| | Press Release: SEC Announces $125 Million Fair Fund Distribution to Investors Injured by Pilgrim Baxter Market Timing Fraud (Press Release No. 2007-168; April 23, 2007) | SEC-PR |
| | Press Release: SEC and U.S. Attorney Charge Repeat Stock Promoter and Penny Stock Trader With Illegal IPOs and Pump-and-Dump Manipulation Schemes | SEC-PR |
| | Press Release: Southwest Securities to Pay $10 Million to Settle SEC and NYSE Supervision Charges, Relating to Fraudulent Market Timing and Late Trading by Southwest Registered Representatives | SEC-PR |
| | In re Veras Capital Master Fund | SEC-PR |
| | Press Release: SEC Announces $37 Million Fair Fund Distribution to Mutual Fund Investors Injured by Columbia Market Timing Fraud | SEC-PR |
| | SEC Sues Morgan Stanley and Goldman Sachs for Unlawful IPO Allocation Practices | SEC-PR |
| | Press Release: SEC Charges Two Firms and Their CEOs With Securities Fraud in Municipal Bond Market | SEC-PR |
| | Press Release: SEC Votes to Adopt Final Amendments to Rule 105 of Regulation M, Short Selling in Connection With a Public Offering | SEC-PR |
| | Settled Administrative Proceeding Against Canadian Imperial Bank of Commerce Subsidiaries | SEC-PR |
| | PIMCO Advisors Fund Management LLC, PIMCO Advisors Fund Management LLC, PEA Capital LLC f/k/a/ PIMCO Equity Advisors LLC, PIMCO Advisors Distributors LLC, Stephen J. Treadway, and Kenneth W. Corba | SEC-LR |
| | SEC v. Awdisho et al., No. 99 C 6789 (N.D. Ill. Sept. 21, 1999), alleged that three day traders engaged in a market manipulation scheme known as 'small lot baiting' to artificially influence stock option prices and profit from trades executed at manipulated prices | SEC-LR |
| | Syndicated Food Service International, Inc., Nick Pirgousis, Frank Dolney, William Brown, Gary Todd, Mario Casias, Delta Asset Management Company, LLC, William Keeler, William Scott, Iain H.T. Brown, Iain Brown, Fidra Holdings Ltd., Jeffrey Richardson, Peter Moulinos, Michelle Kramish Kain, Joseph Ferragamo, Adam Klein, Christopher Quintana, and Thomas Tanis | SEC-LR |
| | Securities and Exchange Commission v. JB Oxford Holdings, Inc., National Clearing Corporation, James G. Lewis, et al., No. 2:04-cv-02457 (C.D. Cal. Apr. 20, 2004), alleged that defendants facilitated thousands of late trades and market timing activities in over 600 mutual funds, concealed fraudulent conduct through deceptive account practices, and misreported proceeds as revenue, harming mutual基金 | SEC-LR |
| | Commission Announces Completion of Independent Assessment Consultant's Report on Losses Attributable to Market Timing and Excessive Short-Term Trading by Putnam Employees | SEC-PR |
| | Press Release: SEC Announces $55 Million Fair Fund Distribution to Investors Injured in Banc One Investment Advisors Market Timing Fraud | SEC-PR |
| | In re Zurich Capital Markets INC | SEC-PR |
| | In re Evergreen Investment Management | SEC-PR |
| | Plaintiff, Securities and Exchange Commission (“SEC” or “Commission”), alleges that: | SEC-LR |
| | SEC v. Druffner, et al., No. 1:03-cv-12345 (D. Mass. Apr. 20, 2004), alleged that five brokers and one branch manager concealed identities to execute market timing trades in mutual funds after being blocked, in violation of Section 17(a) of the Securities Act of 1933 and Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 | SEC-LR |
| | Press Release: SEC Charges Boston Stock Exchange and Former President James Crofwell With Failing to Police Specialists | SEC-PR |
| | In re Thomas C. Bridge | SEC-PR |
| | SEC v. Heartland Advisors Inc. et al., No. 00-CV-789 (E.D. Wis. Dec. 18, 2000), alleged that Heartland Advisors and several officers misrepresented the net asset values of two municipal bond funds, concealed inadequate credit research and liquidity risks, and engaged in deceptive pricing practices that led to material NAV declines, while insiders traded on nonpublic information | SEC-LR |
| | In the Matter of : Making Findings, and Imposing | SEC-PR |
| | On February 9, 2005, in the above-captioned matter, the Commission issued an Order | SEC-PR |
| | In re PILGRIM BAXTER & | SEC-PR |
| | In re CANADIAN IMPERIAL | SEC-PR |
| | In the Matter of : Order Instituting Administrative | SEC-PR |
| | SEC v. Steele et al., No. 3:02-cv-00547 (D. Conn. Apr. 15, 2002) | SEC-LR |
| | Fleet's Columbia Mutual Fund Adviser and Distributor to Pay $140 Million to Settle SSEC Fraud Charges for Undisclosed Market Timing | SEC-PR |
| | SEC institutes enforcement action against 20 former New York Stock Exchange Specialists alleging pervasive course of fraudulent trading | SEC-PR |
| | In re New York Stock Exchange | SEC-PR |
| | In re Banc One Investment | SEC-PR |
| | Press Release: American Express Financial Corporation, Now Known as Ameriprise Financial, Inc., to Pay $15 Million to Settle Market Timing Charges; 2005-169; Dec. 1, 2005 | SEC-PR |
| | SEC charges the New York Stock Exchange with failing to police specialists (2005-53) | SEC-PR |
| | Press Release: Settled Administrative Proceeding Against Zurich Capital Markets Inc. for Financing of Hedge Funds' Illegal Market Timing | SEC-PR |
| | In re WILLIAM M. ENNIS | SEC-PR |
| | Press Release: SEC Announces $38 Million Fair Fund Distribution in the Veras Hedge Funds Settlement | SEC-PR |
| | In re REGIONAL BROKERS | SEC-PR |
| | Banc of America Capital Management, BACAP Distributors and Banc of America Securities to Pay $375 Million, Exit Mutual Fund Clearing Business, and Make Other Remedial Reforms to Settle SEC Market Timing and Late Trading Charges | SEC-PR |
| | Press Release: SEC Charges Two With Securities Fraud in $4.4 Million Market Manipulation and Kickback Case | SEC-PR |
| | Revised Investor Education Funding Plan Approved | SEC-PR |
| | SEC v. Pimco Advisors Fund, Complaint, llm-upgrade | SEC-LR |
| | Press Release: Prudential to Pay $600 Million in Global Settlement of Fraud Charges in Connection With Deceptive Market Timing of Mutual Funds; 2006-145; Aug. 28, 2006 | SEC-PR |
| | SEC v. Geek Securities, Inc., Geek Advisors, Inc., Kautilya 'Tony' Sharma, and Neal R. Wadhwa, No. 04-60778-CIV (S.D. Fla. Apr. 20, 2004), alleged market timing and illegal late trading in mutual fund shares through deceptive account practices and falsified trade timestamps | SEC-LR |
| | In re D.M. KECK & COMPANY | SEC-PR |
| | In re COLUMBIA MANAGEMENT | SEC-PR |
| | This Plan of Distribution (the “Plan”) proposes a methodology for distributing to | SEC-PR |
| | Press Release: Evergreen Investment Management Company and Affiliates to Pay $32.5 Million to Settle Market Timing Violations | SEC-PR |
| 2026-04-20 | | Securities and Exchange Commission v. Patel, No. 1:26-cv-03203 (S.D.N.Y. Apr. 20, 2026), alleged market manipulation scheme involving thousands of trades to inflate stock prices and generate over $5 million in ill-gotten gains | SEC-LR |
| 2026-04-20 | | SEC v. HARSH V. PATEL (S.D.N.Y. Apr. 20, 2026), Complaint, llm-upgrade | SEC-LR |
| 2026-04-09 | | SEC v. Jay Scott Kirk Lee (S.D.N.Y. Apr. 9, 2026), Complaint, llm-upgrade | SEC-LR |
| 2026-04-09 | | SEC v. Jay Scott Kirk Lee (S.D.N.Y. Apr. 9, 2026), Complaint, llm-upgrade | SEC-LR |
| 2026-03-31 | | SEC v. Willis, No. 22-2744 (D. Colo. Oct. 18, 2022), SEC alleged that Willis, as CEO of NewAge, made materially false and misleading statements about distribution agreements and CBD beverage development, artificially inflating the company’s stock price. | SEC-LR |
| 2026-03-27 | | John Olsen; ARCPE 1, LLC; ARCPE Holding, LLC; Gemini 1, LLC; Tamiwest, LLC; Harbor Realty Investment Corp.; and Sunset Harbor Holdings, LLC | SEC-LR |
| 2026-03-24 | | SEC v. SAMIR RAO (S.D.N.Y. Mar. 24, 2026), Judgment, llm-upgrade | SEC-LR |
| 2026-03-05 | | SEC v. JUSTIN SUN (S.D.N.Y. Mar. 5, 2026), Judgment, llm-upgrade | SEC-LR |
| 2026-03-05 | | Securities and Exchange Commission v. Justin Sun, et al., No. 1:23-cv-02433 (S.D.N.Y. Mar. 22, 2023), alleged wash trading in TRX by Rainberry, Inc. and sought dismissal of all other claims against the Tron Defendants and DeAndre Cortez Way | SEC-LR |
| 2026-02-26 | | SEC v. Fernando Passos, No. 1:22-cv-03156 (S.D.N.Y. Feb. 25, 2026), the SEC obtained a final consent judgment permanently enjoining Passos from violating antifraud provisions, barring him from serving as an officer or director of a public company, and imposing a $500,000 civil penalty. | SEC-LR |
| 2026-02-26 | | ZACHARY T. CARLYLE (pro hac vice application forthcoming) | SEC-LR |
| 2026-01-06 | | SEC v. Muhammad Saad Shoukat (S.D.N.Y. Jan. 6, 2026), Complaint, llm-upgrade | SEC-LR |
| 2025-12-16 | | SEC v. Khachatryan, No. 2:25‑cv‑11863 (C.D. Cal. Dec. 16, 2025), SEC alleged that Artur Khachatryan engaged in a spoofing scheme that involved placing non‑bona fide orders to manipulate stock prices and using accounts in others’ names to generate approximately $373,885 in illicit profits. | SEC-LR |
| 2025-12-16 | | Securities and Exchange Commission v. Khachatryan, No. 25-cv-11863 (C.D. Cal. Dec. 16, 2025), alleged engaging in a manipulative spoofing scheme to artificially move stock prices and generated $373,885 in ill-gotten gains, and consented to a final judgment imposing disgorgement, prejudgment interest, a civil penalty, and a four-year trading ban. | SEC-LR |
| 2025-09-24 | | SEC v. Kushnarev, No. 1:25-cv-05412-WMR (N.D. Ga. Sept. 24, 2025), SEC alleged that Kushnarev used fake identities to hack and manipulate U.S. brokerage accounts, forcing trades that inflated securities prices and generated approximately $31 million in gross proceeds. | SEC-LR |
| 2025-09-10 | | United States v. Miller et al., No. 25-207 (S.D.N.Y. Sept. 9, 2025), defendants pleaded guilty to securities fraud and aggravated identity theft for orchestrating a scheme that defrauded municipal bond investors of nearly $300 million | DOJ-SDNY |
| 2025-08-11 | | SEC v. Ryan N. Cole, No. 26371 (S.D.N.Y. Aug. 11, 2025), U | SEC-LR |
| 2025-08-11 | | SEC v. RYAN N. COLE, No. 295545 (S.D.N.Y. Aug. 11, 2025), Complaint, llm-upgrade | SEC-LR |
| 2025-07-21 | | SEC v. SUYUN GU (S.D.N.Y. Jul. 21, 2025), Judgment, llm-upgrade | SEC-LR |
| 2025-07-21 | | SEC v. Suyun Gu, No. 26355 (S.D.N.Y. Sept. 27, 2021), defs:body | SEC-LR |
| 2025-07-10 | | SEC v. Rosenbaum, No. 3:25‑CV‑1716‑D (N.D. Tex. Jul. 8, 2025), the court ordered the defendant to be permanently restrained and enjoined from violating Section 10(b) of the Securities Exchange Act and Section 17(a) of the Securities Act. | SEC-LR |
| 2025-06-20 | | SEC v. Ongkaruck Sripetch; Amanda | SEC-LR |
| 2025-06-20 | | SEC v. Ongkaruck Sripetch; Amanda | SEC-LR |
| 2025-06-20 | | SEC v. Ongkaruck Sripetch; Amanda | SEC-LR |
| 2025-06-20 | | SEC v. Ongkaruck Sripetch; Amanda | SEC-LR |
| 2025-05-22 | | SEC v. Barry Honig, No. 26308 (S.D.N.Y. May 22, 2025), defs:body | SEC-LR |
| 2025-04-17 | | SEC v. CLS Global FZC LLC and Andrey Zhorzhes, No. 26287 (S.D.N.Y. Oct. 9, 2024), Judgment, llm-upgrade | SEC-LR |
| 2025-04-15 | | SEC v. STEVE A. SMITH, No. 24-CV-24802-RAR (S.D.N.Y. Apr. 15, 2025), Judgment, llm-upgrade | SEC-LR |
| 2025-04-11 | | SEC v. Milan Patel, No. 26283 (S.D.N.Y. Feb. 16, 2023), U | SEC-LR |
| 2025-04-11 | | SEC v. Patel, No. 2:23-cv-00026 (N.D. Ga.), alleged that Patel participated in a fraudulent scheme to manipulate securities markets by disseminating false rumors and profiting from the resulting price movements. | SEC-LR |
| 2025-04-01 | | SEC Charges Three Arizona Individuals with Defrauding Investors in $284 Million Municipal Bond Offering That Financed Sports Complex | SEC-PR |
| 2025-02-21 | | SEC v. Francisco Abellan Villena, No. 18-cv-4307 (S.D.N.Y. Feb. 21, 2025), Complaint, llm-upgrade | SEC-LR |
| 2025-02-11 | | Securities and Exchange Commission v. Chen et al., No. 19-CV-12127 (D. Mass. Dec. 23, 2019), alleged a market manipulation scheme using coordinated brokerage accounts to artificially inflate or deflate stock prices and generate millions in illicit profits | SEC-LR |
| 2025-02-11 | | Securities and Exchange Commission v. Jiali Wang, No. 19-cv-12127-WGY (D. Mass. Mar. 27, 2023), ordered to pay no monetary penalty but permanently enjoined from violating Sections 10(b), 17(a), and 9(a)(2) of the federal securities laws | SEC-LR |
| 2025-02-11 | | SEC v. Shuang Chen, No. 26245 (S.D.N.Y. Oct. 15, 2019), defs:body | SEC-LR |
| 2025-01-03 | | SEC v. JOSEPH M. DUPONT (S.D.N.Y. Jan. 3, 2025), Complaint, llm-upgrade | SEC-LR |
| 2025-01-01 | | SEC Announces Formation of Cross-Border Task Force to Combat Fraud | SEC-PR |
| 2024-12-30 | | SEC v. City of Rochester, No. 26205 (W.D.N.Y. Dec. 30, 2024), llm-upgrade | SEC-LR |
| 2024-12-19 | | United States v. Bill Hwang et al., (S.D.N.Y. Dec. 19, 2024), the court sentenced Hwang to 18 years in prison for racketeering conspiracy, securities fraud, market manipulation, and wire fraud. | DOJ-SDNY |
| 2024-12-03 | | Celsius Founder And Former CEO Alexander Mashinsky Pleads Guilty To Multi-Billion Dollar Fraud And Market Manipulation Schemes | DOJ-SDNY |
| 2024-11-20 | | SEC v. TIMOTHY PAGE (S.D.N.Y. Nov. 20, 2024), Judgment, llm-upgrade | SEC-LR |
| 2024-10-18 | | SEC v. Morrie Tobin et al., No. 26163 (S.D.N.Y. Oct. 18, 2024), U | SEC-LR |
| 2024-10-15 | | Gotbit Consulting LLC a/k/a Gotbit Hedge Fund and Fedor Kedrov | SEC-LR |
| 2024-10-15 | | SEC v. Vy Pham, No. 26153 (S.D.N.Y. Oct. 9, 2024), U | SEC-LR |
| 2024-10-15 | | Plaintiff, Securities and Exchange Commission (the “Commission” or SEC alleges the following against the defendants, Cls Global Fzc LLC (“cls Global”) and Andrey Zhorzhes: | SEC-LR |
| 2024-10-15 | | Plaintiff, Securities and Exchange Commission (the “Commission” or “SEC”), alleges the following against the defendants, Gotbit Consulting LLC, a/k/a Gotbit Hedge Fund, (“Gotbit”) and Fedor Kedrov: | SEC-LR |
| 2024-10-15 | | SEC v. ZM Quant Investment Ltd., No. 26158 (S.D.N.Y. Oct. 9, 2024), U | SEC-LR |
| 2024-09-30 | | public interest that public administrative and cease-and-desist proceedings be, and hereby are, | SEC-PR |
| 2024-09-20 | | SEC v. : ECF CASE | SEC-LR |
| 2024-09-17 | | 1617 JFK Boulevard, Suite 520, Philadelphia, Pennsylvania 19103, files this Complaint against | SEC-LR |
| 2024-09-17 | | SEC v. Joel David Castro Leon and Shmuel A. Sherr, No. 26109 (S.D.N.Y. Sept. 17, 2024), U | SEC-LR |
| 2024-09-06 | | In re Esmark INC and | SEC-PR |
| 2024-08-09 | | Kevan Casey, Jonathan Friedlander, ) Jury Trial Demanded | SEC-LR |
| 2024-07-26 | | Securities and Exchange Commission v. Left, et al., No. 2:24-cv-06311 (C.D. Cal. Jul. 26, 2024), alleged that Andrew Left and Citron Capital, LLC defrauded investors by using Citron Research to manipulate stock prices through misleading reports and tweets, enabling Left to generate approximately $20 million in illegal trading profits. | SEC-LR |
| 2024-07-10 | | United States v. Hwang, No. 23-cr-175 (S.D.N.Y. July 10, 2024), indicted for conspiring to commit securities fraud and wire fraud by misleading banks into providing over $36 billion in credit based on false representations about Archegos’s portfolio | DOJ-SDNY |
| 2024-06-25 | | SEC v. John Brda and Georgios Palikaras, No. 26035 (S.D.N.Y. Jun. 25, 2024), U | SEC-LR |
| 2024-06-25 | | SEC Charges Meta Materials and Former CEOs With Market Manipulation, Fraud and Other Violations | SEC-PR |
| 2024-06-25 | | SEC v. JOHN BRDA, No. 1:24-cv-004806 (S.D.N.Y. Jun. 25, 2024), Complaint, llm-upgrade | SEC-LR |
| 2024-06-17 | | SEC v. MATTHEW BROWN and, No. 4:24-cv-00558 (S.D.N.Y. Jun. 17, 2024), Complaint, llm-upgrade | SEC-LR |
| 2024-06-13 | | SEC v. Giguiere et al., No. 26024 (S.D.N.Y. Aug. 5, 2022), U | SEC-LR |
| 2024-04-18 | | United States v. Eisenberg, (S.D.N.Y. Apr. 18, 2024), the jury found the defendant guilty of commodities fraud, commodities market manipulation, and wire fraud for a scheme that defrauded a cryptocurrency exchange of approximately $110 million. | DOJ-SDNY |
| 2024-04-15 | | SEC v. George Stubos, No. 25978 (S.D.N.Y. Apr. 15, 2024), defs:body | SEC-LR |
| 2024-04-04 | | SEC v. Eduardo Hernandez et al., No. 25967 (E.D.N.Y. Oct. 31, 2023), U | SEC-LR |
| 2024-04-03 | | SEC v. DiScala et al., No. 25965 (E.D.N.Y. Jan. 19, 2016), U | SEC-LR |
| 2024-04-03 | | SEC v. Jason Nielsen, No. 25964 (S.D.N.Y. Apr. 3, 2024), U | SEC-LR |
| 2024-04-03 | | SEC v. JASON NIELSEN, No. 213031 (S.D.N.Y. Apr. 3, 2024), Complaint, llm-upgrade | SEC-LR |
| 2024-04-02 | | SEC v. TRAVIS TREUSCH, No. 23-civ (S.D.N.Y. Apr. 2, 2024), Complaint, llm-upgrade | SEC-LR |
| 2024-04-02 | | SEC v. Treusch, No. 25962 (E.D.N.Y. Feb. 11, 2024), U | SEC-LR |
| 2024-03-27 | | SEC v. DANIEL CATTLIN, No. 21-CV- (S.D.N.Y. Sept. 23, 2021), Complaint, llm-upgrade | SEC-LR |
| 2024-03-14 | | United States v. Larmore, No. 24-MJ-00215 (S.D.N.Y. Mar. 14, 2024), indicted for orchestrating a fake $77 million tender offer for WeWork stock to fraudulently inflate its price and profit from call options | DOJ-SDNY |
| 2024-02-27 | | SEC v. PAUL A. PEREIRA, No. 22-bk-10979 (S.D.N.Y. Feb. 27, 2024), Complaint, llm-upgrade | SEC-LR |
| 2024-02-27 | | SEC v. Bhogal et al., No. 1:21-cv-04777-LJL (S.D.N.Y. Feb. 27, 2024), ordered the defendant permanently restrained and enjoined from violating Section 10(b) of the Securities Exchange Act and Section 17(a) of the Securities Act. | SEC-LR |
| 2024-01-12 | | United States v Morgan Stanley & Co LLC Statement Of Facts | DOJ-SDNY |
| 2024-01-11 | | SEC v. SHANCHUN HUANG (S.D.N.Y. Jan. 11, 2024), Complaint, llm-upgrade | SEC-LR |
| 2024-01-11 | | SEC v. Shanchun Huang, No. 25924 (S.D.N.Y. Jan. 11, 2024), U | SEC-LR |
| 2024-01-01 | | TD Securities Charged in Spoofing Scheme | SEC-PR |
| 2024-01-01 | | SEC Charges Ken Leech, Former Co-Chief Investment Officer of Western Asset Management Co., with Fraud | SEC-PR |
| 2024-01-01 | | SEC Charges Three So-Called Market Makers and Nine Individuals in Crackdown on Manipulation of Crypto Assets Offered and Sold as Securities | SEC-PR |
| 2023-12-26 | | SEC v. Jonathan Larmore Et Al., No. 213031 (S.D.N.Y. Dec. 26, 2023), Complaint, llm-upgrade | SEC-LR |
| 2023-12-26 | | SEC v. Jonathan Larmore, No. 25917 (S.D.N.Y. Nov. 28, 2023), defs:body | SEC-LR |
| 2023-12-18 | | United States v. Milton, S.D.N.Y. (Dec. 18, 2023), Trevor Milton was sentenced to four years in prison for securities and wire fraud. | DOJ-SDNY |
| 2023-12-08 | | SEC v. Andrew M. Komarow, No. 25908 (S.D.N.Y. Dec. 8, 2023), U | SEC-LR |
| 2023-12-05 | | SEC v. DiScala et al., No. 25905 (E.D.N.Y. Jan. 19, 2016), defs:body | SEC-LR |
| 2023-10-27 | | SEC v. BRUCE SCHOENGOOD, No. 116-283 (S.D.N.Y. Oct. 27, 2023), Complaint, llm-upgrade | SEC-LR |
| 2023-10-25 | | United States v. Neil Phillips, No. 23-371 (S.D.N.Y. Oct. 25, 2023), A jury convicted Phillips of intentionally manipulating the foreign‑exchange market to generate a $20 million profit for his hedge fund. | DOJ-SDNY |
| 2023-09-12 | | SEC v. GEORGE STUBOS, No. 22-cv-4674-LJL (S.D.N.Y. Sept. 12, 2023), Complaint, llm-upgrade | SEC-LR |
| 2023-09-01 | | SEC v. JEREMY KOSKI (S.D.N.Y. Sept. 1, 2023), Complaint, llm-upgrade | SEC-LR |
| 2023-09-01 | | SEC v. Jeremy Koski, No. 25820 (S.D.N.Y. Sept. 1, 2023), U | SEC-LR |
| 2023-07-19 | | SEC v. Chadd L. Evans (S.D.N.Y. Jul. 19, 2023), Complaint, llm-upgrade | SEC-LR |
| 2023-07-17 | | SEC v. James P. Anglim, No. 25780 (S.D.N.Y. Jul. 17, 2023), U | SEC-LR |
| 2023-07-17 | | SEC v. JAMES P. ANGLIM, No. 23-CV- (S.D.N.Y. Jul. 17, 2023), Complaint, llm-upgrade | SEC-LR |
| 2023-06-14 | | SEC v. v. Hal D. Mintz and Sabby Management LLC, No. 25746 (S.D.N.Y. Jun. 14, 2023), Complaint, llm-upgrade | SEC-LR |
| 2023-06-14 | | SEC v. Padilla, No. 25745 (S.D.N.Y. Jun. 14, 2023), defs:body | SEC-LR |
| 2023-06-14 | | SEC v. Hal D. Mintz and Sabby Management LLC, No. 2:23-CV-3201 (S.D.N.Y. Jun. 14, 2023), Complaint, llm-upgrade | SEC-LR |
| 2023-06-12 | | Securities and Exchange Commission v. Hal D. Mintz and Sabby Management LLC | SEC-PR |
| 2023-06-07 | | Prohibition Against Fraud, Manipulation, or Deception in Connection with Security-Based | SEC-PR |
| 2023-06-07 | | SEC Adopts Rules to Prevent Fraud in Connection with Security-Based Swaps Transactions and Prevent Undue Influence over CCOs | SEC-PR |
| 2023-05-26 | | SEC v. the Hydrogen Technology, No. 22-cv-08284 (S.D.N.Y. May 26, 2023), Complaint, llm-upgrade | SEC-LR |
| 2023-05-26 | | SEC v. The Hydrogen Technology Corporation, No. 25737 (S.D.N.Y. May 26, 2023), U | SEC-LR |
| 2023-05-26 | | SEC v. FRANCIS SABO, No. 22-CV- (S.D.N.Y. May 26, 2023), Complaint, llm-upgrade | SEC-LR |
| 2023-05-24 | | SEC v. Gpl Ventures LLC (S.D.N.Y. May 24, 2023), Complaint, llm-upgrade | SEC-LR |
| 2023-05-12 | | SEC v. DiScala et al., No. 25725 (E.D.N.Y. May 12, 2023), defs:body | SEC-LR |
| 2023-05-12 | | SEC v. Giguiere et al., No. 25724 (S.D.N.Y. May 12, 2023), U | SEC-LR |
| 2023-05-10 | | laintiff United States Securities and Exchange Commission (the “SEC” or | SEC-LR |
| 2023-05-10 | | SEC v. IRB Brasil Resseguros S.A., No. 25718 (S.D.N.Y. May 10, 2023), Complaint, llm-upgrade | SEC-LR |
| 2023-05-03 | | SEC v. LEE COHEN (S.D.N.Y. May 3, 2023), Complaint, llm-upgrade | SEC-LR |
| 2023-05-03 | | SEC v. Lee Cohen, No. 25704 (E.D.N.Y. May 3, 2023), U | SEC-LR |
| 2023-05-01 | | SEC v. Carlos Eduardo Reyes Alvarez., No. 25703 (S.D.N.Y. May 1, 2023), U | SEC-LR |
| 2023-04-03 | | SEC v. DiScala et al., No. 25686 (E.D.N.Y. Apr. 3, 2023), defs:body | SEC-LR |
| 2023-03-27 | | Prohibition Against Conflicts of Interest in Certain Securitizations | SEC-PR |
| 2023-03-24 | | SEC v. JUSTIN SUN, No. 23-2433 (S.D.N.Y. Mar. 24, 2023), Complaint, llm-upgrade | SEC-LR |
| 2023-02-21 | | SEC v. CANDLESTICK CAPITAL, No. 34-56206 (S.D.N.Y. Feb. 21, 2023), Complaint, llm-upgrade | SEC-LR |
| 2023-02-21 | | SEC v. Hite Hedge Asset Management, No. 34-56206 (S.D.N.Y. Feb. 21, 2023), Complaint, llm-upgrade | SEC-LR |
| 2023-02-21 | | SEC v. HITE Hedge Asset Management LLC et al., No. 25643 (S.D.N.Y. Feb. 17, 2023), Complaint, llm-upgrade | SEC-LR |
| 2023-02-16 | | SEC v. Patel, No. 2:23-cv-00026-RWS (N.D. Ga.), SEC alleged that Patel participated in a fraudulent scheme to manipulate securities prices by disseminating false rumors and profited over $1.1 million. | SEC-LR |
| 2023-02-16 | | SEC v. Milan Patel, No. 25641 (S.D.N.Y. Feb. 16, 2023), SEC Charges Final Participant in Multi-Million Dollar Scheme to Spread and Trade On False Rumors About Public Companies Litigation Release | SEC-LR |
| 2023-02-09 | | SEC v. DiScala et al., No. 25636 (E.D.N.Y. Feb. 9, 2023), defs:body | SEC-LR |
| 2023-02-03 | | SEC v. Giguiere et al., No. 25631 (S.D.N.Y. Feb. 3, 2023), SEC Obtains Final Judgment in Microcap Fraud Litigation Litigation Release No | SEC-LR |
| 2023-02-02 | | United States v. Eisenberg, S.D.N.Y. (Feb. 2, 2023), the United States indicted Eisenberg for commodities fraud, commodities market manipulation, and wire fraud related to a scheme that allegedly defrauded over $100 million from the Mango Markets cryptocurrency exchange. | DOJ-SDNY |
| 2023-01-23 | | SEC v. AVRAHAM EISENBERG, No. 1:23-cv-503 (S.D.N.Y. Jan. 23, 2023), Complaint, llm-upgrade | SEC-LR |
| 2023-01-23 | | SEC v. Avraham Eisenberg, No. 25623 (S.D.N.Y. Jan. 20, 2023), SEC Charges Avraham Eisenberg with Manipulating Mango Markets' "Governance Token" to Steal $116 Million of Crypto Assets Defendant, Who Was | SEC-LR |
| 2023-01-23 | | SEC v. AVRAHAM EISENBERG, No. 1:23-cv-503 (S.D.N.Y. Jan. 23, 2023), Complaint, llm-upgrade | SEC-LR |
| 2023-01-20 | | SEC v. Robert Donald Bruce Genovese, No. 25620 (S.D.N.Y. Jan. 20, 2023), defs:body | SEC-LR |
| 2023-01-17 | | SEC v. Todd Zinkwich, No. 25615 (S.D.N.Y. Sept. 24, 2020), SEC Obtains Judgment Against Florida Man in Microcap Fraud Litigation Release No | SEC-LR |
| 2023-01-06 | | SEC v. ANDREW DEFRANCESCO (S.D.N.Y. Jan. 6, 2023), Complaint, llm-upgrade | SEC-LR |
| 2023-01-04 | | SEC v. DiScala et al., No. 25606 (E.D.N.Y. Jan. 4, 2023), defs:body | SEC-LR |
| 2023-01-03 | | SEC v. Melville Peter Ten Cate (S.D.N.Y. Jan. 3, 2023), Complaint, llm-upgrade | SEC-LR |
| 2023-01-03 | | SEC v. Melville Peter Ten Cate (S.D.N.Y. Jan. 3, 2023), Complaint, llm-upgrade | SEC-LR |
| 2023-01-01 | | SEC Charges Final Participant in Multi-Million Dollar Scheme to Spread and Trade on False Rumors about Public Companies | SEC-PR |
| 2022-12-20 | | SEC v. Lawrence Billimek and Alan Williams, No. 25595 (S.D.N.Y. Dec. 20, 2022), SEC Charges Financial Services Professional and Associate in $47 Million Front-Running Scheme Litigation Release No | SEC-LR |
| 2022-12-19 | | SEC v. Brian Kistler and New Opportunity Business Solutions, No. 25594 (S.D.N.Y. Dec. 19, 2022), llm-upgrade | SEC-LR |
| 2022-12-19 | | In re Williamsville Sears Management, No. 34-95797 (S.D.N.Y. Dec. 19, 2022), CO-ACTING REGIONAL DIRECTOR | SEC-LR |
| 2022-12-14 | | SEC v. Edward Constantin, No. 25591 (S.D.N.Y. Dec. 13, 2022), defs:body | SEC-LR |
| 2022-12-14 | | SEC v. EDWARD CONSTANTIN, No. 22-CV- (S.D.N.Y. Dec. 14, 2022), Complaint, llm-upgrade | SEC-LR |
| 2022-12-09 | | SEC v. in Ovations Holdings (S.D.N.Y. Dec. 9, 2022), Complaint, llm-upgrade | SEC-LR |
| 2022-12-06 | | SEC v. Eric T. Landis, No. 25587 (S.D.N.Y. Nov. 28, 2018), defs:body | SEC-LR |
| 2022-11-21 | | United States v. James Velissaris, S.D.N.Y. (Nov. 21, 2022), the founder and former chief investment officer of Infinity Q pleaded guilty to securities fraud for inflating the value of over‑the‑counter derivative positions and providing falsified documents to the fund’s auditor and the SEC. | DOJ-SDNY |
| 2022-09-29 | | SEC v. Jason Nordlund Complaint, No. 22-cv-2406 (S.D.N.Y. Sept. 29, 2022), Complaint, __________________________________________ | SEC-LR |
| 2022-09-29 | | SEC v. Jason Nordlund, No. 25535 (S.D.N.Y. Sept. 29, 2022), SEC Charges Minneapolis Hedge Fund Manager in Alleged Market Manipulation Scheme Litigation Release No | SEC-LR |
| 2022-09-28 | | SEC v. Charles Parrino, No. 25528 (S.D.N.Y. Sept. 28, 2022), SEC Charges Fourth Participant in Market Manipulation Scheme Litigation Release No | SEC-LR |
| 2022-09-28 | | SEC v. Parrino, N.D. Ga., the complaint alleged that Parrino participated in a scheme to manipulate securities prices by creating and disseminating false rumors, earning illicit gains. | SEC-LR |
| 2022-09-27 | | JAMES T. PATTEN, PETER L. COKER, SR., : | SEC-LR |
| 2022-09-27 | | SEC v. James T. Patten, No. 25526 (S.D.N.Y. Sept. 26, 2022), defs:body | SEC-LR |
| 2022-09-15 | | RE: SEC Office of the Investor Advocate’s Research Regarding Performance | SEC-PR |
| 2022-09-13 | | SEC v. Scott Adam Brander (S.D.N.Y. Sept. 13, 2022), Complaint, llm-upgrade | SEC-LR |
| 2022-09-01 | | United States v. Phillips, No. 22-cr-456 (S.D.N.Y. Sept. 1, 2022), indicted for conspiracy to commit commodities fraud and wire fraud for manipulating the USD/ZAR exchange rate to trigger a $20 million payment under a barrier options contract | DOJ-SDNY |
| 2022-08-29 | | SEC v. Harmel S. Rayat, No. 25487 (S.D.N.Y. Aug. 29, 2022), U | SEC-LR |
| 2022-08-19 | | . Securities and Exchange Commission (the “Commission” or “SEC”) | SEC-LR |
| 2022-08-19 | | SEC v. Lee Simmons, No. 25478 (S.D.N.Y. Aug. 19, 2022), SEC Charges Market Manipulator Who Filed False Documents Via Edgar Litigation Release No | SEC-LR |
| 2022-08-16 | | SEC v. Rahim Mohamed Et Al, No. 302482 (S.D.N.Y. Aug. 16, 2022), Complaint, llm-upgrade | SEC-LR |
| 2022-08-16 | | SEC v. Rahim Mohamed, No. 25469 (S.D.N.Y. Aug. 15, 2022), SEC Charges 18 Defendants in International Scheme to Manipulate Stocks Using Hacked US Brokerage Accounts Litigation Release No | SEC-LR |
| 2022-07-28 | | SEC v. Patient Access Solutions (S.D.N.Y. Jul. 28, 2022), Complaint, llm-upgrade | SEC-LR |