged that Wu engaged in a scheme to defraud his investment‑management employer by manipulating algorithmic trading models to obtain millions in unearned compensation. | DOJ-SDNY |
| 2025-09-05 | | SEC v. Kin-Hung Peony Yu, No. 26394 (S.D.N.Y. Sept. 10, 2025), U | SEC-LR |
| 2025-09-05 | | #416 | SEC-LR |
| 2025-08-21 | | Securities and Exchange Commission v. Joseph Neal Sanberg, No. 8:25-cv-01848 (C.D. Cal. Aug. 21, 2025), alleged that defendant fraudulently inflated company revenue by orchestrating sham letters of intent with parties who had no intention of paying for services, in order to mislead investors and artificially increase stock value. | SEC-LR |
| 2025-08-11 | | Final Judgment As to Defendant Olayinka Temitope Oyebola | SEC-LR |
| 2025-08-11 | | Securities and Exchange Commission v. Olayinka Temitope Oyebola et al., No. 24-cv-7376 (S.D.N.Y. Sept. 30, 2024), ordered to pay civil penalties and permanently enjoined for aiding and abetting a fraud scheme involving fake audit reports | SEC-LR |
| 2025-08-11 | | Final Judgment As to Defendant Olayinka Oyebola & Co. | SEC-LR |
| 2025-08-11 | | In re Olayinka Temitope, No. 103689 (S.D.N.Y. Aug. 11, 2025), defs:body | SEC-LR |
| 2025-08-07 | | United States v. Mathews et al., No. 25-cr-487 (S.D.N.Y. Aug. 7, 2025), indicted for conspiracy and securities fraud in connection with a round-tripping scheme that fraudulently inflated Near Intelligence, Inc.'s revenue by $25 million, along with wire fraud and aggravated identity theft charges against Mathews | DOJ-SDNY |
| 2025-07-23 | | United States v. Joseph, S.D.N.Y. (Jul. 23, 2025), the government alleged that the defendant willfully failed to pay employee payroll taxes, falsified certified payroll documents to obtain construction contract payments, and engaged in aggravated identity theft. | DOJ-SDNY |
| 2025-07-18 | | SEC v. CHRISTINE M. HUNSICKER, No. 1:25-cv-005897 (S.D.N.Y. Jul. 18, 2025), Complaint, llm-upgrade | SEC-LR |
| 2025-07-03 | | SEC v. Hernandez, No. 26340 (E.D.N.Y. Oct. 31, 2023), defs:body | SEC-LR |
| 2025-06-30 | | United States v. Gumucio, No. 23-cr-487 (S.D.N.Y. June 30, 2025), sentenced to four years in prison for conspiring to evade taxes by failing to file personal or business tax returns despite earning nearly $3.5 million from Yoga to the People between 2012 and 2020 | DOJ-SDNY |
| 2025-06-24 | | Securities and Exchange Commission v. Edward O'Donnell and Victor Bozzo, No. 1:23-cv-08543-AS (S.D.N.Y. Sept. 28, 2023), alleged fraudulent revenue recognition scheme that materially overstated Pareteum Corp.'s financial results by millions of dollars | SEC-LR |
| 2025-06-24 | | SEC v. Victor Bozzo, No. 23-cv-8543 (S.D.N.Y. May 12, 2025), the court permanently enjoined Bozzo from violating Section 17(a) of the Securities Act and Section 10(b) of the Exchange Act by employing fraudulent schemes or making untrue statements. | SEC-LR |
| 2025-06-24 | | Securities and Exchange Commission v. Edward O'Donnell, No. 23-cv-8543 (S.D.N.Y. May 12, 2025), permanently enjoined from violating Sections 17(a) of the Securities Act of 1933 and 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 by making materially misleading statements or omissions in Commission filings | SEC-LR |
| 2025-06-13 | | SEC v. Roderick Vanderbilt (S.D.N.Y. Jun. 13, 2025), Complaint, llm-upgrade | SEC-LR |
| 2025-06-13 | | SEC v. Vanderbilt, No. 26326 (S.D.N.Y. Jun. 13, 2025), U | SEC-LR |
| 2025-06-12 | | "United States v. [Company Name]: SEC Enforcement Action for Accounting Fraud" | DOJ-SDNY |
| 2025-06-11 | | SEC v. NDB, No. 23-CV-04724-TLT (S.D.N.Y. Jun. 11, 2025), Judgment, llm-upgrade | SEC-LR |
| 2025-06-06 | | SEC v. Medallion Financial Corp. et al., No. 21-CV-11125-LAK (S.D.N.Y. May 30, 2025), the court entered a final judgment permanently restraining and enjoining the defendants from violating the antifraud provisions of the Securities Exchange Act and the Securities Act. | SEC-LR |
| 2025-05-29 | | "DOJ/SEC Enforcement Action: [Company Name] - [Nature of Violation] - [Date of Filing]" | DOJ-SDNY |
| 2025-05-29 | | United States v. Alvarez, No. 23-cr-587 (S.D.N.Y. May 29, 2025), pleaded guilty to conspiracy to defraud the U.S. and aiding in the preparation of false tax returns, and was sentenced to four years in prison for orchestrating a decade-long scheme that filed tens of thousands of fraudulent returns causing $145 million in tax loss | DOJ-SDNY |
| 2025-04-02 | | SEC v. RANDALL J. MILLER (S.D.N.Y. Apr. 2, 2025), Complaint, llm-upgrade | SEC-LR |
| 2025-03-20 | | Former CEO Of Kubient, Inc. Sentenced To Prison In Connection With Accounting Fraud Scheme | DOJ-SDNY |
| 2025-03-17 | | SEC v. GLEN LEIBOWITZ (S.D.N.Y. Mar. 17, 2025), Complaint, llm-upgrade | SEC-LR |
| 2025-03-17 | | SEC v. Glen Leibowitz, No. 26271 (S.D.N.Y. Mar. 14, 2025), U | SEC-LR |
| 2025-03-12 | | SEC v. Stefano R. Carchedi, No. 26265 (S.D.N.Y. Mar. 12, 2025), U | SEC-LR |
| 2025-03-12 | | SEC v. Carchedi, No. 978173 (S.D.N.Y. Mar. 12, 2025), Complaint, llm-upgrade | SEC-LR |
| 2025-03-06 | | Final Judgment As to Defendant Rey d. a Cost a | SEC-LR |
| 2025-03-06 | | SEC v. Rey D. Acosta, No. 26261 (S.D.N.Y. Feb. 24, 2025), U | SEC-LR |
| 2025-02-20 | | Final Judgment As to Defendant Arthur f. Wammel | SEC-LR |
| 2025-02-20 | | Former CEO Of Special Purpose Acquisition Company Charged With Accounting Fraud, Obstruction Of Justice, And Perjury | DOJ-SDNY |
| 2025-02-19 | | SEC v. COMPLAINT, No. 21-CV-10366 (S.D.N.Y. Feb. 19, 2025), Complaint, (SDNY Bar No | SEC-LR |
| 2025-02-19 | | SEC v. Civil Action No. 22-CV-10651-NMG | SEC-LR |
| 2025-02-19 | | SEC v. American Renal Holdings Associates, No. 26250 (S.D.N.Y. Dec. 6, 2021), defs:body | SEC-LR |
| 2025-02-13 | | SEC v. Michael A. Gramins, No. 26246 (S.D.N.Y. Sept. 08, 2015), U | SEC-LR |
| 2025-02-13 | | In accordance with Jury Verdict returned on February 3, 2020 (ECF 67) and the | SEC-LR |
| 2025-02-06 | | SEC v. FRANK T POERIO, No. 11 (S.D.N.Y. May 15, 2024), Complaint, llm-upgrade | SEC-LR |
| 2025-01-24 | | SEC v. Alexander C. Beckman and Valerie H. Lau, No. 26232 (S.D.N.Y. Jan. 23, 2025), U | SEC-LR |
| 2025-01-24 | | SEC v. ALEXANDER C. BECKMAN and, No. 213031 (S.D.N.Y. Jan. 24, 2025), Complaint, llm-upgrade | SEC-LR |
| 2025-01-17 | | In re DIGITAL CURRENCY | SEC-PR |
| 2025-01-17 | | In re GRUBMARKET | SEC-PR |
| 2025-01-13 | | In re Bmo Capital Markets | SEC-PR |
| 2025-01-10 | | SEC v. McMahon, No. 3-22391 (S.E.C. Jan. 10, 2025), alleged that Vincent Kennedy McMahon failed to disclose settlement agreements involving payments and liability releases related to his conduct, causing material misstatements in WWE’s financial reports from 2018 to 2021 | SEC-PR |
| 2025-01-07 | | SEC v. No. 4:23-cv-0147-P | SEC-LR |
| 2025-01-02 | | SEC v. THEODORE J. FARNSWORTH (S.D.N.Y. Jan. 2, 2025), Complaint, llm-upgrade | SEC-LR |
| 2025-01-02 | | SEC v. Theodore J. Farnsworth, No. 26207 (S.D.N.Y. Sept. 26, 2022), U | SEC-LR |
| 2025-01-02 | | SEC v. Farnsworth, No. 26208 (S.D.N.Y. Dec. 23, 2024), U | SEC-LR |
| 2025-01-01 | | Vince McMahon, Former CEO of WWE, Charged for Failure to Disclose to WWE Two Settlement Agreements He Executed on Behalf of WWE | SEC-PR |
| 2024-12-23 | | IRS Obtains Court Order Authorizing “John Doe” Summonses For Records Relating To U.S. Taxpayers Who May Have Used Network Of Offshore Service Providers To Hide Assets And Evade Taxes | DOJ-SDNY |
| 2024-12-17 | | United States v. Alvarez, No. 24-cr-587 (S.D.N.Y. Dec. 17, 2024), pleaded guilty to conspiring to defraud the United States and aiding in the preparation of tens of thousands of false tax returns that caused $145 million in fraudulent tax losses | DOJ-SDNY |
| 2024-12-17 | | In re EXPRESS | SEC-PR |
| 2024-12-16 | | OCR_UNRECOVERABLE method=timeout reason=timeout_during_enrichment ts=2026-05-11T05:08:15.256Z | SEC-PR |
| 2024-12-12 | | In re CANTOR FITZGERALD | SEC-PR |
| 2024-12-03 | | In re TONY TONTAT | SEC-PR |
| 2024-12-03 | | SEC v. MAURIZIO CHIRIVA-INTERNATI, No. 37943 (S.D.N.Y. Dec. 3, 2024), Complaint, llm-upgrade | SEC-LR |
| 2024-12-03 | | In re KIROMIC BIOPHARMA | SEC-PR |
| 2024-12-03 | | SEC v. Maurizio Chiriva-Internati, No. 26184 (S.D.N.Y. Dec. 3, 2024), U | SEC-LR |
| 2024-11-22 | | In re UNITED PARCEL | SEC-PR |
| 2024-11-18 | | International Tax Advisor Pleads Guilty To Tax Fraud In Concert With U.S.-Based CPAs | DOJ-SDNY |
| 2024-10-29 | | SEC v. Dellomo, et al., No. 24-cv-1727 (D. Conn. Oct. 29, 2024), alleged fraudulent accounting of $2.2 million in shipping expenses to misrepresent gross margin and conceal material misstatements in financial filings | SEC-LR |
| 2024-10-29 | | SEC v. Donna Dellomo, No. 26166 (S.D.N.Y. Oct. 29, 2024), U | SEC-LR |
| 2024-10-22 | | In re Check Point Software | SEC-PR |
| 2024-10-04 | | United States v. Gumucio, No. 24-cr-487 (S.D.N.Y. Oct. 4, 2024), pleaded guilty to conspiracy to commit tax evasion for failing to file personal or business tax returns and evading over $1 million in taxes from 2012 to 2020 despite earning more than $3.5 million from his yoga business | DOJ-SDNY |
| 2024-09-30 | | SEC v. Olayinka Temitope Oyebola and, No. 23-cv (S.D.N.Y. Sept. 30, 2024), Complaint, llm-upgrade | SEC-LR |
| 2024-09-30 | | Securities and Exchange Commission v. Olayinka Temitope Oyebola and Olayinka Oyebola & Co. (Chartered Accountants), No. 24-civ-7363 (S.D.N.Y. Sept. 30, 2024), alleged aiding and abetting of a massive securities fraud by failing to act on forged audit reports and assisting in the concealment of fake financial statements filed with the SEC | SEC-LR |
| 2024-09-27 | | SEC v. Ignite International Brands, No. 26138 (S.D.N.Y. Sept. 27, 2024), U | SEC-LR |
| 2024-09-27 | | SEC v. Ignite International Brands, No. 1:24-cv-07331 (S.D.N.Y. Sept. 27, 2024), Complaint, llm-upgrade | SEC-LR |
| 2024-09-27 | | SEC v. Lionel Selwood, No. 26137 (S.D.N.Y. Sept. 27, 2024), U | SEC-LR |
| 2024-09-27 | | Securities and Exchange Commission v. Selwood, No. 2:24-cv-08336 (C.D. Cal. Sept. 27, 2024), alleged that defendant negligently made or permitted false and misleading revenue projections in connection with a SPAC merger | SEC-LR |
| 2024-09-26 | | SEC v. Cassava Sciences, No. 26132 (S.D.N.Y. Sept. 26, 2024), U | SEC-LR |
| 2024-09-26 | | In re DRAFTKINGS INC. | SEC-PR |
| 2024-09-26 | | Securities and Exchange Commission v. Cassava Sciences, Inc., et al., No. 24-cv-1150 (W.D. Tex. Sept. 26, 2024), alleged that Cassava and its executives misled investors by omitting material information regarding the Phase 2b clinical trial results for PTI-125, including undisclosed conflicts of interest, selective data reporting, and unblinded data manipulation. | SEC-LR |
| 2024-09-25 | | In re Legacy Housing | SEC-PR |
| 2024-09-25 | | In re WM Technology, No. 240398 (S.D.N.Y. Sept. 25, 2024), DOUGLAS M | SEC-LR |
| 2024-09-25 | | SEC v. Christopher Beals and Arden Lee, No. 26127 (S.D.N.Y. Sept. 24, 2024), U | SEC-LR |