| | 2017 Summary Report of Commission Staff’s Examinations of | SEC-PR |
| | SEC Charges Kmart's Former CEO and CFO with Financial Fraud | SEC-PR |
| | Press Release: David Kreinberg, Former CFO of Comverse Technology, Inc., Agrees to Settle SEC Charges in Options Backdating Case; 2006-180; Oct. 24, 2006 | SEC-PR |
| | The Coca-Cola Company Settles Antifraud and Periodic Reporting Charges Relating to its Failure to Disclose Japanese Gallon Pushing | SEC-PR |
| | Press Release: SEC Sues Cardinal Health, Inc. For Fraudulent Earnings and Revenue Management Scheme | SEC-PR |
| | SEC v. John J. Todd, No. 03-CV-02230 (S.D.N.Y.), Gateway Agrees to Issuance of a Cease-and-Desist Order Securities and Exchange Commission v | SEC-LR |
| | Press Release: SEC Announces $6.3 Million Settlement With Former Take-Two Interactive Software, Inc. CEO in Stock Option Backdating Scheme | SEC-PR |
| | SEC Charges Gen Re Executive for Aiding in AIG Securities Fraud | SEC-PR |
| | SEC and U.S. Attorney Settle Massive Financial Fraud Case Against Adelphia and Rigas Family for $715 Million | SEC-PR |
| | SEC v. Kalina, No. 2:02-cv-02345 (C.D. Cal. Apr. 15, 2002), alleged participation in a round-trip fraud scheme that inflated Homestore’s revenues by $46 million and resulted in false financial disclosures | SEC-LR |
| | Nine Individuals Charged by the Securities And Exchange Commission with Aiding and Abetting Financial Fraud at Royal Ahold's U.S. Foodservice Subsidiary for Signing and Returning False Audit Confirmations | SEC-PR |
| | SEC Charges Time Warner with Fraud, Aiding and Abetting Frauds by Others, and Violating a Prior Cease-and-Desist Order; CFO, Controller, and Deputy Controller Charged with Causing Reporting Violations | SEC-PR |
| | RYVYL, Inc.; Fredi Nisan; Benzion Errez | SEC-PR |
| | IOSCO Action Plan to Strengthen Capital Markets Against Financial Fraud (Mar. 1, 2005) | SEC-PR |
| | SEC v. McAfee, Inc., No. C-06-0009 (PJH) (N.D. Cal. Mar. 3, 2009) — Order Authorizing Approval of a Distribution Plan | SEC-PR |
| | Press Release: SEC Announces Settlement With Aspen Technology | SEC-PR |
| | SEC Charges Seven Individuals with Aiding and Abetting Financial Fraud at Royal Ahold's U.S. Foodservice Subsidiary for Signing And Returning False Audit Confirmations | SEC-PR |
| | Commission Charges Two Former Bristol-Myers Officers for Fraudulent Earnings Management Scheme | SEC-PR |
| | SEC v. Chang, No. 3:02-cv-02345 (N.D. Cal. Apr. 18, 2002), alleging that the former CEO of Clarent Corporation inflated revenue through fraudulent sales transactions and misappropriated millions in company funds to benefit a related entity controlled by another executive and his family | SEC-LR |
| | Press Release: SEC Charges Two Former Supermarket Executives With Financial Fraud | SEC-PR |
| | Securities and Exchange Commission v. Lepejian, No. 2:03-cv-01234 (C.D. Cal. Apr. 15, 2003), alleging that the former president, chairman, and CEO of HPL Technologies, Inc. fabricated over $28 million in fictitious sales to inflate the company’s revenue, forge customer confirmations, and deceive auditors in connection with its IPO and quarterly financial filings | SEC-LR |
| | Press Release: SEC Files Settled Charges Against Eight Former Officers and Directors of Spiegel, Inc.; 2006-184; Nov. 2, 2006 | SEC-PR |
| | In re Citigroup Global Markets | SEC-PR |
| 2026-04-15 | | SEC v. The Estate of Richard Myre, No. 23-1997 (D. Minn.) · Final Judgment — Disgorgement $695,000 · Apr. 13, 2026 | SEC-LR |
| 2026-04-08 | | Mark d. Anderson, Bbfy USA INC and, : | SEC-LR |
| 2026-03-24 | | SEC v. SUZEE HAN (S.D.N.Y. Mar. 24, 2026), Judgment, llm-upgrade | SEC-LR |
| 2026-03-09 | | Securities and Exchange Commission v. Randall J. Miller; Chad J. Miller; Jeffrey De Laveaga, No. 1:26-cv-01738 (S.D.N.Y. 2026) · Judgment · S.D.N.Y. · 2026 | SEC-LR |
| 2026-03-09 | | SEC v. Randall J. Miller, No. 26498 (S.D.N.Y. Mar. 3, 2026), defs:body | SEC-LR |
| 2025-09-18 | | Savage v. Credit Adjustment Board, Inc., No. 1:23-cv-01424 (D. Md. Sep. 12, 2025) — Stipulated order. | SEC-LR |
| 2025-09-11 | | SEC v. Trevor R. Milton, No. 26397 (S.D.N.Y. Sept. 11, 2025), U | SEC-LR |
| 2025-08-04 | | United States v. John Arthur Hanratty, S.D.N.Y. (Aug. 4, 2025), convicted of wire fraud, bank fraud, and money laundering for a scheme that defrauded an FDIC‑insured bank and investors of over $20 million. | DOJ-SDNY |
| 2025-06-12 | | United States v. Edwards et al., S.D.N.Y. (Jun. 12, 2025), the United States indicted six defendants for allegedly stealing millions of dollars in checks from postal collection boxes and fraudulently altering and depositing them. | DOJ-SDNY |
| 2025-04-29 | | United States v. Pena et al., (S.D.N.Y. Apr. 29, 2025), United States charged Pena et al. with conspiracy to commit bank fraud, wire fraud, and aggravated identity theft in an approximately $53 million check fraud scheme. | DOJ-SDNY |
| 2025-03-31 | | United States v. Brandon Becker, et al., No. 23-cr-00542 (S.D.N.Y.) · Judgment — Pleaded Guilty · S.D.N.Y. · May 2, 2023 | DOJ-SDNY |
| 2025-02-27 | | United States v. Carter et al., No. 23-cr-245 (S.D.N.Y. Feb. 9, 2024) — Defendant Convicted of Orchestrating $7.6 Million COVID-19 Fraud Scheme | DOJ-SDNY |
| 2025-02-06 | | United States v. Collado, No. 23-cr-456 (S.D.N.Y. Apr. 12, 2026), indicted on superseding charges of wire fraud and conspiracy to commit money laundering | DOJ-SDNY |
| 2025-01-29 | | United States v. Brito et al., No. 26-cr-234 (S.D.N.Y. Apr. 15, 2026), indicted for conspiracy to commit wire fraud and money laundering in connection with a cryptocurrency scheme | DOJ-SDNY |
| 2025-01-15 | | United States v. Bitmex, (S.D.N.Y. May 5, 2026), the United States filed an information charging Bitmex with criminal violations. | DOJ-SDNY |
| 2025-01-08 | | United States v. Ho (S.D.N.Y. May 5, 2026) | DOJ-SDNY |
| 2025-01-01 | | SEC Announces Record Enforcement Actions Brought in First Quarter of Fiscal Year 2025 | SEC-PR |
| 2024-12-30 | | United States v. Katz's Deli, No. [Case Number] (S.D.N.Y. [Date]), consent decree entered | DOJ-SDNY |
| 2024-12-17 | | United States v. Mirsaidov et al., No. 23 Cr. 345 (S.D.N.Y. Dec. 17, 2024), former airline executive and co-conspirator pleaded guilty to conspiracy to commit money laundering for using a corporate bank account to launder healthcare fraud proceeds through fraudulent check-cashing schemes | DOJ-SDNY |
| 2024-12-11 | | United States v. et al., No. 23-cv-2159 (S.D.N.Y. Apr. 20, 2026), alleged violations of federal securities laws pursuant to a settlement stipulation and consent judgment | DOJ-SDNY |
| 2024-11-19 | | United States v. Smith et al., S.D.N.Y., indicted by a grand jury | DOJ-SDNY |
| 2024-11-18 | | United States v. Le Van Hung, S.D.N.Y. (Nov. 18, 2024), the government indicted Hung for conspiring to launder approximately $67 million in fraud proceeds. | DOJ-SDNY |
| 2024-11-14 | | United States v. Chewens, S.D.N.Y., consent decree entered. | DOJ-SDNY |
| 2024-09-06 | | SEC v. Michael V. Chhabra, No. 26098 (D.D.C. Sept. 6, 2024), Complaint, llm-upgrade | SEC-LR |
| 2024-07-26 | | Securities and Exchange Commission v. Juan Campo, No. 1:24-CV-2198 (D.D.C. Jul. 26, 2024), alleged that the former CEO of View Systems, Inc. perpetrated three fraudulent schemes to falsely portray the company as engaged in lucrative business activities, including fabricated acquisitions, a non-existent temperature screening device, and a falsified audit report. | SEC-LR |
| 2024-07-17 | | In the Matter of the Claim for an | SEC-PR |
| 2024-06-25 | | United States v. Adedayo John, No. 23 Cr. 123 (S.D.N.Y. June 25, 2024), pleaded guilty to conspiracy to commit money laundering and conspiracy to commit bank fraud and was sentenced to seven years in prison for leading a scheme that laundered over $19 million in proceeds from business email compromises and romance frauds | DOJ-SDNY |
| 2024-06-18 | | SEC v. Western Sierra Resource Corporation, No. 24-cv (S.D.N.Y. Jun. 18, 2024), Complaint, llm-upgrade | SEC-LR |
| 2024-06-12 | | SEC Charges JAG Capital Advisors and its Founder Joshua Goltry with Defrauding Investors | SEC-PR |
| 2024-06-12 | | Securities and Exchange Commission v. Ni, No. 1:24-cv-01632 (D.D.C. 2024) · Final Judgment — Disgorgement $80,000 | SEC-LR |
| 2024-06-11 | | United States v. Ilit Raz, No. 24-cr-00000 (S.D.N.Y. Jun. 11, 2024) — Founder and former CEO of Joonko Diversity, Inc. charged with securities and wire fraud for allegedly defrauding investors of $27 million by misrepresenting the company’s customers and revenue | DOJ-SDNY |
| 2024-06-11 | | Securities and Exchange Commission v. Ilit Raz, No. 1:24-cv-04466 · Complaint Filed · S.D.N.Y. · Jun. 28, 2023 | SEC-PR |
| 2024-06-11 | | SEC v. ILIT RAZ (S.D.N.Y. Jun. 11, 2024), Complaint, llm-upgrade | SEC-LR |
| 2024-06-06 | | United States v. Lin et al., No. 24 Cr. 387 (S.D.N.Y. June 6, 2024), indicted for participating in a bank fraud scheme involving over $10 million by submitting fraudulent unauthorized transaction reports and leveraging public office to assist the conspiracy | DOJ-SDNY |
| 2024-06-03 | | Norman Gray, Founder And CEO Of A Biomedical Company, Convicted At Trial For Defrauding Victim Of Nearly $1.5 Million (Jun. 3, 2024) | DOJ-SDNY |
| 2024-06-03 | | SEC v. ANDREAS BECHTOLSHEIM, No. 213031 (S.D.N.Y. Jun. 3, 2024), Judgment, llm-upgrade | SEC-LR |
| 2024-05-21 | | Disbarred Attorney Sentenced to Nine Years in Prison for COVID-19 Relief Loan Fraud Scheme (May 21, 2024) | DOJ-SDNY |
| 2024-05-14 | | SEC v. Jerry D. Guess, No. 26005 (S.D.N.Y. May 14, 2024), defs:body | SEC-LR |
| 2024-05-13 | | SEC v. Tyrone Johnny Lacy, No. 24-cv-1145 (S.D.N.Y. May 13, 2024), Complaint, llm-upgrade | SEC-LR |
| 2024-05-10 | | SEC v. Robert Tye Cournoyer, No. 26000 (S.D.N.Y. May 10, 2024), Complaint, llm-upgrade | SEC-LR |
| 2024-05-10 | | SEC v. Robert Tye Cournoyer, No. 24-cv-01304 (S.D.N.Y. May 10, 2024), Complaint, llm-upgrade | SEC-LR |
| 2024-05-08 | | Pison Stream Solutions, INC and : Judge ____________ | SEC-LR |
| 2024-05-07 | | SEC v. Red Rock Secured LLC, No. 25996 (S.D.N.Y. May 7, 2024), Judgment, llm-upgrade | SEC-LR |
| 2024-04-22 | | United States v. Santanoo, No. 24 Cr. 234 (S.D.N.Y. Apr. 22, 2024), pleaded guilty to conspiracy to commit bank fraud for stealing and facilitating the fraudulent deposit of approximately 40 checks totaling $600,000 made payable to the New York City Law Department | DOJ-SDNY |
| 2024-04-17 | | SEC v. Icaro Media Group, No. 25979 (S.D.N.Y. Apr. 17, 2024), defs:body | SEC-LR |
| 2024-04-17 | | SEC v. PAUL FELLER and (S.D.N.Y. Apr. 17, 2024), Complaint, llm-upgrade | SEC-LR |
| 2024-04-15 | | SEC v. GEORGE STUBOS, No. 22-cv-4674-LJL (S.D.N.Y. Apr. 15, 2024), Complaint, llm-upgrade | SEC-LR |
| 2024-04-15 | | United States v. Alvarez, No. 24-cr-123 (S.D.N.Y. Apr. 15, 2024), indicted for conspiracy to defraud the United States, aiding and abetting the filing of false federal tax returns, and aggravated identity theft in connection with a scheme that filed tens of thousands of fraudulent tax returns causing over $100 million in tax loss | DOJ-SDNY |
| 2024-04-15 | | USA v. Rafael Alvarez, Sealed Indictment, llm-upgrade | DOJ-SDNY |
| 2024-04-12 | | United States v. Umoren, No. 22-cr-456 (S.D.N.Y. Apr. 12, 2024), pleaded guilty to conspiracy to commit wire fraud for laundering over $8 million in proceeds from a Nigeria-based criminal enterprise that targeted vulnerable U.S. victims through investment, business email compromise, and romance scams | DOJ-SDNY |
| 2024-04-12 | | Securities and Exchange Commission v. Lixin Azarmehr et al., No. 2:24-cv-707 (D. Nev. Apr. 11, 2024), alleged that defendants diverted investor funds intended for skilled nursing home development in Las Vegas to an unrelated real estate project in violation of federal securities laws | SEC-LR |
| 2024-04-12 | | SEC v. Lixin Azarmehr, No. 25975 (S.D.N.Y. Apr. 12, 2024), llm-upgrade | SEC-LR |
| 2024-04-09 | | United States v. Nathanael Foucauld et al., S.D.N.Y. (Apr. 9, 2024), the court sentenced Foucauld for his role in a $1.3 million credit‑card fraud scheme involving U.S. Postal Service employees. | DOJ-SDNY |
| 2024-04-05 | | United States v. Guyatree Singh, No. 24-117 (S.D.N.Y. Apr. 5, 2024), United States sentenced Guyatree Singh to 42 months in prison after she pleaded guilty to wire fraud and aggravated identity theft for defrauding approximately 120 SNAP recipients of about $51,868. | DOJ-SDNY |
| 2024-03-26 | | United States v. Flashdot Limited et al., No. 24Cr. (S.D.N.Y.), Grand Jury charged defendants with conspiracy to violate the Bank Secrecy Act. | DOJ-SDNY |
| 2024-03-22 | | In re Lordstown Motors Corp., No. 1:24-cv-838 (S.D.N.Y. Mar. 22, 2024), Washington, DC 20549, | SEC-LR |
| 2024-03-20 | | Securities and Exchange Commission v. Findley and Halitron, Inc., No. 3:20-cv-00397 (D. Conn. Mar. 25, 2020), alleged that defendants fraudulently misled investors by issuing false press releases to inflate Halitron’s value and misappropriated investor funds for personal expenses | SEC-LR |
| 2024-03-20 | | SEC v. Findley, No. 3:20-cv-0397 (D. Conn. Mar. 20, 2024), entered permanent injunction and ordered defendants to pay $191,024.16 in disgorgement and prejudgment interest, and imposed a $250,000 civil penalty on Findley for securities fraud violations | SEC-LR |
| 2024-03-15 | | SEC v. Evoqua Water Technologies Corp., No. 1:23-cv-00105-MSM-PAS (S.D.N.Y. Mar. 15, 2024), Judgment, llm-upgrade | SEC-LR |
| 2024-03-04 | | United States v. Mizrahi, No. 23-cr-487 (S.D.N.Y. Mar. 4, 2024), convicted of conspiracy to commit wire fraud, bank fraud, money laundering, and aggravated identity theft for laundering over $4 million in narcotics and fraud proceeds and processing nearly $8 million in fraudulent credit card charges through his company | DOJ-SDNY |
| 2024-02-27 | | UNITED STATES v. LINCARE INC., No. 21-cv-00123 (S.D.N.Y.) · Complaint Filed · S.D.N.Y. · Jan. 1, 2013 | DOJ-SDNY |
| 2024-02-15 | | SEC v. She Beverage Company, Inc. et al., No. 2:21‑cv‑07339‑CAS‑AS (C.D. Cal. Jan. 16, 2024), the court granted the SEC’s motion for disgorgement, prejudgment interest, and civil penalties. | SEC-LR |
| 2024-02-13 | | SEC v. Christopher R. Esposito, No. 25941 (S.D.N.Y. May 26, 2016), defs:body | SEC-LR |
| 2024-02-12 | | USA v. Federico Hernandez Gamboa (S.D.N.Y. Feb. 11, 2024), Complaint, defs:caption | DOJ-SDNY |
| 2024-02-09 | | United States v. the FBI, No. 21-cr-00123 (S.D.N.Y.) · Convicted · Southern District of New York · Feb. 9, 2024 | DOJ-SDNY |
| 2024-02-02 | | United States v. Al-Zubaidi, et al., No. 24 Cr. 78 (S.D.N.Y. Feb. 2, 2024), indicted for conspiring to operate an unlicensed money transmitting business that illicitly moved more than $65 million between the United States and countries in the Middle East | DOJ-SDNY |
| 2024-02-02 | | United States v. Shahriyari et al., S.D.N.Y. (Feb. 2, 2024), the government indicted seven individuals for terrorism, sanctions‑evasion, fraud, and money‑laundering offenses related to an oil‑laundering network orchestrated by Iran’s Islamic Revolutionary Guard Corps. | DOJ-SDNY |
| 2024-01-31 | | SEC v. Comer Capital Group, No. 25935 (S.D.N.Y. Jan. 31, 2024), Complaint, llm-upgrade | SEC-LR |
| 2024-01-30 | | United States v. Yohauris Rodriguez Hernandez, et al., No. 22-cr-00123 (S.D.N.Y. Jan. 30, 2024) — Defendant Sentenced to 79 Months in Prison for $16.1 Million COVID-19 Unemployment Benefits Fraud Scheme | DOJ-SDNY |
| 2024-01-25 | | In re Aon Investments USA INC | SEC-PR |
| 2024-01-23 | | United States v. Lincare Inc. · Complaint Filed · S.D.N.Y. · Jan. 29, 2018 | DOJ-SDNY |
| 2024-01-17 | | United States v. Wynder et al., S.D.N.Y. (Jan. 17, 2024), United States sentenced Wynder et al. to prison for defrauding a law‑enforcement union’s annuity fund and evading taxes. | DOJ-SDNY |
| 2024-01-17 | | Spring Valley Man Sentenced to One Year and One Day in Prison for $1.6 Million COVID-19 Fraud Scheme (Jan. 17, 2024) | DOJ-SDNY |
| 2024-01-16 | | United States v. Barend Oberholzer, et al., No. 21-cr-104 (S.D.N.Y. Jan. 16, 2024) — Former CEO of Defense Company Sentenced to 15 Months in Prison for Defrauding Investors and Creditors | DOJ-SDNY |
| 2024-01-05 | | United States v. Dupont et al., S.D.N.Y. (Jan. 5, 2024), the defendants were sentenced to three years’ probation and five months’ imprisonment for securities fraud stemming from an insider‑trading scheme surrounding Alexion’s acquisition of Portola. | DOJ-SDNY |
| 2024-01-03 | | SEC v. Rishi Kapoor, No. 25921 (S.D.N.Y. Dec. 27, 2023), Complaint, llm-upgrade | SEC-LR |
| 2024-01-01 | | SEC Charges Four Companies With Misleading Cyber Disclosures | SEC-PR |
| 2024-01-01 | | SEC Announces Enforcement Results for Fiscal Year 2024 | SEC-PR |
| 2024-01-01 | | SEC Charges Florida Real Estate Developer Rishi Kapoor with Perpetuating $93 Million Fraud Scheme and Obtains Emergency Relief | SEC-PR |
| 2024-01-01 | | SEC Charges Advisory Firm Macquarie Investment Management Business Trust with Fraud | SEC-PR |
| 2023-12-19 | | SEC v. Laura Tyler Perryman, No. 25916 (S.D.N.Y. Dec. 19, 2023), U | SEC-LR |
| 2023-12-18 | | United States v. Hanratty, No. 23-cr-678 (S.D.N.Y. Dec. 18, 2023), indicted for bank fraud and wire fraud for allegedly submitting false borrowing base certificates to obtain $20 million in commercial lines of credit from an FDIC-insured bank and misappropriating the funds to pay investors who had sued his firm | DOJ-SDNY |
| 2023-12-18 | | USA v. John Arthur Hanratty, No. 50611 (S.D.N.Y. Dec. 17, 2023), Complaint, defs:caption | DOJ-SDNY |
| 2023-12-12 | | Whereas on February 23, 2021, this Court entered, upon consent of the Securities and Exchange Commission (“Commission”) and defendant Gpb Capital Holdings, LLC (“gpb Ch” or “Defendant”), the Order App | SEC-LR |
| 2023-12-07 | | United States v. Tilson, S.D.N.Y., the United States alleged that Tilson solicited investments in a real‑estate fund, misappropriated the victims’ funds, and used interstate facilities to conduct the scheme in violation of the Travel Act. | DOJ-SDNY |
| 2023-12-07 | | United States v. Tilson, No. 23-cr-418 (S.D.N.Y. Dec. 7, 2023), pleaded guilty to violating the Travel Act by using interstate wire communications to embezzle $650,000 from investors and falsify bank documents to conceal the fraud | DOJ-SDNY |
| 2023-11-29 | | United States v. Cabrera Da Corte, No. 22-cr-456 (S.D.N.Y. Nov. 29, 2023), pleaded guilty to orchestrating a scheme to defraud banks and a cryptocurrency exchange of more than $4 million by using stolen identities to purchase cryptocurrency and falsely claiming unauthorized transactions to secure fraudulent refunds | DOJ-SDNY |
| 2023-11-22 | | SEC v. SAEXPLORATION HOLDINGS, No. 1:20-cv-8423-PGG (S.D.N.Y. Nov. 22, 2023), Judgment, 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 |
| 2023-11-21 | | Securities and Exchange Commission v. Breland, No. 3:22-cv-01470 (W.D. La. June 2, 2022), alleged that the former mayor of Sterlington, Louisiana, knowingly approved false financial projections and concealed the misuse of bond proceeds in connection with municipal bond offerings in 2017 and 2018 | SEC-LR |
| 2023-11-21 | | SEC v. Fletcher et al., No. 3:22-cv-01467 · Complaint Filed · W.D. La. · 2022 | SEC-LR |
| 2023-11-16 | | United States v. Gao et al., S.D.N.Y. (Nov. 16, 2023), the government alleged the defendants participated in a scheme to steal and launder over $10 million from banks using cryptocurrency exchanges. | DOJ-SDNY |
| 2023-11-15 | | SEC v. JAKE SOBERAL, No. 213031 (S.D.N.Y. Nov. 15, 2023), Complaint, llm-upgrade | SEC-LR |
| 2023-11-09 | | USA v. Isaac Briggs Iii and (S.D.N.Y. Nov. 8, 2023), Complaint, defs:caption | DOJ-SDNY |
| 2023-11-07 | | United States v. Arntsen et al. · Complaint Filed · S.D.N.Y. · Nov. 7, 2023 | DOJ-SDNY |
| 2023-11-07 | | United States v. Trower et al. · Indictment · S.D.N.Y. · No. 1:23-cr-00673 | DOJ-SDNY |
| 2023-11-01 | | United States v. Garson, S.D.N.Y. (Nov. 1, 2023), pleaded guilty to a scheme to defraud his former employers of millions of dollars and agreed to pay $3,754,068 in restitution. | DOJ-SDNY |
| 2023-10-30 | | United States v. Elizabeth Torres, 23-cr-00123 (S.D.N.Y. Oct. 30, 2023), Elizabeth Torres sentenced to one year and one day in prison for a decade-long workers’ compensation fraud scheme involving false claims to the Department of Labor for over $600,000 in disability benefits. | DOJ-SDNY |
| 2023-10-23 | | Recidivist Fraudster Sentenced to 25 Years in Prison for Over $10 Million COVID-19 Loan Fraud Scheme (Oct. 23, 2023) | DOJ-SDNY |
| 2023-09-29 | | SEC v. STEPHONE N. PATTON, No. 16-05888-CF (S.D.N.Y. Sept. 29, 2023), Complaint, llm-upgrade | SEC-LR |
| 2023-09-29 | | SEC v. Utah Regional Investment Fund, No. 25875 (S.D.N.Y. Sept. 29, 2023), llm-upgrade | SEC-LR |
| 2023-09-29 | | United States v. Fulcrum Capital Partners, S.D.N.Y. (Sept. 29, 2023), the United States alleged that Fulcrum Capital Partners fraudulently obtained payments from the Madoff Victim Fund in violation of the False Claims Act and the firm agreed to pay $2.5 million. | DOJ-SDNY |
| 2023-09-29 | | SEC v. Stephone N. Patton, No. 25873 (S.D.N.Y. Sept. 29, 2023), defs:body | SEC-LR |
| 2023-09-29 | | United States v. Fulcrum Capital Holdings LLC et al., No. 18 Civ. 9160 (S.D.N.Y.) — Stipulation and Order of Settlement and Dismissal | DOJ-SDNY |
| 2023-09-29 | | In the Matter of DBRS, Inc., File No. 3-21772 · Settled · SEC · Sep. 29, 2023 | SEC-PR |
| 2023-09-28 | | SEC v. RONALD E. FILORAMO, No. 0997651 (S.D.N.Y. Sept. 28, 2023), Complaint, llm-upgrade | SEC-LR |
| 2023-09-27 | | SEC v. Charles Tralka et al, No. 305008 (S.D.N.Y. Sept. 27, 2023), Complaint, llm-upgrade | SEC-LR |
| 2023-09-27 | | SEC v. Hyzon Motors Inc., No. 25855 (W.D.N.Y. Sept. 26, 2023), U | SEC-LR |
| 2023-09-27 | | United States v. Ghertler, No. 22 Cr. 657 (S.D.N.Y. Sept. 27, 2023), pleaded guilty to wire fraud and making false statements for impersonating senior executives of investment firms and a law firm partner to orchestrate a million-dollar fraud scheme and obstruct a federal investigation | DOJ-SDNY |
| 2023-09-27 | | SEC v. Robert Del Prete (S.D.N.Y. Sept. 27, 2023), Complaint, llm-upgrade | SEC-LR |
| 2023-09-27 | | SEC v. Sheldon Richard Bentley, No. 263197 (S.D.N.Y. Sept. 27, 2023), Complaint, llm-upgrade | SEC-LR |
| 2023-09-26 | | SEC v. The Diamond Desk Corporation and Adam J. Lowe, No. 25852 (S.D.N.Y. Sept. 25, 2023), U | SEC-LR |
| 2023-09-26 | | SEC v. the Diamond Desk Corporation, No. 84419 (S.D.N.Y. Sept. 26, 2023), Complaint, llm-upgrade | SEC-LR |
| 2023-09-25 | | SEC v. MICHAEL CARIDI (S.D.N.Y. Sept. 25, 2023), Complaint, llm-upgrade | SEC-LR |
| 2023-09-25 | | In re GTT Communications | SEC-PR |
| 2023-09-25 | | SEC v. Phoenix Outsourced Development, No. 25850 (S.D.N.Y. Sept. 25, 2023), llm-upgrade | SEC-LR |
| 2023-09-25 | | SEC v. Stephen L. Bailey, No. 25851 (S.D.N.Y. Sept. 25, 2023), Complaint, llm-upgrade | SEC-LR |
| 2023-09-25 | | SEC v. Phoenix Outsourced Development, LLC et al., No. 2:23-cv-00663 (D. Utah Sep. 25, 2023), The SEC alleged that the defendants conducted a fraudulent securities offering that raised more than $2.1 million from investors by misrepresenting the existence, fees, and performance of two pooled investment funds and fabricating account statements. | SEC-LR |
| 2023-09-19 | | SEC v. Faiz M. Chowdhury, No. 25835 (S.D.N.Y. Sept. 19, 2023), Complaint, llm-upgrade | SEC-LR |
| 2023-09-19 | | United States v. Hou et al., No. 23-323 (S.D.N.Y. Sept. 19, 2023), the indictment alleged that the defendants conspired to commit wire fraud by tricking victims into purchasing gift cards that were used to buy millions of dollars of merchandise. | DOJ-SDNY |
| 2023-09-14 | | SEC v. NDB, No. 25829 (S.D.N.Y. Sept. 14, 2023), Complaint, llm-upgrade | SEC-LR |
| 2023-09-14 | | SEC v. Ndb, No. 213031 (S.D.N.Y. Sept. 14, 2023), Complaint, llm-upgrade | SEC-LR |
| 2023-09-12 | | SEC v. Dharma Teja Nukarapu, No. 25825 (S.D.N.Y. Sept. 11, 2023), defs:body | SEC-LR |
| 2023-09-12 | | In re YieldStreet Inc. | SEC-PR |
| 2023-09-08 | | In re MONOLITH | SEC-PR |
| 2023-09-07 | | SEC v. Guosheng Qi and Gridsum Holding, No. 25822 (S.D.N.Y. Sept. 7, 2023), U | SEC-LR |
| 2023-09-06 | | SEC v. Seong Yeol Lee and Ameritrust Corporation, No. 25821 (S.D.N.Y. Feb. 1, 2023), defs:body | SEC-LR |
| 2023-08-04 | | SEC v. ULRICH, No. 018486 (S.D.N.Y. Aug. 4, 2023), Complaint, llm-upgrade | SEC-LR |
| 2023-08-04 | | SEC v. Ulrich Kranz and Paul Balciunas, No. 25802 (S.D.N.Y. Aug. 4, 2023), U | SEC-LR |
| 2023-08-02 | | SEC v. JANARDHAN NELLORE, No. 3:19-cv-08207-RS (S.D.N.Y. Aug. 2, 2023), Complaint, llm-upgrade | SEC-LR |
| 2023-07-28 | | SEC v. Tseng et al., No. 5:23-cv-01488 (C.D. Cal. July 28, 2023), the SEC charged Summitcrest Capital, Inc. and its principals with conducting an offering fraud through a real estate investment fund that misappropriated investor funds for loans to entities controlled by the defendants. | SEC-LR |
| 2023-07-28 | | United States v. Adeniyi, No. 23-272 (S.D.N.Y. July 28, 2023), United States sentenced Abraham Adeniyi to three years in prison for operating a money‑laundering scheme that laundered nearly $8 million of wire‑fraud proceeds. | DOJ-SDNY |
| 2023-07-27 | | CEO Of Paycheck Protection Program Lender MBE Capital Sentenced To 54 Months In Prison In Connection With Fraudulent Loan And Lender Applications (Jul. 27, 2023) | DOJ-SDNY |
| 2023-07-25 | | United States v. Shea, No. 21-cr-565 (S.D.N.Y. July 25, 2023), sentenced to 63 months in prison for conspiracy to commit wire fraud, conspiracy to commit money laundering, and obstruction of justice in connection with a fraudulent online fundraising scheme for 'We Build The Wall' | DOJ-SDNY |
| 2023-07-19 | | SEC v. Chadd L. Evans, No. 25782 (S.D.N.Y. Jul. 19, 2023), U | SEC-LR |
| 2023-07-18 | | SEC v. Legendary Partners, No. 9512130114 (S.D.N.Y. Jul. 18, 2023), Complaint, llm-upgrade | SEC-LR |
| 2023-07-18 | | SEC v. Legendary Partners, No. 9512130114 (S.D.N.Y. Jul. 18, 2023), Complaint, llm-upgrade | SEC-LR |
| 2023-07-14 | | United States v. Butselaar, No. 23-cr-345 (S.D.N.Y. July 14, 2023), indicted for conspiring to conceal over $100 million in worldwide income from U.S. taxpayers by using offshore entities and trusts to evade federal tax obligations | DOJ-SDNY |
| 2023-07-12 | | United States v. Allianz Global Investors U.S. LLC, No. 22-cr-377 (S.D.N.Y. July 12, 2023), pleaded guilty to securities fraud for misleading investors about the risks of private investment funds, resulting in over $8 billion in losses during the COVID-19 market crash | DOJ-SDNY |
| 2023-07-12 | | Securities and Exchange Commission v. Javice et al., No. 1:23-cv-02795 · Complaint Filed · S.D.N.Y. · 2023 | SEC-LR |
| 2023-07-06 | | United States v. Henner, No. 23-cr-345 (S.D.N.Y. July 6, 2023), indicted for wire fraud and aggravated identity theft for soliciting over $1.6 million from victims under false pretenses of investing in a start-up, while misappropriating the funds for personal use | DOJ-SDNY |
| 2023-07-05 | | SEC v. Spartan Trading Company, et al., No. 0:23-cv-01997 (S.D.N.Y. Jun. 29, 2023) — SEC charged with securities fraud and seeks ancillary relief | SEC-LR |
| 2023-06-28 | | Securities and Exchange Commission v. Soberal et al., No. 1:23-cv-01585 (E.D. Cal. 2023) · Complaint Filed · E.D. Cal. · Jan. 31, 2021 | SEC-PR |
| 2023-06-27 | | SEC v. Richard J. Rubin and Thomas J. Craft, No. 25756 (S.D.N.Y. Jun. 27, 2023), U | SEC-LR |
| 2023-06-26 | | United States v. Bicher, No. <Case Number> (S.D.N.Y. Jun. 26, 2023) — “Wolf of Airbnb” Pleads Guilty to Wire Fraud in Connection with PPP and Real Estate Fraud Scheme | DOJ-SDNY |
| 2023-06-16 | | SEC v. INFINITY Q CAPITAL MANAGEMENT, No. 651295 (S.D.N.Y. Jun. 16, 2023), Complaint, llm-upgrade | SEC-LR |
| 2023-06-08 | | United States v. Berriors, No. 23 Cr. 345 (S.D.N.Y. June 8, 2023), indicted for conspiring to commit money laundering and bank fraud by laundering nearly $10 million in proceeds from business email compromise scams using stolen identities and fraudulent bank accounts | DOJ-SDNY |
| 2023-06-06 | | United States v. Walker et al., No. 23 Cr. 345 (S.D.N.Y. June 6, 2023), indicted for conspiring to commit wire fraud by submitting fraudulent Paycheck Protection Program loan applications totaling over $14.7 million and engaging in aggravated identity theft | DOJ-SDNY |
| 2023-06-01 | | SEC v. Marshall E. Melton and Integrated Consulting & Management, LLC, No. 1:23-cv-00434 (M.D.N.C. May 30, 2023) — SEC Charges Repeat Securities Law Violator with New Offering Fraud | SEC-LR |
| 2023-05-31 | | United States v. Wynder et al., No. 22 Cr. 485 (S.D.N.Y. May 31, 2023), convicted of defrauding a union’s annuity fund and evading federal taxes | DOJ-SDNY |
| 2023-05-30 | | Former Wells Fargo Senior Executive Carrie Tolstedt Agrees to Settle SEC Fraud Charges for Misleading Investors About Abusive Sales Practices to Inflate a Key Performance Metric | SEC-PR |
| 2023-05-24 | | United States v. Grover et al., No. 23 Cr. 345 (S.D.N.Y. May 24, 2023), indicted for conspiring to commit wire fraud and bank fraud by submitting over 100 false Paycheck Protection Program loan applications totaling over $13 million, and for aggravated identity theft | DOJ-SDNY |
| 2023-05-15 | | SEC Charges Red Rock Secured, Three Executives in Fraud Scheme Targeting Retirement Accounts | SEC-PR |
| 2023-05-12 | | Securities and Exchange Commission v. Empires Consulting Corp. (Dba “Empiresx”), et al., No. 1:22-cv-21995 · Complaint Filed · S.D. Fla. · Jan. 2022 | SEC-LR |
| 2023-05-12 | | SEC v. Empires Consulting Corp. (dba | SEC-LR |
| 2023-05-10 | | SEC v. CLAYTON R. THOMAS and PERSONALIZED, No. 457868 (S.D.N.Y. May 10, 2023), Complaint, llm-upgrade | SEC-LR |
| 2023-05-10 | | SEC v. Clayton R. Thomas and Personalized Healthcare Solution, No. 25717 (S.D.N.Y. May 10, 2023), Complaint, llm-upgrade | SEC-LR |
| 2023-05-09 | | SEC v. PINNACLE ADVISORS (S.D.N.Y. May 9, 2023), Complaint, Todd D | SEC-LR |
| 2023-05-05 | | SEC v. Joshua Burrell and Activated Capital, No. 25709 (S.D.N.Y. May 5, 2023), Complaint, llm-upgrade | SEC-LR |
| 2023-05-05 | | SEC v. Ronald D. Swanson, No. 25711 (S.D.N.Y. May 5, 2023), U | SEC-LR |
| 2023-05-05 | | Securities and Exchange Commission v. Safeguard Metals LLC et al., No. 2:22-cv-00693 (C.D. Cal. 2023) — SEC Files Amended Fraud Charges Alleging a Multi-Million Dollar Scheme That Targeted Retirement Accounts | SEC-LR |
| 2023-04-27 | | SEC v. Trends Investments INC, No. 22-CV-10889- (S.D.N.Y. Apr. 27, 2023), Complaint, llm-upgrade | SEC-LR |
| 2023-04-21 | | United States v. Hamblin, No. 09-cr-123 (S.D.N.Y. July 14, 2009), pleaded guilty to mail and wire fraud for selling counterfeit paintings attributed to renowned artists and fled the United States for over 13 years before being extradited from Germany to serve her sentence | DOJ-SDNY |
| 2023-04-20 | | SEC v. Premium Point Investments Lp, No. 01 (S.D.N.Y. Apr. 20, 2023), Amended Complaint, llm-upgrade | SEC-LR |
| 2023-04-11 | | United States v. Kukaj et al., S.D.N.Y. (Apr. 11, 2023), the court sentenced the restaurateur to 57 months in prison for a $6.14 million pandemic loan fraud scheme and interstate threats. | DOJ-SDNY |
| 2023-04-11 | | SEC v. Robert V.A. Harra, No. 25691 (S.D.N.Y. May 6, 2015), defs:body | SEC-LR |
| 2023-04-05 | | United States v. Pukke, S.D.N.Y. (Apr. 5, 2023), the indictment alleged wire fraud and unlawful monetary transactions involving the embezzlement of more than $13 million from a Belize real‑estate development. | DOJ-SDNY |
| 2023-04-04 | | CHARLIE JAVICE, in her capacity as Trustee : | SEC-PR |
| 2023-03-31 | | SEC v. CRAIG D. PERCIAVALLE, No. 23-cv-00109 (S.D.N.Y. Mar. 31, 2023), Complaint, llm-upgrade | SEC-LR |
| 2023-03-30 | | United States v. Wälchli, No. 23-cr-120 (S.D.N.Y. Mar. 30, 2023), pleaded guilty to conspiring to defraud the United States by helping wealthy American clients conceal over $60 million in offshore income and assets through a scheme involving nominee accounts in Hong Kong and a Singapore-based firm | DOJ-SDNY |
| 2023-03-28 | | United States v. Oberholzer et al., No. <Case Number> (S.D.N.Y. Mar. 28, 2023) — CEO pleaded guilty to conspiracy to defraud investors and creditors. | DOJ-SDNY |
| 2023-03-24 | | SEC v. American Patriot Brands, No. 25675 (S.D.N.Y. Mar. 24, 2023), llm-upgrade | SEC-LR |
| 2023-03-21 | | Final Judgment As to Defendant Philip r. Jacoby, Jr. | SEC-LR |
| 2023-03-16 | | SEC Charges Cannabis Company American Patriot Brands, CEO, and Others with Fraud | SEC-PR |
| 2023-03-15 | | Securities and Exchange Commission v. Krieger, No. 9:23-cv-80398 · Complaint Filed · S.D. Fla. · 2023 | SEC-LR |
| 2023-03-15 | | SEC v. Peter D. Krieger, No. 25666 (S.D.N.Y. Mar. 13, 2023), SEC Charges Recidivist with Stealing $5 | SEC-LR |
| 2023-03-15 | | United States v. Ho Wan Kwok et al., S.D.N.Y. (Mar. 15, 2023), the government indicted the defendants on twelve counts including wire fraud, securities fraud, bank fraud, money laundering and obstruction of justice for allegedly defrauding thousands of online followers of more than $1 billion. | DOJ-SDNY |