SEC Litigation Feed

Conrad A. Coggeshall, Defendant, and Business Owners Tax Relief, LLC, Relief Defendant
SEC Obtains Final Judgment Against Arizona Man for Defrauding Elderly Investors... more
1 month ago
SEC Litigation
Medsis International, Inc. et al.
SEC Obtains Judgment Against Individual in Multi-Million Dollar Securities Offering Fraud... more
1 month ago
SEC Litigation
Knox et al.
SEC Obtains Final Judgments Against Individual and Entity in Multi-Million Dollar International Fraud Scheme... more
1 month ago
SEC Litigation
Oi2Go Media Technologies, Inc. and Anthony Michael Hernandez
SEC Charges Florida Media Company and CEO in Offering Fraud... more
1 month ago
SEC Litigation
Nader Pourhassan and Kazem Kazempour
SEC Charges Former Biotech CEO with Fraud, Insider Trading; Research Firm CEO Also Charged in Scheme... more
1 month ago
SEC Litigation
John Fernandez, et al.
SEC Charges Houston Resident with Operating a $4 Million Forex Offering Fraud... more
1 month ago
SEC Litigation
Da Silva, et al.;
Forcount Trader Systems' Creator and Promoters Orchestrated $8.4 Million Fraud... more
1 month ago
SEC Litigation
J.H. Darbie & Co., Inc.
SEC Charges Brokerage Firm with Anti-Money Laundering Violations... more
1 month ago
SEC Litigation
In Ovations Holdings, Inc. and Mark Goldberg
Court Enters Final Judgment Against Microcap Company and Orders Penalty for Fraudulent Press Releases... more
1 month ago
SEC Litigation
George Iakovou, Vika Ventures LLC, and Penelope Zbravos, Civ. Action
SEC Charges CEO and His Venture Capital Firm in $6 Million Fraudulent Offering... more
1 month ago
SEC Litigation
Bruce Conway et al.
SEC Seeks Order Requiring Witnesses to Comply with Subpoenas for Testimony and Documents... more
2 months ago
SEC Litigation
James Robinson and David Kennedy
SEC Charges Additional Parties in Fraudulent Office Space Investment Scheme... more
2 months ago
SEC Litigation
Adam Rogas, et. al
SEC Charges New Defendant and Adds Whistleblower Impeding and Retaliation Claims in $149 Million Offering Fraud Case... more
2 months ago
SEC Litigation
Justin Costello and David Ferraro
SEC Charges Man for Defrauding Investors Out of Millions of Dollars by Posing as Hedge Fund Billionaire... more
3 months ago
SEC Litigation
Jonathan William Mikula, et al.
SEC Charges Eight in Scheme to Fraudulently Promote Securities Offerings... more
4 months ago
SEC Litigation
Vivera Pharmaceuticals, Inc., EFT Global Holdings, Inc. d/b/a Sentar Pharmaceuticals, and Paul P. Edalat
SEC Charges Vivera Pharmaceuticals and Its CEO with Offering Fraud... more
4 months ago
SEC Litigation
Bradley A. Goodbred
SEC Charges Former Chicago-Area Investment Professional with Defrauding Elderly Client of $1.2 Million... more
4 months ago
SEC Litigation
Jason Nordlund
SEC Charges Minneapolis Hedge Fund Manager in Alleged Market Manipulation Scheme... more
4 months ago
SEC Litigation
Jared D. Eakes, et al.
SEC Charges Former Florida Investment Adviser with Misappropriating Millions from Advisory Clients and Former Alabama Adviser with Breaching Fiduciary Duties... more
4 months ago
SEC Litigation
Joshua Rupp
Engaged in Fraudulent Scheme... more
4 months ago
SEC Litigation
Pebblekick, Inc., Donald Shiroishi, and Nancy Williams
SEC Charges Issuer for Conducting Fraudulent and Unregistered Securities Offerings... more
4 months ago
SEC Litigation
Matthew Nicosia, William Reninger, Fabrizio Di Carlo, and Ronald Touchard
SEC Charges Four Individuals in Microcap Fraud Scheme Targeting Retail Investors... more
4 months ago
SEC Litigation
David Hu
SEC Obtains Final Judgment against IIG Co-Founder for Engaging in Fraud... more
4 months ago
SEC Litigation
Theodore J. Farnsworth, J. Mitchell Lowe, and Khalid Itum
SEC Charges Former Executives At Moviepass and Its Parent Company for Making False Statements to Investors and Falsifying Books and Records... more
4 months ago
SEC Litigation
Christian J. Gonzalez
SEC Charges Purported Underwriter for His Role in Alleged Ponzi Scheme... more
4 months ago
SEC Litigation
Timothy Barton, et al.
SEC Charges Fraud in Real Estate Investment Offering... more
4 months ago
SEC Litigation
Sang N. Phan and Rich N. Phan
SEC Charges Georgia Brothers in Fraudulent "Free-Riding" Scheme... more
4 months ago
SEC Litigation
Christopher P. Vallos
SEC Charges Company President in Fraudulent Microcap Scheme... more
4 months ago
SEC Litigation
Brian Lam, et al.
SEC Charges Los Angeles-Based Company and Its Principal with Perpetrating an $11.7 Million Offering Fraud Targeting the Vietnamese-American Community... more
4 months ago
SEC Litigation
Manhattan Transfer Registrar Company and John C. Ahearn
SEC Charges Recidivists for Violations of a Previous Commission Order... more
4 months ago
SEC Litigation
David Sheldon Wells
SEC Charges Former Registered Investment Advisor Representative with Securities Fraud... more
4 months ago
SEC Litigation
Gabriel Edelman, Creative Advancement LLC and Edelman Blockchain Advisors LLC
SEC Charges Promoter and Companies with $4 Million Fraud... more
4 months ago
SEC Litigation
Secured Income Group, Inc., et al.
SEC Charges Real Estate Investment Firm and Principal with $100 Million Offering Fraud... more
4 months ago
SEC Litigation
Dale Swanberg, Granite Construction Incorporated
SEC Charges Infrastructure Company Granite Construction and Former Executive with Financial Reporting Fraud... more
4 months ago
SEC Litigation
Chicago Crypto Capital LLC, et al.
SEC Sues Chicago-Area Unregistered Crypto Assets Broker, Its Owner, and Two Salespeople with Fraud and with Conducting an Unregistered Offering... more
4 months ago
SEC Litigation
Ambassador Advisors, LLC, Bernard I. Bostwick, Robert E. Kauffman, and Adrian E. Young
Court Enters Judgments Against Investment Adviser and Its Principals for Defrauding Clients Through Their Mutual Fund Share Class Selection Practices... more
4 months ago
SEC Litigation
Profile Solutions, Inc. et. al.
SEC Charges Florida Company and Its Officers with Fraud... more
4 months ago
SEC Litigation
Money Magnet Platinum Membership Initiative LLC and LaKenya Hopkins
SEC Charges "Money Magnet" Promoter and Company with Offering Fraud Totaling Approximately $300,000... more
4 months ago
SEC Litigation
Kris A. Swaffer, et. al.
SEC Charges Marijuana Start-Up Company and Its Operatives with Securities Fraud... more
5 months ago
SEC Litigation
David Pope
SEC Charges Former Rail Freight Trader with Accounting Fraud... more
5 months ago
SEC Litigation
Archer Capital Management Group et al.
SEC Charges Archer Capital Management Group, the Archer Growth Fund and Related Entities with Defrauding Investors... more
5 months ago
SEC Litigation
Ramas Capital Management, LLC and Ganesh H. Betanabhatla
SEC Charges Private Fund Adviser and Its Principal for Fraud... more
5 months ago
SEC Litigation
Empirex Capital LLC, et al.
SEC Files Subpoena Enforcement Action Against South Florida Man, His Sister and Their Companies... more
5 months ago
SEC Litigation
Lindberg, et al.
SEC Charges Advisory Firm and Executives with Devising an Elaborate Scheme to Defraud Clients Out of More Than $75 Million... more
5 months ago
SEC Litigation
Ignite International Brands, Ltd.
SEC Files Subpoena Enforcement Action Against Issuer for Failure to Produce Documents... more
5 months ago
SEC Litigation
Lee A. Bressler
SEC Charges Hedge Fund Portfolio Manager with Fraud... more
5 months ago
SEC Litigation
Harmel S. Rayat, RenovaCare, Inc., Jatinder Bhogal, Jeetenderjit Singh Sidhu, and Sharon Fleming
SEC Adds Defendants and Claims in Microcap Fraud Case... more
5 months ago
SEC Litigation
Spartan Securities Group, Ltd., et al.
Gatekeepers Ordered to Pay Nearly $1 Million in Monetary Remedies for Microcap Shell Factory Fraud... more
5 months ago
SEC Litigation
Taronis Technologies, Inc., et al.
SEC Charges Industrial Gas Companies and Former Executives with Fraud... more
5 months ago
SEC Litigation
GP Capital Group, Inc. and Shannon W. Illingworth
SEC Obtains Court Order to Enforce Investigative Subpoenas for Production of Documents by Gp Capital Group, Inc. and Its President, Shannon W. IIIingworth... more
5 months ago
SEC Litigation
John C. Wilson II, et al.
SEC Charges Texas-Based Technology Company and Its CEO with Fraud for False Statements and Misappropriation of Investor Funds... more
5 months ago
SEC Litigation
Nicolas Arkells
SEC Charges Promoter of California Cannabis Company with Fraud... more
5 months ago
SEC Litigation
Robert Brian Watson and WDC Holdings LLC d/b/a Northstar Commercial Partners
SEC Charges Denver Real Estate Developer with Securities Fraud... more
5 months ago
SEC Litigation