VerdictStats

Securities and Exchange Commission Enforcement Actions — 2023

Showing 1–50 of 63 cases

SEC v. Diana Mae FernandezSettled$296KDec 2023 · SEC
SEC v. Mmobuosi Odogwu BanyeSettled—Dec 2023 · SEC
SEC v. Agridime, LLCSettled—Dec 2023 · SEC
SEC v. Brite Advisors USA, Inc.Settled—Nov 2023 · SEC
SEC v. Payward, Inc. and Payward Ventures, Inc.Dismissed—Nov 2023 · SEC
SEC v. HernandezSettled$525KOct 2023 · SEC
SEC v. SolarWinds Corp. and BrownDismissed—Oct 2023 · SEC
SEC v. Adam R. LongDismissed—Sep 2023 · SEC
SEC v. Anthony ViggianoSettled$35KSep 2023 · SEC
SEC v. Edward O’Donnell and Victor BozzoSettled—Sep 2023 · SEC
SEC v. Matthew M. MotilSettled$3MSep 2023 · SEC
SEC v. Strategic Legacy Investment Group, Inc.Settled—Sep 2023 · SEC
SEC v. Barry SiegelSettled—Sep 2023 · SEC
SEC v. Michael CaridiSettled$180KSep 2023 · SEC
SEC v. Lufkin Advisors, LLC and Chauncey Forbush Lufkin, IIISettled$425KSep 2023 · SEC
SEC v. Wilson J. Rondini, III and Falcon Capital Partners LimitedSettled$5.8MSep 2023 · SEC
SEC v. Rapid Therapeutic Science Laboratories, Inc. and Donal R. Schmidt, Jr.Settled—Sep 2023 · SEC
SEC v. Robert Del PreteSettled$67KSep 2023 · SEC
SEC v. NDB, Inc. and Nima GolsharifiSettled—Sep 2023 · SEC
SEC v. Virtu Financial Inc.Settled—Sep 2023 · SEC
SEC v. Dharma Teja NukarapuSettled—Sep 2023 · SEC
SEC v. Guosheng QiSettled—Sep 2023 · SEC
SEC v. Brady Jack SpeersSettled—Aug 2023 · SEC
SEC v. Andrew Wyles WatersUnknown—Aug 2023 · SEC
SEC v. Ashraf Mufareh and ONPASSIVE LLCSettled—Aug 2023 · SEC
SEC v. Christopher SlagaSettled$2.8MAug 2023 · SEC
SEC v. Jose D. RochaSettled—Aug 2023 · SEC
SEC v. Mina TadrusSettled$4.1MJul 2023 · SEC
SEC v. Joseph C. LewisSettled—Jul 2023 · SEC
SEC v. Eliyahu WeinsteinPending—Jul 2023 · SEC
SEC v. Caz L. CraffySettled—Jul 2023 · SEC
SEC v. Vidul PrakashDismissed—Jul 2023 · SEC
SEC v. Bruce GarelickSettled$18.3MJun 2023 · SEC
SEC v. Amit DagarSettled$60KJun 2023 · SEC
SEC v. Joseph M. DupontSettled$36KJun 2023 · SEC
SEC v. James L. KoutoulasPending—Jun 2023 · SEC
SEC v. William K. IchiokaSettled$31MJun 2023 · SEC
SEC v. David HudzikSettled$70KJun 2023 · SEC
SEC v. Joseph A. PadillaSettled$3.1MJun 2023 · SEC
SEC v. Binance Holdings LimitedDismissed—Jun 2023 · SEC
SEC v. MeltonSettled—May 2023 · SEC
SEC v. Marshall E. MeltonUnknown—May 2023 · SEC
SEC v. Pinnacle Advisors, LLCDismissed—May 2023 · SEC
SEC v. Matthew J. WertheSettled$508KMay 2023 · SEC
SEC v. Charles T. Lawrence, Jr.Settled$298KApr 2023 · SEC
SEC v. Charles T. Lawrence, Jr.Settled$4MApr 2023 · SEC
SEC v. Wayne H. McLeanSettled—Mar 2023 · SEC
SEC v. VecchioSettled—Mar 2023 · SEC
SEC v. Justin SunSettled—Mar 2023 · SEC
SEC v. Cutter Financial Group, LLC and Jeffrey CutterSettled—Mar 2023 · SEC