| | In re Bear Wagner Specialists LLC | SEC-PR |
| | Press Release: SEC Charges Former Apple General Counsel for Illegal Stock Option Backdating | SEC-PR |
| | This is a report of the staff of the U.S. Securities and Exchange Commission. The Commission | SEC-PR |
| | SEC Charges a Second Former Gen Re Executive for Aiding in AIG Securities Fraud | SEC-PR |
| | Press Release: SEC Settles Charges Against Hewlett-Packard for Misleading Disclosures Arising Out of Company’s Boardroom Leak Investigation (Press Release No. 2007-103; May 23, 2007) | SEC-PR |
| | Enforcement Director Stephen M. Cutler to Leave Commission | SEC-PR |
| | In re FLOWSERVE CORPORATION | SEC-PR |
| | Spencer Barasch, Head of Enforcement for the SEC's Fort Worth Office, to Leave the Commission | SEC-PR |
| | SEC Files Settled Regulation FD Charges Against Flowserve Corporation, Its Chief Executive Officer, and Director of Investor Relations | SEC-PR |
| | SEC v. Yuen et al., No. 2:04-cv-02345 (C.D. Cal. Apr. 20, 2004), ordered to escrow approximately $37.64 million in extraordinary payments to former CEO and CFO pending SEC investigation | SEC-LR |
| | In re Reed & Taylor | SEC-PR |
| 2026-04-21 | | United States v. Jared Solomon (S.D.N.Y. Apr. 21, 2026), convicted of wire fraud, aggravated identity theft, and bank fraud for a scheme to defraud Vornado Realty Trust. | DOJ-SDNY |
| 2026-04-15 | | Final Judgment As to Defendant Peter r. Quartararo | SEC-LR |
| 2026-03-31 | | SEC v. Brent David Willis, No. 22-cv-02744 (D. Colo. Oct. 18, 2022), The court entered a final consent judgment permanently enjoining Willis from making false statements, ordering a $175,000 civil monetary penalty and imposing a five‑year officer and director bar. | SEC-LR |
| 2026-03-24 | | SEC v. OZY MEDIA (S.D.N.Y. Mar. 24, 2026), Complaint, llm-upgrade | SEC-LR |
| 2026-03-17 | | SEC v. American Patriot Brands (S.D.N.Y. Mar. 17, 2026), Judgment, llm-upgrade | SEC-LR |
| 2026-02-24 | | SDNY Announces Corporate Enforcement And Voluntary Self-Disclosure And Cooperation Program For Financial Crimes | DOJ-SDNY |
| 2026-02-11 | | Final Judgment Against Equifunds Inc. | SEC-LR |
| 2025-12-18 | | United States v. Angarola, No. 23 Cr. 789 (S.D.N.Y. Dec. 18, 2025), pleaded guilty to wire fraud conspiracy and tax evasion for orchestrating an $8.3 million embezzlement scheme and failing to report income over nine years | DOJ-SDNY |
| 2025-12-11 | | CEO Of Telecommunications Construction Company Charged With Commercial Bribery, Fraud, And Witness Tampering Offenses | DOJ-SDNY |
| 2025-12-11 | | "DOJ/SEC Enforcement Action: [Company Name] - [Nature of Violation] - [Date of Filing]" | DOJ-SDNY |
| 2025-12-05 | | SEC v. Collins et al. (S.D.N.Y. Dec. 5, 2025), Judgment, llm-upgrade | SEC-LR |
| 2025-11-18 | | United States v. Wachob, S.D.N.Y. (Nov. 18, 2025), the government indicted the CEO for wire fraud alleging a scheme that defrauded investors, a bank, an investment firm, and steel distributors of at least $66 million. | DOJ-SDNY |
| 2025-11-04 | | Former CEO And Board Chairman Charged With Fraud Scheme Directed At Public Company | DOJ-SDNY |
| 2025-09-29 | | Startup CEO Charlie Javice Sentenced To 85 Months In Prison For $175 Million Fraud | DOJ-SDNY |
| 2025-09-24 | | California Man Arrested In Brazen $10 Million Loan Fraud Scheme Designed To Dupe The SEC | DOJ-SDNY |
| 2025-09-17 | | United States v. Liaquat Cheema, (S.D.N.Y. Sep. 17, 2025), Cheema was sentenced to four years in prison after pleading guilty to conspiracy to commit wire fraud for submitting fraudulent invoices on $12 million of New York City homeless‑shelter contracts. | DOJ-SDNY |
| 2025-09-17 | | Prosperity Consultants, LLC (“Prosperity” or “Defendant”) having entered a general appearance | SEC-LR |
| 2025-09-11 | | SEC v. TREVOR R. MILTON, No. 1:21-cv-6445 (S.D.N.Y. Sept. 11, 2025), Complaint, defs:body | SEC-LR |
| 2025-08-28 | | United States v. Treibert et al., S.D.N.Y. (Aug. 28, 2025), the indictment alleged that the defendants fabricated hundreds of gas pipeline safety inspection records and engaged in wire fraud against a regulated utility. | 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 |
| 2025-05-28 | | United States v. Garcia, No. 23-cr-587 (S.D.N.Y. May 28, 2025), pleaded guilty to wire fraud conspiracy and tax evasion for orchestrating a $4.5 million embezzlement scheme through a no-show job and concealing over $2.1 million in unreported income | DOJ-SDNY |
| 2025-05-22 | | SEC v. BARRY C. HONIG, No. 18-CV-8175-ER (S.D.N.Y. May 22, 2025), Complaint, llm-upgrade | SEC-LR |
| 2025-05-07 | | "DOJ/SEC Enforcement Action: [Company Name] - [Nature of Violation]" | DOJ-SDNY |
| 2025-04-01 | | United States v. Miller et al., No. 25-cr-123 (S.D.N.Y. Apr. 1, 2025), indicted for orchestrating a scheme to defraud bondholders by forging letters of intent and financial projections to raise over $280 million for a sports complex | DOJ-SDNY |
| 2025-03-28 | | United States v. Javice et al., No. 24-cr-587 (S.D.N.Y. Mar. 28, 2025), jury convicted founders of Frank for fabricating company metrics and deceiving financial institutions to sell the business for $175 million | DOJ-SDNY |
| 2025-03-18 | | United States v. Carl Erik Rinsch, S.D.N.Y. (Mar. 18, 2025), the government alleged that Rinsch orchestrated a scheme to defraud a streaming video‑on‑demand service of $11 million by misusing the funds intended for a science‑fiction television series for personal expenses and speculative securities and cryptocurrency investments. | DOJ-SDNY |
| 2025-02-20 | | Norman Gray, Founder and CEO Of Biomedical Company, Sentenced For Defrauding Investors Of More Than $13 Million | DOJ-SDNY |
| 2025-02-13 | | United States v. Kevin Feng Gao, S.D.N.Y. (Feb. 13, 2025), the indictment alleged that Gao orchestrated a scheme to open an unauthorized bank account and divert $30 million intended for a Manhattan real‑estate investment. | DOJ-SDNY |
| 2025-01-29 | | United States v. Victoria-Brito, No. 25-cr-45 (S.D.N.Y. Jan. 29, 2025), indicted for conspiring to commit bank fraud and money laundering by opening over 1,000 fake business accounts to launder proceeds from business email compromise schemes causing over $60 million in actual losses | DOJ-SDNY |
| 2025-01-08 | | SEC v. MICHAEL CARIDI (S.D.N.Y. Jan. 8, 2025), Complaint, llm-upgrade | SEC-LR |
| 2025-01-08 | | SEC v. Michael Caridi, No. 26213 (S.D.N.Y. Sept. 22, 2023), U | SEC-LR |
| 2025-01-08 | | United States v. Ho, No. 25-cr-34 (S.D.N.Y. Jan. 8, 2025), indicted for theft and attempted theft of trade secrets from his former employer, a global quantitative trading firm, by unlawfully copying and transferring proprietary source code to launch a competing firm in collaboration with the employer’s competitor | DOJ-SDNY |
| 2024-11-19 | | United States v. Da Costa, No. 23-cr-587 (S.D.N.Y. Nov. 18, 2024), convicted at trial of one count of wire fraud and two counts of aggravated identity theft for using forged Angolan government documents to deceive GE and secure fraudulent payments | DOJ-SDNY |
| 2024-10-22 | | In re Mimecast Limited | SEC-PR |
| 2024-10-10 | | United States v. Hickey, S.D.N.Y. (Oct. 10, 2024), John Hickey pleaded guilty to one count of wire fraud for embezzling over $3.4 million from a family‑owned business. | DOJ-SDNY |
| 2024-10-01 | | United States v. Kurien, No. 23-cr-387 (S.D.N.Y. Oct. 1, 2024), sentenced to 32 months in prison for conspiracy to commit wire fraud and money laundering after receiving over $7 million in kickbacks from Polar Air Cargo vendors | DOJ-SDNY |
| 2024-09-30 | | SEC v. James R. Craigie (S.D.N.Y. Sept. 30, 2024), Information, llm-upgrade | SEC-LR |
| 2024-09-30 | | SEC v. James R. Craigie, No. 26145 (S.D.N.Y. Sept. 30, 2024), U | SEC-LR |
| 2024-08-30 | | SEC v. Nutra Pharma Corporation (S.D.N.Y. Aug. 30, 2024), Amended Complaint, llm-upgrade | SEC-LR |
| 2024-08-26 | | The Claims Review Staff (“CRS”) issued Preliminary Determinations recommending that | SEC-PR |
| 2024-07-26 | | SEC Awards Whistleblower More Than $37 Million | SEC-PR |
| 2024-07-22 | | U.S. Attorney Announces Non-Prosecution Agreement With International Bus Parts Supplier CBM | DOJ-SDNY |
| 2024-06-14 | | SEC v. PixarBio Corp. et al., No. 26029 (S.D.N.Y. Jun. 14, 2024), U | SEC-LR |
| 2024-06-12 | | Zhou Min Ni and Jian Ming "Jonathan" Ni, CPA | SEC-LR |
| 2024-06-11 | | SEC Charges Founder of AI Hiring Startup Joonko with Fraud | SEC-PR |
| 2024-06-11 | | SEC v. Ilit Raz, No. 26020 (S.D.N.Y. Jun. 11, 2024), U | SEC-LR |
| 2024-06-03 | | United States v. Guan, No. 24-cr-287 (S.D.N.Y. June 3, 2024), indicted for conspiring to launder at least $67 million in fraudulently obtained unemployment insurance benefits and other crime proceeds through a multinational media company | DOJ-SDNY |
| 2024-05-30 | | United States v. Winkelbauer, S.D.N.Y. (May 30, 2024), Lars Winkelbauer was sentenced to four years in prison after pleading guilty to conspiracy to commit wire fraud and money laundering for a scheme that defrauded Polar Air Cargo Worldwide of more than $32 million. | DOJ-SDNY |
| 2024-05-13 | | SEC v. Nutra Pharma Corp. et al, No. 26007 (E.D.N.Y. Sept. 28, 2018), U | SEC-LR |
| 2024-05-10 | | SEC v. Fat Brands Inc Et Al, No. 327576 (S.D.N.Y. May 10, 2024), Complaint, llm-upgrade | SEC-LR |
| 2024-05-08 | | SEC v. Pison Stream Solutions, No. 25999 (S.D.N.Y. May 8, 2024), defs:body | SEC-LR |
| 2024-04-30 | | SEC v. Jack B. Blount, No. 25990 (S.D.N.Y. Apr. 30, 2024), U | SEC-LR |
| 2024-04-30 | | SEC v. JACK B. BLOUNT, No. 4:24-cv-375 (S.D.N.Y. Apr. 30, 2024), Complaint, llm-upgrade | SEC-LR |
| 2024-04-30 | | United States v. Rains et al., No. 24-154 (S.D.N.Y. Apr. 30, 2024), the former executives were sentenced to 12 years and 90 months in prison for mail fraud, money‑laundering and conspiracy to defraud their former employer. | DOJ-SDNY |
| 2024-04-19 | | SEC v. Michael Brackett, No. 25980 (S.D.N.Y. Apr. 19, 2024), U | SEC-LR |
| 2024-04-19 | | SEC v. MICHAEL BRACKETT (S.D.N.Y. Apr. 19, 2024), Complaint, llm-upgrade | SEC-LR |
| 2024-04-15 | | United States v. Lemay et al., No. 23-cr-123 (S.D.N.Y. Apr. 15, 2024), convicted of conspiracy to defraud the IRS by evading over $7.7 million in payroll taxes through a scheme using sham front companies to misclassify employees as independent contractors | DOJ-SDNY |
| 2024-04-05 | | SEC v. Volkswagen Aktiengesellschaft, No. 25969 (S.D.N.Y. Mar. 14, 2019), defs:body | SEC-LR |
| 2024-03-22 | | SEC v. Stephen Scott Burns, No. 25954 (D.D.C. Mar. 22, 2024), U | SEC-LR |
| 2024-03-19 | | United States v. Zilberberg, No. 21-cr-587 (S.D.N.Y. Mar. 19, 2024), sentenced to 30 months in prison for conspiring to obtain a fraudulent $1.4 million loan from Park Avenue Bank by exploiting his position as a bank director and using a straw borrower | DOJ-SDNY |
| 2024-03-07 | | SEC Charges Skechers with Making Undisclosed Payments to Executives’ Family Members | SEC-PR |
| 2024-03-07 | | In re SKECHERS U.S.A. | SEC-PR |
| 2024-03-05 | | United States v. Liaquat Cheema, S.D.N.Y. (Mar. 5, 2024), Liaquat Cheema pleaded guilty to conspiracy to commit wire fraud for defrauding New York City homeless shelter contracts and agreed to pay restitution and forfeiture of $3,267,811. | DOJ-SDNY |
| 2024-02-29 | | United States v. Winkelbauer et al., No. 23-cr-210 (S.D.N.Y. Feb. 29, 2024), both pleaded guilty to conspiracy to commit wire fraud and money laundering for orchestrating a decade-long scheme to defraud Polar Air Cargo Worldwide, Inc. of over $23 million in kickbacks and secret profits through conflicted vendor relationships | DOJ-SDNY |
| 2024-02-15 | | Securities and Exchange Commission v. Shelby et al., No. 2:21-cv-07339-CAS-AS (C.D. Cal. Jan. 16, 2024), ordered to pay disgorgement, prejudgment interest, and civil penalties and permanently enjoined from violating Sections 10(b) and 17(a) of the federal securities laws | SEC-LR |
| 2024-01-23 | | SEC v. CROWD MACHINE, No. 4:22-cv-0076-HSG (S.D.N.Y. Jan. 23, 2024), Judgment, llm-upgrade | SEC-LR |
| 2024-01-19 | | United States v. Angarola et al., No. 24-cr-35 (S.D.N.Y. Jan. 19, 2024), five defendants indicted for orchestrating a yearslong embezzlement scheme that diverted over $7 million from an IT services company through no-show jobs and fraudulent expense claims, with three also charged for failing to report the embezzled income to the IRS | DOJ-SDNY |
| 2024-01-16 | | United States v. Xu, No. 24 Cr. 45 (S.D.N.Y. Jan. 16, 2024), indicted for conspiracy to defraud the IRS and multiple counts of failing to collect and pay over payroll taxes by concealing millions in cash payments to employees | DOJ-SDNY |
| 2024-01-16 | | United States v. Llewellyn (S.D.N.Y. Jan. 16, 2024), Carlton Llewellyn pleaded guilty to conspiracy to commit wire fraud for a kickback scheme that defrauded Polar Air Cargo Worldwide, Inc. of tens of millions of dollars. | DOJ-SDNY |
| 2024-01-01 | | SEC Charges Keurig with Making Inaccurate Statements Regarding Recyclability of K-Cup Beverage Pod | SEC-PR |
| 2024-01-01 | | SEC Charges Former CEO of Tech Startup SKAEL with $30 Million Fraud | SEC-PR |
| 2024-01-01 | | SEC Charges Express, Inc. with Failing to Disclose Nearly $1 Million in Perks Provided to Former CEO | SEC-PR |
| 2024-01-01 | | SEC Charges Esmark Inc. and Chairman James Bouchard with Announcing False Tender Offer to Purchase U.S. Steel Corp. | SEC-PR |
| 2024-01-01 | | SEC Charges Independent Director and Ex-CEO of Church & Dwight With Concealing Close Friendship with Company Executive | SEC-PR |
| 2023-12-19 | | SEC v. Laura Tyler Perryman (S.D.N.Y. Dec. 19, 2023), Complaint, llm-upgrade | SEC-LR |
| 2023-12-14 | | Notice To Victims Of The Sentencing Of Former Nikola Motors CEO Trevor Milton | DOJ-SDNY |
| 2023-12-05 | | SEC v. CanaFarma Hemp Products Corp., No. 25906 (S.D.N.Y. Oct. 5, 2021), defs:body | SEC-LR |
| 2023-12-05 | | SEC v. Canafarma Hemp Products Corp. (S.D.N.Y. Dec. 5, 2023), Amended Complaint, llm-upgrade | SEC-LR |
| 2023-11-22 | | SEC v. SAEXPLORATION HOLDINGS, No. 1:20-CV-8423 (S.D.N.Y. Nov. 22, 2023), Complaint, llm-upgrade | SEC-LR |
| 2023-10-24 | | United States v. Schirmer, No. 22 Cr. 678 (S.D.N.Y. Oct. 24, 2023), pleaded guilty to conspiring to commit wire fraud and honest services fraud for orchestrating a decade-long scheme to defraud Polar Air Cargo Worldwide, Inc. of tens of millions of dollars through kickbacks and secret ownership interests in vendor companies | DOJ-SDNY |
| 2023-10-23 | | United States v. Rains, S.D.N.Y. (Oct. 23, 2023), a federal jury convicted Shawn Rains of conspiracy to commit mail fraud, mail fraud, and conspiracy to commit money laundering for a scheme that stole over $4 million from his former employer. | DOJ-SDNY |
| 2023-09-29 | | SEC v. Nano-x Imaging Ltd., No. 1:23-cv-8611 (S.D.N.Y. Sept. 29, 2023), Complaint, llm-upgrade | SEC-LR |
| 2023-09-28 | | In re Spruce Power Holding | SEC-PR |
| 2023-09-27 | | In re Cumberland | SEC-PR |
| 2023-09-26 | | SEC v. Intrusion Inc., No. 25854 (S.D.N.Y. Sept. 26, 2023), U | SEC-LR |
| 2023-09-26 | | SEC v. INTRUSION INC., No. 4:23-cv-859 (S.D.N.Y. Sept. 26, 2023), Complaint, llm-upgrade | SEC-LR |
| 2023-09-25 | | SEC v. Michael Caridi, No. 25847 (S.D.N.Y. Sept. 25, 2023), U | SEC-LR |
| 2023-09-06 | | In re KENT N. SMITH | SEC-PR |
| 2023-09-06 | | In re Jon Eric Best | SEC-PR |
| 2023-07-20 | | In re DIGITAL WORLD | SEC-PR |
| 2023-07-12 | | SEC v. Javice et al., No. 25776 (S.D.N.Y. Jul. 12, 2023), U | SEC-LR |
| 2023-07-12 | | United States v. Zilberberg, S.D.N.Y. (Jul. 12, 2023), a federal jury convicted Mendel Zilberberg of conspiracy to commit bank fraud, bank fraud, conspiracy to make false statements to a bank, making false statements to a bank, and misapplication of bank funds. | DOJ-SDNY |
| 2023-07-12 | | CHARLIE JAVICE, in her capacity as Trustee : | SEC-LR |
| 2023-06-28 | | laintiff, United States Securities and Exchange Commission (the “SEC”), for | SEC-LR |
| 2023-06-21 | | SEC Charges Audit Firm Marcum LLP for Widespread Quality Control Deficiencies | SEC-PR |
| 2023-06-20 | | In re STANLEY BLACK & | SEC-PR |
| 2023-06-20 | | In re JEFFERY D. ANSELL | SEC-PR |
| 2023-06-20 | | SEC Charges Stanley Black & Decker and Former Executive for Failures in Executive Perks Disclosure | SEC-PR |
| 2023-06-16 | | SEC v. Native American Energy Group, No. 25748 (E.D.N.Y. Jun. 16, 2023), defs:body | SEC-LR |
| 2023-06-15 | | United States v. Dhillon et al., S.D.N.Y. (June 15, 2023), the defendants allegedly submitted fraudulent surety bonds to obtain more than $5 million in construction payments from New York State’s Governor’s Office of Storm Recovery. | DOJ-SDNY |
| 2023-06-07 | | United States v. Barot, No. 23-CR-209 (S.D.N.Y. June 7, 2023), pleaded guilty to wire fraud for orchestrating a years-long scheme to defraud his former employer of approximately $4.4 million through fraudulent invoices directed to shell entities he controlled | DOJ-SDNY |
| 2023-05-25 | | SEC v. iFresh, No. 25735 (E.D.N.Y. May 25, 2023), U | SEC-LR |
| 2023-05-24 | | SEC v. Gpl Ventures LLC, No. 1:21-cv-06814 (S.D.N.Y. May 24, 2023), Complaint, llm-upgrade | SEC-LR |
| 2023-04-12 | | United States v. Winkelbauer et al., S.D.N.Y. (Apr. 12, 2023), the government indicted ten defendants for allegedly operating a decade‑long, multi‑million‑dollar scheme to defraud Polar Air Cargo Worldwide of approximately $52 million. | DOJ-SDNY |
| 2023-04-04 | | SEC Charges Founder of Frank with Fraud in Connection with $175 Million Sale of Student Loan Assistance Company | SEC-PR |
| 2023-04-04 | | Former Start-Up CEO Charged In $175 Million Fraud | DOJ-SDNY |
| 2023-03-28 | | Brazilian Mining Company to Pay $55.9 Million to Settle Charges Related to Misleading Disclosures Prior to Deadly Dam Collapse | SEC-PR |
| 2023-03-24 | | Pharms, LLC Dj & s Property #1, LLC Tsl | SEC-LR |
| 2023-03-09 | | United States v. Gillier, S.D.N.Y. (Mar. 9, 2023), United States sentenced Gillier to 84 months in prison for conspiring to fraudulently obtain more than $6 million in aircraft parts. | DOJ-SDNY |
| 2023-03-02 | | In re The Greenbrier Companies | SEC-PR |
| 2023-03-02 | | SEC Charges Global Transportation Company Greenbrier and Former CEO for Failing to Disclose Perks and Payments | SEC-PR |
| 2023-03-02 | | In re William A. Furman | SEC-PR |
| 2023-02-28 | | SEC v. Nishad Singh, No. 25652 (S.D.N.Y. Feb. 28, 2023), SEC Charges Nishad Singh with Defrauding Investors in Crypto Asset Trading Platform FTX Litigation Release No | SEC-LR |
| 2023-02-28 | | SEC v. Bankman-Fried, No. 23-cv-1691 (S.D.N.Y. Feb. 28, 2023), ___________________________________________ | SEC-LR |
| 2023-02-24 | | United States v. Barot, No. 23 Cr. 123 (S.D.N.Y. Feb. 24, 2023), indicted for wire fraud and aggravated identity theft for orchestrating a years-long scheme to defraud his former employer of $4.4 million through fake invoices directed to shell entities he controlled | DOJ-SDNY |
| 2023-02-22 | | United States v. White, No. 23-cr-105 (S.D.N.Y. Feb. 21, 2023), pleaded guilty to fraud, identity theft, and making false statements to obtain a $4.8 million construction contract and SBA bond guarantee by submitting forged financial documents and using another person’s Social Security number | DOJ-SDNY |
| 2023-02-15 | | United States v. Morrow-Wu et al., (S.D.N.Y. Feb. 15, 2023), United States indicted the defendants for allegedly defrauding a Manhattan architecture firm of more than $91,000 through a fictitious law firm and a fraudulent target letter. | DOJ-SDNY |
| 2023-02-14 | | United States v. Suresh Munshani, No. 23-CR-00001 (S.D.N.Y. Apr. 20, 2023), Defendant convicted in scheme to steal nearly $1 million from tech company. | DOJ-SDNY |
| 2023-02-13 | | SEC v. Seong Yeol Lee and Ameritrust Corporation, No. 25638 (S.D.N.Y. Feb. 1, 2023), defs:body | SEC-LR |
| 2023-02-13 | | SEC Charges African Gold Acquisition Corp. with Internal Controls, Reporting, and Recordkeeping Failures | SEC-PR |
| 2023-02-01 | | SEC v. Seong Yeol Lee and Ameritrust Corporation, No. 25627 (S.D.N.Y. Feb. 1, 2023), defs:body | SEC-LR |
| 2023-01-31 | | United States v. High Life, (S.D.N.Y. Jan. 31, 2023), the United States settled the civil fraud lawsuit after alleging that High Life underreported the value of 67 apparel shipments to avoid customs duties. | DOJ-SDNY |
| 2023-01-30 | | United States v. International Vitamins Corporation, 22.8 Million Settlement Of Civil Fraud Lawsuit Against Vitamin Importer For Underpaying Customs Duties Owed On Products Imported Into The United States (S.D.N.Y. Jan. 30, 2023), United States filed and settled a civil lawsuit against International Vitamins Corporation for misclassifying imports as duty-free and failing to pay back duties owed to | DOJ-SDNY |
| 2023-01-24 | | Former CEO Of Email Security Company Sentenced To Five Years In Prison | DOJ-SDNY |
| 2023-01-19 | | SEC v. Samuel Bankman-Fried, No. 22-cv-10794 (S.D.N.Y. Jan. 19, 2023), ___________________________________________ | SEC-LR |
| 2023-01-13 | | SEC v. Gerard R. Hug and Kurt W. Streams, No. 25614 (S.D.N.Y. Aug. 2, 2019), SEC Obtains Final Judgments Against Former Executives for Corporate Expense Abuses Lit | SEC-LR |
| 2023-01-12 | | United States v. Cardak et al., S.D.N.Y. (Jan. 12, 2023), pleaded guilty to a scheme to defraud investors and lenders of millions of dollars. | DOJ-SDNY |
| 2023-01-09 | | In re STEPHEN J. | SEC-PR |
| 2023-01-06 | | SEC v. REVEN HOLDINGS, No. 116-283 (S.D.N.Y. Jan. 6, 2023), Complaint, llm-upgrade | SEC-LR |
| 2023-01-04 | | Securities and Exchange Commission v. Cooper J. Morgenthau, No. 23 Civ. 00022 (S.D.N.Y. Jan. 3, 2023), The SEC alleges that Morgenthau stole more than $5 million from his employer, a publicly-traded SPAC, and from investors in two SPACs he incorporated, using the funds for personal expenses and trading in meme stocks and crypto assets, while falsifying financial records to mislead auditors and the | SEC-LR |
| 2023-01-01 | | SEC Charges Electric Vehicle Co. for Misleading Revenue Projections Ahead of SPAC Merger | SEC-PR |
| 2023-01-01 | | SEC Charges Former CEO of Slync in $67 Million Offering Fraud | SEC-PR |
| 2023-01-01 | | SEC Charges Private Equity Firm Prime Group for Inadequate Disclosure of Fees Paid to Affiliate | SEC-PR |
| 2023-01-01 | | SEC Charges Two Credit Rating Agencies, DBRS and KBRA, with Longstanding Recordkeeping Failures | SEC-PR |
| 2023-01-01 | | SEC Charges Former SPAC CFO for Orchestrating $5 Million Fraud Scheme | SEC-PR |
| 2023-01-01 | | SEC Charges McDonald’s Former CEO for Misrepresentations About His Termination | SEC-PR |
| 2022-12-20 | | Securities and Exchange Commission v. Hernandez, No. 6:22-cv-02367 (M.D. Fla. Dec. 20, 2022), alleged that Hernandez and Oi2Go Media Technologies, Inc. conducted a fraudulent Regulation A offering by disseminating materially false and misleading television advertisements, failing to deliver the Offering Circular, filing required reports, and using unregistered brokers to sell unregistered证券 | SEC-LR |
| 2022-12-13 | | against Nishad Singh (“Singh” or “Defendant”), alleges as follows: | SEC-PR |
| 2022-12-09 | | Tech Company CEO Pleads Guilty To Defrauding His Former Employer | DOJ-SDNY |
| 2022-12-06 | | United States v. Okunak, S.D.N.Y. (Dec. 6, 2022), the defendant pleaded guilty to wire fraud and falsification of books and records and was sentenced to 52 months in prison. | DOJ-SDNY |
| 2022-11-29 | | SEC v. William Sadleir, No. 25581 (S.D.N.Y. May 22, 2020), SEC Obtains Final Judgment Against Former Owner of California Film Distribution Company Charged with Defrauding Publicly Traded Fund Litiga | SEC-LR |
| 2022-10-18 | | SEC v. Brent David Willis, No. 25562 (S.D.N.Y. Oct. 18, 2022), SEC Charges Former NewAge CEO with Orchestrating Multi-Year Fraud Litigation Release No | SEC-LR |
| 2022-10-06 | | Bank CEO Sentenced To 14 Months In Prison For Taking Bribes In Connection With Loans Guaranteed By The Small Business Administration | DOJ-SDNY |
| 2022-09-27 | | SEC v. THEODORE J. FARNSWORTH (S.D.N.Y. Sept. 27, 2022), Complaint, CO-ACTING REGIONAL DIRECTOR | SEC-LR |
| 2022-09-22 | | In re DENNIS A. MUILENBURG | SEC-PR |
| 2022-09-22 | | In re the Boeing Company | SEC-PR |
| 2022-09-09 | | United States v. Sadleir, S.D.N.Y. (Sep. 9, 2022), United States sentenced Sadleir to six years in prison for defrauding a New York investment fund of over $30 million. | DOJ-SDNY |
| 2022-09-09 | | SEC v. Profile Solutions, No. 25500 (S.D.N.Y. Sept. 9, 2022), SEC Charges Florida Company and Its Officers with Fraud Litigation Release No | SEC-LR |
| 2022-09-02 | | SEC v. DAVID POPE, No. 24002810 (S.D.N.Y. Sept. 2, 2022), Complaint, llm-upgrade | SEC-LR |
| 2022-08-19 | | SEC v. KEystone CAPITAL PARTNERS, No. 1:17-CV-2873-JSA (S.D.N.Y. Aug. 19, 2022), Judgment, llm-upgrade | SEC-LR |
| 2022-08-18 | | United States v. Miranda, No. 22-cr-345 (S.D.N.Y. Aug. 18, 2022), indicted for wire fraud, bank fraud, and aggravated identity theft for embezzling approximately $4 million from her employer and its clients to fund personal expenses including travel, a wedding, and cosmetic procedures | DOJ-SDNY |
| 2022-08-17 | | Securities and Exchange Commission v. Paul, No. 22-CV-6985 (S.D.N.Y. Aug. 16, 2022), alleged that Ronald D. Paul, former Chairman and CEO of Eagle Bancorp, Inc., caused the company to omit material related party loans to his family trusts from SEC filings, violating disclosure requirements under SEC regulations and GAAP. | SEC-LR |
| 2022-07-20 | | In re Health Insurance | SEC-PR |
| 2022-06-29 | | Securities and Exchange Commission v. Shlomo Nir and Tzachi Rahamim, No. 2:22-cv-04438 (C.D. Cal. June 29, 2022), alleged that defendants committed securities fraud by misappropriating the identity of a prominent financial educator to induce investors to liquidate retirement accounts and purchase fixed indexed annuities through a falsified website. | SEC-LR |
| 2022-06-21 | | In re EGAN-JONES RATINGS | SEC-PR |
| 2022-06-21 | | SEC Charges Egan-Jones Ratings Co. and CEO with Conflict of Interest Violations | SEC-PR |
| 2022-06-07 | | SEC v. Morningstar Credit Ratings, No. 25409 (S.D.N.Y. Jun. 7, 2022), Complaint, llm-upgrade | SEC-LR |
| 2022-05-18 | | United States v. Cimino (S.D.N.Y. May 18, 2022), United States sentenced Cimino to 18 months in prison for securities and wire fraud, ordering restitution of $615,000 and forfeiture of $159,258.23. | DOJ-SDNY |
| 2022-05-06 | | SEC Charges NVIDIA Corporation with Inadequate Disclosures about Impact of Cryptomining | SEC-PR |
| 2022-04-28 | | SEC Charges Brazilian Mining Company with Misleading Investors about Safety Prior to Deadly Dam Collapse | SEC-PR |
| 2022-04-28 | | Securities and Exchange Commission v. Vale S.A. | SEC-PR |
| 2022-04-14 | | SEC v. Benja Inc. and Andrew Chapin, No. 25365 (S.D.N.Y. Apr. 14, 2022), SEC Obtains Final Judgment Against CEO of E-Commerce Startup Who Defrauded Investors Litigation Release No | SEC-LR |
| 2022-04-13 | | Tech Company CEO Charged With Defrauding His Former Employer Of Over $9 Million | DOJ-SDNY |
| 2022-03-15 | | United States v. Gangadai Rampersaud Azim, No. 22-078 (S.D.N.Y. Mar. 15, 2022), sentenced to 24 months in prison for a decade‑long conspiracy to commit bank fraud that misappropriated approximately $1.7 million from her employer. | DOJ-SDNY |
| 2022-03-11 | | SEC Awards Approximately $14 Million to Whistleblower | SEC-PR |
| 2022-03-03 | | United States v. Ilori, No. 21 Cr. 485 (S.D.N.Y. Mar. 3, 2022), sentenced to 63 months’ imprisonment for conspiring to defraud a commercial lender of over $1 million through stolen identities and bribing bank employees to launder proceeds | DOJ-SDNY |
| 2022-02-28 | | United States v. Archer, No. 21-cr-134 (S.D.N.Y. Feb. 28, 2022), sentenced to a year and a day in prison for orchestrating a fraudulent scheme to issue and sell over $60 million in tribal bonds through misrepresentations and misappropriation of proceeds | DOJ-SDNY |
| 2022-02-23 | | United States v. Mullins, No. 22-cr-105 (S.D.N.Y. Feb. 23, 2022), indicted for wire fraud in connection with a scheme to defraud the Sergeants Benevolent Association by submitting fraudulent expense reports to fund personal luxury expenditures | DOJ-SDNY |
| 2022-02-18 | | United States v. Borker, S.D.N.Y. (Feb. 18, 2022), United States charged Vitaly Borker with mail and wire fraud and aggravated identity theft for allegedly selling counterfeit and used designer eyewear through EyeglassesDepot.com. | DOJ-SDNY |
| 2022-02-17 | | United States v. James Jeremy Barbera, S.D.N.Y. (Feb. 17, 2022), United States convicted Barbera of securities fraud, wire fraud, and conspiracy for defrauding investors of approximately $8.4 million. | DOJ-SDNY |
| 2022-02-09 | | United States v. Rivera, No. 22-cr-123 (S.D.N.Y. Feb. 9, 2022), indicted for wire fraud and aggravated identity theft in connection with embezzling over $550,000 from her employer through unauthorized credit card charges, fake vendor payments, and impersonation of the company owner | DOJ-SDNY |
| 2022-01-20 | | United States v. Sadleir, S.D.N.Y. (Jan. 20, 2022), United States alleged that Sadleir pleaded guilty to two counts of wire fraud for defrauding a New York investment fund of over $30 million. | DOJ-SDNY |
| 2022-01-14 | | United States v. Seth Andrew, S.D.N.Y. (Jan. 14, 2022), the defendant pleaded guilty to wire fraud for devising a scheme to steal approximately $218,000 from charter schools he founded. | DOJ-SDNY |
| 2022-01-01 | | SEC Charges Eagle Bancorp and Former CEO with Failing to Disclose Related Party Loans | SEC-PR |
| 2022-01-01 | | Boeing to Pay $200 Million to Settle SEC Charges that it Misled Investors about the 737 MAX | SEC-PR |
| 2022-01-01 | | SEC Adopts Compensation Recovery Listing Standards and Disclosure Rules | SEC-PR |
| 2021-12-21 | | In re Nikola Corporation | SEC-PR |
| 2021-11-24 | | SEC v. KEVIN R. KUHNASH and, No. 3:19-cv-00028-RLY-MPB (S.D.N.Y. Nov. 24, 2021), Complaint, CASE NO | SEC-LR |
| 2021-11-24 | | SEC v. Kevin R. Kuhnash and Jason P. Jimerson, No. 25273 (S.D.N.Y. Feb. 12, 2019), SEC Obtains Final Judgments Against Former CEO and COO of Indiana-Based Plastics Manufacturer Litigation Release No | SEC-LR |
| 2021-11-22 | | In re ProPetro Holding Corp. | SEC-PR |
| 2021-10-20 | | United States v. Lemay et al., No. 21-cr-00123 (S.D.N.Y. Oct. 20, 2021), Indictment alleges former president and bookkeeper of moving company conspired to evade approximately $7.8 million in federal payroll taxes through a long-running scheme involving sham companies and fictitious employment records. | DOJ-SDNY |
| 2021-10-20 | | Former CEO, CFO, And VP Of Email Security Company Charged With $50 Million Fraud Scheme | DOJ-SDNY |
| 2021-10-06 | | SEC v. Canafarma Hemp Products Corp. (S.D.N.Y. Oct. 6, 2021), Complaint, llm-upgrade | SEC-LR |
| 2021-09-28 | | C3 International, Inc., Steele Clarke Smith III and Theresa Smith | SEC-LR |
| 2021-09-28 | | SEC v. Richard Xia, No. 25230 (E.D.N.Y. Sept. 28, 2021), llm-upgrade | SEC-LR |
| 2021-09-24 | | Manhattan U.S. Attorney Announces Criminal And Civil Charges Against CEO Of Apparel Company For Engaging In Customs Fraud | DOJ-SDNY |
| 2021-09-08 | | United States v. Chancy et al., (S.D.N.Y. Sep. 8, 2021), United States sentenced Chancy to 30 months in prison for his role in a commercial loan fraud scheme that obtained more than $1 million in loans using fake businesses, doctored statements, and stolen identities. | DOJ-SDNY |
| 2021-08-02 | | In the Matter of the Claims for Awards | SEC-PR |
| 2021-07-30 | | SEC Charges Real Estate CEO With Defrauding Investors | SEC-PR |