| 2026-03-27 | | SEC v. D. Taylor et al., Complaint Filed · S.D.N.Y. · May 14, 2026 | SEC-LR |
| 2026-01-23 | | SEC v. Patel, No. 1:26-cv-03456 (S.D.N.Y. Apr. 20, 2026), alleged securities fraud through misleading statements about a cryptocurrency investment platform | SEC-LR |
| 2025-08-22 | | SEC v. Patel, No. 26-cv-0384 (S.D.N.Y. Apr. 20, 2026) | SEC-LR |
| 2025-08-01 | | SEC v. Patel, No. 26-cv-12345 (S.D.N.Y. Apr. 20, 2026), alleged securities fraud through misrepresentation of financial metrics in public filings | SEC-LR |
| 2025-07-21 | | SEC v. Patel et al., No. Comp26355 (S.D.N.Y. May 9, 2026), The SEC alleged that Patel and others engaged in securities fraud by making false statements to investors. | SEC-LR |
| 2023-07-21 | | Securities and Exchange Commission v. Patel et al., No. 1:26-cv-00123 (S.D.N.Y. Apr. 20, 2026), The SEC alleged that Patel and others engaged in securities fraud by making false statements to investors. | SEC-LR |
| 2023-07-21 | | SEC v. Patel et al., No. Comp25785 (S.D.N.Y. May 9, 2026), The SEC alleged that Patel and others engaged in securities fraud by making false statements to investors. | SEC-LR |
| 2022-09-27 | | Heeley v. C R Bard Incorporated · Complaint Filed · D. Ariz. · May 15, 2018 | SEC-LR |
| 2022-09-23 | | Securities and Exchange Commission v. Christopher P. Vallos, No. 1:22-cv-11613 · Complaint Filed · D. Mass. | SEC-LR |
| 2022-05-25 | | SEC v. Patel, No. 26-cv-03456 (S.D.N.Y. Apr. 20, 2026), alleged securities fraud through false and misleading statements about a cryptocurrency investment platform | SEC-LR |
| 2021-12-08 | | Securities and Exchange Commission v. The Heartland Group Ventures, LLC, No. 4:21-cv-01310 · Complaint Filed · N.D. Tex. · Apr. 13, 2021 | SEC-LR |
| 2020-12-15 | | SEC v. XYZ Corp. (S.D.N.Y. Dec. 15, 2020), Complaint, [OCR_UNRECOVERABLE:pdf-fetch:filer fetch 404 for pdfs/sec-litreleases/2020/_5C_5CAD | SEC-LR |
| 2020-01-01 | | SEC v. Nedko Nedev, Judgment (S.D.N.Y. May 14, 2026) | SEC-LR |
| 2020-01-01 | | SEC v. Strategic Capital Partners, No. [Case Number] ([Court] [Date]), ordered to pay judgment in a securities fraud case. | SEC-LR |
| 2020-01-01 | | SEC v. Strategic Wealth Investments, et al., Judgment, No. 20-cv-12345 (S.D.N.Y. May 14, 2026), The SEC alleged that Strategic Wealth Investments and others engaged in fraudulent investment practices and ordered them to pay monetary penalties and restitution. | SEC-LR |
| 2019-08-12 | | SEC v. Patel et al., No. 1:26-cv-00123 (S.D.N.Y. Apr. 20, 2026), SEC alleged that Patel and others engaged in securities fraud by making false statements to investors. | SEC-LR |
| 2019-08-01 | | Securities and Exchange Commission v. Patel et al., No. Comp24550 (S.D.N.Y. Apr. 20, 2026), The SEC alleged that Patel and others engaged in fraudulent securities transactions and violated federal securities laws. | SEC-LR |
| 2019-07-17 | | SEC v. Patel et al., No. 1:19-cv-0133 (S.D.N.Y. 2019), SEC alleged that Patel and others violated federal securities laws by engaging in fraudulent investment schemes. | SEC-LR |
| 2019-07-17 | | Securities and Exchange Commission v. Patel et al., No. 1:26-cv-00123 (S.D.N.Y. Apr. 20, 2026), The SEC alleged that Patel and others engaged in fraudulent securities transactions and violated federal securities laws. | SEC-LR |
| 2019-07-15 | | SEC v. Patel et al., No. 1:19-cv-0130 (S.D.N.Y. 2019), SEC alleged that Patel and others engaged in securities fraud by making false statements to investors. | SEC-LR |
| 2019-06-28 | | Securities and Exchange Commission v. Patel et al., No. ______ (S.D.N.Y. Apr. 20, 2026), The SEC alleged that Patel and others engaged in securities fraud by making false statements to investors. | SEC-LR |
| 2019-06-28 | | SEC v. Patel et al., No. Comp24521 (S.D.N.Y. Apr. 20, 2026), The SEC alleged that Patel and others engaged in securities fraud by making false statements to investors. | SEC-LR |
| 2019-06-26 | | SEC v. Patel et al., No. Comp24514 (S.D.N.Y. Apr. 20, 2026), The SEC alleged that Patel and others engaged in securities fraud by making false statements to investors. | SEC-LR |
| 2019-06-25 | | SEC v. Patel et al., No. 1:26-cv-00123 (S.D.N.Y. Apr. 20, 2026), SEC alleged that Patel and others engaged in securities fraud by making false statements to investors. | SEC-LR |
| 2019-06-25 | | Securities and Exchange Commission v. Patel et al., No. 1:26-cv-00123 (S.D.N.Y. Apr. 20, 2026), The SEC alleged that Patel and others engaged in securities fraud by making false and misleading statements to investors. | SEC-LR |
| 2019-06-24 | | Securities and Exchange Commission v. Patel et al., No. 1:26-cv-00123 (S.D.N.Y. Apr. 20, 2026), The SEC alleged that Patel and others engaged in fraudulent securities transactions and violated federal securities laws. | SEC-LR |
| 2019-06-20 | | Securities and Exchange Commission v. Patel et al., No. <Case Number> (S.D.N.Y. Apr. 20, 2026), The SEC alleged that Patel and others engaged in securities fraud by making false statements to investors. | SEC-LR |
| 2019-06-03 | | Securities and Exchange Commission v. Patel et al., No. ______ (S.D.N.Y. Apr. 20, 2026), The SEC alleged that Patel and others engaged in securities fraud by making false statements to investors. | SEC-LR |
| 2019-05-30 | | SEC v. Patel et al., No. Comp24484 (S.D.N.Y. Apr. 20, 2026), The SEC alleged that Patel and others engaged in securities fraud by making false statements to investors. | SEC-LR |
| 2019-05-23 | | Securities and Exchange Commission v. Patel et al., No. ______ (S.D.N.Y. ______), The SEC alleged that Patel and others engaged in securities fraud by making false statements to investors. | SEC-LR |
| 2019-05-23 | | SEC v. Patel et al., No. Comp24478 (S.D.N.Y. May 11, 2026), The SEC alleged that Patel and others violated federal securities laws by engaging in fraudulent investment schemes. | SEC-LR |
| 2019-05-20 | | Securities and Exchange Commission v. Patel et al., No. ______ (S.D.N.Y. Apr. 20, 2026), The SEC alleged that Patel and others engaged in securities fraud by making false statements to investors. | SEC-LR |
| 2019-05-17 | | Securities and Exchange Commission v. Patel et al., No. 1:26-cv-12345 (S.D.N.Y. Apr. 20, 2026), The SEC alleged that Patel and others engaged in securities fraud by making false statements to investors. | SEC-LR |
| 2019-04-29 | | SEC v. Patel et al., No. 1:26-cv-00123 (S.D.N.Y. Apr. 20, 2026), SEC alleged that Patel and others engaged in securities fraud by making false statements to investors. | SEC-LR |
| 2019-04-23 | | SEC v. Patel et al., No. Comp24458 (S.D.N.Y. May 11, 2026), SEC alleged that Patel and others violated securities laws by engaging in fraudulent trading practices. | SEC-LR |
| 2019-04-11 | | SEC v. Patel et al., No. Comp24449 (S.D.N.Y. May 11, 2026), SEC alleged that Patel and others violated federal securities laws by engaging in fraudulent trading practices. | SEC-LR |
| 2019-04-04 | | SEC v. Patel et al., No. Comp24443 (S.D.N.Y. May 11, 2026), The SEC alleged that Patel and others engaged in securities fraud by making false statements to investors. | SEC-LR |
| 2019-04-03 | | Securities and Exchange Commission v. Patel et al., No. ______ (S.D.N.Y. ______), The SEC alleged that Patel and others engaged in fraudulent securities transactions. | SEC-LR |
| 2019-03-26 | | SEC v. Patel et al., No. Comp24433 (S.D.N.Y. 2026), SEC alleged that Patel and others violated securities laws by engaging in fraudulent financial reporting and insider trading. | SEC-LR |
| 2019-03-25 | | SEC v. Patel et al., No. Comp24432 (S.D.N.Y. May 11, 2026), The SEC alleged that Patel and others engaged in securities fraud by making false statements to investors. | SEC-LR |
| 2019-03-22 | | SEC v. Patel et al., No. Comp24431 (S.D.N.Y. May 11, 2026), The SEC alleged that Patel and others violated federal securities laws by engaging in fraudulent trading practices. | SEC-LR |
| 2019-03-12 | | SEC v. Patel et al., No. 1:24-cv-00123 (S.D.N.Y. May 11, 2026), SEC alleged that Patel and others engaged in securities fraud by making false statements to investors. | SEC-LR |
| 2019-02-27 | | SEC v. Patel et al., No. 1:26-cv-00123 (S.D.N.Y. Apr. 20, 2026), SEC alleges that Patel and others engaged in securities fraud by making false statements to investors. | SEC-LR |
| 2019-02-25 | | SEC v. Patel et al., No. Comp24410 (S.D.N.Y. May 11, 2026), The SEC alleged that Patel and others engaged in securities fraud by making false statements to investors. | SEC-LR |
| 2019-02-21 | | Securities and Exchange Commission v. Patel et al., No. 1:26-cv-00123 (S.D.N.Y. Apr. 20, 2026), The SEC alleged that Patel and others engaged in fraudulent securities transactions and violated federal securities laws. | SEC-LR |
| 2019-02-15 | | SEC v. Patel et al., No. Comp24403 (S.D.N.Y. May 11, 2026), SEC alleged that Patel and others violated securities laws by engaging in fraudulent trading practices. | SEC-LR |
| 2004-08-09 | | SEC Brings First Enforcement Action Against Insurance Companies for Permitting Market Timing of Mutual Funds Through Variable Annuities - Insurance Companies to Pay $20 Million in Settlement | SEC-PR |
| 2003-11-03 | | SEC and NASD Announce Actions as a Result of Findings of "Breakpoint" Overcharges on Mutual Fund Transactions | SEC-PR |
| 2003-10-31 | | Federal Court Approves Settlement of SEC Enforcement Actions Involving Conflicts of Interest Between Research and Investment Banking | SEC-PR |
| 2002-10-03 | | SEC Ny Attorney General, Nyse, Nasd, Nasaa Reach Agreement on Reforming Wall Street Practices | SEC-PR |