| | The SEC’s Office of Investor Education and Advocacy is | SEC-PR |
| | SEC Issues Guidance Regarding Prohibited Conduct in Connection with IPO Allocations | SEC-PR |
| | The SEC’s Office of Investor Education and Advocacy is | SEC-PR |
| | Commission Guidance Regarding Prohibited Conduct in Connection with IPO Allocations | SEC-PR |
| | Press Release: SEC Announces Emergency Action to Halt Ongoing Fraud Against Senior Citizens; 2006-143; Aug. 21, 2006 | SEC-PR |
| 2026-04-15 | | SEC v. Quartararo, No. 21‑civ‑02305 (E.D.N.Y. Apr. 27, 2021), the SEC obtained a final judgment by default that permanently enjoined Quartararo from violating securities laws after alleging he defrauded investors by claiming he could sell pre‑IPO shares he never owned. | SEC-LR |
| 2026-04-15 | | SEC v. PETER R. QUARTARARO, No. 116-283 (S.D.N.Y. Apr. 15, 2026), Complaint, llm-upgrade | SEC-LR |
| 2026-04-08 | | Mark D. Anderson; BBFY USA, Inc.; and Captain Drake, LLC | SEC-LR |
| 2026-03-09 | | SEC v. JEFFREY PUZZULLO (S.D.N.Y. Mar. 9, 2026), Complaint, llm-upgrade | SEC-LR |
| 2026-03-05 | | Manager Of Investment Firm Pleads Guilty To Defrauding Investors In “Pre-IPO” Scheme | DOJ-SDNY |
| 2026-02-25 | | Securities and Exchange Commission v. Western Sierra Resource Corporation, Johnson, and Atkins, No. 1:24-cv-01705 (D. Colo. June 18, 2024), alleged false and misleading statements regarding the acquisition of nonexistent gold mining claims and obtained final judgments by consent enjoining violations of Section 10(b) and Rule 10b-5(b) | SEC-LR |
| 2026-02-20 | | SEC v. C‑Hear, Inc. et al., No. 3:26‑cv‑00547‑N (N.D. Tex. Feb. 19, 2026), the SEC alleged that C‑Hear, Inc. and its former CEO Adena Harmon made materially false statements about the company’s technology, concealed Harmon’s prior criminal convictions, and misappropriated over $1 million of investor funds. | SEC-LR |
| 2026-02-19 | | SEC v. Saumil Thakkar et al., No. 1:26‑cv‑00067 (E.D. Tex. Feb. 18, 2026), the SEC alleged the defendants fraudulently raised more than $12 million in a real‑estate offering, misrepresenting investment details and failing to disclose related‑party agreements. | SEC-LR |
| 2026-02-06 | | CBA Pharma, Inc., Wayne Michael Putnam, Louis A. Carmichael | SEC-LR |
| 2026-02-06 | | SEC v. CBA PHARMA (S.D.N.Y. Feb. 6, 2026), Complaint, llm-upgrade | SEC-LR |
| 2026-02-03 | | Former CEO Of A Special Purpose Acquisition Company – “SPAC” – Pleads Guilty To Securities Fraud | DOJ-SDNY |
| 2026-01-29 | | Startup CEO Charged With Fraud | DOJ-SDNY |
| 2026-01-15 | | SEC v. SUMIT RAI (S.D.N.Y. Jan. 15, 2026), Complaint, llm-upgrade | SEC-LR |
| 2025-12-16 | | SEC v. JAMES O. WARD (S.D.N.Y. Dec. 16, 2025), Complaint, llm-upgrade | SEC-LR |
| 2025-12-16 | | Securities and Exchange Commission v. Ward, et al., No. 24-000327 (S.D. Ala. Sept. 10, 2024), ordered to pay an $85,000 civil penalty for allegedly making false statements to investors in connection with the sale of securities issued by Apex Financial Institute Pvt. Ltd. | SEC-LR |
| 2025-12-15 | | Manager Of Investment Firm Charged With Defrauding Investors In “Pre-IPO” Scheme | DOJ-SDNY |
| 2025-12-15 | | Securities and Exchange Commission v. Tiffany Kelly and Curastory Inc., No. 25-civ-6876 (E.D.N.Y. Dec. 15, 2025), alleged offering fraud through false representations of revenue and forged investor signatures | SEC-LR |
| 2025-12-12 | | Nathan Gauvin; Blackridge, LLC; Gray Digital Capital Management USA, LLC; Gray Digital Technologies, LLC | SEC-LR |
| 2025-12-12 | | SEC v. Rapid Therapeutic Science (S.D.N.Y. Dec. 12, 2025), Judgment, llm-upgrade | SEC-LR |
| 2025-12-03 | | Securities and Exchange Commission v. Koneru, No. 1:25-cv-09327 (S.D.N.Y. Nov. 7, 2025), alleged fraud in connection with a SPAC merger by misrepresenting the volume and legitimacy of trade finance activity on a platform | SEC-LR |
| 2025-12-03 | | Yida Gao and Shima Capital Management LLC (“Shima Capital”), alleges as follows: | SEC-LR |
| 2025-12-03 | | SEC v. SRINIVAS KONERU (S.D.N.Y. Dec. 3, 2025), Complaint, llm-upgrade | SEC-LR |
| 2025-11-21 | | SEC v. Luckey, No. 2:25-cv-10026 (C.D. Cal. Oct. 20, 2025), the SEC alleged that Luckey fraudulently raised more than $13 million from investors by making false statements about ComplYant App’s revenue and subscriber growth and misappropriated funds for personal use. | SEC-LR |
| 2025-11-18 | | SEC v. Joshua Wander, No. 26419 (S.D.N.Y. Oct. 16, 2025), llm-upgrade | SEC-LR |
| 2025-11-13 | | United States v. Castillero et al., No. 25-237 (S.D.N.Y. Nov. 13, 2025), A jury convicted the defendants of securities fraud, wire fraud, and investment adviser fraud. | DOJ-SDNY |
| 2025-09-25 | | SEC v. Lixin Azarmehr, No. 26412 (S.D.N.Y. Apr. 11, 2024), Judgment, llm-upgrade | SEC-LR |
| 2025-09-25 | | 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 raised for a skilled nursing home project under the EB-5 Program to unrelated real estate ventures | SEC-LR |
| 2025-09-24 | | SEC v. Matthew Derrick Hudson, No. 26411 (S.D.N.Y. Sept. 24, 2025), U | SEC-LR |
| 2025-09-24 | | SEC v. HUDSON, No. 253140 (S.D.N.Y. Sept. 24, 2025), JASON H | SEC-LR |
| 2025-09-15 | | SEC v. TODD O’GARA | SEC-LR |
| 2025-09-15 | | Securities and Exchange Commission v. Todd O'Gara and Wanu Water, Inc., No. 2:25-cv-15535 (D.N.J. Sept. 15, 2025), alleged to have conducted an offering fraud scheme by making material misrepresentations to investors and using fabricated documents to raise at least $10.3 million | SEC-LR |
| 2025-08-21 | | SEC v. Joseph Neal Sanberg, No. 26382 (S.D.N.Y. Aug. 21, 2025), U | SEC-LR |
| 2025-07-22 | | SEC v. Jerry D. Guess, No. 26357 (S.D.N.Y. May 9, 2024), defs:body | SEC-LR |
| 2025-07-21 | | SEC v. Shahnawaz Mathias aka Shah Mathias, No. 26353 (D.D.C. Jul. 21, 2025), Complaint, llm-upgrade | SEC-LR |
| 2025-07-18 | | United States v. Hunsicker, S.D.N.Y. (July 18, 2025), the indictment alleged wire fraud, securities fraud, money laundering, false statements to a financial institution, and aggravated identity theft in a scheme that defrauded investors of more than $300 million. | DOJ-SDNY |
| 2025-07-18 | | SEC v. Christine Hunsicker, No. 26352 (S.D.N.Y. Jul. 18, 2025), U | SEC-LR |
| 2025-07-09 | | SEC v. NICHOLAS A. PALAZZO, No. 5:24-cv-6602 (S.D.N.Y. Jul. 9, 2025), Complaint, llm-upgrade | SEC-LR |
| 2025-07-09 | | SEC v. NICHOLAS A. PALAZZO, No. 5:24-cv-6602 (S.D.N.Y. Jul. 9, 2025), Complaint, llm-upgrade | SEC-LR |
| 2025-07-03 | | SEC v. Cheetah X Inc. et al., No. 25-cv-23002 (S.D. Fla. July 3, 2025), SEC charges scooter rental company and its officers with $4 million offering fraud | SEC-LR |
| 2025-06-26 | | SEC v. American Patriot Brands, No. 26335 (S.D.N.Y. Mar. 16, 2023), Judgment, llm-upgrade | SEC-LR |
| 2025-06-17 | | Securities and Exchange Commission V. Peter Scalise III and The3rdBevco Inc. | SEC-LR |
| 2025-06-11 | | SEC v. NDB, No. 26323 (S.D.N.Y. Sept. 14, 2023), Complaint, llm-upgrade | SEC-LR |
| 2025-05-28 | | United States v. Miller et al., No. 25-cr-247 (S.D.N.Y. May 28, 2025), pleaded guilty to securities fraud and aggravated identity theft for fabricating letters of intent to deceive municipal bond investors in connection with the failed Legacy Park sports complex project | DOJ-SDNY |
| 2025-05-22 | | SEC v. JEREMY JORDAN-JONES (S.D.N.Y. May 22, 2025), Complaint, llm-upgrade | SEC-LR |
| 2025-05-22 | | SEC v. Jeremy Jordan-Jones, No. 26309 (S.D.N.Y. May 22, 2025), U | SEC-LR |
| 2025-05-07 | | Joshua Schuster; Schuster Enterprises LLC (d/b/a Silverback) | SEC-LR |
| 2025-04-29 | | SEC v. David A. Spargo, No. 26297 (S.D.N.Y. Mar. 28, 2025), Complaint, llm-upgrade | SEC-LR |
| 2025-04-24 | | SEC v. Marshall E. Melton, No. 26292 (S.D.N.Y. May 30, 2023), Complaint, llm-upgrade | SEC-LR |
| 2025-04-14 | | SEC v. CanaFarma Hemp Products Corp., No. 26284 (S.D.N.Y. Oct. 5, 2021), defs:body | SEC-LR |
| 2025-04-11 | | SEC v. Albert Saniger, No. 26282 (S.D.N.Y. Apr. 9, 2025), U | SEC-LR |
| 2025-04-11 | | SEC v. Alberto Saniger Mantinan (S.D.N.Y. Apr. 11, 2025), Complaint, llm-upgrade | SEC-LR |
| 2025-04-09 | | Tech CEO Charged In Artificial Intelligence Investment Fraud Scheme | DOJ-SDNY |
| 2025-04-02 | | SEC v. Randall J. Miller, No. 26280 (S.D.N.Y. Apr. 1, 2025), U | SEC-LR |
| 2025-03-20 | | SEC v. Jury Trial Demanded, No. 5:23-cv-503 (S.D.N.Y. Mar. 20, 2025), Complaint, llm-upgrade | SEC-LR |
| 2025-03-20 | | SEC v. Dharma Teja Nukarapu, No. 26275 (S.D.N.Y. Sept. 11, 2023), defs:body | SEC-LR |
| 2025-03-10 | | SEC v. PETER STUART (S.D.N.Y. Mar. 10, 2025), Complaint, llm-upgrade | SEC-LR |
| 2025-03-04 | | SEC v. Quartararo, No. 26260 (E.D.N.Y. Apr. 27, 2021), U | SEC-LR |
| 2025-02-05 | | SEC v. Laura, No. 26238 (E.D.N.Y. Sept. 7, 2018), defs:body | SEC-LR |
| 2025-02-05 | | Securities and Exchange Commission v. Joseph M. Laura, et al., No. 1:18-cv-05075 (E.D.N.Y. Sept. 7, 2018), alleged that defendants orchestrated a fraud by misrepresenting the value of an oil processing technology and misappropriating over $3.7 million in investor funds for personal use and unauthorized payments to co-defendants. | SEC-LR |
| 2025-01-31 | | SEC v. Max Infinity Management LLC, No. 26233 (E.D.N.Y. Jan. 31, 2025), llm-upgrade | SEC-LR |
| 2025-01-07 | | SEC v. Kirchner et al., No. 26211 (S.D.N.Y. Feb. 14, 2023), U | SEC-LR |
| 2025-01-07 | | SEC v. CHRISTOPHER S. KIRCHNER, No. 5238571 (S.D.N.Y. Jan. 7, 2025), Complaint, llm-upgrade | SEC-LR |
| 2025-01-02 | | SEC v. THEODORE J. FARNSWORTH (S.D.N.Y. Jan. 2, 2025), Complaint, llm-upgrade | SEC-LR |
| 2025-01-01 | | Three Investment Adviser Representatives Settle SEC Charges for Acting as Unregistered Brokers | SEC-PR |
| 2025-01-01 | | SEC Charges Paul McCabe and PMAC Consulting with Acting as Unregistered Brokers for Pre-IPO Stocks | SEC-PR |
| 2025-01-01 | | SEC Charges GrubMarket with Overstating Revenue to Investors by More Than $500 Million | SEC-PR |
| 2025-01-01 | | SEC v. Nathan Gauvin; Blackridge | SEC-PR |
| 2024-12-10 | | SEC v. Guosheng Qi and Gridsum Holding, No. 26190 (S.D.N.Y. Sept. 7, 2023), U | SEC-LR |
| 2024-11-25 | | SEC v. Case No. 1:21-CV-1869-ACR | SEC-LR |
| 2024-11-25 | | SEC v. Mikhail Kokorich, No. 26180 (D.D.C. Nov. 25, 2024), U | SEC-LR |
| 2024-11-19 | | SEC v. Ian Mitchell, No. 26173 (S.D.N.Y. Nov. 19, 2024), U | SEC-LR |
| 2024-11-19 | | CEO Of Artificial Intelligence Startup Company Charged With Defrauding Investors | DOJ-SDNY |
| 2024-10-15 | | SEC v. Destiny Robotics Corp., No. 0474479 (S.D.N.Y. Oct. 15, 2024), Complaint, llm-upgrade | SEC-LR |
| 2024-10-15 | | SEC v. Destiny Robotics Corp., No. 26157 (S.D.N.Y. Oct. 15, 2024), defs:body | SEC-LR |
| 2024-10-02 | | SEC v. the Pre IPO Marketplace INC (S.D.N.Y. Oct. 2, 2024), Complaint, llm-upgrade | SEC-LR |
| 2024-10-02 | | The Pre IPO Marketplace Inc; Keyport Venture Partners, LLC; Keyport Venture Management, LLC; Keyport Venture Advisors, LLC; Principal Pre-IPO Consulting Group LLC; GlobalX VC LLC; John Michael LoPinto; Robert Wilkos; and Laren Pisciotti | SEC-LR |
| 2024-09-25 | | SEC v. CanaFarma Hemp Products Corp., No. 26128 (S.D.N.Y. Oct. 5, 2021), defs:body | SEC-LR |
| 2024-09-24 | | SEC v. Baba Nadimpalli, No. 213031 (S.D.N.Y. Sept. 24, 2024), Complaint, llm-upgrade | SEC-LR |
| 2024-09-24 | | SEC v. Baba Nadimpalli, No. 26125 (S.D.N.Y. Sept. 24, 2024), U | SEC-LR |
| 2024-09-23 | | SEC v. Anthem Hayek Blanchard and Anthem Holdings Company, No. 26121 (S.D.N.Y. Sept. 23, 2024), U | SEC-LR |
| 2024-09-23 | | SEC v. Anthem Hayek Blanchard and Anthem (S.D.N.Y. Sept. 23, 2024), Complaint, llm-upgrade | SEC-LR |
| 2024-09-20 | | SEC v. Nicholas A. Palazzo, No. 26117 (S.D.N.Y. Sept. 20, 2024), Complaint, llm-upgrade | SEC-LR |
| 2024-09-16 | | SEC v. Paul D. Roberts, No. 26107 (S.D.N.Y. Sept. 16, 2024), U | SEC-LR |
| 2024-09-16 | | JODANNA L. HASKINS (pro hac vice application forthcoming) | SEC-LR |
| 2024-09-13 | | In re ZYMERGEN INC. | SEC-PR |
| 2024-09-13 | | SEC v. Scott J. Hollender, No. 26106 (S.D.N.Y. Mar. 23, 2023), U | SEC-LR |
| 2024-09-10 | | Securities and Exchange Commission v. Donald Anthony Wright and Retirement Specialty Group, Inc., No. 2:24-cv-00065 (M.D. Tenn. Sept. 9, 2024), alleged that defendants fraudulently sold over $2.4 million in promissory notes to advisory clients by misrepresenting the nature and safety of the investments, concealing conflicts of interest, and forging notes to secure personal financing for a media公司 | SEC-LR |
| 2024-08-27 | | SEC v. QZ Global Ltd., No. 26083 (S.D.N.Y. Aug. 26, 2024), defs:body | SEC-LR |
| 2024-08-21 | | SEC v. Wayne H. McLean and Joan E. Powell, No. 26081 (E.D.N.Y. Mar. 27, 2023), U | SEC-LR |
| 2024-08-07 | | Securities and Exchange Commission v. Taylor Woods and Howard Wu, No. 2:24-cv-6633 (C.D. Cal. Aug. 6, 2024), alleged that defendants orchestrated two securities fraud schemes involving fraudulent sales of hotel investments, resulting in over $70 million in investor losses | SEC-LR |
| 2024-08-06 | | SEC v. Abraham Shafi, No. 26066 (S.D.N.Y. Aug. 6, 2024), defs:body | SEC-LR |
| 2024-08-06 | | SEC v. Shafi, No. 213031 (S.D.N.Y. Aug. 6, 2024), Complaint, llm-upgrade | SEC-LR |
| 2024-08-06 | | SEC v. Richard Xia, No. 26067 (E.D.N.Y. Sept. 27, 2021), defs:body | SEC-LR |
| 2024-07-31 | | SEC Charges Founder of Social Media Company “IRL” with $170 Million Fraud | SEC-PR |
| 2024-07-19 | | SEC v. Orlando, No. 26051 (D.D.C. Jul. 19, 2024), U | SEC-LR |
| 2024-07-19 | | SEC v. PATRICK ORLANDO, No. 997309 (S.D.N.Y. Jul. 19, 2024), Complaint, llm-upgrade | SEC-LR |
| 2024-07-10 | | United States v. Fargesen et al., S.D.N.Y. (Jul. 10, 2024), the defendants were sentenced to prison for defrauding investors by making false representations and misappropriating millions of dollars. | DOJ-SDNY |
| 2024-07-09 | | SEC v. George Iakovou, No. 26048 (S.D.N.Y. Dec. 7, 2022), U | SEC-LR |
| 2024-07-09 | | Plaintiff, United States Securities and Exchange Commission (“SEC” or “Commission”) | SEC-LR |
| 2024-07-02 | | SEC v. Hedonova LLC and Hedonova Advisors LLC, No. 26041 (S.D.N.Y. Jul. 2, 2024), Complaint, llm-upgrade | SEC-LR |
| 2024-06-12 | | SEC v. MARIO GOGLIORMELLA, No. 22-cv-3897 (S.D.N.Y. Jun. 12, 2024), Complaint, llm-upgrade | SEC-LR |
| 2024-06-07 | | Former Principals Of Private “Pre-IPO” Funds Charged In Connection With $185 Million Fraud Scheme | DOJ-SDNY |
| 2024-05-17 | | Singapore Resident Sentenced To 57 Months In Prison For Soliciting Millions Of Dollars In Pre-IPO Stock Scheme | DOJ-SDNY |
| 2024-02-22 | | Singapore Resident Pleads Guilty In Manhattan Federal Court To Soliciting Millions Of Dollars In Pre-IPO Stock Scheme | DOJ-SDNY |
| 2024-01-25 | | In re NORTHERN STAR | SEC-PR |
| 2024-01-01 | | SEC Charges Cantor Fitzgerald Over Misleading SPAC Disclosures | SEC-PR |
| 2024-01-01 | | SEC Charges Lordstown Motors with Misleading Investors about Company’s Flagship Electric Vehicle | SEC-PR |
| 2024-01-01 | | SEC Charges Three Individuals in the New York Metropolitan Area for Perpetrating a $120 Million Pre-IPO Fraud Scheme | SEC-PR |
| 2024-01-01 | | SEC Charges Northern Star SPAC for Material Misrepresentations in its IPO-Related Disclosures | SEC-PR |
| 2024-01-01 | | SEC Charges Zymergen Inc. With Misleading IPO Investors About Company’s Market Potential and Sales Prospects | SEC-PR |
| 2024-01-01 | | SEC Charges China-based QZ Asset Management Ltd. and its CEO in Pre-IPO Fraud Scheme | SEC-PR |
| 2023-12-07 | | SEC v. RAYMOND J. PIRRELLO, No. 1:16-cv (S.D.N.Y. Dec. 7, 2023), Complaint, llm-upgrade | SEC-LR |
| 2023-12-07 | | SEC v. Raymond J. Pirrello, No. 25907 (E.D.N.Y. Dec. 6, 2023), defs:body | SEC-LR |
| 2023-11-29 | | USA v. MICHAEL CASTILLERO, Indictment, llm-upgrade | DOJ-SDNY |
| 2023-11-29 | | Former Principals Of Private “Pre-IPO” Funds Charged In Connection With $386 Million Fraud Scheme | DOJ-SDNY |
| 2023-09-07 | | Securities and Exchange Commission v. Guosheng Qi and Gridsum Holding Inc., No. 1:23-cv-7924 (S.D.N.Y. Sept. 7, 2023), alleged that defendants misused IPO proceeds and concealed millions in related-party payments to Qi’s family members through false financial disclosures. | SEC-LR |
| 2023-08-18 | | SEC v. PREIPO CORP., No. 9:09-cv-80952-JIC (S.D.N.Y. Aug. 18, 2023), Complaint, llm-upgrade | SEC-LR |
| 2023-08-18 | | In re Sunbeam Sec. L itig-, No. 33-9415 (S.D.N.Y. Aug. 18, 2023), CNITED STATES m sw lc'r cotm | SEC-LR |
| 2023-08-18 | | SEC v. PREIPO CORP., No. 23-81141-CV-MIDDLEBROOKS (S.D.N.Y. Aug. 18, 2023), defs:body | SEC-LR |
| 2023-08-18 | | SEC v. PreIPO Corp., No. 25810 (S.D.N.Y. Aug. 18, 2023), Complaint, llm-upgrade | SEC-LR |
| 2023-08-15 | | United States v. Brackett, S.D.N.Y. (Aug. 15, 2023), indicted for securities fraud and wire fraud for allegedly misrepresenting Centricity Inc.’s financial condition to investors. | DOJ-SDNY |
| 2023-08-11 | | Plaintiff, United States Securities and Exchange Commission (“SEC” or “Commission”) | SEC-LR |
| 2023-08-11 | | SEC v. George Iakovou, No. 25808 (S.D.N.Y. Dec. 7, 2022), Complaint, llm-upgrade | SEC-LR |
| 2023-07-20 | | SEC Charges Digital World SPAC for Material Misrepresentations to Investors | SEC-PR |
| 2023-07-14 | | SEC v. Cooper J. Morgenthau, No. 25778 (S.D.N.Y. Jan. 3, 2023), U | SEC-LR |
| 2023-07-11 | | SEC v. Legend Venture Partners LLC, No. 25772 (S.D.N.Y. Jul. 11, 2023), llm-upgrade | SEC-LR |
| 2023-06-28 | | SEC v. Legend Venture Partners LLC, No. 25758 (S.D.N.Y. Jun. 28, 2023), llm-upgrade | SEC-LR |
| 2023-06-27 | | SEC v. Legend Venture Partners LLC | SEC-PR |
| 2023-06-26 | | SEC v. Vuuzle Media Corp., No. 25754 (S.D.N.Y. Jun. 26, 2023), U | SEC-LR |
| 2023-05-19 | | SEC v. Sam A. Antar, No. 25730 (S.D.N.Y. May 19, 2023), U | SEC-LR |
| 2023-05-19 | | SEC v. Sam A. Antar (S.D.N.Y. May 19, 2023), Complaint, llm-upgrade | SEC-LR |
| 2023-03-23 | | SEC Charges Three Sales Agents at StraightPath Venture Partners With Fraud and Unregistered Broker Activity | SEC-PR |
| 2023-03-13 | | SEC v. Evoqua Water Technologies Corp., No. 638289 (S.D.N.Y. Mar. 13, 2023), Complaint, llm-upgrade | SEC-LR |
| 2023-03-03 | | SEC Charges Silver Edge Financial and Equity Acquisition Company With Unregistered Broker-Dealer Activity Relating to Pre-IPO Funds | SEC-PR |
| 2023-01-03 | | Former Chief Financial Officer Of Two SPACs Pleads Guilty To Fraud Scheme | DOJ-SDNY |
| 2023-01-01 | | SEC Charges Lyft with Failure to Disclose Board Member’s Financial Interest in Private Shareholder’s Pre-IPO Stock Transaction | SEC-PR |
| 2023-01-01 | | SEC Charges Five Unregistered Brokers, Four Companies in Widespread Pre-IPO Fraud Scheme | SEC-PR |
| 2022-06-24 | | SEC v. StraightPath Venture Partners LLC, No. 25429 (S.D.N.Y. May 13, 2022), llm-upgrade | SEC-LR |
| 2022-05-16 | | SEC v. STRAIGHTPATH (S.D.N.Y. May 16, 2022), Complaint, llm-upgrade | SEC-LR |
| 2022-05-16 | | SEC v. STRAIGHTPATH (S.D.N.Y. May 16, 2022), Complaint, llm-upgrade | SEC-LR |
| 2022-05-16 | | SEC v. StraightPath Venture Partners LLC, No. 25393 (S.D.N.Y. May 16, 2022), llm-upgrade | SEC-LR |
| 2022-01-01 | | SEC Charges Vika Ventures and its CEO in $6 Million Fraudulent Offering | SEC-PR |
| 2022-01-01 | | Plaintiff, United States Securities and Exchange Commission (“SEC” or “Commission”) | SEC-PR |
| 2021-08-10 | | Plaintiff, the United States Securities and Exchange Commission (“SEC”) alleges as | SEC-LR |
| 2021-07-29 | | SEC Charges Founder of Nikola Corp. With Fraud | SEC-PR |
| 2021-07-21 | | SEC v. Rahulkumar M. Patel, No. 21-cv- (S.D.N.Y. Jul. 21, 2021), Complaint, llm-upgrade | SEC-LR |
| 2021-07-21 | | Securities and Exchange Commission v. Patel, No. 3:21-cv-00994 (D. Conn. July 21, 2021), alleged fraud in connection with a hotel renovation investment by misrepresenting the use of investor funds and concealing personal profit from a lease acquisition | SEC-LR |
| 2021-07-13 | | SEC Charges SPAC, Sponsor, Merger Target, and CEOs for Misleading Disclosures Ahead of Proposed Business Combination | SEC-PR |
| 2021-07-13 | | In re MOMENTUS | SEC-PR |
| 2021-07-07 | | SEC Charges Company and Two Executives for Misleading COVID-19 Disclosures | SEC-PR |
| 2021-06-23 | | SEC v. Joseph Geromini, No. 25120 (S.D.N.Y. Jun. 23, 2021), SEC Charges Former Company Executive with Defrauding Investors Litigation Release No | SEC-LR |
| 2021-06-11 | | Cell>Point, LLC, Terry A. Colip, and Greg R. Colip | SEC-LR |
| 2021-06-11 | | SEC v. CELL>POINT | SEC-LR |
| 2021-06-07 | | SEC v. Thomas Nicholas Salzano, No. 25108 (S.D.N.Y. Jun. 7, 2021), SEC Charges Portfolio Manager with Using Forged Document to Offer Securities to Investor Litigation Release No | SEC-LR |
| 2021-06-02 | | SEC v. KEVIN T. CARNEY (S.D.N.Y. Jun. 2, 2021), Complaint, llm-upgrade | SEC-LR |
| 2021-05-03 | | SEC v. RICHARD RANDALL. Jury Trial Demanded, No. 24006839 (S.D.N.Y. May 3, 2021), Complaint, C | SEC-LR |
| 2021-04-29 | | Securities and Exchange Commission v. Rahsaan King et al., No. 1:21-cv-10714-RGS (D. Mass. Apr. 29, 2021), alleged that Rahsaan King and Students of Strength, Inc. defrauded investors by misrepresenting the company's revenue, operations, and financial condition in connection with the sale of convertible notes and common stock | SEC-LR |
| 2021-04-27 | | SEC v. Peter R. Quartararo, No. 25083 (E.D.N.Y. Apr. 27, 2021), defs:body | SEC-LR |
| 2021-03-19 | | SEC v. Chatfield PCS Ltd. et al., No. 25055 (S.D.N.Y. Mar. 19, 2021), Complaint, llm-upgrade | SEC-LR |
| 2021-03-19 | | P la intif f , U nite d Sta tes Securities and Exchange Commission (“SEC”), alleges as follows | SEC-LR |
| 2021-03-18 | | SEC Obtains Emergency Asset Freeze, Charges Colorado Resident with Fraud Involving Sham Bottling Company | SEC-PR |
| 2021-03-12 | | SEC v. Shamoon Omer Rafiq, No. 25049 (S.D.N.Y. Mar. 12, 2021), SEC Charges Recidivist Securities Fraudster with Defrauding Investors Litigation Release No | SEC-LR |
| 2021-03-12 | | Singapore Resident Charged In Manhattan Federal Court With Fraudulent Pre-IPO Stock Scheme | DOJ-SDNY |
| 2021-03-12 | | SEC v. Shamoon O mer Rafiq (S.D.N.Y. Mar. 12, 2021), Complaint, llm-upgrade | SEC-LR |
| 2021-03-02 | | SEC v. Airborne Wireless Network | SEC-PR |
| 2021-03-02 | | SEC v. Renew Forestry Group, No. 25041 (S.D.N.Y. Mar. 2, 2021), Complaint, llm-upgrade | SEC-LR |
| 2021-02-26 | | SEC v. Fulco, No. 2:19-cv-05378 (E.D.N.Y. Feb. 24, 2021), obtained final consent judgment enjoining defendants from violating antifraud and securities registration provisions and ordering disgorgement of $1,604,574, satisfied by criminal restitution ordered in parallel proceeding | SEC-LR |
| 2021-02-17 | | SEC v. Cimino, No. 7:21-cv-01375 (S.D.N.Y. Feb. 17, 2021), alleged securities fraud for misrepresenting and misappropriating investor funds in connection with Six Degree Tequila | SEC-LR |
| 2021-02-17 | | United States v. Cimino, No. 21-cr-102 (S.D.N.Y. Feb. 17, 2021), indicted for securities fraud and wire fraud for allegedly raising nearly $935,000 from investors by fabricating financial statements, inflating sales figures, and misrepresenting the company’s investor base and inventory losses | DOJ-SDNY |
| 2021-01-01 | | SEC Obtains Emergency Relief Against New York Real Estate Developer Charged with EB-5 Securities Fraud | SEC-PR |
| 2021-01-01 | | SEC Charges Former CEO of Technology Company With $80 Million Fraud | SEC-PR |
| 2021-01-01 | | Post-SPAC Music Streaming Company Reaches $38.8 Million Settlement in Ongoing Fraud Action | SEC-PR |
| 2021-01-01 | | SEC Charges Hemp Company and Co-Founders With Fraud | SEC-PR |
| 2020-12-31 | | SEC v. Bowser et al., No. 25003 (S.D.N.Y. Dec. 31, 2020), SEC Charges Individuals with Fraud for Misappropriating Investor Funds Litigation Release No | SEC-LR |
| 2020-12-23 | | SEC v. Ronnie Lee Moss, No. 24995 (S.D.N.Y. Dec. 23, 2020), Complaint, llm-upgrade | SEC-LR |
| 2020-12-23 | | Securities and Exchange Commission v. Moss, et al., No. 4:20-cv-972 (E.D. Tex. Dec. 23, 2020), alleged that defendants orchestrated a fraudulent scheme to raise over $5.7 million from investors through unregistered oil-and-gas partnerships, using false statements about the defendant's background and misappropriating funds for personal expenses | SEC-LR |
| 2020-12-21 | | Securities and Exchange Commission v. Dike Boone Nerren, No. 20-cv-965 (E.D. Tex. Dec. 21, 2020), alleged that the defendant diverted $450,000 of investor funds from a real estate project to an unrelated project, resulting in project delays, foreclosure, and total loss to all 22 investors in violation of Sections 17(a)(2) and 17(a)(3) of the Securities Act of 1933. | SEC-LR |
| 2020-12-09 | | SEC v. J. Jeremy Barbera, No. 24978 (S.D.N.Y. Dec. 9, 2020), SEC Charges Technology Company, Former CEO, and Stock Promoter with Fraud Litigation Release No | SEC-LR |
| 2020-10-19 | | Securities Fraud Complaint Against Jillian Sidoti For False Legal Documents And Misleading Share Control Statements | SEC-LR |
| 2020-10-08 | | SEC v. Nanotech Engineering, No. 24942 (D.D.C. Oct. 8, 2020), SEC Obtains Judgment Against CEO of California Solar Panel Company Litigation Release No | SEC-LR |
| 2020-10-08 | | known as Michael Hatton), DAVID : Case No. 19-cv-3633 (ABJ) | SEC-LR |
| 2020-09-30 | | In re Mason D. Newman, No. 110598 (S.D.N.Y. Sept. 30, 2020), __________________________ | SEC-LR |
| 2020-09-30 | | SEC v. Christian J. Baquerizo et al., (S.D. Fla. Sept. 29, 2020), Complaint alleges that defendants acted as unregistered brokers in a fraud scheme on behalf of NIT Enterprises, Inc., raising millions from investors through material misrepresentations and omissions while concealing undisclosed commissions and misappropriating funds. | SEC-LR |
| 2020-09-30 | | SEC v. Roger Nils-Jonas Karlsson, No. 24932 (E.D.N.Y. Sept. 30, 2020), SEC Charges Swedish National with Global Scheme Defrauding Retail Investors, Including Deaf Community Members Litigation Release No | SEC-LR |
| 2020-09-28 | | SEC v. Marcus Beam, No. 24921 (S.D.N.Y. Sept. 28, 2020), SEC Obtains Final Judgment Against IIIinois Investment Adviser Litigation Release No | SEC-LR |
| 2020-09-25 | | Head Of Investment Management Firm Sentenced To 85 Months In Prison In Connection With $18 Million Pre-IPO Securities Fraud Scheme | DOJ-SDNY |
| 2020-07-24 | | SEC Charges Trustify Inc. and Founder in $18.5 Million Offering Fraud | SEC-PR |
| 2020-05-15 | | Head Of Investment Management Firm Pleads Guilty In Connection With $18 Million Pre-IPO Securities Fraud Scheme | DOJ-SDNY |
| 2020-05-05 | | SEC v. Lisa Bershan, No. 24812 (S.D.N.Y. May 5, 2020), SEC Obtains Final Judgments Against Defendants in Snack Company Investment Scam Litigation Release No | SEC-LR |
| 2020-01-01 | | SEC Charges E-Commerce Startup and CEO With Defrauding Investors | SEC-PR |
| 2019-12-18 | | SEC v. Sam A Antar (S.D.N.Y. Dec. 18, 2019), Complaint, ----------------------------------------------------------------------- x | SEC-LR |
| 2019-12-18 | | SEC v. Sam A. Antar, No. 24694 (S.D.N.Y. Dec. 18, 2019), SEC Charges Scheme Victimizing New Jersey Jewish Community Litigation Release No | SEC-LR |
| 2019-11-14 | | SEC v. Reginald Middleton, No. 24665 (E.D.N.Y. Aug. 12, 2019), defs:body | SEC-LR |
| 2019-09-26 | | Former CEO Pleads Guilty In Scheme To Defraud Elderly Victims In The Sale Of Worthless Stock | DOJ-SDNY |
| 2019-06-20 | | SEC Charges Intelligence Communications Company and Top Executives With Defrauding Merger Investors | SEC-PR |