Securities and Exchange Commission Enforcement Actions — 2019
Showing 1–11 of 11 cases
Case NameOutcomePenaltyDate Filed
SEC v. Sivannarayana BaramaSettled$8.5MDec 2019 · SEC
SEC v. Sivannarayana BaramaSettled$8.5MDec 2019
SEC v. Benjamin TaylorSettled—Oct 2019 · SEC
SEC v. Benjamin TaylorSettled—Oct 2019
SEC v. Shuang ChenSettled—Oct 2019 · SEC
SEC v. Shuang ChenSettled—Oct 2019
SEC v. MitchellSettled$3KOct 2019 · SEC
SEC v. MitchellSettled$3KOct 2019
SEC v. AuerbachSettled$10KOct 2019 · SEC
SEC v. AuerbachSettled$10KOct 2019
SEC v. Crystal World Holdings, Inc.Settled—Aug 2019 · SEC
SEC v. Crystal World Holdings, Inc.Settled—Aug 2019
SEC v. Stuart FrostSettled$150KAug 2019 · SEC
SEC v. Stuart FrostSettled$150KAug 2019
SEC v. Commonwealth Equity Services, LLCSettled—Aug 2019 · SEC
SEC v. Commonwealth Equity Services, LLCSettled—Aug 2019
SEC v. Joshua SasonSettled—Feb 2019 · SEC
SEC v. Joshua SasonSettled—Feb 2019
SEC v. CoburnDismissed—Feb 2019 · SEC
SEC v. CoburnDismissed—Feb 2019
SEC v. Gene Daniel LevoffSettled$1.1MFeb 2019 · SEC
SEC v. Gene Daniel LevoffSettled$1.1MFeb 2019