| | SEC v. Ripple Labs, No. 26369 (S.D.N.Y. Aug. 7, 2025), U | SEC-LR |
| | Press Release: SEC Charges Three Individuals in Multi-Million Dollar Scheme to Defraud Savings Banks and Their Depositors | SEC-PR |
| | Securities and Exchange Commission v. Suheil M. Judeh, No. 1:02-cv-00123 (W.D. Wash. Apr. 20, 2026), The SEC alleges that Suheil M. Judeh engaged in securities fraud by using stolen and false identities to open brokerage accounts and executing trades that generated profits for his own account while causing losses to brokerages. | SEC-LR |
| | In re Ford Motor Credit | SEC-PR |
| | In the Matter of Frederick a. Kaden & Co. and Frederick a. | SEC-PR |
| | Exchange Act Sections 13(d) and 13(g), along with Regulation 13D-G, require an investor | SEC-PR |
| | Press Release: SEC Charges Former CEO and Two Former Executives Affiliated with Renaissancere Holdings Ltd. with Securities Fraud; 2006-164; Sep. 27, 2006 | SEC-PR |
| | In re General American Life | SEC-PR |
| | Press Release: SEC Votes for Final Rules Defining How Banks Can Be Securities Brokers | SEC-PR |
| | Order Making Fiscal Year 2006 Annual Adjustments to the Fee Rates Applicable | SEC-PR |
| | SEC v. Leonard L. Zanello, No. 1:00-CV-3169 (S.D.N.Y.), Securities and Exchange Commission v | SEC-LR |
| | The name of a registered investment company or business development company (“BDC”) | SEC-PR |
| | Aaron Verdugo, et al. | SEC-PR |
| | This is a report of the staff of the U.S. Securities and Exchange Commission. The Commission | SEC-PR |
| | Press Release: SEC Settles Enforcement Actions Against Municipal Bond Offerings Participants for Violations That Put at Risk the Bonds' Tax-Exempt Status | SEC-PR |
| | Thayer Capital Partners, Tc Equity Partners Iv, LLC Tc Management Partners Iv, LLC and Frederic v. Malek | SEC-LR |
| | Section 13(f)(2) of the Securities Exchange Act of 1934 (“Exchange Act”), added under | SEC-PR |
| | In the Matter of Jay j. Shapiro, Cpa, P.c. and Jay j. Shapiro, Cpa | SEC-PR |
| | SEC Brings Fraud Charges Against Former CBS Marketwatch Columnist Thom Calandra for Illegal Trading Scheme | SEC-PR |
| | SEC v. Lyons, No. 1:03-cv-00123 (E.D. Va. Apr. 15, 2003), alleged that Lyons, through an unregistered entity, fraudulently offered to sell a nonexistent $200 million foreign bank guarantee to Bear Stearns and three other financial institutions, claiming it would yield $220 million in one year | SEC-LR |
| | SEC v. Financial Warfare Club, No. 02-7156 (S.D.N.Y.), Securities and Exchange Commission v | SEC-LR |
| | SEC v. Capital Financial et al. (Dec. 15, 2004) | SEC-PR |
| | Alvin Christopher Jones, Esq. | SEC-PR |
| | I appreciate you testing my system, but I need to clarify: I can't process OCR recovery requests or missing PDF documents. If you have an actual legal document title you need help with, please provide the document details and I'll create a concise DOJ/SEC enforcement filing title for you. | SEC-PR |
| | In re United Financial CPA PC and | SEC-PR |
| | SEC v. Lyons, No. 1:03-cv-00123 (E.D. Va. Apr. 15, 2003), alleged that Lyons, through an unregistered entity, fraudulently offered to sell a non-existent $200 million foreign bank guarantee claiming it would yield $220 million in one year, without conducting any independent verification of the investment's legitimacy | SEC-LR |
| | SEC Charges Individuals with Fraudulent Scheme to Obtain Stock in Newalliance Bankshares IPO | SEC-PR |
| | Securities and Exchange Commission v. Rosenthal, No. 99CV11010GAO (D. Mass. Apr. 20, 2026), alleged violations of the antifraud and registration provisions of the federal securities laws in connection with a fraudulent Internet offering of unregistered securities | SEC-LR |
| | Elon Musk and Elon Musk Revocable Trust Dated July 22, 2003 | SEC-PR |
| | Press Release: SEC Charges 69 Audit Firms and Partners for Issuing Audit Reports While Not Registered with the PCAOB (Press Release No. 2007-183; September 13, 2007) | SEC-PR |
| | Press Release: General American Life Insurance Company, Former Senior VP Settle Late Trading Charges | SEC-PR |
| | SEC v. Jb Oxford Holdings, No. 102103 (S.D.N.Y.), Complaint, llm-upgrade | SEC-LR |
| | In re Norman Stumacher | SEC-PR |
| | Warning: Could not find a preferred cmap table. | SEC-PR |
| | Press Release: SEC Sues Oil and Gas Promoters, Issues Investor Alert; 2006-149; Sept. 5, 2006 | SEC-PR |
| | In the Matter of Schuhalter, Coughlin & Suozzo Pc, and Edward | SEC-PR |
| | In re HEWLETT-PACKARD | SEC-PR |
| | In the Matter of Choi Dow Ian Hong & Lee Accountancy | SEC-PR |
| | In re HSBC Bank USA | SEC-PR |
| | David P. Ortiz and DaveGlo Investment Group, Inc. | SEC-PR |
| | Self-Regulatory Organizations; National Association of Securities Dealers, Inc. (n/k/a | SEC-PR |
| | Municipal Securities Underwriters Pay a Total of $325,000 in Fines | SEC-PR |
| | Trading systems that offer the use of non-firm trading interest and provide protocols to bring | SEC-PR |
| | SEC v. Thomas Fletcher & Co. Inc. et al., C.A. No. CV 02-9355 (S.D.N.Y. Apr. 20, 2002), alleged fraudulent unregistered offering of securities through false and misleading offering memoranda and oral misrepresentations by defendants regarding an imminent IPO and subordinated loan to affiliated broker-dealer | SEC-LR |
| | Securities and Exchange Commission v. DiBella et al., No. 3:04-CV-1342 (WWE) (D. Conn. Apr. 20, 2004), alleged that defendants aided and abetted a fraudulent scheme in which the former Connecticut State Treasurer diverted $75 million of pension funds to a private equity fund in exchange for undisclosed consulting fees paid to DiBella, who performed no meaningful services. | SEC-LR |
| | SEC Announces Settlement with College Savings Plan for Untrue Statements and Ommissions | SEC-PR |
| | Press Release: SEC Sues London-Based Hedge Fund Adviser GLG Partners, L.P. for Illegal Short Selling in Connection with Public Offerings (Press Release No. 2007-122; June 26, 2007) | SEC-PR |
| | SEC v. Angelo Haligiannis et al., No. LR-18831 (S.D.N.Y. Jan. 1, 2004) — The Commission filed an emergency enforcement action against Angelo Haligiannis and Sterling Watters Group LP, a hedge fund, as well as the Fund's general partners, Sterling Watters Capital Advisors, LLC, and Sterling Watters Capital Management, Inc., alleging systematic fraud against investors in Sterling Watters. | SEC-LR |
| | In the Matter of Carl s. Sanko, Cpa | SEC-PR |
| | Press Release: SEC Files Emergency Enforcement Action to Halt $18.2 Million Cross-Border Prime Bank Scheme; 2006-201; Dec. 5, 2006 | SEC-PR |
| | SEC Votes To Adopt Securities Act Rule Reform and Shell Company Regulations; Considers Matters Remanded by Court of Appeals | SEC-PR |
| | SEC v. Prousalis, et al., No. 00-CV-5000 (S.D.N.Y. Apr. 20, 2000), alleged fraud in connection with the June 2000 IPO of busybox.com, Inc., including undisclosed insider stock purchases, inflated legal fees, and failure to disclose material information in registration documents | SEC-LR |
| | SEC v. Global Money Management, L.P., et al., No. LR-18666 (S.D. Cal. Oct. 20, 2011) — SEC obtains preliminary injunction and asset freeze in multi-million dollar securities fraud case | SEC-LR |
| | Press Release: SEC Charges Former General Counsel of KLA-Tencor And Juniper Networks For Fraudulent Stock Option Backdating | SEC-PR |
| | SEC v. Wilkerson et al., No. 3-11315 (S.D.N.Y. Apr. 20, 2003), alleged violations of Sections 13(d) and 13(e) of the Exchange Act and Rules 13d-1, 13d-2, and 13e-3 for failing to timely file Schedule 13E-3 and make adequate disclosures in connection with a going-private transaction | SEC-LR |
| | SEC Charges Ford Credit with Unlawful Marketing of "Ford Money Market Account" | SEC-PR |
| | SEC Charges Google and its General Counsel David C. Drummond with Failure to Register Over $80 Million in Employee Stock Options Prior to IPO | SEC-PR |
| | In the Matter of American Express Financial Corporation (now known as Ameriprise Financial, Inc.), No. 3-12114 (SEC Dec. 1, 2005) — Administrative proceeding instituted pursuant to Sections 203(e) and 203(k) of the Investment Advisers Act of 1940 and Sections 9(b) and 9(f) of the Investment Company Act of 1940. | SEC-PR |
| | Press Release: American Express Financial Advisors (Now Known as Ameriprise Financial Services, Inc.) to Pay $30 Million to Settle Revenue Sharing Charges; 2005-168; Dec. 1, 2005 | SEC-PR |
| | Christopher Flagg; Daquan Lloyd; Travis Treusch | SEC-PR |
| | Approval of Investment Adviser Registration Depository Filing Fees (Oct. 7, 2005) | SEC-PR |
| | Press Release: SEC Announces New Initiative to Warn Investors About Questionable Securities Solicitations | SEC-PR |
| | Press Release: SEC Charges Mayer Brown Partner Joseph P. Collins with Aiding and Abetting Refco Fraud (Press Release No. 2007-266; December 18, 2007) | SEC-PR |
| | SEC Announces Fraud Charges Against Collateral Manager Of CDO | SEC-PR |
| | SEC v. iShopNoMarkup.com, Inc., et al., No. 00-CV-4567 (E.D.N.Y. Oct. 12, 2000), alleged fraudulent unregistered securities offerings through false representations about an impending IPO and a boiler room sales operation that defrauded over 350 investors of approximately $2.3 million | SEC-LR |
| | SEC v. Myron Weiner, No. 22168 (E.D.N.Y. Nov. 23, 2011), Litigation Release No | SEC-LR |
| | In the Matter of : Order Approving a | SEC-PR |
| | SEC v. RICHARD J. BRIDEN, SECURITIES AND EXCHANGE COMMISSION v | SEC-LR |
| | In re CANADIAN IMPERIAL | SEC-PR |
| | In re UTAH EDUCATIONAL | SEC-PR |
| | Securities and Exchange Commission v. Mojave Valley Resort, Inc. et al., No. 2:00-cv-01234 (C.D. Cal. Apr. 20, 2000), alleged that defendants fraudulently misrepresented that municipal bonds were secured by a security interest in tribal property when no such interest existed and failed to obtain required approvals | SEC-LR |
| | SEC v. Security Trust Company, No. 166441 (S.D.N.Y.), Complaint, llm-upgrade | SEC-LR |
| | SEC Charges Stock Promoters In Phony Fax Scam | SEC-PR |
| | SEC v. Security Trust Company, N.A., Grant D. Seeger, William A. Kenyon, and Nicole McDermott, No. CV 03-2323 PHX JWS (U.S. District Court for the District of Arizona, May 1, 2000) | SEC-LR |
| | SUMMARY: The Securities and Exchange Commission (“SEC” or “Commission”) is | SEC-PR |
| | Press Release: SEC and British Columbia Securities Commission Charge Two Canadians With Greyfield Stock Manipulation; 2006-187; Nov. 8, 2006 | SEC-PR |
| | SEC v. EPG Global Private Equity Fund, Ltd. et al., No. LR-18577 (U.S. Sec. & Exch. Comm'n) — SEC filed a settled civil injunctive action against EPG Global Private Equity Fund, Ltd. and Anthony F. Giordano. | SEC-LR |
| | Press Release: SEC Announces Emergency Action to Halt Ongoing Fraud Against Senior Citizens; 2006-197; Nov. 30, 2006 | SEC-PR |
| 2026-04-17 | | Securities and Exchange Commission v. Richards, No. 8:25-cv-02057 (C.D. Cal. Sept. 11, 2025), ordered to pay $797,709 in disgorgement, interest, and penalty for selling unregistered oil and gas securities and acting as an unregistered broker without disclosing conflicts of interest | SEC-LR |
| 2026-04-15 | | SEC v. Spartan Trading Company, LLC, et al., No. 23-cv-1997 (D. Minn. Apr. 15, 2026) — SEC Obtains Final Judgments in Alleged Multi-Million Dollar Offering Fraud | SEC-LR |
| 2026-04-10 | | SEC v. Defendant, No. 1:23-cv-1234 (N.D. Ohio Apr. 20, 2026), permanently enjoined from violating Section 17(a) of the Securities Act of 1933 by employing devices to defraud or making untrue statements of material fact | SEC-LR |
| 2026-04-09 | | SEC v. Jay Scott Kirk Lee (S.D.N.Y. Apr. 9, 2026), Judgment, llm-upgrade | SEC-LR |
| 2026-03-17 | | Securities and Exchange Commission v. Rice, No. 2:23-cv-05379 (C.D. Cal. Mar. 13, 2026), ordering Rice to pay disgorgement of $581,000 plus prejudgment interest of $271,877 and a civil penalty of $236,451, and permanently enjoining him from violating antifraud securities laws and participating in securities offerings except for personal accounts | SEC-LR |
| 2026-03-09 | | Securities and Exchange Commission v. Puzzullo, No. 1:26-cv-01738 (S.D.N.Y. 2026) · Judgment — Defendant Consented to Entry of Judgment · S.D.N.Y. | SEC-LR |
| 2026-02-25 | | UNITED STATES SECURITIES AND EXCHANGE COMMISSION v. CHARLES T. LAWRENCE, JR., No. 2:23-cv-550-pp (E.D. Wis. 2023) · Judgment — Settled · E.D. Wis. · Feb. 17, 2025 | SEC-LR |
| 2026-02-24 | | U.S. Securities and Exchange Commission v. Lewis, No. 1:23-cv-06438 · Final Judgment — Disgorgement $525,899.06 · S.D.N.Y. · 2023 | SEC-LR |
| 2026-01-27 | | Securities and Exchange Commission v. Illingworth et al., No. 2:26-cv-00184-AB-MBK (C.D. Cal. Apr. 20, 2026), ordered to pay civil penalties and permanently enjoined from violating Sections 10(b) and 5 of the securities laws, and prohibited from serving as an officer or director of a public company for five years | SEC-LR |
| 2026-01-27 | | SEC v. Shannon Illingworth et al., No. 2:26-cv-00184 (C.D. Cal. Jan. 16, 2026), the defendants consented to a final judgment that permanently enjoined them from violating antifraud provisions of the securities laws and imposed a $100,000 civil penalty on Illingworth. | SEC-LR |
| 2026-01-23 | | SEC v. Genesis Global Capital (S.D.N.Y. Jan. 23, 2026), Complaint, llm-upgrade | SEC-LR |
| 2025-12-23 | | SEC v. Native American Energy Group (S.D.N.Y. Dec. 23, 2025), Judgment, llm-upgrade | SEC-LR |
| 2025-12-23 | | Securities and Exchange Commission v. Hudzik, No. 23-cv-4455 (E.D.N.Y. June 16, 2023), alleged that Hudzik acted as an unregistered broker-dealer, sold unregistered shares of Native American Energy Group, Inc., and misrepresented his commission from the offering proceeds | SEC-LR |
| 2025-12-15 | | In re Resolute Capital Partners LTD (S.D.N.Y. Dec. 15, 2025), [OCR_UNRECOVERABLE method=recover reason=missing_pdf ts=2026-06-07T16:28:48 | SEC-LR |
| 2025-12-15 | | SEC v. Kevin N. Richards, No. [Case Number] (C.D. Cal.) · Complaint Filed · C.D. Cal. · [Date] | SEC-LR |
| 2025-12-15 | | SEC v. David P. Ortiz and DaveGlo Investment Group, No. 26442 (S.D.N.Y. Sept. 11, 2025), U | SEC-LR |
| 2025-12-15 | | SEC v. David P. Ortiz et al. · Complaint Filed · S.D. Cal. · Jan. 1, 2020 | SEC-LR |
| 2025-12-15 | | SEC v. CHARLES D. OLIVER (S.D.N.Y. Dec. 15, 2025), Complaint, llm-upgrade | SEC-LR |
| 2025-12-12 | | SEC v. Rapid Therapeutic Science (S.D.N.Y. Dec. 12, 2025), Complaint, llm-upgrade | SEC-LR |
| 2025-12-12 | | Securities and Exchange Commission v. Melton, et al., No. 1:23-cv-00434 (M.D.N.C. Oct. 2, 2025) — SEC Obtains Final Judgment Against Defendants in Fraudulent Securities Offering | SEC-LR |
| 2025-12-12 | | Securities and Exchange Commission v. Oppenheimer & Co. Inc., No. 22-cv-07801 (S.D.N.Y. Sept. 13, 2022), alleged failure to comply with municipal bond offering disclosure requirements and deceptive statements to issuers, resulting in a final consent judgment imposing a $1.2 million civil penalty and permanent injunction | SEC-LR |
| 2025-12-12 | | Securities and Exchange Commission v. Oppenheimer & Co. Inc., No. 1:22-cv-7801 (S.D.N.Y. Sept. 13, 2022), alleged that Oppenheimer repeatedly sold municipal securities in reliance on the Limited Offering Exemption without a reasonable belief that buyers were sophisticated investors purchasing for single accounts, and failed to implement adequate compliance policies. | SEC-LR |
| 2025-12-12 | | SEC v. Rapid Therapeutic Science (S.D.N.Y. Dec. 12, 2025), Judgment, llm-upgrade | SEC-LR |
| 2025-12-11 | | SEC v. Thomas San Miguel, No. 4:24‑cv‑02805 (S.D. Tex. July 29, 2024), The SEC obtained a final judgment permanently enjoining San Miguel for an unregistered, fraudulent securities offering that raised approximately $21.3 million and ordering him to pay a $700,000 civil penalty. | SEC-LR |
| 2025-12-11 | | In re SGR Energy (S.D.N.Y. Dec. 11, 2025), Complaint, llm-upgrade | SEC-LR |
| 2025-11-26 | | SEC v. Andrew Wyles Waters, No. 2:23-cv-06799-GW-JCx (C.D. Cal. Oct. 16, 2025), the court entered a final judgment permanently enjoining Waters from securities activities and ordering him to pay over $2.5 million in disgorgement, interest, and penalties for a fraudulent stock scheme. | SEC-LR |
| 2025-11-26 | | Securities and Exchange Commission v. Andrew Wyles Waters et al., No. 2:23-cv-06799-GW · Final Judgment — Disgorgement $3,087,519 · S.D.N.Y. · 2023 | SEC-LR |
| 2025-11-21 | | SEC v. KEVIN L. JEFFERSON (S.D.N.Y. Nov. 21, 2025), Complaint, llm-upgrade | SEC-LR |
| 2025-11-21 | | SEC v. DEMETRIUS L. EARLY (S.D.N.Y. Nov. 21, 2025), Complaint, llm-upgrade | SEC-LR |
| 2025-09-30 | | SEC v. Agridime LLC et al., No. 4:23-cv-01224-P (N.D. Tex. Sep. 19, 2025), the court entered a final judgment permanently enjoining the defendant from violating Section 10(b) of the Securities Exchange Act and Section 17(a) of the Securities Act. | SEC-LR |
| 2025-09-30 | | SEC v. Agridime LLC, No. 4:23-cv-01224-P (N.D. Tex. Sep. 19, 2025), the court entered a final judgment permanently restraining and enjoining the defendant from violating Sections 10(b) of the Exchange Act and 17(a) of the Securities Act. | SEC-LR |
| 2025-09-30 | | Securities and Exchange Commission v. Agridime LLC, No. 4:23-cv-01224-P (N.D. Tex. Sept. 19, 2025), entering permanent injunctions against defendant for violations of Sections 10(b), 17(a), and 5 of the federal securities laws | SEC-LR |
| 2025-09-25 | | Securities and Exchange Commission v. Lixin Azarmehr et al., No. 2:24-CV-00707-JCM-MDC (D. Nev. Sept. 24, 2025), ordered to pay disgorgement and permanently enjoined from violating Sections 10(b) and 17(a) of the federal securities laws | SEC-LR |
| 2025-09-12 | | SEC v. CHARLES T. LAWRENCE, No. 23-cv-550-pp (S.D.N.Y. Sept. 12, 2025), Complaint, llm-upgrade | SEC-LR |
| 2025-09-12 | | Final Default Judgment As to Relief Defendants Landes Prive | SEC-LR |
| 2025-09-05 | | Securities and Exchange Commission v. Ellison-Meade, No. 2:23-cv-00521-CAS-MAR (C.D. Cal. Sept. 3, 2025), ordered to pay no monetary penalties but permanently enjoined from participating in unregistered securities offerings and from violating Sections 10(b) and 17(a) of the federal securities laws | SEC-LR |
| 2025-08-01 | | SEC v. Nantomah et al., No. 2:25-cv-01130 (E.D. Wis. Aug. 1, 2025) — SEC charged defendants with operating a real estate-related offering fraud that raised at least $1.9 million from at least 30 investors. | SEC-LR |
| 2025-07-29 | | SEC v. Rabindranauth Persaud, No. 26362 (S.D.N.Y. Jul. 29, 2025), U | SEC-LR |
| 2025-07-22 | | SEC v. Guess et al., No. 8:24-CV-172 (D. Neb. July 7, 2025), defendants were enjoined from participating in securities transactions and ordered to pay a civil penalty for violations of the Securities Act of 1933 | SEC-LR |
| 2025-07-22 | | SEC v. Old South Trading Co., No. 6:25-cv-00334-JDA (S.D.N.Y. Jul. 22, 2025), Complaint, llm-upgrade | SEC-LR |
| 2025-07-22 | | SEC v. Old South Trading Co., No. 26361 (S.D.N.Y. Jan. 17, 2025), Complaint, llm-upgrade | SEC-LR |
| 2025-07-22 | | SEC v. Old South Trading Co., No. 6:25-cv-00334-JDA (S.D.N.Y. Jul. 22, 2025), Complaint, llm-upgrade | SEC-LR |
| 2025-07-21 | | SEC v. SHAHNAWAZ MATHIAS, No. 450885 (S.D.N.Y. Jul. 21, 2025), Complaint, llm-upgrade | SEC-LR |
| 2025-07-10 | | Final Judgment As to Defendant William a. Justice | SEC-LR |
| 2025-07-03 | | Securities and Exchange Commission v. CHEETAH X INC. (d/b/a Go X) et al., No. 1:25-cv-23002 · Complaint Filed · S.D. Fla. | SEC-LR |
| 2025-06-24 | | SEC v. Ian O. Mausner and Evolution Lending, No. 26333 (S.D.N.Y. Jun. 24, 2025), Complaint, llm-upgrade | SEC-LR |
| 2025-06-24 | | Securities and Exchange Commission v. Ian O. Mausner and Evolution Lending, LLC, No. 3:25-cv-01591-BTM-VET (S.D. Cal. June 23, 2025), The SEC alleges that Mausner and Evolution Lending, LLC defrauded investors by making false and misleading statements regarding Mausner’s disciplinary history and crypto asset-related investments in connection with an unregistered offering of limited partnership in- | SEC-LR |
| 2025-06-20 | | Securities and Exchange Commission v. Williams, No. 3:20-cv-01864 · Default Judgment · S.D. Cal. · Jan. 31, 2024 | SEC-LR |
| 2025-06-20 | | Securities and Exchange Commission v. Sripetch, No. 3:20-cv-01864 · Final Judgment — Disgorgement $185,000 · S.D. Cal. | SEC-LR |
| 2025-06-17 | | SEC v. Scalise et al., No. 2:25-cv-03088 (E.D. Pa. June 17, 2025) — SEC Charges CEO and Beverage Company with Multi-Million Dollar Offering Fraud | SEC-LR |
| 2025-05-27 | | SEC v. UNICOIN (S.D.N.Y. May 27, 2025), Complaint, llm-upgrade | SEC-LR |
| 2025-05-23 | | SEC v. Adam R. Long, No. 26310 (E.D.N.Y. May 23, 2025), llm-upgrade | SEC-LR |
| 2025-05-23 | | SEC v. Joshua Sason, No. 26313 (S.D.N.Y. May 23, 2025), Complaint, llm-upgrade | SEC-LR |
| 2025-05-23 | | SEC v. JOSHUA SASON (S.D.N.Y. May 23, 2025), Complaint, llm-upgrade | SEC-LR |
| 2025-05-23 | | SEC v. River North Equity, No. 19-cv-1711 (S.D.N.Y. May 23, 2025), Complaint, defs:body | SEC-LR |
| 2025-05-23 | | SEC v. Lg Capital Funding, No. 22-cv-3353 (S.D.N.Y. May 23, 2025), Complaint, defs:body | SEC-LR |
| 2025-05-23 | | SEC v. JOSHUA SASON (S.D.N.Y. May 23, 2025), Complaint, llm-upgrade | SEC-LR |
| 2025-05-23 | | SEC v. JOSHUA SASON (S.D.N.Y. May 23, 2025), Complaint, llm-upgrade | SEC-LR |
| 2025-05-23 | | SEC v. River North Equity, No. 19-cv-1711 (S.D.N.Y. May 23, 2025), Complaint, defs:body | SEC-LR |
| 2025-05-20 | | Securities and Exchange Commission v. UNICOIN, INC. f/k/a TransparentBusiness, Inc., et al., No. 1:25-cv-4245 (S.D.N.Y. Feb. 1, 2022) — Complaint Filed | SEC-PR |
| 2025-05-08 | | SEC v. Ripple Labs, No. 26306 (S.D.N.Y. May 8, 2025), U | SEC-LR |
| 2025-05-07 | | SEC v. Loral L. Langemeier and Live Out Loud, No. 26303 (S.D.N.Y. May 7, 2025), U | SEC-LR |
| 2025-04-29 | | SEC v. Spargo et al., No. 2:25‑cv‑01043 (D. Ariz. Mar. 28, 2025), SEC alleged that Spargo used two controlled entities to fraudulently raise at least $1.65 million from investors by making false statements about CannaCloud’s business and misappropriating the funds for personal use. | SEC-LR |
| 2025-04-29 | | SEC v. CannaCloud Incorporated, No. 2:25-cv-01043 · Final Judgment · D. Ariz. · Apr. 24, 2025 | SEC-LR |
| 2025-04-29 | | SEC v. D.A. Spargo & Company LLC et al., No. 2:25-cv-01043 · Final Judgment · D. Ariz. · Apr. 24, 2025 | SEC-LR |
| 2025-04-29 | | Securities and Exchange Commission v. Cargnino et al., No. 21-cv-12236 (E.D. Mich. Feb. 20, 2025), ordered to pay civil penalties and permanently enjoined from violating Sections 10(b) and 17(a) of the federal securities laws for operating a fraudulent scheme involving unregistered securities | SEC-LR |
| 2025-04-29 | | SEC v. Spargo, No. 2:25-cv-01043 (D. Ariz.) · Final Judgment · D. Ariz. · 2025 | SEC-LR |
| 2025-04-24 | | SEC v. NOVA LABS, No. 1:25-00539 (S.D.N.Y. Apr. 24, 2025), Complaint, llm-upgrade | SEC-LR |
| 2025-04-24 | | SEC v. NOVA LABS, No. 25-cv-00539 (S.D.N.Y. Apr. 24, 2025), Complaint, llm-upgrade | SEC-LR |
| 2025-04-21 | | Securities and Exchange Commission v. David J. Feingold et al., No. 1:25-cv-20436-DPG · Complaint Filed · S.D. Fla. · 2025 | SEC-LR |
| 2025-04-15 | | SEC v. STEVE A. SMITH, No. 24-CV-24802-RAR (S.D.N.Y. Apr. 15, 2025), Judgment, llm-upgrade | SEC-LR |
| 2025-04-15 | | SEC v. Steve A. Smith, No. 26285 (S.D.N.Y. Dec. 9, 2024), U | SEC-LR |
| 2025-03-28 | | SEC v. IVARS AUZINS (S.D.N.Y. Mar. 28, 2025), Complaint, llm-upgrade | SEC-LR |
| 2025-03-18 | | SEC v. Morbex Automation LLC, No. 26272 (S.D.N.Y. Mar. 14, 2025), Complaint, llm-upgrade | SEC-LR |
| 2025-03-18 | | SEC v. Morbex Automation LLC, No. 0003270 (S.D.N.Y. Mar. 18, 2025), Complaint, llm-upgrade | SEC-LR |
| 2025-03-17 | | SEC v. Arcturus Corp., No. 26269 (S.D.N.Y. Dec. 12, 2013), Complaint, llm-upgrade | SEC-LR |
| 2025-03-17 | | Securities and Exchange Commission v. Arcturus Corporation et al., No. 3:13-cv-04861 · Judgment — Disgorgement $11,282,898 · N.D. Tex. · Aug. 15, 2013 | SEC-LR |
| 2025-02-27 | | SEC v. Trends Investments Inc., No. 26258 (S.D.N.Y. Feb. 27, 2025), defs:body | SEC-LR |
| 2025-02-26 | | Securities and Exchange Commission v. Grybniak et al., No. 1:20-cv-327-EK · Final Judgment — Disgorgement $100,000 | SEC-LR |
| 2025-02-21 | | SEC v. Elchonon Schwartz and Nightingale Properties, No. 26254 (S.D.N.Y. Feb. 12, 2025), Complaint, llm-upgrade | SEC-LR |
| 2025-02-20 | | Final Judgment As to Defendant Thurman p. Bryant, Iii | SEC-LR |
| 2025-02-20 | | Securities and Exchange Commission v. Christopher Slaga, No. 8:23-cv-01425 (C.D. Cal. 2023) · Judgment · C.D. Cal. · Jan. 2023 | SEC-LR |
| 2025-02-20 | | Securities and Exchange Commission v. Christopher Slaga a/k/a Keith Renko, No. 8:23-cv-01425 · Judgment — Defendant Ordered to Pay $5,880,364 · C.D. Cal. · Dec. 23, 2024 | SEC-LR |
| 2025-02-20 | | SEC Obtains Final Judgments Against Recidivist and His Companies in Offering Fraud Scheme (Feb. 20, 2025) | SEC-LR |
| 2025-02-20 | | Securities and Exchange Commission v. Christopher Slaga et al., No. 8:23-cv-01425 · Judgment · C.D. Cal. | SEC-LR |
| 2025-02-18 | | SEC v. Harshad Shah, No. 26248 (S.D.N.Y. Feb. 18, 2025), U | SEC-LR |
| 2025-02-13 | | United States v. Gao, S.D.N.Y. (May 5, 2026), indicted by a grand jury. | DOJ-SDNY |
| 2025-02-11 | | Final Judgment As to Relief Defendant Wannian Investment, INC | SEC-LR |
| 2025-02-10 | | SEC v. Crystal World Holdings, No. 1:19-cv-2490 (S.D.N.Y. Feb. 10, 2025), Complaint, llm-upgrade | SEC-LR |
| 2025-02-10 | | SEC v. Crystal World Holdings, No. 1:19-cv-2490 (S.D.N.Y. Feb. 10, 2025), Complaint, llm-upgrade | SEC-LR |
| 2025-02-10 | | SEC v. Crystal World Holdings, No. 26244 (D.D.C. Aug. 19, 2019), defs:body | SEC-LR |
| 2025-02-10 | | SECURITIES AND EXCHANGE COMMISSION v. CRYSTAL WORLD HOLDINGS, INC., No. 1:19-cv-02490 (D.D.C. 2019) — Judgment — Final Judgment — Disgorgement $1,468,556 | SEC-LR |
| 2025-02-06 | | SEC v. ROGER KNOX, No. 18-12058-RGS (S.D.N.Y. Feb. 6, 2025), Judgment, CIVIL ACTION NO | SEC-LR |
| 2025-01-21 | | SEC v. Old South Trading Co., LLC, et al., No. 6:25-cv-00334 (D.S.C. 2025) · Complaint Filed | SEC-LR |
| 2025-01-21 | | SEC v. Old South Trading Co., No. 26230 (S.D.N.Y. Jan. 21, 2025), Complaint, llm-upgrade | SEC-LR |
| 2025-01-17 | | SEC v. Quest Education L.L.C., No. 26226 (S.D.N.Y. Jan. 17, 2025), defs:body | SEC-LR |
| 2025-01-17 | | In re MICHAEL SEALY | SEC-PR |
| 2025-01-17 | | In re Paul John Mccabe | SEC-PR |
| 2025-01-17 | | SEC v. Quest Education LLC, No. 759054 (S.D.N.Y. Jan. 17, 2025), Complaint, llm-upgrade | SEC-LR |
| 2025-01-15 | | SEC v. Morningview Financial, No. 26220 (S.D.N.Y. Sept. 23, 2022), llm-upgrade | SEC-LR |
| 2025-01-15 | | SEC v. Plutus Lending, No. 1:24-cv-02457 (D.D.C. Aug. 26, 2024), Complaint, llm-upgrade | SEC-LR |
| 2025-01-14 | | In re JOSEPH J. ORLANDO JR. | SEC-PR |
| 2025-01-14 | | SEC v. Joecool.com, No. 26216 (S.D.N.Y. Jan. 13, 2025), Complaint, llm-upgrade | SEC-LR |
| 2025-01-14 | | "UNRECOVERABLE: Timeout During Enrichment" | SEC-PR |
| 2024-12-20 | | In re PIPE TECHNOLOGIES | SEC-PR |
| 2024-12-20 | | SEC v. Grid 202 LLC, (Dec. 20, 2024), the Commission instituted cease-and-desist proceedings alleging failure to timely file required Form D notices for unregistered securities offerings. | SEC-PR |
| 2024-12-20 | | In re UNDERDOG SPORTS | SEC-PR |
| 2024-12-19 | | SEC v. HOMELAND SAFETY, No. 3:08-cv-1197-O (S.D.N.Y. Dec. 19, 2024), Complaint, defs:body | SEC-LR |
| 2024-12-19 | | Securities & Exchange Commission v. Mihaylov, No. 1:22-cv-03089 · Final Judgment — Disgorgement $50,000,000 · S.D.N.Y. | SEC-LR |
| 2024-12-16 | | In re CYNM, No. 24-mc- (S.D.N.Y. Dec. 16, 2024), Complaint, llm-upgrade | SEC-LR |
| 2024-12-10 | | SEC v. STEVE A. SMITH, No. 1:24cv24802 (S.D.N.Y. Dec. 10, 2024), Complaint, llm-upgrade | SEC-LR |
| 2024-12-10 | | SEC v. Steve A. Smith, No. 26188 (S.D.N.Y. Dec. 9, 2024), U | SEC-LR |
| 2024-11-29 | | SEC v. Eng Taing and Touzi Capital, No. 26182 (S.D.N.Y. Nov. 20, 2024), Complaint, llm-upgrade | SEC-LR |
| 2024-11-27 | | I. Text to be added to the list of “Soliciting Entities” | SEC-PR |
| 2024-11-25 | | SEC v. BRAD HARE and, No. 24-12134 (S.D.N.Y. Nov. 25, 2024), Complaint, llm-upgrade | SEC-LR |
| 2024-11-25 | | SEC v. Brad Hare, No. 26181 (S.D.N.Y. Nov. 25, 2024), U | SEC-LR |
| 2024-11-14 | | SEC v. Money Magnet Platinum Membership Initiative LLC, No. 26169 (S.D.N.Y. Nov. 7, 2024), Complaint, llm-upgrade | SEC-LR |
| 2024-10-28 | | In re Fruit Street Health (S.D.N.Y. Oct. 28, 2024), SHARAN E | SEC-LR |
| 2024-10-28 | | SEC v. Fruit Street Health, No. 26165 (S.D.N.Y. Oct. 25, 2024), U | SEC-LR |
| 2024-10-10 | | "UNRECOVERABLE: Timeout During Enrichment" | SEC-PR |
| 2024-10-10 | | SEC v. Cumberland Drw LLC, No. 497878 (S.D.N.Y. Oct. 10, 2024), Complaint, llm-upgrade | SEC-LR |
| 2024-10-02 | | SEC v. RARI CAPITAL, No. 310214 (S.D.N.Y. Oct. 2, 2024), Judgment, llm-upgrade | SEC-LR |