Securities and Exchange Commission Enforcement Actions — 2026
Showing 1–17 of 17 cases
Case NameOutcomePenaltyDate Filed
SEC v. Paul W. JorgensenSettled—Mar 2026 · SEC
SEC v. Paul W. JorgensenSettled—Mar 2026
SEC v. Jeffrey PuzzulloSettled—Mar 2026 · SEC
SEC v. Jeffrey PuzzulloSettled—Mar 2026
SEC v. Christopher B. Ferguson and Brian P. McFaddenSettled—Feb 2026 · SEC
SEC v. Christopher B. Ferguson and Brian P. McFaddenSettled—Feb 2026
SEC v. Joel CastellanosSettled$150KFeb 2026 · SEC
SEC v. Joel CastellanosSettled$150KFeb 2026
SEC v. C-Hear, Inc.Pending—Feb 2026 · SEC
SEC v. C-Hear, Inc.Pending—Feb 2026
SEC v. Saumil ThakkarPending—Feb 2026 · SEC
SEC v. Saumil ThakkarPending—Feb 2026
SEC v. CBA Pharma, Inc.Pending—Feb 2026 · SEC
SEC v. CBA Pharma, Inc.Pending—Feb 2026
SEC v. Ejiro Ode OkumaSettled—Jan 2026 · SEC
SEC v. Ejiro Ode OkumaSettled—Jan 2026
SEC v. Satish AppalakuttyPending—Jan 2026 · SEC
SEC v. Satish AppalakuttyPending—Jan 2026
SEC v. Vikram LutharPending—Jan 2026 · SEC
SEC v. Vikram LutharPending—Jan 2026
SEC v. MathewsPending—Jan 2026 · SEC
SEC v. MathewsPending—Jan 2026
SEC v. Brian J. SuthoffSettled$20KJan 2026 · SEC
SEC v. Brian J. SuthoffSettled$20KJan 2026
SEC v. Lawrence Anthony DiMatteoPending—Jan 2026 · SEC
SEC v. Lawrence Anthony DiMatteoPending—Jan 2026
SEC v. Brett RosenPending—Jan 2026 · SEC
SEC v. Brett RosenPending—Jan 2026
SEC v. Sumit RaiPending—Jan 2026 · SEC
SEC v. Sumit RaiPending—Jan 2026
SEC v. Hong (John) WangPending—Jan 2026 · SEC
SEC v. Hong (John) WangPending—Jan 2026
SEC v. Shannon IllingworthSettled$100KJan 2026 · SEC
SEC v. Shannon IllingworthSettled$100KJan 2026