VerdictStats

Securities and Exchange Commission Enforcement Actions

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Showing 1–50 of 530 cases

SEC v. John D. Fierro and JDF Capital, Inc.Settled$5.9M— · SEC
SEC v. Shaohua (Michael) YinSettled—— · SEC
SEC v. Archer-Daniels-Midland Company, Vince Macciocchi, Ray Young, and Vikram LutharSettled$40M— · SEC
SEC v. Bear Stearns & Co. Inc.Settled—— · SEC
SEC v. Charles J. Cole, Torben M. Welch, et al.Pending—Jun 2026 · SEC
SEC v. JianQing LiPending—Jun 2026 · SEC
SEC v. John Sterling Myers; Sterling Capital, LLC; and Sterling Capital Management, LLCPending—Jun 2026 · SEC
SEC v. Phoenix American Hospitality, LLC and William Lee NelsonSettled—Jun 2026 · SEC
SEC v. Nathan FullerPending—May 2026 · SEC
SEC v. Oskar Elmgart and Raymond LeibmanSettled—May 2026 · SEC
SEC v. Reign Financial International, LLC, et al.Settled—May 2026 · SEC
SEC v. Nicolo Nourafchan, et al.Pending—May 2026 · SEC
SEC v. Anthony J. CataldoSettled$30KApr 2026 · SEC
SEC v. Aaron Verdugo, et al.Settled—Apr 2026 · SEC
SEC v. Jon FullenkampPending—Mar 2026 · SEC
SEC v. Michael A. Smith and Douglas Joshua DaltonPending—Mar 2026 · SEC
SEC v. Ronald SmithPending—Mar 2026 · SEC
SEC v. John OlsenPending—Mar 2026 · SEC
SEC v. Krish KumarSettled—Mar 2026 · SEC
SEC v. Paul W. JorgensenSettled—Mar 2026 · SEC
SEC v. Jeffrey PuzzulloSettled—Mar 2026 · SEC
SEC v. Joel CastellanosSettled$150KFeb 2026 · SEC
SEC v. Christopher B. Ferguson and Brian P. McFaddenSettled—Feb 2026 · SEC
SEC v. C-Hear, Inc.Pending—Feb 2026 · SEC
SEC v. Saumil ThakkarPending—Feb 2026 · SEC
SEC v. CBA Pharma, Inc.Pending—Feb 2026 · SEC
SEC v. Ejiro Ode OkumaSettled—Jan 2026 · SEC
SEC v. Satish AppalakuttyPending—Jan 2026 · SEC
SEC v. Vikram LutharPending—Jan 2026 · SEC
SEC v. MathewsPending—Jan 2026 · SEC
SEC v. Brian J. SuthoffSettled$20KJan 2026 · SEC
SEC v. Lawrence Anthony DiMatteoPending—Jan 2026 · SEC
SEC v. Brett RosenPending—Jan 2026 · SEC
SEC v. Sumit RaiPending—Jan 2026 · SEC
SEC v. Hong (John) WangPending—Jan 2026 · SEC
SEC v. Shannon IllingworthSettled$100KJan 2026 · SEC
SEC v. Muhammad Saad ShoukatPending—Dec 2025 · SEC
SEC v. Morocoin Tech Corp.Pending—Dec 2025 · SEC
SEC v. George John DrazenovicSettled—Dec 2025 · SEC
SEC v. Danh C. VoPending—Dec 2025 · SEC
SEC v. Artur KhachatryanSettled$374KDec 2025 · SEC
SEC v. Frederick W. WagenhalsPending—Dec 2025 · SEC
SEC v. Tiffany Kelly and Curastory Inc.Settled$125KDec 2025 · SEC
SEC v. Irfan MohammedSettled—Dec 2025 · SEC
SEC v. Nathan GauvinPending—Dec 2025 · SEC
SEC v. Shahin AhmedPending—Dec 2025 · SEC
SEC v. Yida Gao and Shima Capital Management LLCSettled$3.9MNov 2025 · SEC
SEC v. Bluesky Eagle Capital Management Ltd.Settled$1.2MNov 2025 · SEC
SEC v. Bluesky Eagle Capital Management Ltd.Pending—Nov 2025 · SEC
SEC v. Srinivas KoneruPending—Nov 2025 · SEC