Litigation
- Terraform Labs PTE, Ltd. and Do Kwon
SEC Files Subpoena Enforcement Action Against Terraform Labs and Its CEO
Nov 12, 2021 | 10:21 EST
- Gerald Fauth
SEC Obtains Court Order to Enforce Investigative Subpoena for Testimony
Nov 10, 2021 | 18:12 EST
- CF3 Enterprises, LLC, et al.
SEC Brings Charges in Manipulative Free-Trading Penny Stock Scheme
Nov 09, 2021 | 12:27 EST
- Swapnil J. Rege and SwapStar Capital, LLC
Court Orders Asset Freeze and Other Preliminary Relief Against Recidivist and Barred Investment Adviser and His Firm
Nov 08, 2021 | 16:17 EST
- Gregory Lemelson, Lemelson Capital Management, LLC, and The Amvona Fund
SEC Wins Jury Trial: Hedge Fund Adviser Liable for Securities Fraud
Nov 08, 2021 | 12:20 EST
- Joseph A. Cammarata, et al.
SEC Obtains Emergency Relief in Case Charging Claims Aggregator and Principals with Multi-Million Dollar Fraud
Nov 05, 2021 | 17:06 EST
- Steven F. Muntin
SEC Charges Michigan Investment Adviser with Fraud
Nov 05, 2021 | 14:43 EST
- David P. Godwin, et al.
Executive Charged by SEC for Financial Fraud Scheme Sentenced to 13 Years in Prison in Parallel Criminal Case
Nov 04, 2021 | 16:21 EST
- Mark A. Miller, Saeid Jaberian and Christopher J. Rajkaran
SEC Charges Two Additional Defendants in Pump-And-Dump Scheme
Nov 01, 2021 | 16:40 EST
- Howard S. Kleyman
SEC Charges Attorney with Assisting Prime Bank Scheme
Nov 01, 2021 | 11:43 EST
- Kenneth A. Welsh
SEC Charges Financial Adviser with Stealing Investor Funds to Pay Off Credit Cards, Buy Gold Coins
Nov 01, 2021 | 11:20 EST
- BNZ One Capital, LLC, et al.
SEC Charges Newport Beach Company and Its Principals with Operating a $13.5 Million Ponzi-Like Scheme
Oct 29, 2021 | 14:53 EST
- Swapnil J. Rege and SwapStar Capital, LLC
SEC Charges Recidivist and Barred Investment Adviser and His Firm
Oct 27, 2021 | 10:30 EST
- Steven M. Gallagher, a/k/a "Alexander Delarge"
SEC Obtains Asset Freeze and Other Relief in Halting Penny Stock Scheme On Twitter
Oct 26, 2021 | 16:18 EST
- Denis Georgiyevich Sotnikov, et al.
SEC Obtains Default Judgment Against Russian National for Defrauding Investors Out of Millions of Dollars in Phony Certificates of Deposit Scam
Oct 26, 2021 | 11:29 EST
- Ann M. Vick
SEC Charges Colorado Investment Adviser with Fraud
Oct 26, 2021 | 10:01 EST
- Marcus Boggs
SEC Obtains Final Judgment Against Investment Professional Charged with Misappropriating Client Funds
Oct 25, 2021 | 14:16 EST
- Robert Bernardi, Nihat Cardak, and Sunil Chandra, Defendants, and Daniel Bernardi, Diane Olsen, and Jenifer Bernardi, Relief Defendants, Civ. Action
SEC Charges Former CEO and CFO of Software Company with Multimillion Dollar Fraud
Oct 20, 2021 | 13:23 EST
- Vassilios Trikantzopoulos, et al.
SEC Obtains Judgment Against Massachusetts Man Who Defrauded Investors in International Real Estate Investment Scheme
Oct 15, 2021 | 16:26 EST
- Steven Pagartanis
SEC Obtains Final Judgment Against Long Island Investment Professional Charged with Defrauding Investors
Oct 07, 2021 | 14:38 EST
- CanaFarma Hemp Products Corp., et al.
SEC Charges Hemp Company and Co-Founders with Fraud
Oct 06, 2021 | 12:03 EST
- Ron K. Harrison., et al.
SEC Obtains Emergency Relief Freezing Assets and Halting an Alleged Ongoing Investment Advisory Fraud
Oct 06, 2021 | 10:50 EST
- Keith A. Wakefield
SEC Charges Rogue Trader Who Bankrupted His Firm
Oct 01, 2021 | 17:13 EST
- TCFG Investment Advisor, LLC, TCFG Wealth Management, LLC and Richard James Roberts
SEC Charges Investment Adviser, Affiliated Broker-Dealer and Their President for False and Misleading Statements and Omissions
Oct 01, 2021 | 14:23 EST
- Mark Allan Plummer, Emilio Barrera, Jr. (a/k/a Mike Barrera), PRT Consulting, LLC d/b/a Petroleum Resources of Texas, Richmond Engineering, Inc., Todd J. Prince, George Rauch (f/k/a George B. Fasciano), and Todd Stuart Breitling
SEC Charges Recidivist and Others with Oil and Gas Offering Fraud
Sep 30, 2021 | 16:46 EST
- Punch TV Studios. Inc., et al.
SEC Charges Recidivist TV Production Company and Its Founder and CEO with Offering and Selling Securities in Unregistered Offerings
Sep 30, 2021 | 16:41 EST
- Gregory L. Ciccone, et al.
SEC Charges Purported Luxury Concierge Business and Its Owner in Offering Fraud
Sep 29, 2021 | 17:11 EST
- Sky Group, et al.
SEC Charges Florida Payday Lender and CEO with Affinity Fraud Targeting the Venezuelan-American Community
Sep 29, 2021 | 16:44 EST
- Naseem Mohammed Salamah.
SEC Charges Former IIIinois Investment Adviser with Fraud for Misappropriating Client Funds
Sep 28, 2021 | 18:00 EST
- Jaeson Birnbaum
SEC Charges New York Attorney with Defrauding Investors in Litigation Finance Business
Sep 28, 2021 | 16:25 EST
- C3 International, Inc., Steele Clarke Smith III and Theresa Smith
SEC Charges California Cannabis Company, CEO and President with Fraud
Sep 28, 2021 | 16:05 EST
- Richard Xia, a/k/a Yi Xia and Fleet New York Metropolitan Regional Center, LLC, f/k/a Federal New York Metropolitan Regional Center, and Relief Defendant Julia Yue, a/k/a JiQing Yue
SEC Obtains Emergency Relief Against New York Real Estate Developer Charged with Eb-5 Securities Fraud
Sep 28, 2021 | 14:15 EST
- Michael James Ferguson Jr. Foreign Private Trust and Noble Mikhail Jabal Mohommet Firdaus El
SEC Charges Transfer Agent and CEO for Violations of Statutory and Regulatory Filing and Records Requirements
Sep 28, 2021 | 08:35 EST
- VerdeGroup Investment Partners, Inc., Thomas Gaffney, and Lisa Gordon
SEC Charges Issuer for Fraudulent and Unregistered Marijuana Financing Offering
Sep 27, 2021 | 18:14 EST
- Timothy Page et al., Daniel Cattlin and William R. Shupe
SEC Charges U.K.-Based Father and Son, and Two Others in Transatlantic Microcap Fraud Scheme
Sep 27, 2021 | 17:01 EST
- Nicholas J. Genovese, Willow Creek Investments, LP, and Willow Creek Advisors, LLC
Court Enters Final Judgment Against Hedge Fund Manager
Sep 27, 2021 | 17:01 EST
- Suyun Gu, et al.
SEC Charges Two Individuals for Wash Trading Scheme Involving Options of “Meme Stocks”
Sep 27, 2021 | 15:11 EST
- Star Chain, Inc. and Timur Efe aka Omer Casurluk, Civ. Action
SEC Charges CEO and Company with Engaging in a Multimillion Dollar Affinity Fraud Scheme
Sep 27, 2021 | 12:36 EST
- Carebourn Capital, L.P., et al.
SEC Sues Minnesota-Based Firm and Its Managing Partner for Acting as an Unregistered Securities Dealer
Sep 27, 2021 | 12:36 EST
- Buttonwood Financial Group, LLC and Jon Michael McGraw
SEC Charges Investment Adviser and Its President for Investing Clients in Higher Cost Mutual Funds to Avoid Paying Transaction Costs
Sep 24, 2021 | 16:41 EST
- Engler, et al.
SEC Obtains Partial Judgment Against Defendant in Unauthorized Trading Scheme
Sep 24, 2021 | 14:54 EST
- Choice Advisors, LLC and Matthias O'Meara
SEC Charges Firm and Two Principals in First-Ever Actions Enforcing Rule On Duties of Municipal Advisors
Sep 23, 2021 | 16:18 EST
- Frantz Simeon and First Black Enterprises, Inc.
SEC Charges New Yorker for Running Ponzi Scheme Targeting Haitian American Community
Sep 23, 2021 | 16:18 EST
- James R. Collins and Robert F. DiMeo
SEC Charges Principals of Subprime Automobile Finance Company with Fraud
Sep 23, 2021 | 14:13 EST
- Michael F. Shillin
SEC Charges Wisconsin Investment Advisor with Defrauding Clients
Sep 23, 2021 | 14:05 EST
- Biogenic, Inc., Diagnostic Link Ltd, LLC, Vital Systems Ltd LLC, BioTek Holdings LLC, Tek Wellness Inc., Capital Care Management LLC, Susann Ashley Cargnino a/k/a Susann Ashley Walker a/k/a Ashley Walker, Zachari Alan Cargnino a/k/a Zach Alan, Julie Ann Youssef a/k/a Julie Ann a/k/a Julie Joseph, and Gary Youssef a/k/a Gary Joseph
SEC Charges Six Michigan Companies and Four Individuals with Fraud
Sep 23, 2021 | 14:05 EST
- Karen Marie Michel
SEC Charges School District and Former Executive with Misleading Investors in Bond Offering
Sep 22, 2021 | 12:00 EST
- Back to Green Mining, LLC, José Jiménez Cruz, and Manuel Portalatin
SEC Charges Puerto Rican Company and Managing Members with Fraud
Sep 21, 2021 | 15:43 EST
- James Wallace Nall, III, Michael Hale Smith, Michael Dwaine Smith, Robert Walter Smith and Walter Vice Tutt
SEC Obtains Final Judgment Against Alabama Real Estate Developer Charged with Insider Trading
Sep 21, 2021 | 15:43 EST
- Daniel B. Kamensky
SEC Obtains Judgment Against Fund Manager and Bars Him from Appearing or Practicing Before the SEC
Sep 21, 2021 | 15:43 EST
- Leena Jaitley, d/b/a Managed Option Trading and Options By Pros, Defendant, and Taraben Patel and OTA LLC, Relief Defendants
SEC Charges Texas Resident with Defrauding Investors
Sep 20, 2021 | 15:00 EST
- Robert Samuel Shumake, Jr., Willard L. Jackson, Nicole T. Birch, 420 Real Estate, LLC, Vicent Petrescu aka Vincent Petrescu, and TruCrowd, Inc. dba Fundanna
SEC Charges Crowdfunding Portal, Issuer, and Related Individuals for Fraudulent Offerings
Sep 20, 2021 | 13:16 EST
- Raquel Moura Borges, et al.
SEC Charges New York Investment Adviser and Its Owner with Fraud
Sep 16, 2021 | 14:46 EST
- Jason Dodd Bullard, Angela Romero-Bullard, and Bullard Enterprises LLC
Court Appoints Receiver Requested by SEC Over Assets in Multimillion-Dollar Ponzi Scheme
Sep 16, 2021 | 10:15 EST
- Simon Piers Thurlow, Roger Leon Fidler, Richard Oravec, Bradley Fidler, Bryce Emory Boucher, Joseph D. Jordan, and Western Bankers Capital Inc.
SEC Charges Six Individuals and Company in IIIegal Microcap Offering
Sep 15, 2021 | 19:07 EST
- SHE Beverage Company, Inc. Lupe L. Rose, Sonja F. Shelby and Katherine E. Dirden
SEC Charges Southern California Beverage Company with Fraudulent Stock Sales
Sep 15, 2021 | 17:38 EST
- Eliseo Acosta
SEC Charges Unregistered Broker for Selling $22 Million in Securities to Puerto Rico Government Entities
Sep 15, 2021 | 12:54 EST
- Paul Gilman, et al.
SEC Obtains More Than $30 Million in Remedies Against Self-Proclaimed "Whale Whisperer" and His Companies Who Offered Fraudulent "Soundwave" Investments
Sep 14, 2021 | 17:05 EST
- ProSky, Inc., et al.;
SEC Charges CEO with Multi-Year Offering Fraud
Sep 14, 2021 | 16:52 EST
- Mark Ahn
SEC Obtains Final Judgment Against Former Consultant and Board Member Charged with Insider Trading
Sep 10, 2021 | 13:40 EST