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Data Sources

Data sourced from official agency press releases: DOJ, SEC, FTC, CFPB, FINRA, and state attorneys general.

© 2026 VerdictStats. All data from official government sources.

Securities and Exchange Commission Statistics

509

Total Cases

$625.9M

Total Penalties

$4.6M

Average Penalty

Settled

Most Common Outcome

Cases by Year

Recent Cases

SEC v. John D. Fierro and JDF Capital, Inc.Settled$5.9M— · SEC

SEC v. John D. Fierro and JDF Capital, Inc.Settled$5.9M—

SEC v. Shaohua (Michael) YinSettled—— · SEC

SEC v. Shaohua (Michael) YinSettled——

SEC v. Archer-Daniels-Midland Company, Vince Macciocchi, Ray Young, and Vikram LutharSettled$40M— · SEC

SEC v. Archer-Daniels-Midland Company, Vince Macciocchi, Ray Young, and Vikram LutharSettled$40M—

SEC v. Bear Stearns & Co. Inc.Settled—— · SEC

SEC v. Bear Stearns & Co. Inc.Settled——

SEC v. Jon FullenkampPending—Mar 2026 · SEC

SEC v. Jon FullenkampPending—Mar 2026

SEC v. Michael A. Smith and Douglas Joshua DaltonPending—Mar 2026 · SEC

SEC v. Michael A. Smith and Douglas Joshua DaltonPending—Mar 2026

SEC v. Ronald SmithPending—Mar 2026 · SEC

SEC v. Ronald SmithPending—Mar 2026

SEC v. John OlsenPending—Mar 2026 · SEC

SEC v. John OlsenPending—Mar 2026

SEC v. Krish KumarSettled—Mar 2026 · SEC

SEC v. Krish KumarSettled—Mar 2026

SEC v. Paul W. JorgensenSettled—Mar 2026 · SEC

SEC v. Paul W. JorgensenSettled—Mar 2026

View all Securities and Exchange Commission cases →