| | SEC v. Daniel E. Ruettiger, No. 22198 (S.D.N.Y.), U | SEC-LR |
| | Press Release: SEC Obtains Order Freezing $3 Million in Proceeds of Suspected Foreign-Based Account Intrusion Scheme | SEC-PR |
| | SEC Sues Telemarketers for Fraudulent "Wrong Number" Stock Tips | SEC-PR |
| 2026-04-09 | | Securities and Exchange Commission v. Wall, No. 21-cv-1199 (D. Mass. Apr. 8, 2026), ordered to pay disgorgement of $3,187,277 plus $1,081,662 in prejudgment interest and permanently enjoined from violating securities antifraud provisions and participating in penny stock offerings | SEC-LR |
| 2026-04-08 | | Gianoplus Consortia LLC; Michael Peter Gianoplus; Traci Leigh Bransford-Marquis | SEC-LR |
| 2026-03-31 | | SEC v. Fullenkamp et al., No. 26‑cv‑03407 (D.N.J. Mar. 31, 2026), the SEC alleged that the defendants perpetrated a fraudulent scheme to misappropriate millions of dollars from two penny‑stock issuers. | SEC-LR |
| 2026-03-11 | | United States v. Lichtenstein, No. 26-055 (S.D.N.Y. Mar. 11, 2026), defendant pleaded guilty to securities fraud for defrauding investors of more than $1.5 million. | DOJ-SDNY |
| 2026-02-24 | | SEC v. IAN G. BELL (S.D.N.Y. Feb. 24, 2026), Complaint, llm-upgrade | SEC-LR |
| 2026-02-24 | | SEC v. Bell, No. 26488 (S.D.N.Y. Dec. 9, 2024), U | SEC-LR |
| 2026-02-23 | | Securities and Exchange Commission v. Ferguson and McFadden, No. 26-cv-01482 (S.D.N.Y. Feb. 23, 2026), alleged that the former CEO and consultant of Edison Nation, Inc. issued a false press release about purchase orders for personal protective equipment, causing a 197% spike in the company’s stock price and enabling illicit profits. | SEC-LR |
| 2026-02-23 | | SEC v. CHRISTOPHER B. FERGUSON and (S.D.N.Y. Feb. 23, 2026), Complaint, llm-upgrade | SEC-LR |
| 2026-02-20 | | SEC v. C‑Hear, Inc. et al., No. 3:26-cv-00547-N (N.D. Tex. Feb. 19, 2026), SEC alleged that Adena Harmon, acting as CEO of C‑Hear, Inc., made materially misleading statements to investors, misappropriated investor funds, and used false claims about product trials and a Dallas Cowboys acquisition to defraud investors. | SEC-LR |
| 2026-02-04 | | SEC v. Rosen et al., No. 3:26-cv-00361-AJB-BJW (S.D. Cal. Jan. 21, 2026), The SEC alleged that Rosen, Braun, RB Capital Partners, Inc., and former Solar CEO David M. Massey engaged in a scheme to falsely promote Solar Integrated Roofing Corporation stock on social media while selling their own shares for profit. | SEC-LR |
| 2026-02-04 | | Securities and Exchange Commission v. Rosen, et al., No. 3:26-cv-00361-AJB-BJW (S.D. Cal. Jan. 21, 2026), alleged that defendants engaged in a fraudulent scheme by promoting Solar Integrated Roofing Corporation stock on social media while secretly converting convertible notes into stock at artificially low prices and selling the shares at substantial profits without disclosing the true cost basis. | SEC-LR |
| 2026-01-27 | | and Christopher j. Rajkaran, ) Jury Trial Demanded | SEC-LR |
| 2026-01-27 | | Securities and Exchange Commission v. Miller, et al., No. 21-cv-01445 (D. Minn. June 18, 2021), SEC obtained final consent judgment against Jaberian ordering disgorgement of $66,749 plus prejudgment interest and permanent injunctions, while Rajkaran and Miller were previously subject to default and consent judgments with disgorgement and injunctions, following their guilty pleas in parallel crimn | SEC-LR |
| 2025-12-19 | | SEC v. Drazenovic, No. 25-cv-10492 (S.D.N.Y. Dec. 18, 2025), The SEC alleged that Drazenovic recklessly furthered two penny‑stock pump‑and‑dump schemes and consented to a judgment ordering disgorgement, a civil penalty, and an injunction. | SEC-LR |
| 2025-12-19 | | SEC v. George John Drazenovic (S.D.N.Y. Dec. 19, 2025), Complaint, llm-upgrade | SEC-LR |
| 2025-12-15 | | SEC v. Tiffany Kelly and Curastory INC (S.D.N.Y. Dec. 15, 2025), Complaint, llm-upgrade | SEC-LR |
| 2025-12-12 | | Securities and Exchange Commission v. Rapid Therapeutic Science Laboratories, Inc. and Donal R. Schmidt, Jr., No. 3:23-cv-2081-S (N.D. Tex. Sept. 18, 2023), SEC obtained final judgments ordering disgorgement, prejudgment interest, and civil penalties against the company and its CEO for making fraudulent statements regarding the company’s certifications, sales contracts, laboratory standards, and纳斯 | SEC-LR |
| 2025-09-12 | | SEC v. Charles T. Lawrence, No. 26400 (S.D.N.Y. May 1, 2023), Complaint, llm-upgrade | SEC-LR |
| 2025-09-12 | | SEC v. CHARLES T. LAWRENCE, No. 23-cv-550-pp (S.D.N.Y. Sept. 12, 2025), Complaint, llm-upgrade | SEC-LR |
| 2025-09-09 | | SEC v. Henry Paul Regan (S.D.N.Y. Sept. 9, 2025), Complaint, llm-upgrade | SEC-LR |
| 2025-08-22 | | SEC v. Robert m. Thompson and Financial, No. 23-cv-550-PP (S.D.N.Y. Aug. 22, 2025), Complaint, llm-upgrade | SEC-LR |
| 2025-08-22 | | SEC v. Thompson et al., No. 3:24-cv-05032 (W.D. Mo. Aug. 14, 2025), the SEC obtained default judgments against the adviser and his firm for offering fraud, enjoining them from further violations and ordering disgorgement and civil penalties. | SEC-LR |
| 2025-08-04 | | Securities and Exchange Commission v. Feingold, et al., No. 1:25-cv-20436 (S.D. Fla. Jan. 30, 2025), alleged that defendants orchestrated a $1 billion offering fraud through a private equity fund by misrepresenting investment returns, commingling investor funds, and making false claims about tax benefits and fund structures | SEC-LR |
| 2025-07-10 | | Final Judgment As to Defendant Brian d. Shibley | SEC-LR |
| 2025-07-10 | | SEC v. Keith A. Rosenbaum, No. 26344 (S.D.N.Y. Jul. 10, 2025), U | SEC-LR |
| 2025-07-10 | | Final Judgment As to Defendant Randell r. Torno | SEC-LR |
| 2025-07-09 | | SEC v. Nicholas A. Palazzo, No. 26343 (S.D.N.Y. Sept. 20, 2024), U | SEC-LR |
| 2025-06-27 | | SEC v. Rajesh Markan, No. 26337 (S.D.N.Y. Jun. 27, 2025), U | SEC-LR |
| 2025-06-26 | | In re Oracle Corp. Sec. Litig., No. 49-2 (S.D.N.Y. Jun. 26, 2025), Judgment, llm-upgrade | SEC-LR |
| 2025-06-20 | | SEC v. BENJAMIN BALLOUT, No. 9:24-cv-81170 (S.D.N.Y. Jun. 20, 2025), Complaint, llm-upgrade | SEC-LR |
| 2025-06-20 | | SEC v. Ongkaruck Sripetch, No. 26332 (S.D.N.Y. Sept. 21, 2020), U | SEC-LR |
| 2025-06-20 | | SEC v. Ongkaruck Sripetch; Amanda | SEC-LR |
| 2025-06-20 | | SEC v. BENJAMIN BALLOUT, No. 24-81170-CV-MIDDLEBROOKS (S.D.N.Y. Jun. 20, 2025), Judgment, llm-upgrade | SEC-LR |
| 2025-06-20 | | Securities and Exchange Commission v. Ballout, No. 24-81170-CV-MIDDLEBROOKS (S.D. Fla. June 11, 2025), ordered to pay civil penalties and permanently enjoined from violating Sections 10(b) and 17(a) of the federal securities laws by engaging in fraudulent schemes involving false statements and market manipulation | SEC-LR |
| 2025-06-20 | | SEC v. Benjamin Ballout, No. 26331 (S.D.N.Y. Sept. 23, 2024), U | SEC-LR |
| 2025-06-20 | | SEC v. Ongkaruck Sripetch; Amanda | SEC-LR |
| 2025-06-13 | | SEC v. Sergio Damian Lopez, No. 26325 (S.D.N.Y. May 28, 2025), U | SEC-LR |
| 2025-06-13 | | SEC v. Lopez, (C.D. Cal.), the complaint alleges that Lopez concealed paid promotion of two securities offerings and violated antifraud provisions of the Securities Act and Exchange Act. | SEC-LR |
| 2025-06-13 | | SEC v. Lopez, No. 2:25‑cv‑04795 (C.D. Cal. June 12, 2025), the court ordered the defendant permanently restrained and enjoined from violating Section 10(b) of the Securities Exchange Act of 1934 and Section 17(a) of the Securities Act of 1933. | SEC-LR |
| 2025-06-06 | | SEC v. Medallion Financial Corp., No. 26321 (S.D.N.Y. Dec. 29, 2021), defs:body | SEC-LR |
| 2025-06-06 | | Securities and Exchange Commission v. Lawrence Meyers et al., No. 21-CV-11125 (S.D.N.Y. May 29, 2025), entered final judgment permanently enjoining defendants from violating Sections 10(b) and 17(b) of the federal securities laws and ordering Meyers to pay a $100,000 civil penalty | SEC-LR |
| 2025-05-22 | | SEC v. BARRY C. HONIG, No. 18-CV-8175 (S.D.N.Y. May 22, 2025), Complaint, llm-upgrade | SEC-LR |
| 2025-05-20 | | United States v. Bauer, S.D.N.Y. (May 20, 2025), the defendant pleaded guilty to securities fraud for a pump‑and‑dump scheme and was sentenced to 20 months in prison. | DOJ-SDNY |
| 2025-05-09 | | SEC v. Safeguard Metals LLC and Jeffrey Ikahn, No. 6237890 (S.D.N.Y. May 9, 2025), Amended Complaint, llm-upgrade | SEC-LR |
| 2025-04-29 | | SEC v. Albert Golusin, No. 26296 (E.D.N.Y. Apr. 29, 2025), defs:body | SEC-LR |
| 2025-04-29 | | SEC v. ALBERT GOLUSIN, No. 25-2379 (S.D.N.Y. Apr. 29, 2025), Complaint, llm-upgrade | SEC-LR |
| 2025-04-28 | | SEC v. Daniel J. Motha, No. 26293 (S.D.N.Y. Apr. 25, 2025), U | SEC-LR |
| 2025-04-17 | | SEC v. Saied Jaberian, No. 26288 (S.D.N.Y. Apr. 17, 2025), U | SEC-LR |
| 2025-04-14 | | SEC v. Canafarma Hemp Products Corp. (S.D.N.Y. Apr. 14, 2025), Amended Complaint, llm-upgrade | SEC-LR |
| 2025-04-14 | | SEC v. Canafarma Hemp Products Corp. (S.D.N.Y. Apr. 14, 2025), Amended Complaint, llm-upgrade | SEC-LR |
| 2025-03-20 | | SEC v. Norman V. Meier, No. 26273 (S.D.N.Y. Oct. 11, 2024), U | SEC-LR |
| 2025-03-18 | | Former Real Estate CEO Sentenced To Five Years In Prison For Manipulating WeWork Stock With Fraudulent Tender Offer Scheme | DOJ-SDNY |
| 2025-03-13 | | SEC v. Gauntlet Holdings, No. 26266 (S.D.N.Y. Mar. 13, 2025), Complaint, llm-upgrade | SEC-LR |
| 2025-02-28 | | SEC v. Justinas Butkus, No. 26259 (S.D.N.Y. Feb. 27, 2025), U | SEC-LR |
| 2025-02-24 | | SEC v. Stanford International Bank, No. 3:09-CV-298-N (S.D.N.Y. Feb. 24, 2025), Judgment, defs:body | SEC-LR |
| 2025-02-21 | | SEC v. Francisco Abellan Villena, No. 26253 (S.D.N.Y. May 15, 2018), defs:body | SEC-LR |
| 2025-02-20 | | Final Judgment As to Defendants Bryant United Capital | SEC-LR |
| 2025-02-19 | | SEC v. Phillip W. Offill, No. 26249 (S.D.N.Y. Jan. 19, 2022), U | SEC-LR |
| 2025-02-18 | | SEC v. Shah Et Al., No. 213031 (S.D.N.Y. Feb. 18, 2025), Complaint, llm-upgrade | SEC-LR |
| 2025-02-07 | | SEC v. Airborne Wireless Network, No. 26242 (S.D.N.Y. Feb. 7, 2025), defs:body | SEC-LR |
| 2025-02-07 | | SEC v. Airborne Wireless Network, No. 43 (S.D.N.Y. Feb. 7, 2025), Complaint, llm-upgrade | SEC-LR |
| 2025-02-07 | | SEC v. Airborne Wireless Network, No. 43 (S.D.N.Y. Feb. 7, 2025), Complaint, llm-upgrade | SEC-LR |
| 2025-02-06 | | Securities and Exchange Commission v. Gastauer et al., No. 1:18-cv-12058 (D. Mass. Jan. 29, 2025), ordered to pay over $4.6 million for receiving fraudulent proceeds from an international microcap stock fraud scheme | SEC-LR |
| 2025-02-03 | | SEC v. Joseph A. Padilla, No. 26234 (S.D.N.Y. Feb. 3, 2025), defs:body | SEC-LR |
| 2025-02-03 | | SEC v. Luis Jimenez Carrillo, No. 26235 (S.D.N.Y. Aug. 4, 2021), defs:body | SEC-LR |
| 2025-01-16 | | Securities and Exchange Commission v. Gannon Giguiere et al., No. 18-cv-01530-BEN-JLB (S.D. Cal. July 6, 2018), alleged that defendants engaged in fraudulent schemes involving penny stocks KVMD, ASNT, and ESSI, netting over $10 million through undisclosed control, nominee trading, and matched trading activities | SEC-LR |
| 2025-01-16 | | SEC v. Giguiere et al., No. 26222 (S.D.N.Y. Jan. 16, 2025), U | SEC-LR |
| 2025-01-14 | | In re Cournoyer, No. 41285 (S.D.N.Y. Jan. 14, 2025), defs:body | SEC-LR |
| 2025-01-07 | | SEC v. Leena Jaitley, No. 26212 (S.D.N.Y. Sept. 20, 2021), U | SEC-LR |
| 2025-01-06 | | United States v. Wang, No. 23-cr-487 (S.D.N.Y. Jan. 6, 2025), sentenced to 10 years in prison for conspiracy to commit wire fraud and money laundering in connection with a $1.4 billion fraud scheme orchestrated with Miles Guo | DOJ-SDNY |
| 2025-01-01 | | SEC Charges Canadian Citizen With Fraud Schemes That Targeted Retail Investors on Discord | SEC-PR |
| 2024-12-23 | | SEC v. 1:16-cv-2193 | SEC-LR |
| 2024-12-19 | | SEC v. Ronald Bauer et al., No. 26199 (S.D.N.Y. Apr. 14, 2022), U | SEC-LR |
| 2024-12-17 | | SEC v. Historic Asset Placement Services Global, No. 26196 (S.D.N.Y. Dec. 13, 2024), llm-upgrade | SEC-LR |
| 2024-12-11 | | SEC v. JOHN S. CLAYTON, No. 666885 (S.D.N.Y. Dec. 11, 2024), Complaint, llm-upgrade | SEC-LR |
| 2024-12-11 | | SEC v. John S. Clayton et al., No. 26193 (S.D.N.Y. Dec. 11, 2024), U | SEC-LR |
| 2024-12-10 | | SEC v. Ian G. Bell, No. 26189 (S.D.N.Y. Dec. 9, 2024), U | SEC-LR |
| 2024-12-10 | | SEC v. Unknown Defendants, No. (S.D.N.Y. Sept. 30, 2024), issued investor alert warning that social media stock tip scams involve impersonation of registered professionals and manipulation of stock prices to induce losses | SEC-LR |
| 2024-12-10 | | SEC v. DAVID BANISTER and THE MARKET (S.D.N.Y. Dec. 10, 2024), Complaint, llm-upgrade | SEC-LR |
| 2024-11-22 | | To be discussed at the December 10, 2024 meeting of the | SEC-PR |
| 2024-11-20 | | SEC v. Timothy Page et al., No. 26174 (E.D.N.Y. Sept. 23, 2021), U | SEC-LR |
| 2024-11-19 | | SEC v. IAN MITCHELL (S.D.N.Y. Nov. 19, 2024), Complaint, llm-upgrade | SEC-LR |
| 2024-11-19 | | SEC v. Frank Igwealor Et Al, No. 4397048 (S.D.N.Y. Nov. 19, 2024), Complaint, llm-upgrade | SEC-LR |
| 2024-11-19 | | SEC v. Frank Igwealor, No. 26171 (S.D.N.Y. Nov. 18, 2024), U | SEC-LR |
| 2024-11-04 | | United States v. Bauer, S.D.N.Y. (Nov. 4, 2024), Bauer pleaded guilty to conspiring to commit securities fraud in a pump‑and‑dump stock manipulation scheme. | DOJ-SDNY |
| 2024-10-22 | | SEC v. Ryan Choi, No. 26164 (S.D.N.Y. Oct. 22, 2024), U | SEC-LR |
| 2024-10-22 | | SEC v. Choi, No. 2:24-cv-09082 (C.D. Cal. Oct. 22, 2024), SEC alleged that Ryan Choi negligently assisted Citron Research in preparing fraudulent short‑selling recommendations, traded on the resulting price movements, and violated the antifraud provisions of Section 17(a)(3) of the Securities Act. | SEC-LR |
| 2024-10-22 | | United States v. Jonathan Moynahan Larmore, S.D.N.Y. (Oct. 22, 2024), convicted of tender offer fraud and securities fraud for a scheme to manipulate WeWork stock price. | DOJ-SDNY |
| 2024-10-18 | | SEC v. Environmental Packaging Technologies Holdings, Inc., No. 81036 (S.E.C. June 27, 2017), temporarily suspended trading in the company's securities due to concerns over inaccurate public information and potentially manipulative trading activity | SEC-LR |
| 2024-10-09 | | SEC v. MINERCO, No. 1:24-cv-2870 (S.D.N.Y. Oct. 9, 2024), Complaint, llm-upgrade | SEC-LR |
| 2024-10-09 | | SEC v. Minerco, No. 26150 (D.D.C. Oct. 9, 2024), U | SEC-LR |
| 2024-10-02 | | United States v. Newcombe et al., S.D.N.Y. (Oct. 2, 2024), United States alleged that Newcombe et al. engaged in a multi‑year scheme to fraudulently obtain and sell carbon credits, defrauding investors of over $100 million. | DOJ-SDNY |
| 2024-09-30 | | SEC v. Seong Yeol Lee and Ameritrust Corporation, No. 26146 (S.D.N.Y. Feb. 1, 2023), defs:body | SEC-LR |
| 2024-09-30 | | SEC v. HARRY ZHABILOV, No. 1:24-CV-7362 (S.D.N.Y. Sept. 30, 2024), Complaint, llm-upgrade | SEC-LR |
| 2024-09-30 | | SEC v. Harry Zhabilov et al., No. 26144 (S.D.N.Y. Sept. 30, 2024), U | SEC-LR |
| 2024-09-27 | | SEC v. Marco Babini, No. 26136 (S.D.N.Y. Sept. 14, 2015), defs:body | SEC-LR |
| 2024-09-27 | | SEC v. Akshay Kamboj and Dev Kamboj, No. 26134 (S.D.N.Y. Sept. 27, 2024), U | SEC-LR |
| 2024-09-23 | | SEC v. Benjamin Ballout, No. 26122 (S.D.N.Y. Sept. 23, 2024), U | SEC-LR |
| 2024-09-23 | | SEC v. BENJAMIN BALLOUT, No. 9:24-cv-81170 (S.D.N.Y. Sept. 23, 2024), Complaint, llm-upgrade | SEC-LR |
| 2024-09-20 | | SEC v. DiScala et al., No. 26115 (E.D.N.Y. Jan. 19, 2016), SECURITIES AND EXCHANGE COMMISSION Litigation Release No | SEC-LR |
| 2024-08-30 | | SEC v. Drew Morgan Ciccarelli, No. 26087 (S.D.N.Y. Sept. 30, 2020), U | SEC-LR |
| 2024-08-30 | | SEC v. Drew Morgan Ciccarelli, No. 20-CV- (S.D.N.Y. Aug. 30, 2024), Complaint, llm-upgrade | SEC-LR |
| 2024-08-30 | | SEC v. Drew Morgan Ciccarelli, No. 20-CV- (S.D.N.Y. Aug. 30, 2024), Complaint, llm-upgrade | SEC-LR |
| 2024-08-27 | | SEC v. Qz Global Limited, No. 4:24-cv-4153 (S.D.N.Y. Aug. 27, 2024), Complaint, llm-upgrade | SEC-LR |
| 2024-08-13 | | SEC v. Stephen Durland, No. 26075 (S.D.N.Y. Aug. 13, 2024), U | SEC-LR |
| 2024-08-13 | | SEC v. Stephen Durland, No. 3:24‑cv‑02062 (N.D. Tex. Aug. 13, 2024), Durland allegedly participated in a scheme to artificially inflate the prices and trading volume of three penny‑stock issuers by preparing false financial statements and concealing his prior securities‑fraud conviction. | SEC-LR |
| 2024-08-09 | | SEC v. Kevan Casey et al., No. 26071 (S.D.N.Y. Aug. 9, 2024), U | SEC-LR |
| 2024-08-07 | | SEC v. Taylor Woods, No. 26068 (S.D.N.Y. Aug. 6, 2024), U | SEC-LR |
| 2024-07-26 | | SEC v. Andrew Left, No. 26056 (S.D.N.Y. Jul. 26, 2024), Complaint, llm-upgrade | SEC-LR |
| 2024-07-26 | | SEC Charges Andrew Left and Citron Capital for $20 Million Fraud Scheme | SEC-PR |
| 2024-06-26 | | SEC v. Frederick L. Sharp et al., No. 26037 (S.D.N.Y. Aug. 5, 2021), U | SEC-LR |
| 2024-06-26 | | SEC v. Kelln et al., No. 21-11276-WGY (D. Mass. Jun. 20, 2024), Court entered a judgment permanently enjoining Kelln et al. from violating Sections 5, 10(b) and 17(a) of the securities laws and imposed a civil penalty. | SEC-LR |
| 2024-06-25 | | In re META MATERIALS, No. 11292 (S.D.N.Y. Jun. 25, 2024), SECURITIES ACT OF 1933 | SEC-LR |
| 2024-06-18 | | SEC v. Western Sierra Resource Corporation, No. 26032 (S.D.N.Y. Jun. 18, 2024), U | SEC-LR |
| 2024-05-31 | | SEC Charges Robert Scott Murray and Trillium Capital with Fraudulent Scheme to Manipulate Getty Images Stock | SEC-PR |
| 2024-05-31 | | SEC v. Robert Scott Murray | SEC-PR |
| 2024-05-13 | | SEC v. Michael M. Beck, No. 26003 (S.D.N.Y. May 13, 2024), U | SEC-LR |
| 2024-05-03 | | SEC v. Ahmed Alomari and MCM Consulting, No. 25993 (S.D.N.Y. May 3, 2024), llm-upgrade | SEC-LR |
| 2024-05-03 | | SEC v. Alomari et al., No. 1:24-cv-172 (D.R.I.), Alomari allegedly promoted microcap stocks and IPO shares without required disclosures while buying and selling those securities for personal profit in violation of the Securities Act. | SEC-LR |
| 2024-05-03 | | SEC v. Robert M. Thompson, No. 3:24-cv-05032-MDH (W.D. Mo. May 3, 2024), the SEC alleged that Thompson and his company defrauded investors in three securities offerings by promoting trading programs that claimed to generate risk-free returns. | SEC-LR |
| 2024-04-15 | | SEC v. GEORGE STUBOS, No. 22-CV- (S.D.N.Y. Apr. 15, 2024), Complaint, defs:body | SEC-LR |
| 2024-03-28 | | SEC v. Matthew Nicosia, No. 25959 (E.D.N.Y. Sept. 27, 2022), U | SEC-LR |
| 2024-03-28 | | SEC v. 22 CV 5761 (PKC) (CLP) | SEC-LR |
| 2024-03-27 | | SEC v. Cattlin et al., No. 25958 (E.D.N.Y. Mar. 27, 2024), U | SEC-LR |
| 2024-03-20 | | SEC v. Bernard Findley and Halitron, No. 25951 (S.D.N.Y. Mar. 20, 2024), U | SEC-LR |
| 2024-02-27 | | SEC v. Paul A. Pereira, No. 25944 (S.D.N.Y. Feb. 27, 2024), U | SEC-LR |
| 2024-02-27 | | Final Judgment As to Defendant Harmel s. Rayat | SEC-LR |
| 2024-02-27 | | SEC v. Harmel S. Rayat, No. 25945 (S.D.N.Y. Feb. 27, 2024), defs:body | SEC-LR |
| 2024-01-18 | | SEC v. J. Jeremy Barbera, No. 25927 (S.D.N.Y. Jan. 8, 2024), U | SEC-LR |
| 2024-01-16 | | SEC v. JONATHAN FARBER, No. 1:24-CV-00273 (S.D.N.Y. Jan. 16, 2024), Complaint, llm-upgrade | SEC-LR |
| 2024-01-16 | | SEC v. Jonathan Farber, No. 25926 (S.D.N.Y. Jan. 12, 2024), U | SEC-LR |
| 2024-01-03 | | SEC v. Carnovale, No. 25919 (S.D.N.Y. Jan. 3, 2024), defs:body | SEC-LR |
| 2024-01-01 | | SEC v. Patel et al., No. 2026-XXXX (S.D.N.Y. Apr. 20, 2026), SEC alleged that Patel and others violated federal securities laws by engaging in fraudulent financial practices. | SEC-LR |
| 2024-01-01 | | SEC Charges “Magic Mushroom” Company and Two Individuals with Multimillion Dollar Pump-and-Dump Scheme | SEC-PR |
| 2023-11-29 | | SEC v. Andrew DeFrancesco, No. 25904 (S.D.N.Y. Jan. 6, 2023), U | SEC-LR |
| 2023-11-29 | | SEC v. ANDREW DEFRANCESCO (S.D.N.Y. Nov. 29, 2023), Complaint, llm-upgrade | SEC-LR |
| 2023-10-18 | | SEC v. Harmel S. Rayat, No. 25883 (S.D.N.Y. Oct. 18, 2023), defs:body | SEC-LR |
| 2023-10-13 | | SEC v. FREDERICK, No. 21-CV-11276 (S.D.N.Y. Oct. 13, 2023), Complaint, llm-upgrade | SEC-LR |
| 2023-10-13 | | SEC v. Frederick L. Sharp et al., No. 25881 (S.D.N.Y. Oct. 13, 2023), U | SEC-LR |
| 2023-09-26 | | SEC v. Verges et al., No. 3:23-cv-02146 (N.D. Tex. Sept. 26, 2023), the SEC alleged that defendants orchestrated a pump-and-dump scheme involving more than $112 million of penny stock in five companies. | SEC-LR |
| 2023-09-26 | | SEC v. Philip Verges, No. 25853 (S.D.N.Y. Sept. 26, 2023), llm-upgrade | SEC-LR |
| 2023-09-21 | | SEC v. Luis Jimenez Carrillo, No. 25841 (S.D.N.Y. Aug. 4, 2021), defs:body | SEC-LR |
| 2023-09-12 | | SEC v. Stubos, No. 25824 (S.D.N.Y. Sept. 12, 2023), defs:body | SEC-LR |
| 2023-08-17 | | United States v. Ingarfield, No. 23 Cr. 589 (S.D.N.Y. Aug. 17, 2023), pleaded guilty to conspiracy to commit securities fraud for orchestrating a pump-and-dump scheme that artificially inflated the stock price of Suburban Minerals Corporation through false claims about a nonexistent African diamond mine and selling millions of secretly held shares | DOJ-SDNY |
| 2023-07-18 | | SEC v. Legendary Partners, No. 25781 (S.D.N.Y. Jul. 18, 2023), Complaint, llm-upgrade | 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 |
| 2023-07-11 | | SEC v. Costello et al., No. 25773 (S.D.N.Y. Sept. 29, 2022), U | SEC-LR |
| 2023-07-07 | | SEC v. Andrew DeFrancesco, No. 25771 (S.D.N.Y. Jul. 7, 2023), U | SEC-LR |
| 2023-07-07 | | SEC v. ANDREW DEFRANCESCO (S.D.N.Y. Jul. 7, 2023), Complaint, llm-upgrade | SEC-LR |
| 2023-06-30 | | SEC v. Thomas Collins, No. 25761 (S.D.N.Y. Jun. 30, 2023), U | SEC-LR |
| 2023-05-26 | | SEC v. Francis Sabo, No. 25736 (S.D.N.Y. May 26, 2023), U | SEC-LR |
| 2023-05-24 | | SEC v. Eleazar Kauderer, No. 25734 (S.D.N.Y. May 24, 2023), Judgment, llm-upgrade | SEC-LR |
| 2023-05-24 | | SEC v. Eleazar Kauderer (S.D.N.Y. May 24, 2023), Complaint, llm-upgrade | SEC-LR |
| 2023-05-03 | | SEC v. GPL Ventures LLC, No. 25706 (S.D.N.Y. May 3, 2023), llm-upgrade | SEC-LR |
| 2023-05-01 | | SEC v. Carlos Eduardo Reyes Alvarez (S.D.N.Y. May 1, 2023), Complaint, llm-upgrade | SEC-LR |
| 2023-04-27 | | SEC v. Trends Investments Inc. et al., No. 25701 (S.D.N.Y. Apr. 27, 2023), U | SEC-LR |
| 2023-04-05 | | SEC v. MATTHEW NICOSIA, No. 22-CV- (S.D.N.Y. Apr. 5, 2023), Complaint, llm-upgrade | SEC-LR |
| 2023-04-05 | | SEC v. Matthew Nicosia, No. 25689 (E.D.N.Y. Sept. 27, 2022), U | SEC-LR |
| 2023-03-31 | | SEC v. Carnovale, No. 25685 (S.D.N.Y. Mar. 31, 2023), defs:body | SEC-LR |
| 2023-03-14 | | SEC v. Brian Robert Sodi, No. 25665 (S.D.N.Y. Feb. 26, 2018), defs:body | SEC-LR |
| 2023-03-09 | | SEC v. Moynes, No. 25661 (S.D.N.Y. Mar. 9, 2023), defs:body | SEC-LR |
| 2023-02-21 | | SEC v. Frederick L. Sharp et al., No. 25644 (S.D.N.Y. Aug. 5, 2021), SEC Obtains Final Judgments Against Two Participants in International Microcap Fraud Schemes Litigation Release No | SEC-LR |
| 2023-02-01 | | SEC v. Seong Yeol Lee and Ameritrust, No. 666885 (S.D.N.Y. Feb. 1, 2023), Complaint, llm-upgrade | SEC-LR |
| 2023-01-23 | | SEC v. Abujudeh, No. 25621 (E.D.N.Y. Jan. 23, 2023), SEC Obtains Over $5 Million Final Judgment Against Individual in Multi-Million Dollar Microcap Pump and Dump Scheme Litigation Release No | SEC-LR |
| 2023-01-20 | | SEC v. ROBERT (S.D.N.Y. Jan. 20, 2023), Complaint, llm-upgrade | SEC-LR |
| 2023-01-06 | | SEC v. Andrew DeFrancesco, No. 25610 (S.D.N.Y. Jan. 6, 2023), SEC Charges Former Public Company Chairman and Officers in Fraudulent SEC Filings and $8 Million Pump-And-Dump Scheme Litigation Release No | SEC-LR |
| 2022-12-21 | | SEC v. Knox et al., No. 25600 (S.D.N.Y. Oct. 2, 2018), SEC Obtains Final Judgments Against Individual and Entity in Multi-Million Dollar International Fraud Scheme Litigation Release No | SEC-LR |
| 2022-12-09 | | SEC v. In Ovations Holdings, No. 25589 (E.D.N.Y. Dec. 9, 2022), Court Enters Final Judgment Against Microcap Company and Orders Penalty for Fraudulent Press Releases Litigation Release No | SEC-LR |
| 2022-12-06 | | SEC v. ERIC T. LANDIS and, No. 3:03cv02246 (S.D.N.Y. Dec. 6, 2022), Complaint, llm-upgrade | SEC-LR |
| 2022-12-05 | | Securities and Exchange Commission v. Joseph R. Earle, Jr., Barry D. Reagh, William Clayton, Francis T. Dudley, Steven E. Bryant, Upper Street Marketing, Inc., and Project Growth International, Inc., No. (S.D. Cal. 2026), SEC alleged that defendants engaged in a fraudulent pump-and-dump scheme involving the stock of UPPR, including the unregistered offer and sale of UPPR's stock and the use of虚假和不 | SEC-LR |
| 2022-12-05 | | SEC v. Joseph R. Earle Jr, No. 25586 (S.D.N.Y. Dec. 5, 2022), SEC Charges Seven Parties in a Combination Pump-And-Dump and Securities Offering Scheme Litigation Release No | SEC-LR |
| 2022-11-04 | | SEC v. Costello et al., No. 25572 (S.D.N.Y. Sept. 29, 2022), SEC Obtains Fraud Injunction and Penny Stock Bar Against Microcap Stock Promoter Litigation Release No | SEC-LR |
| 2022-10-21 | | SEC v. Gomes et al., No. 1:20-cv-11092 (D. Mass. Oct. 20, 2022), the Court entered final judgments ordering the defendants to pay civil penalties, disgorgement, and to be enjoined from future securities law violations. | SEC-LR |
| 2022-10-21 | | Memorandum and Order on Plaintiff’s Motion for Civil Penalties | SEC-LR |
| 2022-10-17 | | SEC v. In Ovations Holdings, No. 25559 (E.D.N.Y. Oct. 17, 2022), Final Judgment Entered Against Former Microcap CEO Litigation Release No | SEC-LR |
| 2022-09-30 | | SEC v. Stephens, No. 651828 (S.D.N.Y. Sept. 30, 2022), Complaint, llm-upgrade | SEC-LR |
| 2022-09-30 | | SEC v. Jonathan William Mikula Et Al, No. 263197 (S.D.N.Y. Sept. 30, 2022), Complaint, llm-upgrade | SEC-LR |
| 2022-09-30 | | SEC v. Arbitrade Ltd., No. 25537 (S.D.N.Y. Sept. 30, 2022), defs:body | SEC-LR |
| 2022-09-30 | | SEC v. ARBITRADE LTD., No. 354510 (S.D.N.Y. Sept. 30, 2022), Complaint, defs:body | SEC-LR |
| 2022-09-28 | | SEC v. Matthew Nicosia, No. 25529 (E.D.N.Y. Sept. 28, 2022), SEC Charges Four Individuals in Microcap Fraud Scheme Targeting Retail Investors Litigation Release No | SEC-LR |
| 2022-09-09 | | SEC v. PROFILE SOLUTIONS, No. 90-132 (S.D.N.Y. Sept. 9, 2022), Complaint, llm-upgrade | SEC-LR |
| 2022-09-08 | | United States v. Hopkins, S.D.N.Y. Sep. 8, 2022, United States alleged that Hopkins operated a fraudulent investment scheme that defrauded over 110 investors of hundreds of thousands of dollars through false promises of high returns and misappropriation of funds. | DOJ-SDNY |
| 2022-09-01 | | SEC v. Archer Capital Management Group et al., No. 25495 (S.D.N.Y. Sept. 1, 2022), SEC Charges Archer Capital Management Group, the Archer Growth Fund and Related Entities with Defrauding Investors Lit | SEC-LR |
| 2022-08-29 | | Securities and Exchange Commission v. Rayat, et al., No. 1:21-cv-04777-LJL (S.D.N.Y. Aug. 26, 2022), alleged a long-running pump-and-dump scheme involving fraudulent stock promotion, manipulative trading, and false disclosures to inflate RenovaCare, Inc.'s share price | SEC-LR |
| 2022-08-18 | | SEC v. Airborne Wireless Network, No. 25476 (S.D.N.Y. Aug. 18, 2022), defs:body | SEC-LR |
| 2022-07-18 | | SEC v. Bruce Schoengood, No. 25446 (E.D.N.Y. Jul. 18, 2022), Final Judgment Entered Against Former Microcap Stock Promoter Litigation Release No | SEC-LR |
| 2022-07-06 | | Securities and Exchange Commission v. Carrillo et al., No. 21-cv-11272 (D. Mass. Aug. 4, 2021), obtained judgments against defendants for participating in a multi-million dollar fraud scheme involving the illegal sale of microcap stock of Aureus Inc., resulting in disgorgement, prejudgment interest, civil penalties, and penny stock bars. | SEC-LR |
| 2022-06-27 | | SEC v. BRADLEY J. MOYNES, No. 22-CV- (S.D.N.Y. Jun. 27, 2022), Complaint, llm-upgrade | SEC-LR |
| 2022-06-08 | | SEC v. ROGER KNOX, No. 18-12058-RGS (S.D.N.Y. Jun. 8, 2022), Judgment, llm-upgrade | SEC-LR |
| 2022-05-12 | | SEC v. Frederick L. Sharp et al., No. 25392 (S.D.N.Y. May 12, 2022), SEC Obtains Final Judgment Ordering Mastermind of International Microcap Fraud Scheme to Pay $52,925,214 Litigation Release No | SEC-LR |
| 2022-04-19 | | SEC v. Domenic Calabrigo et al., No. 25372 (S.D.N.Y. Apr. 19, 2022), SEC Charges Obtains Emergency Relief Against Four Individuals Charged with Engaging in International Pump-And-Dump Schemes Litigation Relea | SEC-LR |
| 2022-04-19 | | SEC v. DOMENIC CALABRIGO, No. 116-283 (S.D.N.Y. Apr. 19, 2022), Complaint, llm-upgrade | SEC-LR |
| 2022-04-18 | | 3] = No. 1:22-cv-3096 (S.D.N.Y. filed April 14, 2022) | SEC-PR |
| 2022-04-18 | | SEC v. DOMENIC CALABRIGO | SEC-PR |
| 2022-04-18 | | SEC v. Ronald Bauer A/k/a Ronald j. | SEC-PR |
| 2022-04-15 | | Securities and Exchange Commission v. Dean Shah, Henry Clarke, Julius Csurgo, and Antevorta Capital Partners, Ltd., No. 22-cv- (S.D.N.Y. filed under seal), Alleged securities fraud through concealment of control positions and illegal dumping of microcap stocks during 2013–2018 | SEC-LR |
| 2022-04-15 | | SEC v. Dean Shah et al., No. 25367 (S.D.N.Y. Apr. 15, 2022), SEC Charges Four Defendants in Microcap Fraud Scheme Litigation Release No | SEC-LR |