SEC Press pdf 522 KB 85,567 chars
Fy24 Enforcement Statistics

Exhibit of SEC Announces Enforcement Results for Fiscal Year 2024
Source PDF JSON
Enriched metadata

Scheme: non-corporate (95%)
Disgorgement: $6,092
Classified non-corporate(confidence 95%). No EDGAR filing fingerprint (criminal/DOJ-side scheme). detection rule →
Extracted insights

Dollar amounts 24
$8K $8,194 <$10K
$6K $6,439 <$10K
$6K $6,092 <$10K
$5K $4,949 <$10K
$5K $4,680 <$10K
$4K $4,349 <$10K
$4K $4,194 <$10K
$4K $3,852 <$10K
$4K $3,588 <$10K
$3K $3,369 <$10K
$3K $3,248 <$10K
$2K $2,395 <$10K
Entities 4
person jesus rodriguez
agency Securities and Exchange Commission
agency sec v. daughtry, james blake
person standalone enforcement actions
Triples 6
SEC v. Daughtry, James Blake
SEC v. Eakes, Jared, D.
SEC v. Aryeh Goldstein, et al.
SEC v. Jesus Rodriguez
Standalone Enforcement Actions is Combined Count of Civil Actions and Standalone APs
Change of Venue resulted in SEC v. Daughtry, James Blake
PDF
Fy24 Enforcement Statistics · Source
Text layers
Extracted body text (85,567c)
ADDENDUM TO  
DIVISION OF ENFORCEMENT PRESS RELEASE 

FISCAL YEAR 2024 
 

 
 

 

 

 

 

 

 

 

 

 

 

A listing of the actions referenced in the table above is provided in the last section of this document. 

 



ADDENDUM TO  
DIVISION OF ENFORCEMENT PRESS RELEASE 

FISCAL YEAR 2024 

 

 
1 

 

 
 

 

 
 

 

 

 

 

 
1 FY 2022 is now reported as 463 Standalone Enforcement Actions and 761 Total Actions (an increase of one in each 
category) due to a separate action, SEC v. Daughtry, James Blake, Case No. 1:24-cv-00125-RAH-CWB (M.D. Ala.), resulting 
from a change of venue for one of the parties in the originally-filed action, SEC v. Eakes, Jared, D., Case No. 3:22-cv-01055-
TJC-MCR (M.D. Fla.). 

FY 2024 FY 2023 FY 20221 FY 2021 FY 2020 FY 2019

Standalone Enforcement Actions 431 501 463 434 405 526

Follow -On Admin. Proceedings 93 162 169 143 180 210

Delinquent Filings 59 121 129 120 130 126

Total Actions 583 784 761 697 715 862

Enforcement Actions Filed in Fiscal Years 2019 to 2024

Standalone Enforcement Actions is a combined count of Civil Actions and Standalone APs.

FY 2024 FY 2023 FY 2022 FY 2021 FY 2020 FY 2019

Penalties $2,102 $1,580 $4,194 $1,456 $1,091 $1,101

Disgorgement $6,092 $3,369 $2,245 $2,395 $3,588 $3,248

Total $8,194 $4,949 $6,439 $3,852 $4,680 $4,349

Total Money Ordered (in millions)

FY 2024 FY 2023 FY 2022 FY 2021 FY 2020 FY 2019

$345 $930 $937 $521 $602 $1,197

Money Distributed to Harmed Investors (in millions)



FISCAL YEAR 2024 ENFORCEMENT CASES 
LISTED BY PROGRAM AREA 

 

Case 
Name 

Type of  
Action 

Release 
No. 

Date 
Filed 

    
BROKER-DEALER       

    
In the Matter of Ronald E. Filoramo Follow-on Admin. Proc. 34-98716 10/11/23 
In the Matter of Bradley M. Holts Follow-on Admin. Proc. 34-98823 10/30/23 
In the Matter of Eric Christopher Cannon Follow-on Admin. Proc. 34-98827 10/31/23 
In the Matter of Laidlaw and Company (UK) Ltd. Standalone Admin. Proc. 34-98983 11/20/23 
In the Matter of Richard Michalski, et al. Standalone Admin. Proc. 34-98984 11/20/23 
In the Matter of Alan Z. Appelbaum Follow-on Admin. Proc. 33-11257 12/07/23 
In the Matter of Scott Levine Follow-on Admin. Proc. 34-99178 12/14/23 
In the Matter of Chingyuan "Gary" Chang Standalone Admin. Proc. 34-99239 12/26/23 
In the Matter of Jeffrey Alan Horn Follow-on Admin. Proc. 34-99254 12/29/23 
In the Matter of Brian Kingsfield Follow-on Admin. Proc. 34-99341 01/12/24 
In the Matter of Morgan Stanley & Co. LLC Standalone Admin. Proc. 34-99336 01/12/24 
In the Matter of Pawan Kumar Passi Standalone Admin. Proc. 34-99337 01/12/24 
In the Matter of Brent Seaman Follow-on Admin. Proc. 34-99388 01/18/24 
In the Matter of Douglas McKelvey Follow-on Admin. Proc. 34-99412 01/22/24 
SEC v. Aryeh Goldstein, et al.  Civil Injunctive LR-25930 01/23/24 
SEC v. Jesus Rodriguez Civil Injunctive LR-25932 01/24/24 
In the Matter of Robert Joseph Armijo Follow-on Admin. Proc. 34-99437 01/29/24 
In the Matter of Brijesh Goel Follow-on Admin. Proc. 34-99478 02/06/24 
In the Matter of Northwestern Mutual Investment Services, LLC, et al. Standalone Admin. Proc. 34-99501 02/09/24 
In the Matter of Key Investment Services LLC, et al. Standalone Admin. Proc. 34-99500 02/09/24 
In the Matter of Cambridge Investment Research, Inc., et al. Standalone Admin. Proc. 34-99498 02/09/24 
In the Matter of Lincoln Financial Advisors Corporation, et al. Standalone Admin. Proc. 34-99499 02/09/24 
In the Matter of Huntington Investment Company, et al. Standalone Admin. Proc. 34-99504 02/09/24 
In the Matter of Guggenheim Securities LLC, et al. Standalone Admin. Proc. 34-99502 02/09/24 
In the Matter of Oppenheimer & Co. Inc. Standalone Admin. Proc. 34-99503 02/09/24 
In the Matter of U.S. Bancorp Investments, Inc. Standalone Admin. Proc. 34-99505 02/09/24 
In the Matter of TIAA-CREF Individual & Institutional Services, LLC Standalone Admin. Proc. 34-99549 02/16/24 
In the Matter of Dale Jay Engelhardt Follow-on Admin. Proc. 34-99605 02/26/24 
In the Matter of Aryeh Goldstein Follow-on Admin. Proc. 34-99656 03/01/24 
In the Matter of ShapeShift AG Standalone Admin. Proc. 34-99676 03/05/24 
In the Matter of David P. Grzan Follow-on Admin. Proc. 34-99882 04/02/24 
In the Matter of Ronald M. Heineman Follow-on Admin. Proc. 34-99903 04/03/24 
SEC v. Mark Borden Civil Injunctive LR-25971 04/08/24 
In the Matter of Luis F. Serrano Follow-on Admin. Proc. 34-99953 04/12/24 
In the Matter of Julio Eduardo Taffinder Follow-on Admin. Proc. 34-99952 04/12/24 
In the Matter of Hayden F. Greene Follow-on Admin. Proc. 34-99948 04/12/24 
In the Matter of Mark Borden Follow-on Admin. Proc. 34-99985 04/17/24 

https://www.sec.gov/files/litigation/admin/2023/34-98716.pdf
https://www.sec.gov/files/litigation/admin/2023/34-98823.pdf
https://www.sec.gov/files/litigation/admin/2023/34-98827.pdf
https://www.sec.gov/files/litigation/admin/2023/34-98983.pdf
https://www.sec.gov/files/litigation/admin/2023/34-98984.pdf
https://www.sec.gov/files/litigation/admin/2023/33-11257.pdf
https://www.sec.gov/files/litigation/admin/2023/34-99178.pdf
https://www.sec.gov/files/litigation/admin/2023/34-99239.pdf
https://www.sec.gov/files/litigation/admin/2023/34-99254.pdf
https://www.sec.gov/files/litigation/admin/2024/34-99341.pdf
https://www.sec.gov/files/litigation/admin/2024/34-99336.pdf
https://www.sec.gov/files/litigation/admin/2024/34-99337.pdf
https://www.sec.gov/files/litigation/admin/2024/34-99388.pdf
https://www.sec.gov/files/litigation/admin/2024/34-99412.pdf
https://www.sec.gov/litigation/litreleases/lr-25930
https://www.sec.gov/litigation/litreleases/lr-25932
https://www.sec.gov/files/litigation/admin/2024/34-99437.pdf
https://www.sec.gov/files/litigation/admin/2024/34-99478.pdf
https://www.sec.gov/files/litigation/admin/2024/34-99501.pdf
https://www.sec.gov/files/litigation/admin/2024/34-99500.pdf
https://www.sec.gov/files/litigation/admin/2024/34-99498.pdf
https://www.sec.gov/files/litigation/admin/2024/34-99499.pdf
https://www.sec.gov/files/litigation/admin/2024/34-99504.pdf
https://www.sec.gov/files/litigation/admin/2024/34-99502.pdf
https://www.sec.gov/files/litigation/admin/2024/34-99503.pdf
https://www.sec.gov/files/litigation/admin/2024/34-99505.pdf
https://www.sec.gov/files/litigation/admin/2024/34-99549.pdf
https://www.sec.gov/files/litigation/admin/2024/34-99605.pdf
https://www.sec.gov/files/litigation/admin/2024/34-99656.pdf
https://www.sec.gov/files/litigation/admin/2024/34-99676.pdf
https://www.sec.gov/files/litigation/admin/2024/34-99882.pdf
https://www.sec.gov/files/litigation/admin/2024/34-99903.pdf
https://www.sec.gov/litigation/litreleases/lr-25971
https://www.sec.gov/files/litigation/admin/2024/34-99953.pdf
https://www.sec.gov/files/litigation/admin/2024/34-99952.pdf
https://www.sec.gov/files/litigation/admin/2024/34-99948.pdf
https://www.sec.gov/files/litigation/admin/2024/34-99985.pdf


In the Matter of Efren Norberto Quiroz Gardea Follow-on Admin. Proc. 34-100019 04/24/24 
In the Matter of Luis Ricardo Quiroz Gardea Follow-on Admin. Proc. 34-100018 04/24/24 
SEC v. Tri-Bridge Ventures, LLC, et al. Civil Injunctive LR-25987 04/29/24 
In the Matter of Timothy A. Nemeckay Follow-on Admin. Proc. 34-100045 05/01/24 
SEC v. Curt Kramer, et al. Civil Injunctive LR-25995 05/07/24 
In the Matter of Sean McManus Follow-on Admin. Proc. 34-100171 05/17/24 
In the Matter of George Rauch (f/k/a George B. Fasciano) Follow-on Admin. Proc. 34-100184 05/20/24 
In the Matter of Key Investment Services, LLC Standalone Admin. Proc. 34-100186 05/21/24 
In the Matter of Mark Allan Plummer Follow-on Admin. Proc. 34-100207 05/22/24 
In the Matter of Todd Stuart Breitling Follow-on Admin. Proc. 34-100238 05/29/24 
In the Matter of Gabriel Edelman Follow-on Admin. Proc. 34-100249 05/30/24 
In the Matter of John D. Fierro Follow-on Admin. Proc. 34-100339 06/14/24 
In the Matter of Brook Church-Koegel Follow-on Admin. Proc. 34-100381 06/18/24 
In the Matter of David H. Goldman Follow-on Admin. Proc. 34-100382 06/18/24 
In the Matter of Nicole J. Walker Follow-on Admin. Proc. 34-100383 06/18/24 
In the Matter of Dwayne Malloy Follow-on Admin. Proc. 34-100428 06/26/24 
In the Matter of LifeMark Securities Corp. Standalone Admin. Proc. 34-100616 07/29/24 
SEC v. Garrett W. Moretz Civil Injunctive LR-26061 07/29/24 
In the Matter of Geoffrey Wolterstorff Standalone Admin. Proc. 34-100615 07/29/24 
In the Matter of Western International Securities, Inc. Standalone Admin. Proc. 34-100618 07/30/24 
In the Matter of OTC Link LLC Standalone Admin. Proc. 34-100692 08/12/24 
In the Matter of Piper Sandler & Co. Standalone Admin. Proc. 34-100698 08/14/24 
In the Matter of Osaic Services, Inc., et al. Standalone Admin. Proc. 34-100701 08/14/24 
In the Matter of Great Point Capital, LLC Standalone Admin. Proc. 34-100696 08/14/24 
In the Matter of First Trust Portfolios L.P. Standalone Admin. Proc. 34-100700 08/14/24 
In the Matter of Cetera Advisor Networks LLC, et al. Standalone Admin. Proc. 34-100699 08/14/24 
In the Matter of Hilltop Securities Inc. Standalone Admin. Proc. 34-100697 08/14/24 
In the Matter of Truist Securities, Inc., et al. Standalone Admin. Proc. 34-100703 08/14/24 
In the Matter of TD Securities (USA) LLC, et al. Standalone Admin. Proc. 34-100711 08/14/24 
In the Matter of BNY Mellon Securities Corporation, et al. Standalone Admin. Proc. 34-100712 08/14/24 
In the Matter of Cowen and Company, LLC, et al. Standalone Admin. Proc. 34-100710 08/14/24 
In the Matter of Haitong International Securities (USA) Inc. Standalone Admin. Proc. 34-100708 08/14/24 
In the Matter of Apex Clearing Corporation Standalone Admin. Proc. 34-100702 08/14/24 
In the Matter of Wilson J. Rondini, III Follow-on Admin. Proc. 34-100728 08/15/24 
In the Matter of GHS Investments, LLC, et al. Standalone Admin. Proc. 34-100769 08/19/24 
In the Matter of Ronald Walter Hannes Follow-on Admin. Proc. 34-100976 09/09/24 
In the Matter of Frank M. Vecchio Follow-on Admin. Proc. 34-101008 09/12/24 
In the Matter of Anthony Guarino Standalone Admin. Proc. 34-101006 09/12/24 
In the Matter of Robert Seropian Standalone Admin. Proc. 34-101007 09/12/24 
In the Matter of eToro USA LLC Standalone Admin. Proc. 34-101001 09/12/24 
In the Matter of State Farm VP Management Corp. Standalone Admin. Proc. 34-101037 09/16/24 
In the Matter of Ralph M. Trigg Standalone Admin. Proc. 34-101035 09/16/24 
In the Matter of First Horizon Advisors, Inc. Standalone Admin. Proc. 34-101071 09/18/24 
In the Matter of Michael Trofimoff Follow-on Admin. Proc. 34-101101 09/19/24 
In the Matter of Regions Securities LLC Standalone Admin. Proc. 34-101140 09/24/24 
In the Matter of Invesco Distributors, Inc., et al. Standalone Admin. Proc. 34-101141 09/24/24 

https://www.sec.gov/files/litigation/admin/2024/34-100019.pdf
https://www.sec.gov/files/litigation/admin/2024/34-100018.pdf
https://www.sec.gov/litigation/litreleases/lr-25987
https://www.sec.gov/files/litigation/admin/2024/34-100045.pdf
https://www.sec.gov/litigation/litreleases/lr-25995
https://www.sec.gov/files/litigation/admin/2024/34-100171.pdf
https://www.sec.gov/files/litigation/admin/2024/34-100184.pdf
https://www.sec.gov/files/litigation/admin/2024/34-100186.pdf
https://www.sec.gov/files/litigation/admin/2024/34-100207.pdf
https://www.sec.gov/files/litigation/admin/2024/34-100238.pdf
https://www.sec.gov/files/litigation/admin/2024/34-100249.pdf
https://www.sec.gov/files/litigation/admin/2024/34-100339.pdf
https://www.sec.gov/files/litigation/admin/2024/34-100381_0.pdf
https://www.sec.gov/files/litigation/admin/2024/34-100382.pdf
https://www.sec.gov/files/litigation/admin/2024/34-100383.pdf
https://www.sec.gov/files/litigation/admin/2024/34-100428.pdf
https://www.sec.gov/files/litigation/admin/2024/34-100616.pdf
https://www.sec.gov/enforcement-litigation/litigation-releases/lr-26061
https://www.sec.gov/files/litigation/admin/2024/34-100615.pdf
https://www.sec.gov/files/litigation/admin/2024/34-100618.pdf
https://www.sec.gov/files/litigation/admin/2024/34-100692.pdf
https://www.sec.gov/files/litigation/admin/2024/34-100698.pdf
https://www.sec.gov/files/litigation/admin/2024/34-100701.pdf
https://www.sec.gov/files/litigation/admin/2024/34-100696.pdf
https://www.sec.gov/files/litigation/admin/2024/34-100700.pdf
https://www.sec.gov/files/litigation/admin/2024/34-100699.pdf
https://www.sec.gov/files/litigation/admin/2024/34-100697.pdf
https://www.sec.gov/files/litigation/admin/2024/34-100703.pdf
https://www.sec.gov/files/litigation/admin/2024/34-100711.pdf
https://www.sec.gov/files/litigation/admin/2024/34-100712.pdf
https://www.sec.gov/files/litigation/admin/2024/34-100710.pdf
https://www.sec.gov/files/litigation/admin/2024/34-100708.pdf
https://www.sec.gov/files/litigation/admin/2024/34-100702.pdf
https://www.sec.gov/files/litigation/admin/2024/34-100728.pdf
https://www.sec.gov/files/litigation/admin/2024/34-100769.pdf
https://www.sec.gov/files/litigation/admin/2024/34-100976.pdf
https://www.sec.gov/files/litigation/admin/2024/34-101008.pdf
https://www.sec.gov/files/litigation/admin/2024/34-101006.pdf
https://www.sec.gov/files/litigation/admin/2024/34-101007.pdf
https://www.sec.gov/files/litigation/admin/2024/34-101001.pdf
https://www.sec.gov/files/litigation/admin/2024/34-101037.pdf
https://www.sec.gov/files/litigation/admin/2024/34-101035.pdf
https://www.sec.gov/files/litigation/admin/2024/34-101071.pdf
https://www.sec.gov/files/litigation/admin/2024/34-101101.pdf
https://www.sec.gov/files/litigation/admin/2024/34-101140.pdf
https://www.sec.gov/files/litigation/admin/2024/34-101141.pdf


In the Matter of Alpaca Securities LLC Standalone Admin. Proc. 34-101137 09/24/24 
In the Matter of Canaccord Genuity LLC Standalone Admin. Proc. 34-101142 09/24/24 
In the Matter of CIBC World Markets Corp., et al. Standalone Admin. Proc. 34-101138 09/24/24 
In the Matter of Intesa Sanpaolo IMI Securities Corp. Standalone Admin. Proc. 34-101139 09/24/24 
In the Matter of Qatalyst Partners LP Standalone Admin. Proc. 34-101143 09/24/24 
In the Matter of Stifel, Nicolaus & Company, Inc. Standalone Admin. Proc. 34-101144 09/24/24 
In the Matter of Chimene Van Gundy Follow-on Admin. Proc. 34-101188 09/25/24 
In the Matter of Elevation, LLC  Standalone Admin. Proc. 34-101183 09/25/24 
In the Matter of Investment Security Corporation  Standalone Admin. Proc. 34-101184 09/25/24 
In the Matter of LODAS Securities, LLC  Standalone Admin. Proc. 34-101185 09/25/24 
In the Matter of Ministry Partners Securities, LLC  Standalone Admin. Proc. 34-101186 09/25/24 
In the Matter of Vistia Capital, LLC  Standalone Admin. Proc. 34-101187 09/25/24 
In the Matter of Moloney Securities Co., Inc., et al. Standalone Admin. Proc. 34-101213 09/27/24 
SEC v. Robert M. Vance Civil Injunctive LR-26139 09/27/24 
In the Matter of TD Securities (USA) LLC Standalone Admin. Proc. 33-11314 09/30/24 
    
DELINQUENT FILINGS       

    
In the Matter of Continental Energy Corp.  Standalone Admin. Proc. 34-99004 11/21/23 
In the Matter of ACCPAC International, Inc. (n/k/a Sage Software, Inc.)  Standalone Admin. Proc. 34-99607 02/26/24 
In the Matter of American CryoStem Corporation Standalone Admin. Proc. 34-99608 02/26/24 
In the Matter of Applied Minerals, Inc. Standalone Admin. Proc. 34-99611 02/27/24 
In the Matter of Cang Bao Tian Xia International Art Trade Center, Inc. Standalone Admin. Proc. 34-99612 02/27/24 
In the Matter of Ecco Auto World Corp. Standalone Admin. Proc. 34-99615 02/27/24 
In the Matter of Edge Data Solutions, Inc. Standalone Admin. Proc. 34-99616 02/27/24 
In the Matter of Global Wholehealth Partners Corporation Standalone Admin. Proc. 34-99631 02/29/24 
In the Matter of Green Hygienics Holdings, Inc. Standalone Admin. Proc. 34-99632 02/29/24 
In the Matter of HQDA Elderly Life Network Corp. Standalone Admin. Proc. 34-99629 02/29/24 
In the Matter of Ionix Technology, Inc. Standalone Admin. Proc. 34-99630 02/29/24 
In the Matter of MBG Holdings, Inc. (f/k/a American Metals Recovery and Recycling, Inc.) Standalone Admin. Proc. 34-99648 02/29/24 
In the Matter of nDivision Inc. Standalone Admin. Proc. 34-99649 02/29/24 
In the Matter of VOSB Acquisition Corp. I Standalone Admin. Proc. 34-99626 02/29/24 
In the Matter of WedoTalk Inc. Standalone Admin. Proc. 34-99627 02/29/24 
In the Matter of Western Magnesium Corp. Standalone Admin. Proc. 34-99628 02/29/24 
In the Matter of Colambda Technologies, Inc. (f/k/a New Century Resources Corporation)  Standalone Admin. Proc. 34-99660 03/04/24 
In the Matter of Discovery Energy Corp. Standalone Admin. Proc. 34-99661 03/04/24 
In the Matter of ESP Resources, Inc. (n/k/a Great Tang Bid Technology, Inc.) Standalone Admin. Proc. 34-99672 03/05/24 
In the Matter of Fearless Films, Inc. Standalone Admin. Proc. 34-99673 03/05/24 
In the Matter of Fovea Jewelry Holdings Ltd. Standalone Admin. Proc. 34-99674 03/05/24 
In the Matter of Gene Biotherapeutics, Inc. (f/k/a Taxus Cardium Pharmaceuticals Group, Inc.) Standalone Admin. Proc. 34-99675 03/05/24 
In the Matter of Daniels Corporate Advisory Company, Inc. Standalone Admin. Proc. 34-100763 08/19/24 
In the Matter of Arch Leasing Corp Trust Standalone Admin. Proc. 34-100764 08/19/24 
In the Matter of Herzog International Holdings, Inc. Standalone Admin. Proc. 34-100760 08/19/24 
In the Matter of Image Chain Group Limited, Inc. Standalone Admin. Proc. 34-100761 08/19/24 
In the Matter of WindGen Energy, Inc. Standalone Admin. Proc. 34-100765 08/19/24 
In the Matter of ZZLL Information Technology, Inc. Standalone Admin. Proc. 34-100766 08/19/24 

https://www.sec.gov/files/litigation/admin/2024/34-101137.pdf
https://www.sec.gov/files/litigation/admin/2024/34-101142.pdf
https://www.sec.gov/files/litigation/admin/2024/34-101138.pdf
https://www.sec.gov/files/litigation/admin/2024/34-101139.pdf
https://www.sec.gov/files/litigation/admin/2024/34-101143.pdf
https://www.sec.gov/files/litigation/admin/2024/34-101144.pdf
https://www.sec.gov/files/litigation/admin/2024/34-101188.pdf
https://www.sec.gov/files/litigation/admin/2024/34-101183.pdf
https://www.sec.gov/files/litigation/admin/2024/34-101184.pdf
https://www.sec.gov/files/litigation/admin/2024/34-101185.pdf
https://www.sec.gov/files/litigation/admin/2024/34-101186.pdf
https://www.sec.gov/files/litigation/admin/2024/34-101187.pdf
https://www.sec.gov/files/litigation/admin/2024/34-101213.pdf
https://www.sec.gov/enforcement-litigation/litigation-releases/lr-26139
https://www.sec.gov/files/litigation/admin/2024/33-11314.pdf
https://www.sec.gov/files/litigation/admin/2023/34-99004.pdf
https://www.sec.gov/files/litigation/admin/2024/34-99607.pdf
https://www.sec.gov/files/litigation/admin/2024/34-99608.pdf
https://www.sec.gov/files/litigation/admin/2024/34-99611.pdf
https://www.sec.gov/files/litigation/admin/2024/34-99612.pdf
https://www.sec.gov/files/litigation/admin/2024/34-99615.pdf
https://www.sec.gov/files/litigation/admin/2024/34-99616.pdf
https://www.sec.gov/files/litigation/admin/2024/34-99631.pdf
https://www.sec.gov/files/litigation/admin/2024/34-99632.pdf
https://www.sec.gov/files/litigation/admin/2024/34-99629.pdf
https://www.sec.gov/files/litigation/admin/2024/34-99630.pdf
https://www.sec.gov/files/litigation/admin/2024/34-99648.pdf
https://www.sec.gov/files/litigation/admin/2024/34-99649.pdf
https://www.sec.gov/files/litigation/admin/2024/34-99626.pdf
https://www.sec.gov/files/litigation/admin/2024/34-99627.pdf
https://www.sec.gov/files/litigation/admin/2024/34-99628.pdf
https://www.sec.gov/files/litigation/admin/2024/34-99660.pdf
https://www.sec.gov/files/litigation/admin/2024/34-99661.pdf
https://www.sec.gov/files/litigation/admin/2024/34-99672.pdf
https://www.sec.gov/files/litigation/admin/2024/34-99673.pdf
https://www.sec.gov/files/litigation/admin/2024/34-99674.pdf
https://www.sec.gov/files/litigation/admin/2024/34-99675.pdf
https://www.sec.gov/files/litigation/admin/2024/34-100763.pdf
https://www.sec.gov/files/litigation/admin/2024/34-100764.pdf
https://www.sec.gov/files/litigation/admin/2024/34-100760.pdf
https://www.sec.gov/files/litigation/admin/2024/34-100761.pdf
https://www.sec.gov/files/litigation/admin/2024/34-100765.pdf
https://www.sec.gov/files/litigation/admin/2024/34-100766.pdf


In the Matter of Quantrx Biomedical Corporation Standalone Admin. Proc. 34-100775 08/20/24 
In the Matter of Rayont Inc. Standalone Admin. Proc. 34-100776 08/20/24 
In the Matter of Vetanova, Inc. Standalone Admin. Proc. 34-100781 08/20/24 
In the Matter of VII Peaks Co-Optivist Income BDC II, Inc. Standalone Admin. Proc. 34-100782 08/20/24 
In the Matter of Diego Pellicer Worldwide, Inc. Standalone Admin. Proc. 34-100801 08/21/24 
In the Matter of FISION Corporation, f/k/a DE Acquisition 6, Inc. Standalone Admin. Proc. 34-100800 08/21/24 
In the Matter of Impax Laboratories, LLC Standalone Admin. Proc. 34-100795 08/21/24 
In the Matter of LGBTQ Loyalty Holdings, Inc. Standalone Admin. Proc. 34-100796 08/21/24 
In the Matter of Perk International, Inc. Standalone Admin. Proc. 34-100821 08/27/24 
In the Matter of Petrogress, Inc. Standalone Admin. Proc. 34-100822 08/27/24 
In the Matter of Amanasu Environment Corp. Standalone Admin. Proc. 34-100889 09/03/24 
In the Matter of Charrette de Cafe, Corp. Standalone Admin. Proc. 34-100890 09/03/24 
In the Matter of Cordia Corp. Standalone Admin. Proc. 34-100898 09/03/24 
In the Matter of Empire Global Gaming, Inc. Standalone Admin. Proc. 34-100899 09/03/24 
In the Matter of Commerce Group Corp. /WI/ Standalone Admin. Proc. 34-100909 09/04/24 
In the Matter of Community Medical Transport, Inc. Standalone Admin. Proc. 34-100910 09/04/24 
In the Matter of Harvey Electronics, Inc. Standalone Admin. Proc. 34-100911 09/04/24 
In the Matter of Kallo, Inc.  Standalone Admin. Proc. 34-100912 09/04/24 
In the Matter of Major League Football Inc. Standalone Admin. Proc. 34-100913 09/04/24 
In the Matter of Max Sound Corp. Standalone Admin. Proc. 34-100914 09/04/24 
In the Matter of Motos America, Inc. Standalone Admin. Proc. 34-100915 09/04/24 
In the Matter of Nanomix Corp. Standalone Admin. Proc. 34-100916 09/04/24 
In the Matter of Navitas International Corp. Standalone Admin. Proc. 34-100921 09/04/24 
In the Matter of Palayan Resources, Inc. Standalone Admin. Proc. 34-100922 09/04/24 
In the Matter of Powertech Industries Inc. Standalone Admin. Proc. 34-100923 09/04/24 
In the Matter of Rhino Biotech Ltd. (f/k/a Eurasia Energy Ltd.) Standalone Admin. Proc. 34-100925 09/04/24 
In the Matter of Salt Blockchain Inc. Standalone Admin. Proc. 34-100955 09/05/24 
In the Matter of LexaGene Holdings Inc. Standalone Admin. Proc. 34-100931 09/05/24 
In the Matter of United Capital Consultants Inc. Standalone Admin. Proc. 34-100932 09/05/24 
In the Matter of Veroni Brands Corp. Standalone Admin. Proc. 34-100933 09/05/24 
In the Matter of Atlas Financial Holdings, Inc. Standalone Admin. Proc. 34-101220 09/30/24 
        
FOREIGN CORRUPT PRACTICES ACT       

    
In the Matter of SAP SE Standalone Admin. Proc. 34-99308 01/10/24 
In the Matter of Deere & Company Standalone Admin. Proc. 34-100984 09/10/24 
    
INSIDER TRADING       

    
SEC v. Brian Marc Rubin Civil Injunctive LR-25882 10/17/23 
In the Matter of Joseph Conlan Standalone Admin. Proc. 34-98824 10/30/23 
In the Matter of Tian "Tony" Tian Standalone Admin. Proc. 34-99410 01/22/24 
SEC v. Tyler Loudon Civil Injunctive LR-26013 02/22/24 
In the Matter of Hemant Agrawal Standalone Admin. Proc. 34-99666 03/04/24 
SEC v. Roy M. Cook, et al. Civil Injunctive LR-25948 03/12/24 
SEC v. Jordan Qsar, et al.  Civil Injunctive LR-25956 03/26/24 
SEC v. Andreas Bechtolsheim Civil Injunctive LR-25955 03/26/24 

https://www.sec.gov/files/litigation/admin/2024/34-100775.pdf
https://www.sec.gov/files/litigation/admin/2024/34-100776.pdf
https://www.sec.gov/files/litigation/admin/2024/34-100781.pdf
https://www.sec.gov/files/litigation/admin/2024/34-100782.pdf
https://www.sec.gov/files/litigation/admin/2024/34-100801.pdf
https://www.sec.gov/files/litigation/admin/2024/34-100800.pdf
https://www.sec.gov/files/litigation/admin/2024/34-100795.pdf
https://www.sec.gov/files/litigation/admin/2024/34-100796.pdf
https://www.sec.gov/files/litigation/admin/2024/34-100821.pdf
https://www.sec.gov/files/litigation/admin/2024/34-100822.pdf
https://www.sec.gov/files/litigation/admin/34-100889.pdf
https://www.sec.gov/files/litigation/admin/2024/34-100890.pdf
https://www.sec.gov/files/litigation/admin/2024/34-100898.pdf
https://www.sec.gov/files/litigation/admin/2024/34-100899.pdf
https://www.sec.gov/files/litigation/admin/2024/34-100909.pdf
https://www.sec.gov/files/litigation/admin/2024/34-100910.pdf
https://www.sec.gov/files/litigation/admin/2024/34-100911.pdf
https://www.sec.gov/files/litigation/admin/2024/34-100912.pdf
https://www.sec.gov/files/litigation/admin/2024/34-100913.pdf
https://www.sec.gov/files/litigation/admin/2024/34-100914.pdf
https://www.sec.gov/files/litigation/admin/2024/34-100915.pdf
https://www.sec.gov/files/litigation/admin/2024/34-100916.pdf
https://www.sec.gov/files/litigation/admin/2024/34-100921.pdf
https://www.sec.gov/files/litigation/admin/34-100922.pdf
https://www.sec.gov/files/litigation/admin/2024/34-100923.pdf
https://www.sec.gov/files/litigation/admin/2024/34-100925.pdf
https://www.sec.gov/files/litigation/admin/2024/34-100955.pdf
https://www.sec.gov/files/litigation/admin/2024/34-100931.pdf
https://www.sec.gov/files/litigation/admin/2024/34-100932.pdf
https://www.sec.gov/files/litigation/admin/2024/34-100933.pdf
https://www.sec.gov/files/litigation/opinions/2024/34-101220.pdf
https://www.sec.gov/files/litigation/admin/2024/34-99308.pdf
https://www.sec.gov/files/litigation/admin/2024/34-100984.pdf
https://www.sec.gov/litigation/litreleases/lr-25882
https://www.sec.gov/files/litigation/admin/2023/34-98824.pdf
https://www.sec.gov/files/litigation/admin/2024/34-99410.pdf
https://www.sec.gov/litigation/litreleases/lr-26013
https://www.sec.gov/files/litigation/admin/2024/34-99666.pdf
https://www.sec.gov/litigation/litreleases/lr-25948
https://www.sec.gov/litigation/litreleases/lr-25956
https://www.sec.gov/litigation/litreleases/lr-25955


In the Matter of Anthony Manna Standalone Admin. Proc. 34-99926 04/09/24 
In the Matter of Michael Sapraicone Standalone Admin. Proc. 34-99927 04/09/24 
In the Matter of Joseph Young Standalone Admin. Proc. 34-99928 04/09/24 
SEC v. Kevin Crotty Civil Injunctive LR-25985 04/26/24 
SEC v. Sanjay Bhandari, et al. Civil Injunctive LR-25989 04/30/24 
In the Matter of John M. Moretz Standalone Admin. Proc. 34-100054 05/03/24 
In the Matter of Steven Masterson Standalone Admin. Proc. 34-100064 05/06/24 
In the Matter of Gene Daniel Levoff, Esq. Follow-on Admin. Proc. 34-100082 05/08/24 
SEC v. Frank T. Poerio, Jr. Civil Injunctive LR-26002 05/10/24 
In the Matter of Teresa Perez De Madrid Standalone Admin. Proc. 34-100201 05/21/24 
SEC v. Andre Wong Civil Injunctive LR-26016 06/03/24 
In the Matter of Anders J. Lindgren Standalone Admin. Proc. 34-100280 06/06/24 
In the Matter of Robert J. Schettino Standalone Admin. Proc. 34-100419 06/25/24 
SEC v. Charles Baugh Civil Injunctive LR-26062 07/30/24 
SEC v. Steven D. Targum, et al.  Civil Injunctive LR-26070 08/08/24 
In the Matter of Dileep Murthy Standalone Admin. Proc. 34-100819 08/26/24 
In the Matter of Maggie Chen Standalone Admin. Proc. 34-100846 08/28/24 
In the Matter of Stephen Forlano Standalone Admin. Proc. 34-100979 09/09/24 
In the Matter of Matthew P. Forlano Standalone Admin. Proc. 34-100978 09/09/24 
In the Matter of James M. Phillips Standalone Admin. Proc. 34-100977 09/09/24 
SEC v. Philip Markin Civil Injunctive LR-26113 09/10/24 
SEC v. Dishant Gupta Civil Injunctive LR-26103 09/10/24 
SEC v. Federico Nannini, et al. Civil Injunctive LR-26108 09/13/24 
SEC v. Barry Siegel Civil Injunctive LR-26123 09/24/24 
SEC v. Bryan Scott McMillan Civil Injunctive LR-26133 09/26/24 
In the Matter of Eric Hannelius Standalone Admin. Proc. 34-101210 09/27/24 
In the Matter of Austin Kauh Standalone Admin. Proc. 34-101202 09/27/24 
    
INVESTMENT ADVISERS / INVESTMENT COMPANIES       

    
In the Matter of Wilmington Trust Investment Management, LLC Standalone Admin. Proc. IA-6455 10/10/23 
In the Matter of Collaborative Financial Consulting LLC, et al. Standalone Admin. Proc. IA-6457 10/11/23 
SEC v. Julie Anne Darrah, et al. Civil Injunctive LR-25885 10/20/23 
In the Matter of Brian Keat Hobbs Follow-on Admin. Proc. IA-6470 10/24/23 
In the Matter of BlackRock Advisors, LLC Standalone Admin. Proc. IA-6468 10/24/23 
In the Matter of Patrick N. Thayer Follow-on Admin. Proc. 34-98840 11/01/23 
SEC v. John Hughes Civil Injunctive LR-25889 11/02/23 
In the Matter of Ronald T. Molo Follow-on Admin. Proc. 34-98890 11/08/23 
In the Matter of Jeremy Shor Follow-on Admin. Proc. IA-6481 11/08/23 
SEC v. John A. Masanotti, Jr., et al.  Civil Injunctive LR-25891 11/09/23 
In the Matter of Jack C. Ridall Follow-on Admin. Proc. IA-6483 11/14/23 
In the Matter of Marguerite Cassandra Toroian Follow-on Admin. Proc. IA-6486 11/20/23 
SEC v. Brite Advisors USA, Inc. Civil Injunctive LR-25900 11/21/23 
In the Matter of Michael V. Shustek Follow-on Admin. Proc. 34-99006 11/21/23 
SEC v. Jonathan Larmore, et al. Civil Injunctive LR-25917 11/28/23 
In the Matter of Eagan Capital Management, LLC Standalone Admin. Proc. IA-6491 12/01/23 

https://www.sec.gov/files/litigation/admin/2024/34-99926.pdf
https://www.sec.gov/files/litigation/admin/2024/34-99927.pdf
https://www.sec.gov/files/litigation/admin/2024/34-99928.pdf
https://www.sec.gov/litigation/litreleases/lr-25985
https://www.sec.gov/litigation/litreleases/lr-25989
https://www.sec.gov/files/litigation/admin/2024/34-100054.pdf
https://www.sec.gov/files/litigation/admin/2024/34-100064.pdf
https://www.sec.gov/files/litigation/admin/2024/34-100082.pdf
https://www.sec.gov/litigation/litreleases/lr-26002
https://www.sec.gov/files/litigation/admin/2024/34-100201.pdf
https://www.sec.gov/litigation/litreleases/lr-26016
https://www.sec.gov/files/litigation/admin/2024/34-100280.pdf
https://www.sec.gov/files/litigation/admin/2024/34-100419.pdf
https://www.sec.gov/enforcement-litigation/litigation-releases/lr-26062
https://www.sec.gov/enforcement-litigation/litigation-releases/lr-26070
https://www.sec.gov/files/litigation/admin/2024/34-100819.pdf
https://www.sec.gov/files/litigation/admin/2024/34-100846.pdf
https://www.sec.gov/files/litigation/admin/2024/34-100979.pdf
https://www.sec.gov/files/litigation/admin/2024/34-100978.pdf
https://www.sec.gov/files/litigation/admin/2024/34-100977.pdf
https://www.sec.gov/enforcement-litigation/litigation-releases/lr-26113
https://www.sec.gov/enforcement-litigation/litigation-releases/lr-26103
https://www.sec.gov/enforcement-litigation/litigation-releases/lr-26108
https://www.sec.gov/enforcement-litigation/litigation-releases/lr-26123
https://www.sec.gov/enforcement-litigation/litigation-releases/lr-26133
https://www.sec.gov/files/litigation/admin/2024/34-101210.pdf
https://www.sec.gov/files/litigation/admin/2024/34-101202.pdf
https://www.sec.gov/files/litigation/admin/2023/ia-6455.pdf
https://www.sec.gov/files/litigation/admin/2023/ia-6457.pdf
https://www.sec.gov/litigation/litreleases/lr-25885
https://www.sec.gov/files/litigation/admin/2023/ia-6470.pdf
https://www.sec.gov/files/litigation/admin/2023/ia-6468.pdf
https://www.sec.gov/files/litigation/admin/2023/34-98840.pdf
https://www.sec.gov/litigation/litreleases/lr-25889
https://www.sec.gov/files/litigation/admin/2023/34-98890.pdf
https://www.sec.gov/files/litigation/admin/2023/ia-6481.pdf
https://www.sec.gov/litigation/litreleases/lr-25891
https://www.sec.gov/files/litigation/admin/2023/ia-6483.pdf
https://www.sec.gov/files/litigation/admin/2023/ia-6486.pdf
https://www.sec.gov/litigation/litreleases/lr-25900
https://www.sec.gov/files/litigation/admin/2023/34-99006.pdf
https://www.sec.gov/litigation/litreleases/lr-25917
https://www.sec.gov/files/litigation/admin/2023/ia-6491.pdf


In the Matter of Scott Wayne Reed Follow-on Admin. Proc. 34-99128 12/11/23 
In the Matter of Credit Suisse Securities (USA) LLC, et al. Standalone Admin. Proc. 34-99158 12/13/23 
SEC v. Justin Murphy, et al.  Civil Injunctive LR-25911 12/14/23 
In the Matter of Jon Darrell Seawright Follow-on Admin. Proc. IA-6509 12/20/23 
In the Matter of Ted Brent Alexander Follow-on Admin. Proc. IA-6508 12/20/23 
In the Matter of OEP Capital Advisors, L.P. Standalone Admin. Proc. IA-6514 12/26/23 
In the Matter of Mark Marchi Follow-on Admin. Proc. IA-6520 01/02/24 
In the Matter of Dean Tellone Follow-on Admin. Proc. IA-6531 01/16/24 
In the Matter of Marc J. Frankel Follow-on Admin. Proc. IA-6533 01/24/24 
In the Matter of Aon Investments USA Inc. fka Aon Hewitt Investment Consulting, Inc. Standalone Admin. Proc. IA-6536 01/25/24 
In the Matter of Claire P. Shaughnessy Standalone Admin. Proc. IA-6535 01/25/24 
In the Matter of David B. Bodner Standalone Admin. Proc. IA-6540 02/02/24 
In the Matter of Rafael Vargas Follow-on Admin. Proc. IA-6558 02/15/24 
In the Matter of Van Eck Associates Corporation Standalone Admin. Proc. IC-35132 02/16/24 
In the Matter of Andrew M. Komarow Follow-on Admin. Proc. 34-99560 02/20/24 
In the Matter of Louis Peter Goff Follow-on Admin. Proc. 34-99659 03/04/24 
In the Matter of 3D/L Capital Management, LLC Standalone Admin. Proc. IA-6568 03/06/24 
In the Matter of Delphia (USA) Inc.  Standalone Admin. Proc. IA-6573 03/18/24 
In the Matter of Global Predictions, Inc. Standalone Admin. Proc. IA-6574 03/18/24 
In the Matter of Senvest Management, LLC Standalone Admin. Proc. IA-6581 04/03/24 
In the Matter of Thomas Brenner Follow-on Admin. Proc. 34-99894 04/03/24 
In the Matter of Gea Sphere, LLC  Standalone Admin. Proc. IA-6585 04/12/24 
In the Matter of Bradesco Global Advisors Inc.  Standalone Admin. Proc. IA-6589 04/12/24 
In the Matter of Insight Securities, Inc. Standalone Admin. Proc. IA-6586 04/12/24 
In the Matter of Monex Asset Management, Inc.  Standalone Admin. Proc. IA-6587 04/12/24 
In the Matter of Credicorp Capital Advisors LLC Standalone Admin. Proc. IA-6588 04/12/24 
In the Matter of Scott Lindell Follow-on Admin. Proc. IA-6591 04/16/24 
In the Matter of LM Global Investments LLC, d/b/a Fratarcangeli Wealth Management, et al. Standalone Admin. Proc. IA-6593 04/22/24 
In the Matter of William E. Miller Follow-on Admin. Proc. IA-6594 04/22/24 
SEC v. Craig Allen Civil Injunctive LR-25984 04/24/24 
In the Matter of Catalyst Capital Advisors LLC Standalone Admin. Proc. IA-6597 04/29/24 
In the Matter of Nashid I. Ali, et al.  Standalone Admin. Proc. IA-6600 05/07/24 
In the Matter of Michael E. Lewitt Follow-on Admin. Proc. IA-6601 05/10/24 
In the Matter of Brenda A. Smith Follow-on Admin. Proc. 34-100106 05/10/24 
In the Matter of Hudson Valley Wealth Management, Inc., et al. Standalone Admin. Proc. IA-6603 05/14/24 
In the Matter of Varun Aggarwal, CPA Standalone Admin. Proc. 34-100165 05/17/24 
In the Matter of Raymond Lawrence Lent (dba The Putney Financial Group, Registered 
Investment Advisors) 

Standalone Admin. Proc. 34-100183 05/20/24 

In the Matter of Mass Ave Global Inc. Standalone Admin. Proc. IA-6615 05/29/24 
In the Matter of Winston Mubai Feng Standalone Admin. Proc. IA-6616 05/29/24 
SEC v. Frank Lynold Mercado, et al. Civil Injunctive LR-26012 05/30/24 
In the Matter of Michael Mooney Follow-on Admin. Proc. IA-6618 06/05/24 
In the Matter of Britt Wright Follow-on Admin. Proc. IA-6619 06/05/24 
In the Matter of Penny Flippen Follow-on Admin. Proc. IA-6620 06/05/24 
In the Matter of Paul R. McGonigle Follow-on Admin. Proc. 34-100285 06/06/24 
In the Matter of Anson Funds Management, LP, et al.  Standalone Admin. Proc. IA-6622 06/11/24 
In the Matter of Joseph Andrew Paul Follow-on Admin. Proc. 34-100323 06/12/24 

https://www.sec.gov/files/litigation/admin/2023/34-99128.pdf
https://www.sec.gov/files/litigation/admin/2023/34-99158.pdf
https://www.sec.gov/litigation/litreleases/lr-25911
https://www.sec.gov/files/litigation/admin/2023/ia-6509.pdf
https://www.sec.gov/files/litigation/admin/2023/ia-6508.pdf
https://www.sec.gov/files/litigation/admin/2023/ia-6514.pdf
https://www.sec.gov/files/litigation/admin/2024/ia-6520.pdf
https://www.sec.gov/files/litigation/admin/2024/ia-6531.pdf
https://www.sec.gov/files/litigation/admin/2024/ia-6533.pdf
https://www.sec.gov/files/litigation/admin/2024/ia-6536.pdf
https://www.sec.gov/files/litigation/admin/2024/ia-6535.pdf
https://www.sec.gov/files/litigation/admin/2024/ia-6540.pdf
https://www.sec.gov/files/litigation/admin/2024/ia-6558.pdf
https://www.sec.gov/files/litigation/admin/2024/ic-35132.pdf
https://www.sec.gov/files/litigation/admin/2024/34-99560.pdf
https://www.sec.gov/files/litigation/admin/2024/34-99659.pdf
https://www.sec.gov/files/litigation/admin/2024/ia-6568.pdf
https://www.sec.gov/files/litigation/admin/2024/ia-6573.pdf
https://www.sec.gov/files/litigation/admin/2024/ia-6574.pdf
https://www.sec.gov/files/litigation/admin/2024/ia-6581.pdf
https://www.sec.gov/files/litigation/admin/2024/34-99894.pdf
https://www.sec.gov/files/litigation/admin/2024/ia-6585.pdf
https://www.sec.gov/files/litigation/admin/2024/ia-6589.pdf
https://www.sec.gov/files/litigation/admin/2024/ia-6586.pdf
https://www.sec.gov/files/litigation/admin/2024/ia-6587.pdf
https://www.sec.gov/files/litigation/admin/2024/ia-6588.pdf
https://www.sec.gov/files/litigation/admin/2024/ia-6591.pdf
https://www.sec.gov/files/litigation/admin/2024/ia-6593.pdf
https://www.sec.gov/files/litigation/admin/2024/ia-6594.pdf
https://www.sec.gov/litigation/litreleases/lr-25984
https://www.sec.gov/files/litigation/admin/2024/ia-6597.pdf
https://www.sec.gov/files/litigation/admin/2024/ia-6600.pdf
https://www.sec.gov/files/litigation/admin/2024/ia-6601.pdf
https://www.sec.gov/files/litigation/admin/2024/34-100106.pdf
https://www.sec.gov/files/litigation/admin/2024/ia-6603.pdf
https://www.sec.gov/files/litigation/admin/2024/34-100165.pdf
https://www.sec.gov/files/litigation/admin/2024/34-100183.pdf
https://www.sec.gov/files/litigation/admin/2024/ia-6615.pdf
https://www.sec.gov/files/litigation/admin/2024/ia-6616.pdf
https://www.sec.gov/litigation/litreleases/lr-26012
https://www.sec.gov/files/litigation/admin/2024/ia-6618.pdf
https://www.sec.gov/files/litigation/admin/2024/ia-6619.pdf
https://www.sec.gov/files/litigation/admin/2024/ia-6620.pdf
https://www.sec.gov/files/litigation/admin/2024/34-100285.pdf
https://www.sec.gov/files/litigation/admin/2024/ia-6622.pdf
https://www.sec.gov/files/litigation/admin/2024/34-100323.pdf


SEC v. Joshua Charles Avikzer Goltry, et al.  Civil Injunctive LR-26028 06/12/24 
In the Matter of Twenty Acre Capital LP Standalone Admin. Proc. IA-6628 06/14/24 
In the Matter of David Sheldon Wells Follow-on Admin. Proc. 34-100351 06/17/24 
In the Matter of Lufkin Advisors, LLC Follow-on Admin. Proc. IA-6634 06/26/24 
In the Matter of Chauncey Forbush Lufkin, III Follow-on Admin. Proc. IA-6635 06/26/24 
In the Matter of The Pacific Financial Group, Inc. Standalone Admin. Proc. IA-6646 08/09/24 
In the Matter of Cadaret, Grant & Co., Inc. Standalone Admin. Proc. 34-100691 08/12/24 
In the Matter of P. Schoenfeld Asset Management LP  Standalone Admin. Proc. IA-6652 08/14/24 
In the Matter of Ameriprise Financial Services, LLC Standalone Admin. Proc. 34-100707 08/14/24 
In the Matter of Edward D. Jones & Co., L.P. Standalone Admin. Proc. 34-100704 08/14/24 
In the Matter of LPL Financial LLC Standalone Admin. Proc. 34-100709 08/14/24 
In the Matter of Raymond James & Associates, Inc. Standalone Admin. Proc. 34-100705 08/14/24 
In the Matter of RBC Capital Markets, LLC Standalone Admin. Proc. 34-100706 08/14/24 
In the Matter of FPA Real Estate Advisers Group, LLC Standalone Admin. Proc. IA-6663 08/19/24 
SEC v. Peter J. DeCaprio, et al.  Civil Injunctive LR-26080 08/21/24 
In the Matter of Cedar Legacy LLC Standalone Admin. Proc. IA-6665 08/23/24 
In the Matter of Sound Point Capital Management, LP Standalone Admin. Proc. IA-6666 08/26/24 
In the Matter of Perry Santillo Follow-on Admin. Proc. 34-100848 08/28/24 
In the Matter of Peter J. DeCaprio Follow-on Admin. Proc. IA-6669 08/30/24 
SEC v. Wisdom Capital Management Group Ltd. Civil Injunctive LR-26089 08/30/24 
In the Matter of Galois Capital Management LLC Standalone Admin. Proc. IA-6670 09/03/24 
SEC v. Black Dragon Capital, LLC, et al. Civil Injunctive LR-26095 09/03/24 
In the Matter of International Assets Investment Management, LLC Standalone Admin. Proc. IA-6673 09/03/24 
In the Matter of Colony Capital Investment Advisors, LLC Standalone Admin. Proc. IA-6671 09/03/24 
In the Matter of ClearPath Capital Partners, LLC Standalone Admin. Proc. IA-6672 09/03/24 
In the Matter of Sean Kelly Follow-on Admin. Proc. IA-6675 09/04/24 
SEC v. Raskob Kambourian Financial Advisors, Ltd. Civil Injunctive LR-26097 09/05/24 
In the Matter of Arcis Capital Investment Advisors LLC Standalone Admin. Proc. IA-6676 09/05/24 
SEC v. Donald Anthony Wright, et al. Civil Injunctive LR-26100 09/09/24 
In the Matter of Abacus Planning Group, Inc. Standalone Admin. Proc. IA-6678 09/09/24 
In the Matter of AZ Apice Capital Management LLC Standalone Admin. Proc. IA-6679 09/09/24 
In the Matter of Droms Strauss Advisors Inc., d/b/a Droms Strauss Wealth Management Standalone Admin. Proc. IA-6680 09/09/24 
In the Matter of Howard Bailey Securities, LLC Standalone Admin. Proc. IA-6681 09/09/24 
In the Matter of TS Bank d/b/a Callahan Financial Planning Standalone Admin. Proc. IA-6686 09/09/24 
In the Matter of Integrated Advisors Network LLC Standalone Admin. Proc. IA-6682 09/09/24 
In the Matter of Beta Wealth Group, Inc.  Standalone Admin. Proc. IA-6684 09/09/24 
In the Matter of Anthony Spencer Follow-on Admin. Proc. IA-6687 09/09/24 
In the Matter of Farnham Fisher Collins d/b/a Collins Capital Management  Standalone Admin. Proc. IA-6688 09/09/24 
In the Matter of Richard Bernstein Advisors LLC Standalone Admin. Proc. IA-6685 09/09/24 
In the Matter of Professional Financial Strategies, Inc.  Standalone Admin. Proc. IA-6683 09/09/24 
In the Matter of Jeffrey Ward Follow-on Admin. Proc. IA-6690 09/10/24 
In the Matter of Hi2 Investment Management, LLC Standalone Admin. Proc. IA-6691 09/10/24 
In the Matter of Randolph Abrahams Standalone Admin. Proc. IA-6692 09/11/24 
In the Matter of Ruben Cedrick Williams Follow-on Admin. Proc. IA-6694 09/12/24 
In the Matter of Frank Lynold Mercado Follow-on Admin. Proc. IA-6695 09/16/24 
In the Matter of Vora Wealth Management, PLLC, et al. Standalone Admin. Proc. IA-6696 09/16/24 

https://www.sec.gov/litigation/litreleases/lr-26028
https://www.sec.gov/files/litigation/admin/2024/ia-6628.pdf
https://www.sec.gov/files/litigation/admin/2024/34-100351.pdf
https://www.sec.gov/files/litigation/admin/2024/ia-6634.pdf
https://www.sec.gov/files/litigation/admin/2024/ia-6635.pdf
https://www.sec.gov/files/litigation/admin/2024/ia-6646.pdf
https://www.sec.gov/files/litigation/admin/2024/34-100691.pdf
https://www.sec.gov/files/litigation/admin/2024/ia-6652.pdf
https://www.sec.gov/files/litigation/admin/2024/34-100707.pdf
https://www.sec.gov/files/litigation/admin/2024/34-100704.pdf
https://www.sec.gov/files/litigation/admin/2024/34-100709.pdf
https://www.sec.gov/files/litigation/admin/2024/34-100705.pdf
https://www.sec.gov/files/litigation/admin/2024/34-100706.pdf
https://www.sec.gov/files/litigation/admin/2024/ia-6663.pdf
https://www.sec.gov/enforcement-litigation/litigation-releases/lr-26080
https://www.sec.gov/files/litigation/admin/2024/ia-6665.pdf
https://www.sec.gov/files/litigation/admin/2024/ia-6666.pdf
https://www.sec.gov/files/litigation/admin/2024/34-100848.pdf
https://www.sec.gov/files/litigation/admin/2024/ia-6669.pdf
https://www.sec.gov/enforcement-litigation/litigation-releases/lr-26089
https://www.sec.gov/files/litigation/admin/2024/ia-6670.pdf
https://www.sec.gov/enforcement-litigation/litigation-releases/lr-26095
https://www.sec.gov/files/litigation/admin/2024/ia-6673.pdf
https://www.sec.gov/files/litigation/admin/2024/ia-6671.pdf
https://www.sec.gov/files/litigation/admin/2024/ia-6672.pdf
https://www.sec.gov/files/litigation/admin/2024/ia-6675.pdf
https://www.sec.gov/enforcement-litigation/litigation-releases/lr-26097
https://www.sec.gov/files/litigation/admin/2024/ia-6676.pdf
https://www.sec.gov/enforcement-litigation/litigation-releases/lr-26100
https://www.sec.gov/files/litigation/admin/2024/ia-6678.pdf
https://www.sec.gov/files/litigation/admin/2024/ia-6679.pdf
https://www.sec.gov/files/litigation/admin/2024/ia-6680.pdf
https://www.sec.gov/files/litigation/admin/2024/ia-6681.pdf
https://www.sec.gov/files/litigation/admin/2024/ia-6686.pdf
https://www.sec.gov/files/litigation/admin/2024/ia-6682.pdf
https://www.sec.gov/files/litigation/admin/2024/ia-6684.pdf
https://www.sec.gov/files/litigation/admin/2024/ia-6687.pdf
https://www.sec.gov/files/litigation/admin/2024/ia-6688.pdf
https://www.sec.gov/files/litigation/admin/2024/ia-6685.pdf
https://www.sec.gov/files/litigation/admin/2024/ia-6683.pdf
https://www.sec.gov/files/litigation/admin/2024/ia-6690.pdf
https://www.sec.gov/files/litigation/admin/2024/ia-6691.pdf
https://www.sec.gov/files/litigation/admin/2024/ia-6692.pdf
https://www.sec.gov/files/litigation/admin/2024/ia-6694.pdf
https://www.sec.gov/files/litigation/admin/2024/ia-6695.pdf
https://www.sec.gov/files/litigation/admin/2024/ia-6696.pdf


In the Matter of Nebari Partners, LLC Standalone Admin. Proc. IA-6701 09/17/24 
SEC v. Raymond J. DiMuro Civil Injunctive LR-26114 09/18/24 
In the Matter of Inspire Investing, LLC Standalone Admin. Proc. IA-6710 09/19/24 
In the Matter of Macquarie Investment Management Business Trust  Standalone Admin. Proc. IA-6709 09/19/24 
In the Matter of George R. Collett Standalone Admin. Proc. IA-6715 09/20/24 
In the Matter of Jordan/Zalaznick Advisers, Inc. Standalone Admin. Proc. IA-6711 09/20/24 
In the Matter of Closed Loop Partners, LLC  Standalone Admin. Proc. IA-6712 09/20/24 
In the Matter of ACP Venture Capital Management Fund LLC Standalone Admin. Proc. IA-6714 09/20/24 
In the Matter of Atom Investors LP  Standalone Admin. Proc. IA-6719 09/23/24 
In the Matter of Brighton Securities Corp. Standalone Admin. Proc. 34-101130 09/23/24 
In the Matter of SuRo Capital Corp. Standalone Admin. Proc. IC-35331 09/23/24 
In the Matter of Eric S. Hollifield Follow-on Admin. Proc. 34-101149 09/24/24 
In the Matter of Fusion Investment Advisors LLC d/b/a Coppell Advisory Solutions, LLC and 
Fusion Capital Management 

Standalone Admin. Proc. IA-6725 09/24/24 

In the Matter of Glazer Capital, LLC Standalone Admin. Proc. IA-6720 09/24/24 
In the Matter of Focused Wealth Management, Inc. Standalone Admin. Proc. IA-6717 09/24/24 
In the Matter of Zigmund Christian Strzelecki Standalone Admin. Proc. IA-6723 09/24/24 
In the Matter of Harvest Volatility Management, LLC Standalone Admin. Proc. IA-6726 09/25/24 
In the Matter of Merrill Lynch, Pierce, Fenner & Smith Incorporated Standalone Admin. Proc. 34-101158 09/25/24 
In the Matter of Black Dragon Capital, LLC, et al. Follow-on Admin. Proc. IA-6729 09/26/24 
In the Matter of Macellum Advisors, LP Standalone Admin. Proc. IA-6731 09/26/24 
In the Matter of Federal Prep Advisors, Inc. et al. Standalone Admin. Proc. IA-6732 09/26/24 
SEC v. Hans K. Hernandez Civil Injunctive LR-26135 09/27/24 
In the Matter of First Allied Advisory Services, Inc., et al. Standalone Admin. Proc. IA-6734 09/27/24 
SEC v. William D. Carlton Civil Injunctive LR-26135 09/27/24 
In the Matter of G.A. Repple & Company Standalone Admin. Proc. 34-101216 09/30/24 
In the Matter of Gemini Capital Partners LLC, et al. Standalone Admin. Proc. IA-6736 09/30/24 
In the Matter of Marathon Asset Management, L.P. Standalone Admin. Proc. IA-6737 09/30/24 
        
ISSUER REPORTING / AUDITING & ACCOUNTING       

    
In the Matter of Luther C. Speight, III, CPA, et al. Follow-on Admin. Proc. 34-98779 10/23/23 
In the Matter of Marco A. Perez, aka Marc Perez Follow-on Admin. Proc. 34-98788 10/23/23 
SEC v. SolarWinds Corp., et al.  Civil Injunctive LR-25887 10/30/23 
In the Matter of Royal Bank of Canada Standalone Admin. Proc. 34-98849 11/02/23 
In the Matter of Charter Communications, Inc.  Standalone Admin. Proc. 34-98923 11/14/23 
In the Matter of Mallinckrodt plc Standalone Admin. Proc. 33-11256 11/30/23 
SEC v. Mmobuosi Odogwu Banye a/k/a Dozy Mmobuosi, et al. Civil Injunctive LR-25913 12/18/23 
In the Matter of Brooge Energy Limited, et al. Standalone Admin. Proc. 33-11260 12/22/23 
In the Matter of Edward F. Hackert, CPA  Standalone Admin. Proc. 33-11267 01/18/24 
In the Matter of Cloopen Group Holding Limited Standalone Admin. Proc. 34-99483 02/06/24 
In the Matter of Lordstown Motors Corp. Standalone Admin. Proc. 33-11274 02/29/24 
In the Matter of Clark Schaefer Hackett & Co. Standalone Admin. Proc. 34-99638 02/29/24 
In the Matter of Skechers U.S.A., Inc. Standalone Admin. Proc. 34-99693 03/07/24 
In the Matter of Imran Parekh Follow-on Admin. Proc. 34-99764 03/19/24 
SEC v. Stephen Scott Burns Civil Injunctive LR-25954 03/22/24 
In the Matter of Gil Friedman Follow-on Admin. Proc. 34-99930 04/10/24 

https://www.sec.gov/files/litigation/admin/2024/ia-6701.pdf
https://www.sec.gov/enforcement-litigation/litigation-releases/lr-26114
https://www.sec.gov/files/litigation/admin/2024/ia-6710.pdf
https://www.sec.gov/files/litigation/admin/2024/ia-6709.pdf
https://www.sec.gov/files/litigation/admin/2024/ia-6715.pdf
https://www.sec.gov/files/litigation/admin/2024/ia-6711.pdf
https://www.sec.gov/files/litigation/admin/2024/ia-6712.pdf
https://www.sec.gov/files/litigation/admin/2024/ia-6714.pdf
https://www.sec.gov/files/litigation/admin/2024/ia-6719.pdf
https://www.sec.gov/files/litigation/admin/2024/34-101130.pdf
https://www.sec.gov/files/litigation/admin/2024/ic-35331.pdf
https://www.sec.gov/files/litigation/admin/2024/34-101149.pdf
https://www.sec.gov/files/litigation/admin/2024/ia-6725.pdf
https://www.sec.gov/files/litigation/admin/2024/ia-6720.pdf
https://www.sec.gov/files/litigation/admin/2024/ia-6717.pdf
https://www.sec.gov/files/litigation/admin/2024/ia-6723.pdf
https://www.sec.gov/files/litigation/admin/2024/ia-6726.pdf
https://www.sec.gov/files/litigation/admin/2024/34-101158.pdf
https://www.sec.gov/files/litigation/admin/2024/ia-6729.pdf
https://www.sec.gov/files/litigation/admin/2024/ia-6731.pdf
https://www.sec.gov/files/litigation/admin/2024/ia-6732.pdf
https://www.sec.gov/enforcement-litigation/litigation-releases/lr-26135
https://www.sec.gov/files/litigation/admin/2024/ia-6734.pdf
https://www.sec.gov/enforcement-litigation/litigation-releases/lr-26135
https://www.sec.gov/files/litigation/admin/2024/34-101216.pdf
https://www.sec.gov/files/litigation/admin/2024/ia-6736.pdf
https://www.sec.gov/files/litigation/admin/2024/ia-6737.pdf
https://www.sec.gov/files/litigation/admin/2023/34-98779.pdf
https://www.sec.gov/files/litigation/admin/2023/34-98788.pdf
https://www.sec.gov/litigation/litreleases/lr-25887
https://www.sec.gov/files/litigation/admin/2023/34-98849.pdf
https://www.sec.gov/files/litigation/admin/2023/34-98923.pdf
https://www.sec.gov/files/litigation/admin/2023/33-11256.pdf
https://www.sec.gov/litigation/litreleases/lr-25913
https://www.sec.gov/files/litigation/admin/2023/33-11260.pdf
https://www.sec.gov/files/litigation/admin/2024/34-99384.pdf
https://www.sec.gov/files/litigation/admin/2024/34-99483.pdf
https://www.sec.gov/files/litigation/admin/2024/33-11274.pdf
https://www.sec.gov/files/litigation/admin/2024/34-99638.pdf
https://www.sec.gov/files/litigation/admin/2024/34-99693.pdf
https://www.sec.gov/files/litigation/admin/2024/34-99764.pdf
https://www.sec.gov/litigation/litreleases/lr-25954
https://www.sec.gov/files/litigation/admin/2024/34-99930.pdf


In the Matter of Mark Korb, CA Follow-on Admin. Proc. 34-100007 04/22/24 
SEC v. Jack B. Blount Civil Injunctive LR-25990 04/30/24 
In the Matter of BF Borgers CPA PC, et al. Standalone Admin. Proc. 33-11283 05/03/24 
In the Matter of C-Bond Systems, Inc., et al.  Standalone Admin. Proc. 33-11285 05/08/24 
SEC v. Fat Brands, Inc., et al. Civil Injunctive LR-26001 05/10/24 
In the Matter of Tyler Burnett Wilson, Esq. Follow-on Admin. Proc. 34-100170 05/17/24 
In the Matter of Gregory P. Manning Follow-on Admin. Proc. 34-100258 06/03/24 
SEC v. Zhou Min Ni, et al. Civil Injunctive LR-26015 06/03/24 
In the Matter of HF Foods Group Inc. Standalone Admin. Proc. 33-11289 06/06/24 
In the Matter of Daniel Urness, CPA Follow-on Admin. Proc. 34-100298 06/10/24 
In the Matter of R.R. Donnelley & Sons Co. Standalone Admin. Proc. 34-100365 06/18/24 
SEC v. Western Sierra Resource Corporation, et al. Civil Injunctive LR-26032 06/18/24 
In the Matter of Jian Ming ("Jonathan") Ni, CPA Follow-on Admin. Proc. 33-11291 06/18/24 
In the Matter of Karen Rosenberger, CPA Follow-on Admin. Proc. 34-100368 06/18/24 
In the Matter of CPI Aerostructures, Inc.  Standalone Admin. Proc. 34-100389 06/20/24 
SEC v. BorrowMoney.com, Inc., et al. Civil Injunctive LR-26038 06/26/24 
SEC v. Silvergate Capital Corporation, et al. Civil Injunctive LR-26044 07/01/24 
SEC v. Patrick Orlando Civil Injunctive LR-26051 07/17/24 
SEC v. Juan Campo a/k/a John Campo Civil Injunctive LR-26058 07/26/24 
In the Matter of Ideanomics, Inc. (f/k/a Seven Stars Cloud Group, Inc.), et al. Standalone Admin. Proc. 33-11296 08/09/24 
In the Matter of Zheng (Bruno) Wu Standalone Admin. Proc. 33-11297 08/09/24 
In the Matter of Icahn Enterprises L.P. Standalone Admin. Proc. 34-100755 08/19/24 
SEC v. Austal Limited, et al. Civil Injunctive LR-26084 08/26/24 
In the Matter of National Energy Services Reunited Corp. Standalone Admin. Proc. 34-100845 08/28/24 
In the Matter of Portland General Electric Company Standalone Admin. Proc. 34-100917 09/04/24 
In the Matter of CIRCOR International, Inc. Standalone Admin. Proc. 34-100934 09/05/24 
SEC v. Nicholas Bowerman Civil Injunctive LR-26116 09/05/24 
In the Matter of Keurig Dr Pepper Inc. Standalone Admin. Proc. 34-100983 09/10/24 
In the Matter of FirstEnergy Corp. Standalone Admin. Proc. 33-11302 09/12/24 
SEC v. Charles E. Jones Civil Injunctive LR-26105 09/12/24 
In the Matter of Zymergen Inc. Standalone Admin. Proc. 33-11303 09/13/24 
SEC v. Paul D. Roberts Civil Injunctive LR-26107 09/16/24 
SEC v. Joshua A. Weiss, et al. Civil Injunctive LR-26107 09/16/24 
SEC v. Prager Metis CPAs, LLC Civil Injunctive LR-26112 09/17/24 
In the Matter of Newpoint Financial Corp.  Standalone Admin. Proc. 34-101123 09/20/24 
In the Matter of WM Technology, Inc. Standalone Admin. Proc. 33-11309 09/24/24 
SEC v. Christopher Beals, et al. Civil Injunctive LR-26127 09/24/24 
In the Matter of DraftKings Inc.  Standalone Admin. Proc. 34-101198 09/26/24 
SEC v. Cassava Sciences, Inc., et al. Civil Injunctive LR-26132 09/26/24 
In the Matter of Hoau-Yan Wang Standalone Admin. Proc. 33-11311 09/26/24 
In the Matter of James Douglas Miller, CPA Follow-on Admin. Proc. 34-101199 09/26/24 
SEC v. Ignite International Brands, Ltd., et al. Civil Injunctive LR-26138 09/27/24 
SEC v. James R. Craigie Civil Injunctive LR-26145 09/30/24 
SEC v. Olayinka Temitope Oyebola, et al. Civil Injunctive LR-26143 09/30/24 
        
    

https://www.sec.gov/files/litigation/admin/2024/34-100007.pdf
https://www.sec.gov/litigation/litreleases/lr-25990
https://www.sec.gov/files/litigation/admin/2024/33-11283.pdf
https://www.sec.gov/files/litigation/admin/2024/33-11285.pdf
https://www.sec.gov/litigation/litreleases/lr-26001
https://www.sec.gov/files/litigation/admin/2024/34-100170.pdf
https://www.sec.gov/files/litigation/admin/2024/34-100258.pdf
https://www.sec.gov/litigation/litreleases/lr-26015
https://www.sec.gov/files/litigation/admin/2024/33-11289.pdf
https://www.sec.gov/files/litigation/admin/2024/34-100298.pdf
https://www.sec.gov/files/litigation/admin/2024/34-100365.pdf
https://www.sec.gov/litigation/litreleases/lr-26032
https://www.sec.gov/files/litigation/admin/2024/33-11291.pdf
https://www.sec.gov/files/litigation/admin/2024/34-100368.pdf
https://www.sec.gov/files/litigation/admin/2024/34-100389.pdf
https://www.sec.gov/enforcement-litigation/litigation-releases/lr-26038
https://www.sec.gov/enforcement-litigation/litigation-releases/lr-26044
https://www.sec.gov/enforcement-litigation/litigation-releases/lr-26051
https://www.sec.gov/enforcement-litigation/litigation-releases/lr-26058
https://www.sec.gov/files/litigation/admin/2024/33-11296.pdf
https://www.sec.gov/files/litigation/admin/2024/33-11297.pdf
https://www.sec.gov/files/litigation/admin/2024/34-100755.pdf
https://www.sec.gov/enforcement-litigation/litigation-releases/lr-26084
https://www.sec.gov/files/litigation/admin/2024/34-100845.pdf
https://www.sec.gov/files/litigation/admin/2024/34-100917.pdf
https://www.sec.gov/files/litigation/admin/2024/34-100934.pdf
https://www.sec.gov/enforcement-litigation/litigation-releases/lr-26116
https://www.sec.gov/files/litigation/admin/2024/34-100983.pdf
https://www.sec.gov/files/litigation/admin/2024/33-11302.pdf
https://www.sec.gov/enforcement-litigation/litigation-releases/lr-26105
https://www.sec.gov/files/litigation/admin/2024/33-11303.pdf
https://www.sec.gov/enforcement-litigation/litigation-releases/lr-26107
https://www.sec.gov/enforcement-litigation/litigation-releases/lr-26107
https://www.sec.gov/enforcement-litigation/litigation-releases/lr-26112
https://www.sec.gov/files/litigation/admin/2024/34-101123.pdf
https://www.sec.gov/files/litigation/admin/2024/33-11309.pdf
https://www.sec.gov/enforcement-litigation/litigation-releases/lr-26127
https://www.sec.gov/files/litigation/admin/2024/34-101198.pdf
https://www.sec.gov/enforcement-litigation/litigation-releases/lr-26132
https://www.sec.gov/files/litigation/admin/2024/33-11311.pdf
https://www.sec.gov/files/litigation/admin/2024/34-101199.pdf
https://www.sec.gov/enforcement-litigation/litigation-releases/lr-26138
https://www.sec.gov/enforcement-litigation/litigation-releases/lr-26145
https://www.sec.gov/enforcement-litigation/litigation-releases/lr-26143


MARKET MANIPULATION       
    

In the Matter of Anson Advisors Inc. Standalone Admin. Proc. 34-98775 10/19/23 
In the Matter of David M. Rees, Esq. Follow-on Admin. Proc. 34-98971 11/16/23 
SEC v. Shanchun Huang Civil Injunctive LR-25924 01/11/24 
SEC v. Jonathan Farber, et al.  Civil Injunctive LR-25926 01/12/24 
In the Matter of Contrarian Capital Management, L.L.C. Standalone Admin. Proc. 34-99578 02/21/24 
SEC v. Ahmed Alomari, et al. Civil Injunctive LR-25993 05/03/24 
In the Matter of Kershner Trading Americas, LLC Standalone Admin. Proc. 34-100172 05/20/24 
SEC v. Robert Scott Murray, et al. Civil Injunctive 2024-66 05/31/24 
In the Matter of Ashmit Patel, Esq. Follow-on Admin. Proc. 34-100373 06/18/24 
In the Matter of Meta Materials, Inc. (f/k/a Torchlight Energy Resources, Inc.) Standalone Admin. Proc. 33-11292 06/25/24 
SEC v. John Brda, et al. Civil Injunctive LR-26035 06/25/24 
SEC v. Andrew Left, et al. Civil Injunctive LR-26056 07/26/24 
SEC v. Kevan Casey, et al. Civil Injunctive LR-26071 08/09/24 
SEC v. Stephen Durland Civil Injunctive LR-26075 08/13/24 
SEC v. Joel David Castro Leon, et al.  Civil Injunctive LR-26109 09/17/24 
In the Matter of Gates Capital Management, Inc. Standalone Admin. Proc. 34-101049 09/19/24 
In the Matter of Centerline Investment Management Limited Standalone Admin. Proc. 34-101133 09/23/24 
SEC v. Benjamin Ballout, et al. Civil Injunctive LR-26122 09/23/24 
SEC v. Harry Zhabilov, et al.  Civil Injunctive LR-26144 09/30/24 
    
MISCELLANEOUS    

SEC v. Eduardo Hernandez, et al. Civil Injunctive LR-25967 10/31/23 
SEC v. Andrew M. Komarow Civil Injunctive LR-25908 12/08/23 
In the Matter of J.P. Morgan Securities LLC  Standalone Admin. Proc. 34-99344 01/16/24 
In the Matter of Steven C. Bachar Follow-on Admin. Proc. 34-99436 01/29/24 
SEC v. Travis Treusch Civil Injunctive LR-25962 02/09/24 
In the Matter of HG Vora Capital Management, LLC  Standalone Admin. Proc. 34-99651 03/01/24 
In the Matter of Ellen McCarthy, Esq.  Standalone Admin. Proc. 34-99832 03/21/24 
SEC v. Tyrone Johnny Lacy, Jr. Civil Injunctive LR-26004 05/13/24 
In the Matter of Intercontinental Exchange Inc., et al. Standalone Admin. Proc. 34-100206 05/22/24 
In the Matter of Kerry Lee Broderick Standalone Admin. Proc. 34-100318 06/12/24 
In the Matter of Carl C. Icahn Standalone Admin. Proc. 34-100756 08/19/24 
In the Matter of Nationwide Planning Associates, Inc., et al.  Standalone Admin. Proc. 34-100908 09/04/24 
In the Matter of a.k.a. Brands Holding Corp. Standalone Admin. Proc. 34-100969 09/09/24 
In the Matter of Acadia Healthcare Company, Inc. Standalone Admin. Proc. 34-100970 09/09/24 
In the Matter of AppFolio, Inc. Standalone Admin. Proc. 34-100971 09/09/24 
In the Matter of IDEX Corporation Standalone Admin. Proc. 34-100972 09/09/24 
In the Matter of LSB Industries, Inc. Standalone Admin. Proc. 34-100973 09/09/24 
In the Matter of Smart for Life, Inc. Standalone Admin. Proc. 34-100974 09/09/24 
In the Matter of TransUnion Standalone Admin. Proc. 34-100975 09/09/24 
In the Matter of Dixon Mitchell Investment Counsel Inc. Standalone Admin. Proc. 34-101056 09/17/24 
In the Matter of Ashton Thomas Private Wealth, LLC Standalone Admin. Proc. 34-101053 09/17/24 
In the Matter of Azzad Asset Management, Inc. Standalone Admin. Proc. 34-101054 09/17/24 
In the Matter of Bulltick Wealth Management, LLC Standalone Admin. Proc. 34-101055 09/17/24 

https://www.sec.gov/files/litigation/admin/2023/34-98775.pdf
https://www.sec.gov/files/litigation/admin/2023/34-98971-a.pdf
https://www.sec.gov/litigation/litreleases/lr-25924
https://www.sec.gov/litigation/litreleases/lr-25926
https://www.sec.gov/files/litigation/admin/2024/34-99578.pdf
https://www.sec.gov/litigation/litreleases/lr-25993
https://www.sec.gov/files/litigation/admin/2024/34-100172.pdf
https://www.sec.gov/news/press-release/2024-66
https://www.sec.gov/files/litigation/admin/2024/34-100373.pdf
https://www.sec.gov/files/litigation/admin/2024/33-11292.pdf
https://www.sec.gov/enforcement-litigation/litigation-releases/lr-26035
https://www.sec.gov/enforcement-litigation/litigation-releases/lr-26056
https://www.sec.gov/enforcement-litigation/litigation-releases/lr-26071
https://www.sec.gov/enforcement-litigation/litigation-releases/lr-26075
https://www.sec.gov/enforcement-litigation/litigation-releases/lr-26109
https://www.sec.gov/files/litigation/admin/2024/34-101049.pdf
https://www.sec.gov/files/litigation/admin/2024/34-101133.pdf
https://www.sec.gov/enforcement-litigation/litigation-releases/lr-26122
https://www.sec.gov/enforcement-litigation/litigation-releases/lr-26144
https://www.sec.gov/litigation/litreleases/lr-25967
https://www.sec.gov/litigation/litreleases/lr-25908
https://www.sec.gov/files/litigation/admin/2024/34-99344.pdf
https://www.sec.gov/files/34-99436.pdf
https://www.sec.gov/litigation/litreleases/lr-25962
https://www.sec.gov/files/litigation/admin/2024/34-99651.pdf
https://www.sec.gov/files/litigation/admin/2024/34-99832.pdf
https://www.sec.gov/litigation/litreleases/lr-26004
https://www.sec.gov/files/litigation/admin/2024/34-100206.pdf
https://www.sec.gov/files/litigation/admin/2024/34-100318.pdf
https://www.sec.gov/files/litigation/admin/2024/34-100756.pdf
https://www.sec.gov/files/litigation/admin/2024/34-100908.pdf
https://www.sec.gov/files/litigation/admin/2024/34-100969.pdf
https://www.sec.gov/files/litigation/admin/2024/34-100970.pdf
https://www.sec.gov/files/litigation/admin/2024/34-100971.pdf
https://www.sec.gov/files/litigation/admin/2024/34-100972.pdf
https://www.sec.gov/files/litigation/admin/2024/34-100973.pdf
https://www.sec.gov/files/litigation/admin/2024/34-100974.pdf
https://www.sec.gov/files/litigation/admin/2024/34-100975.pdf
https://www.sec.gov/files/litigation/admin/2024/34-101056.pdf
https://www.sec.gov/files/litigation/admin/2024/34-101053.pdf
https://www.sec.gov/files/litigation/admin/2024/34-101054.pdf
https://www.sec.gov/files/litigation/admin/2024/34-101055.pdf


In the Matter of Financial Synergies Wealth Advisors, Inc. Standalone Admin. Proc. 34-101057 09/17/24 
In the Matter of Focus Financial Network, Inc. Standalone Admin. Proc. 34-101058 09/17/24 
In the Matter of Mason Investment Advisory Services, Inc. Standalone Admin. Proc. 34-101059 09/17/24 
In the Matter of TD Private Client Wealth LLC Standalone Admin. Proc. 34-101062 09/17/24 
In the Matter of Traphagen Investment Advisors, LLC Standalone Admin. Proc. 34-101063 09/17/24 
In the Matter of NEPC, LLC Standalone Admin. Proc. 34-101061 09/17/24 
In the Matter of Nationale-Nederlanden Powszechne Towarzystwo Emerytalne S.A. Standalone Admin. Proc. 34-101060 09/17/24 
In the Matter of Keith D. Beekmeyer, et al.  Standalone Admin. Proc. 34-101124 09/20/24 
In the Matter of Bain Capital Credit Member, LLC  Standalone Admin. Proc. 34-101173 09/25/24 
In the Matter of TALANTA Investment Group, LLC Standalone Admin. Proc. 34-101175 09/25/24 
In the Matter of Sunbeam Management, LLC Standalone Admin. Proc. 34-101176 09/25/24 
In the Matter of FIG LLC Standalone Admin. Proc. 34-101174 09/25/24 
In the Matter of Pedro C. Gonzalez Standalone Admin. Proc. 34-101177 09/25/24 
In the Matter of Stilwell Value LLC Standalone Admin. Proc. 34-101178 09/25/24 
In the Matter of Grays Peak Ventures LLC, et al. Standalone Admin. Proc. 34-101179 09/25/24 
In the Matter of Mitchell P. Rales Standalone Admin. Proc. 34-101180 09/25/24 
In the Matter of BSC, LP Standalone Admin. Proc. 34-101181 09/25/24 
In the Matter of Curtis Drew Hodgson Standalone Admin. Proc. 34-101170 09/25/24 
In the Matter of Kenneth E. Shipley Standalone Admin. Proc. 34-101171 09/25/24 
In the Matter of Legacy Housing Corporation Standalone Admin. Proc. 34-101172 09/25/24 
In the Matter of Celsius Holdings, Inc. Standalone Admin. Proc. 34-101168 09/25/24 
In the Matter of David L. Kanen Standalone Admin. Proc. 34-101162 09/25/24 
In the Matter of Peter M. Thomas Standalone Admin. Proc. 34-101164 09/25/24 
In the Matter of Howard S. Jonas Standalone Admin. Proc. 34-101166 09/25/24 
In the Matter of Jack W. Schuler Standalone Admin. Proc. 34-101167 09/25/24 
In the Matter of Adage Capital Management, L.P.  Standalone Admin. Proc. 34-101159 09/25/24 
In the Matter of Essex Woodlands Management, Inc. Standalone Admin. Proc. 34-101161 09/25/24 
In the Matter of The Goldman Sachs Group, Inc.  Standalone Admin. Proc. 34-101169 09/25/24 
In the Matter of Oaktree Capital Management, L.P. Standalone Admin. Proc. 34-101163 09/25/24 
In the Matter of The Bank of Nova Scotia  Standalone Admin. Proc. 34-101160 09/25/24 
In the Matter of Alphabet Inc.  Standalone Admin. Proc. 34-101165 09/25/24 
In the Matter of GQG Partners LLC Standalone Admin. Proc. 34-101200 09/26/24 
SEC v. Robert B. Westbrook Civil Injunctive LR-26141 09/27/24 
        
NATL REC STAT RATING ORG (NRSRO)       

    
In the Matter of Fitch Ratings, Inc. Standalone Admin. Proc. 34-100903 09/03/24 
In the Matter of A.M. Best Rating Services, Inc. Standalone Admin. Proc. 34-100902 09/03/24 
In the Matter of Demotech, Inc.  Standalone Admin. Proc. 34-100905 09/03/24 
In the Matter of HR Ratings de México, S.A. de C.V.  Standalone Admin. Proc. 34-100904 09/03/24 
In the Matter of Moody’s Investors Service, Inc. Standalone Admin. Proc. 34-100906 09/03/24 
In the Matter of S&P Global Ratings Standalone Admin. Proc. 34-100907 09/03/24 
        
PUBLIC FINANCE ABUSE       

    
In the Matter of Wayzata Investment Partners LLC Standalone Admin. Proc. IA-6590 04/15/24 
In the Matter of Obra Capital Management, LLC Standalone Admin. Proc. IA-6662 08/19/24 

https://www.sec.gov/files/litigation/admin/2024/34-101057.pdf
https://www.sec.gov/files/litigation/admin/2024/34-101058.pdf
https://www.sec.gov/files/litigation/admin/2024/34-101059.pdf
https://www.sec.gov/files/litigation/admin/2024/34-101062.pdf
https://www.sec.gov/files/litigation/admin/2024/34-101063.pdf
https://www.sec.gov/files/litigation/admin/2024/34-101061.pdf
https://www.sec.gov/files/litigation/admin/2024/34-101060.pdf
https://www.sec.gov/files/litigation/admin/2024/34-101124.pdf
https://www.sec.gov/files/litigation/admin/2024/34-101173.pdf
https://www.sec.gov/files/litigation/admin/2024/34-101175.pdf
https://www.sec.gov/files/litigation/admin/2024/34-101176.pdf
https://www.sec.gov/files/litigation/admin/2024/34-101174.pdf
https://www.sec.gov/files/litigation/admin/2024/34-101177.pdf
https://www.sec.gov/files/litigation/admin/2024/34-101178.pdf
https://www.sec.gov/files/litigation/admin/2024/34-101179.pdf
https://www.sec.gov/files/litigation/admin/2024/34-101180.pdf
https://www.sec.gov/files/litigation/admin/2024/34-101181.pdf
https://www.sec.gov/files/litigation/admin/2024/34-101170.pdf
https://www.sec.gov/files/litigation/admin/2024/34-101171.pdf
https://www.sec.gov/files/litigation/admin/2024/34-101172.pdf
https://www.sec.gov/files/litigation/admin/2024/34-101168.pdf
https://www.sec.gov/files/litigation/admin/2024/34-101162.pdf
https://www.sec.gov/files/litigation/admin/2024/34-101164.pdf
https://www.sec.gov/files/litigation/admin/2024/34-101166.pdf
https://www.sec.gov/files/litigation/admin/2024/34-101167.pdf
https://www.sec.gov/files/litigation/admin/2024/34-101159.pdf
https://www.sec.gov/files/litigation/admin/2024/34-101161.pdf
https://www.sec.gov/files/litigation/admin/2024/34-101169.pdf
https://www.sec.gov/files/litigation/admin/2024/34-101163.pdf
https://www.sec.gov/files/litigation/admin/2024/34-101160.pdf
https://www.sec.gov/files/litigation/admin/2024/34-101165.pdf
https://www.sec.gov/files/litigation/admin/2024/34-101200.pdf
https://www.sec.gov/enforcement-litigation/litigation-releases/lr-26141
https://www.sec.gov/files/litigation/admin/2024/34-100903.pdf
https://www.sec.gov/files/litigation/admin/2024/34-100902.pdf
https://www.sec.gov/files/litigation/admin/2024/34-100905.pdf
https://www.sec.gov/files/litigation/admin/2024/34-100904.pdf
https://www.sec.gov/files/litigation/admin/2024/34-100906.pdf
https://www.sec.gov/files/litigation/admin/2024/34-100907.pdf
https://www.sec.gov/files/litigation/admin/2024/ia-6590.pdf
https://www.sec.gov/files/litigation/admin/2024/ia-6662.pdf


In the Matter of Tensquare, LLC, et al. Standalone Admin. Proc. 34-100820 08/27/24 
In the Matter of Acacia Financial Group, Inc.  Standalone Admin. Proc. 34-101038 09/17/24 
In the Matter of Caine Mitter and Associates Inc. Standalone Admin. Proc. 34-101039 09/17/24 
In the Matter of cfX Inc. Standalone Admin. Proc. 34-101040 09/17/24 
In the Matter of PFM Financial Advisors LLC Standalone Admin. Proc. 34-101041 09/17/24 
In the Matter of Phoenix Advisors, LLC Standalone Admin. Proc. 34-101042 09/17/24 
In the Matter of Kaufman, Hall & Associates, LLC, et al. Standalone Admin. Proc. 34-101043 09/17/24 
In the Matter of CSG Advisors, Inc. Standalone Admin. Proc. 34-101044 09/17/24 
In the Matter of Montague DeRose & Associates, LLC  Standalone Admin. Proc. 34-101045 09/17/24 
In the Matter of Public Resources Advisory Group, Inc. Standalone Admin. Proc. 34-101046 09/17/24 
In the Matter of Specialized Public Finance, Inc. Standalone Admin. Proc. 34-101047 09/17/24 
In the Matter of Zions Public Finance, Inc. Standalone Admin. Proc. 34-101048 09/17/24 
        
SECURITIES OFFERING       

    
SEC v. Gopala Krishnan, et al. Civil Injunctive LR-25922 10/05/23 
SEC v. Safemoon LLC, et al. Civil Injunctive LR-25888 11/01/23 
SEC v. Jake Soberal, et al. Civil Injunctive LR-25892 11/09/23 
SEC v. Matthew Melton Civil Injunctive LR-25893 11/15/23 
SEC v. Nadim Ahmed a/k/a Nadim Khan, et al. Civil Injunctive LR-25897 11/21/23 
SEC v. Raymond J. Pirrello, Jr., et al. Civil Injunctive LR-25907 12/06/23 
SEC v. Agridime LLC, et al. Civil Injunctive LR-25914 12/11/23 
SEC v. Titanium Capital LLC, et al.  Civil Injunctive LR-25912 12/14/23 
SEC v. Laura Tyler Perryman Civil Injunctive LR-25916 12/19/23 
SEC v. Diana Mae Fernandez Civil Injunctive LR-25918 12/21/23 
In the Matter of BarnBridge DAO  Standalone Admin. Proc. 33-11262 12/22/23 
In the Matter of Tyler Ward, et al. Standalone Admin. Proc. 33-11261 12/22/23 
In the Matter of Scott David Hughes, Esq. Follow-on Admin. Proc. 34-99243 12/26/23 
SEC v. Rishi Kapoor, et al. Civil Injunctive LR-25921 12/27/23 
SEC v. Prosper Beyond Moore, et al. Civil Injunctive LR-25928 01/18/24 
In the Matter of Northern Star Investment Corp. II Standalone Admin. Proc. 33-11266 01/25/24 
SEC v. Xue Samuel Lee, a/k/a “Sam” Lee, et al.  Civil Injunctive LR-25933 01/29/24 
SEC v. Brian Sewell, et al.  Civil Injunctive LR-25936 02/02/24 
In the Matter of TradeStation Crypto, Inc. Standalone Admin. Proc. 33-11269 02/07/24 
In the Matter of Jake Soberal, Esq. Follow-on Admin. Proc. 34-99496 02/08/24 
In the Matter of Christian Fernandez Standalone Admin. Proc. 33-11271 02/20/24 
SEC v. Paul A. Pereira Civil Injunctive LR-25944 02/27/24 
In the Matter of Edith Pardo Mehler, Esq. Follow-on Admin. Proc. 34-99650 02/29/24 
SEC v. Ismael Zarco Sanchez, et al. Civil Injunctive LR-25949 03/14/24 
SEC v. Christopher E. Galvin  Civil Injunctive LR-25960 03/22/24 
SEC v. Lixin Azarmehr, et al.  Civil Injunctive LR-25975 04/11/24 
SEC v. Timothy E. Cook Civil Contempt None 04/12/24 
SEC v. Paul Feller, et al. Civil Injunctive LR-25979 04/17/24 
SEC v. Michael Brackett Civil Injunctive LR-25980 04/19/24 
SEC v. Geosyn Mining, LLC, et al. Civil Injunctive LR-25983 04/24/24 
SEC v. Robert M. Thompson, et al. Civil Injunctive LR-25992 05/03/24 

https://www.sec.gov/files/litigation/admin/2024/34-100820.pdf
https://www.sec.gov/files/litigation/admin/2024/34-101038.pdf
https://www.sec.gov/files/litigation/admin/2024/34-101039.pdf
https://www.sec.gov/files/litigation/admin/2024/34-101040.pdf
https://www.sec.gov/files/litigation/admin/2024/34-101041.pdf
https://www.sec.gov/files/litigation/admin/2024/34-101042.pdf
https://www.sec.gov/files/litigation/admin/2024/34-101043.pdf
https://www.sec.gov/files/litigation/admin/2024/34-101044.pdf
https://www.sec.gov/files/litigation/admin/2024/34-101045.pdf
https://www.sec.gov/files/litigation/admin/2024/34-101046.pdf
https://www.sec.gov/files/litigation/admin/2024/34-101047.pdf
https://www.sec.gov/files/litigation/admin/2024/34-101048.pdf
https://www.sec.gov/litigation/litreleases/lr-25922
https://www.sec.gov/litigation/litreleases/lr-25888
https://www.sec.gov/litigation/litreleases/lr-25892
https://www.sec.gov/litigation/litreleases/lr-25893
https://www.sec.gov/litigation/litreleases/lr-25897
https://www.sec.gov/litigation/litreleases/lr-25907
https://www.sec.gov/litigation/litreleases/lr-25914
https://www.sec.gov/litigation/litreleases/lr-25912
https://www.sec.gov/litigation/litreleases/lr-25916
https://www.sec.gov/litigation/litreleases/lr-25918
https://www.sec.gov/files/litigation/admin/2023/33-11262.pdf
https://www.sec.gov/files/litigation/admin/2023/33-11261.pdf
https://www.sec.gov/files/litigation/admin/2023/34-99243.pdf
https://www.sec.gov/litigation/litreleases/lr-25921
https://www.sec.gov/litigation/litreleases/lr-25928
https://www.sec.gov/files/litigation/admin/2024/33-11266.pdf
https://www.sec.gov/litigation/litreleases/lr-25933
https://www.sec.gov/litigation/litreleases/lr-25936
https://www.sec.gov/files/litigation/admin/2024/33-11269.pdf
https://www.sec.gov/files/litigation/admin/2024/34-99496.pdf
https://www.sec.gov/files/litigation/admin/2024/33-11271.pdf
https://www.sec.gov/litigation/litreleases/lr-25944
https://www.sec.gov/files/litigation/admin/2024/34-99650.pdf
https://www.sec.gov/litigation/litreleases/lr-25949
https://www.sec.gov/litigation/litreleases/lr-25960
https://www.sec.gov/litigation/litreleases/lr-25975
https://www.sec.gov/litigation/litreleases/lr-25979
https://www.sec.gov/litigation/litreleases/lr-25980
https://www.sec.gov/litigation/litreleases/lr-25983
https://www.sec.gov/litigation/litreleases/lr-25992


SEC v. Pison Stream Solutions, Inc., et al. Civil Injunctive LR-25999 05/07/24 
In the Matter of Eastone Equities, LLC, et al. Standalone Admin. Proc. 33-11284 05/07/24 
SEC v. Jerry D. Guess, et al. Civil Injunctive LR-26005 05/09/24 
SEC v. Robert Tye Cournoyer, et al. Civil Injunctive LR-26000 05/10/24 
SEC v. Ganesh H. Betanabhatla Civil Injunctive LR-26009 05/22/24 
SEC v. Mario Gogliormella, et al. Civil Injunctive LR-26021 06/07/24 
SEC v. Marc Henry Menard, et al. Civil Injunctive LR-26019 06/11/24 
SEC v. Ilit Raz Civil Injunctive LR-26020 06/11/24 
In the Matter of Janusz (John) Zukowski, et al. Standalone Admin. Proc. 33-11290 06/13/24 
SEC v. Matthew Brown, et al. Civil Injunctive LR-26031 06/17/24 
SEC v. Yanni Tassev (a/k/a Iani Tassev) Civil Injunctive LR-26033 06/17/24 
SEC v. Hedonova LLC, et al. Civil Injunctive LR-26041 06/24/24 
SEC v. Consensys Software Inc. Civil Injunctive LR-26039 06/28/24 
SEC v. John J. Kralik V, et al.  Civil Injunctive LR-26043 07/02/24 
SEC v. George Lewis Parsons II Civil Injunctive LR-26042 07/02/24 
SEC v. Ricardi Celicourt, et al. Civil Injunctive LR-26050 07/18/24 
SEC v. Robert Newell, et al. Civil Injunctive LR-26053 07/22/24 
SEC v. Roosevelt Tobias Bailey, et al. Civil Injunctive LR-26057 07/25/24 
SEC v. Babu Ramaraj Civil Injunctive LR-26055 07/25/24 
SEC v. Thomas San Miguel Civil Injunctive LR-26059 07/29/24 
SEC v. Matson, John N., et al. Civil Injunctive LR-26064 07/30/24 
SEC v. Nader Al-Naji, et al.  Civil Injunctive LR-26063 07/30/24 
SEC v. Abraham Shafi, et al. Civil Injunctive LR-26066 07/31/24 
SEC v. Taylor Woods, et al.  Civil Injunctive LR-26068 08/06/24 
SEC v. Thompson Hunt and Associates, Ltd., et al. Civil Injunctive LR-26069 08/08/24 
SEC v. Wells Real Estate Investment, LLC, et al. Civil Injunctive LR-26079 08/12/24 
SEC v. Nova Tech Ltd., et al. Civil Injunctive LR-26072 08/12/24 
SEC v. Drive Planning, LLC, et al. Civil Injunctive LR-26076 08/13/24 
SEC v. Bernardo Mendia-Alcaraz (a/k/a Bernardo Mendia), et al.  Civil Injunctive LR-26085 08/23/24 
SEC v. Tanner S. Adam, et al. Civil Injunctive LR-26090 08/26/24 
SEC v. QZ Global Limited, et al. Civil Injunctive LR-26083 08/26/24 
SEC v. Plutus Lending, LLC d/b/a Abra  Civil Injunctive LR-26082 08/26/24 
SEC v. Justin D. Smith, et al. Civil Injunctive LR-26091 08/27/24 
SEC v. Toller Stern Financial LLC, et al. Civil Injunctive LR-26094 09/03/24 
In the Matter of Chanon Gordon Standalone Admin. Proc. 33-11301 09/03/24 
SEC v. Maria Dulce Pino Dickerson, et al. Civil Injunctive 2024-112 09/03/24 
SEC v. AmeriStar, LLC, et al. Civil Injunctive LR-26101 09/04/24 
SEC v. Theodore Miller, et al. Civil Injunctive LR-26096 09/04/24 
In the Matter of Esmark Inc., et al. Standalone Admin. Proc. 34-100957 09/06/24 
SEC v. Michael V. Chhabra, et al.  Civil Injunctive LR-26098 09/06/24 
SEC v. Hunter Haithcock a/k/a Hunter Elliott and Hunter Allen Haithcock Civil Injunctive LR-26099 09/06/24 
SEC v. James O. Ward, Jr. Civil Injunctive LR-26102 09/10/24 
SEC v. Marg Patel, et al. Civil Injunctive LR-26104 09/12/24 
In the Matter of Flyfish Club, LLC Standalone Admin. Proc. 33-11305 09/16/24 
SEC v. CoinW6 d/b/a CoinW6.com, 6hsh.com, dmd567.com, bybit.cc, and cglobalw.com Civil Injunctive LR-26111 09/17/24 
SEC v. NanoBit Limited, et al. Civil Injunctive LR-26110 09/17/24 

https://www.sec.gov/litigation/litreleases/lr-25999
https://www.sec.gov/files/litigation/admin/2024/33-11284.pdf
https://www.sec.gov/litigation/litreleases/lr-26005
https://www.sec.gov/litigation/litreleases/lr-26000
https://www.sec.gov/litigation/litreleases/lr-26009
https://www.sec.gov/litigation/litreleases/lr-26021
https://www.sec.gov/litigation/litreleases/lr-26019
https://www.sec.gov/litigation/litreleases/lr-26020
https://www.sec.gov/files/litigation/admin/2024/33-11290.pdf
https://www.sec.gov/litigation/litreleases/lr-26031
https://www.sec.gov/litigation/litreleases/lr-26033
https://www.sec.gov/enforcement-litigation/litigation-releases/lr-26041
https://www.sec.gov/enforcement-litigation/litigation-releases/lr-26039
https://www.sec.gov/enforcement-litigation/litigation-releases/lr-26043
https://www.sec.gov/enforcement-litigation/litigation-releases/lr-26042
https://www.sec.gov/enforcement-litigation/litigation-releases/lr-26050
https://www.sec.gov/enforcement-litigation/litigation-releases/lr-26053
https://www.sec.gov/enforcement-litigation/litigation-releases/lr-26057
https://www.sec.gov/enforcement-litigation/litigation-releases/lr-26055
https://www.sec.gov/enforcement-litigation/litigation-releases/lr-26059
https://www.sec.gov/enforcement-litigation/litigation-releases/lr-26064
https://www.sec.gov/enforcement-litigation/litigation-releases/lr-26063
https://www.sec.gov/enforcement-litigation/litigation-releases/lr-26066
https://www.sec.gov/enforcement-litigation/litigation-releases/lr-26068
https://www.sec.gov/enforcement-litigation/litigation-releases/lr-26069
https://www.sec.gov/enforcement-litigation/litigation-releases/lr-26079
https://www.sec.gov/enforcement-litigation/litigation-releases/lr-26072
https://www.sec.gov/enforcement-litigation/litigation-releases/lr-26076
https://www.sec.gov/enforcement-litigation/litigation-releases/lr-26085
https://www.sec.gov/enforcement-litigation/litigation-releases/lr-26090
https://www.sec.gov/enforcement-litigation/litigation-releases/lr-26083
https://www.sec.gov/enforcement-litigation/litigation-releases/lr-26082
https://www.sec.gov/enforcement-litigation/litigation-releases/lr-26091
https://www.sec.gov/enforcement-litigation/litigation-releases/lr-26094
https://www.sec.gov/files/litigation/admin/2024/33-11301_0.pdf
https://www.sec.gov/newsroom/press-releases/2024-112
https://www.sec.gov/enforcement-litigation/litigation-releases/lr-26101
https://www.sec.gov/enforcement-litigation/litigation-releases/lr-26096
https://www.sec.gov/files/litigation/admin/2024/34-100957.pdf
https://www.sec.gov/enforcement-litigation/litigation-releases/lr-26098
https://www.sec.gov/enforcement-litigation/litigation-releases/lr-26099
https://www.sec.gov/enforcement-litigation/litigation-releases/lr-26102
https://www.sec.gov/enforcement-litigation/litigation-releases/lr-26104
https://www.sec.gov/files/litigation/admin/2024/33-11305.pdf
https://www.sec.gov/enforcement-litigation/litigation-releases/lr-26111
https://www.sec.gov/enforcement-litigation/litigation-releases/lr-26110


SEC v. Rari Capital, Inc., et al. Civil Injunctive LR-26148 09/18/24 
In the Matter of Rari Capital Infrastructure LLC Standalone Admin. Proc. 33-11306 09/18/24 
In the Matter of Matthew C. McMurdo, Esq. Standalone Admin. Proc. 34-101119 09/20/24 
SEC v. Nicholas A. Palazzo, et al.  Civil Injunctive LR-26117 09/20/24 
SEC v. Anthony Lotito, et al. Civil Injunctive LR-26118 09/20/24 
In the Matter of Jiong Gu Standalone Admin. Proc. 33-11307 09/20/24 
SEC v. William Rhew III Civil Injunctive LR-26129 09/23/24 
SEC v. Anthem Hayek Blanchard, et al. Civil Injunctive LR-26121 09/23/24 
SEC v. Karina N. Fernandez Civil Injunctive LR-26130 09/24/24 
SEC v. Marco A. Rosas Civil Injunctive LR-26130 09/24/24 
SEC v. Bryant Guayara Civil Injunctive LR-26130 09/24/24 
SEC v. Erick M. Ruiz Civil Injunctive LR-26130 09/24/24 
SEC v. Leonela M. Duarte Civil Injunctive LR-26130 09/24/24 
SEC v. TrueCoin LLC, et al. Civil Injunctive LR-26126 09/24/24 
SEC v. Baba Nadimpalli Civil Injunctive LR-26125 09/24/24 
SEC v. Mango Labs, LLC, et al. Civil Injunctive LR-26140 09/27/24 
SEC v. Lionel Selwood, Jr. Civil Injunctive LR-26137 09/27/24 
SEC v. Akshay Kamboj, et al. Civil Injunctive LR-26134 09/27/24 
In the Matter of Evan H. Katz Standalone Admin. Proc. 33-11312 09/27/24 
SEC v. The Pre IPO Marketplace Inc., et al. Civil Injunctive LR-26149 09/30/24 
    
SRO / EXCHANGE       

    
SEC v. Payward, Inc., et al. Civil Injunctive LR-25896 11/20/23 
        
TRANSFER AGENT       

    
In the Matter of Equiniti Trust Company, LLC f/k/a American Stock Transfer & Trust Company, 
LLC  

Standalone Admin. Proc. 34-100780 08/20/24 

 

 

https://www.sec.gov/enforcement-litigation/litigation-releases/lr-26148
https://www.sec.gov/files/litigation/admin/2024/33-11306.pdf
https://www.sec.gov/files/litigation/admin/2024/34-101119.pdf
https://www.sec.gov/enforcement-litigation/litigation-releases/lr-26117
https://www.sec.gov/enforcement-litigation/litigation-releases/lr-26118
https://www.sec.gov/files/litigation/admin/2024/33-11307.pdf
https://www.sec.gov/enforcement-litigation/litigation-releases/lr-26129
https://www.sec.gov/enforcement-litigation/litigation-releases/lr-26121
https://www.sec.gov/enforcement-litigation/litigation-releases/lr-26130
https://www.sec.gov/enforcement-litigation/litigation-releases/lr-26130
https://www.sec.gov/enforcement-litigation/litigation-releases/lr-26130
https://www.sec.gov/enforcement-litigation/litigation-releases/lr-26130
https://www.sec.gov/enforcement-litigation/litigation-releases/lr-26130
https://www.sec.gov/enforcement-litigation/litigation-releases/lr-26126
https://www.sec.gov/enforcement-litigation/litigation-releases/lr-26125
https://www.sec.gov/enforcement-litigation/litigation-releases/lr-26140
https://www.sec.gov/enforcement-litigation/litigation-releases/lr-26137
https://www.sec.gov/enforcement-litigation/litigation-releases/lr-26134
https://www.sec.gov/files/litigation/admin/2024/33-11312.pdf
https://www.sec.gov/enforcement-litigation/litigation-releases/lr-26149
https://www.sec.gov/litigation/litreleases/lr-25896
https://www.sec.gov/files/litigation/admin/2024/34-100780.pdf
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