VerdictStats

Securities and Exchange Commission Enforcement Actions — 2022

Showing 1–35 of 35 cases

SEC v. Caroline EllisonSettled—Dec 2022 · SEC
SEC v. George IakovouSettled$8.9MDec 2022 · SEC
SEC v. GEL Direct TrustSettled—Nov 2022 · SEC
SEC v. Adrian J. KawubaSettled$313KNov 2022 · SEC
SEC v. The Estate of Stephen Romney SwensenSettled$3.8MOct 2022 · SEC
SEC v. FarnsworthSettled—Sep 2022 · SEC
SEC v. Morningview Financial, LLCSettled—Sep 2022 · SEC
SEC v. Ian BalinaDismissed—Sep 2022 · SEC
SEC v. Ian BalinaPending—Sep 2022 · SEC
SEC v. Oppenheimer & Co. Inc.Settled—Sep 2022 · SEC
SEC v. SwafferSettled—Aug 2022 · SEC
SEC v. Dale SwanbergDismissed—Aug 2022 · SEC
SEC v. Anthony J. Mastroianni, Jr.Settled—Aug 2022 · SEC
SEC v. Dragonchain, Inc.Dismissed—Aug 2022 · SEC
SEC v. Christopher R. BentleySettled$14.1MAug 2022 · SEC
SEC v. BhardwajSettled—Jul 2022 · SEC
SEC v. BhardwajSettled—Jul 2022 · SEC
SEC v. TavlinSettled$25KJul 2022 · SEC
SEC v. Justin R. KimbroughSettled$1.1MJun 2022 · SEC
SEC v. Loral L. Langemeier and Live Out Loud, Inc.Settled$576KJun 2022 · SEC
SEC v. Western International SecuritiesSettled—Jun 2022 · SEC
SEC v. City of RochesterSettled—Jun 2022 · SEC
SEC v. Trends Investments Inc.Dismissed—Jun 2022 · SEC
SEC v. RosenbergerSettled$125KJun 2022 · SEC
SEC v. Gregoire P. TournantSettled—May 2022 · SEC
SEC v. American Equities, Inc.Settled—Apr 2022 · SEC
SEC v. Fernando PassosSettled$500KApr 2022 · SEC
SEC v. Ronald BauerSettled—Apr 2022 · SEC
SEC v. Dow Rockwell LLC and Richard Dow RockwellSettled—Mar 2022 · SEC
SEC v. Hari Prasad SureSettled—Mar 2022 · SEC
SEC v. Cambridge Investment Research Advisors, Inc.Settled—Feb 2022 · SEC
SEC v. Michael M. BeckSettled$230KFeb 2022 · SEC
SEC v. Safeguard Metals LLC and Jeffrey IkahnSettled—Jan 2022 · SEC
SEC v. Phillip W. Offill, Jr. and Justin W. HermanDismissed$1.1MJan 2022 · SEC
SEC v. GiltmanSettled$31.2MJan 2022 · SEC