| SEC v. Robert A. Hanner (insider trading, 2015) | SEC | 2015-09-04 | Insider Trading | $20.8k | settled |
| SEC v. Kevin McDonnell (reverse merger schemes, 2015) | SEC | 2015-09-03 | Reverse Merger Schemes | $7.5k | settled |
| SEC v. Eric Aronson, et al. (ponzi schemes, 2015) | SEC | 2015-09-02 | Ponzi Schemes | $250k | judgment |
| SEC v. Ashish Aggarwal, et al. (insider trading, 2015) | SEC | 2015-08-25 | Insider Trading | — | judgment |
| SEC v. Moshe Yehuda Dunoff (boiler rooms, 2015) | SEC | 2015-08-20 | Boiler Rooms | — | filed |
| SEC v. Citigroup Global Markets, Inc. (insider trading, 2015) | SEC | 2015-08-19 | Insider Trading | — | settled |
| SEC v. Citigroup Alternative Investments LLC and Citigroup Global Markets Inc. (benchmark submission rigging, 2015) | SEC | 2015-08-17 | Benchmark Submission Rigging | — | settled |
| SEC v. Total Wealth Management, Inc. Cooper and others (ponzi schemes, 2015) | SEC | 2015-08-17 | Ponzi Schemes | — | judgment |
| SEC v. Cedric Cañas Maillard (insider trading, 2015) | SEC | 2015-08-13 | Insider Trading | — | settled |
| SEC v. Palladino, et al. (ponzi schemes, 2015) | SEC | 2015-08-13 | Ponzi Schemes | — | unknown |
| SEC v. Guggenheim Partners Investment Management, LLC (insider trading, 2015) | SEC | 2015-08-10 | Insider Trading | $20m | judgment |
| SEC v. unnamed respondents (paid stock promotion, 2015) | SEC | 2015-08-10 | Paid Stock Promotion , Pump And Dump | — | judgment |
| SEC v. First Xeris Corp. (undisclosed control blocks, 2015) | SEC | 2015-08-06 | Undisclosed Control Blocks | — | settled |
| SEC v. Judy K. Wolf (front running, 2015) | SEC | 2015-08-05 | Front Running , Insider Trading | $5m | dismissed |
| SEC v. Pamela S. Smith (unregistered distributions, 2015) | SEC | 2015-07-30 | Unregistered Distributions | — | settled |
| SEC v. Timothy Patterson (unregistered distributions, 2015) | SEC | 2015-07-30 | Unregistered Distributions | — | settled |
| SEC v. Stephen M. Coleman (unregistered distributions, 2015) | SEC | 2015-07-29 | Unregistered Distributions | — | settled |
| SEC v. DFRF Enterprises LLC, et al. (ponzi schemes, 2015) | SEC | 2015-07-23 | Ponzi Schemes | — | filed |
| SEC v. Donald L. Koch and Koch Asset Management, LLC (marking the close, 2015) | SEC | 2015-07-20 | Marking The Close | — | appealed |
| SEC v. Michael R. Enea (ponzi schemes, 2015) | SEC | 2015-07-20 | Ponzi Schemes | — | judgment |
| SEC v. Herbert K. Sudfeld, Jr., et al. (insider trading, 2015) | SEC | 2015-07-16 | Insider Trading | — | filed |
| SEC v. Timothy J. McGee, et al. (insider trading, 2015) | SEC | 2015-07-15 | Insider Trading | — | appealed |
| SEC v. unnamed respondents (paid stock promotion, 2015) | SEC | 2015-07-14 | Paid Stock Promotion , Pump And Dump | — | filed |
| SEC v. Oz Management, LP (insider trading, 2015) | SEC | 2015-07-14 | Insider Trading | $4.3m | unknown |
| SEC v. Frank Tamayo (insider trading, 2015) | SEC | 2015-07-13 | Insider Trading | — | judgment |
| SEC v. Gerard Boudreault (insider trading, 2015) | SEC | 2015-07-10 | Insider Trading | $18.4k | settled |
| SEC v. PTG Capital Partners LTD, et al. (sham tender offers, 2015) | SEC | 2015-07-10 | EDGAR Filing Fraud , Sham Tender Offers | — | filed |
| SEC v. Patrick Lehnert (insider trading, 2015) | SEC | 2015-07-09 | Insider Trading | $15.8k | settled |
| SEC v. Luca International Group, LLC, et al. (ponzi schemes, 2015) | SEC | 2015-07-06 | Ponzi Schemes | $25.5k | settled |
| SEC v. Malcolm Segal (ponzi schemes, 2015) | SEC | 2015-07-01 | Ponzi Schemes | — | filed |
| SEC v. Peter Voutsas (reverse merger schemes, 2015) | SEC | 2015-06-30 | Reverse Merger Schemes , Undisclosed Control Blocks | $50k | settled |
| SEC v. Gregg R. Mulholland (pump and dump, 2015) | SEC | 2015-06-25 | Pump And Dump | — | filed |
| SEC v. Phil Donnahue Williamson (ponzi schemes, 2015) | SEC | 2015-06-23 | Ponzi Schemes | — | judgment |
| SEC v. Norstra Energy Inc., Glen Landry and Eric Dany (paid stock promotion, 2015) | SEC | 2015-06-18 | Paid Stock Promotion | — | judgment |
| SEC v. Dimitry Braverman and Vitaly Pupynin (insider trading, 2015) | SEC | 2015-06-16 | Insider Trading | — | judgment |
| SEC v. Equity Trust Company (ponzi schemes, 2015) | SEC | 2015-06-16 | Ponzi Schemes | — | judgment |
| SEC v. Capital Financial Partners, LLC et al. Will D. Allen and Susan C. Daub (ponzi schemes, 2015) | SEC | 2015-06-15 | Ponzi Schemes | — | judgment |
| SEC v. Helmut Anscheringer (insider trading, 2015) | SEC | 2015-06-15 | Insider Trading | $910k | settled |
| SEC v. Matthew G. Teeple et al. Andrew Miller (insider trading, 2015) | SEC | 2015-06-12 | Insider Trading | $133k | judgment |
| SEC v. Charles Raymond Langston III, CRL Management, LLC, and Guarantee Reinsurance, Ltd. (insider trading, 2015) | SEC | 2015-06-11 | Insider Trading , Rule 105 Offering Shorts | $502k | judgment |
| SEC v. Spectrum Concepts, LLC Worswick and others (unregistered distributions, 2015) | SEC | 2015-06-11 | Unregistered Distributions | $120k | settled |
| SEC v. Michael J. Fefferman, Chad E. Wiegand, and Akis C. Eracleous (insider trading, 2015) | SEC | 2015-06-09 | Insider Trading | — | settled |
| SEC v. Anthony Andrade, et al. (insider trading, 2015) | SEC | 2015-06-08 | Insider Trading | $39.6k | settled |
| SEC v. Edmond L. Lonergan and Green Planet Group, Inc. (paid stock promotion, 2015) | SEC | 2015-06-02 | Paid Stock Promotion | — | unknown |
| SEC v. Merrill Lynch (naked short selling debate, 2015) | SEC | 2015-06-01 | Naked Short Selling Debate | $9m | filed |
| SEC v. Adam S. Gottbetter, Mitchell G. Adam, and K. David Stevenson (paid stock promotion, 2015) | SEC | 2015-05-28 | Paid Stock Promotion | — | settled |
| SEC v. Mike Taxon and Itamar Cohen (paid stock promotion, 2015) | SEC | 2015-05-28 | Paid Stock Promotion | — | settled |
| SEC v. Luis Chang and Everbright Development Overseas, Limited (sham tender offers, 2015) | SEC | 2015-05-28 | Sham Tender Offers | $2.9m | judgment |
| SEC v. China Valves Technology, Inc., et al. (reverse merger schemes, 2015) | SEC | 2015-05-20 | Reverse Merger Schemes | $575k | judgment |
| SEC v. Brian D. Jorgenson, et al. (insider trading, 2015) | SEC | 2015-05-14 | Insider Trading | — | judgment |
| SEC v. North Dakota Developments, LLC, Robert L. Gavin, and Daniel J. Hogan, et. al. (ponzi schemes, 2015) | SEC | 2015-05-06 | Ponzi Schemes | — | filed |
| SEC v. Xiaoyu Xia and Yanting Hu (insider trading, 2015) | SEC | 2015-04-29 | Insider Trading | — | judgment |
| SEC v. Frank Perkins Hixon, Jr., et al. (insider trading, 2015) | SEC | 2015-04-28 | Insider Trading | — | judgment |
| SEC v. Veros Partners, Inc., et al. (ponzi schemes, 2015) | SEC | 2015-04-24 | Ponzi Schemes | — | filed |
| SEC v. Houston American Energy Corp. Terwilliger and others (paid stock promotion, 2015) | SEC | 2015-04-23 | Paid Stock Promotion | $22.5k | settled |
| SEC v. Tracy Morgan Spaeth (unregistered distributions, 2015) | SEC | 2015-04-23 | Unregistered Distributions | — | settled |
| SEC v. Joseph John Labadia (undisclosed control blocks, 2015) | SEC | 2015-04-17 | Unregistered Distributions | — | settled |
| SEC v. Daniel P. McKelvey, et al. (pump and dump, 2015) | SEC | 2015-04-16 | Pump And Dump , Reverse Merger Schemes | — | settled |
| SEC v. eCareer Holdings, Inc., eCareer, Inc., Joseph J. Azzata, Dean A. Esposito, Joseph DeVito, and Frederick J. Birks, et al. (boiler rooms, 2015) | SEC | 2015-04-16 | Boiler Rooms | — | unknown |
| SEC v. Edward T. Farmer (undisclosed control blocks, 2015) | SEC | 2015-04-16 | Undisclosed Control Blocks | — | settled |
| SEC v. Kevin D. Miller (undisclosed control blocks, 2015) | SEC | 2015-04-16 | Undisclosed Control Blocks | — | settled |
| SEC v. Ronald A. Warren (undisclosed control blocks, 2015) | SEC | 2015-04-16 | Undisclosed Control Blocks | — | settled |
| SEC v. William J. Gaffney (undisclosed control blocks, 2015) | SEC | 2015-04-16 | Undisclosed Control Blocks | — | settled |
| SEC v. James A. Evans, Jr., d/b/a Cashflowbot.com, d/b/a DollarMonster (ponzi schemes, 2015) | SEC | 2015-04-13 | Ponzi Schemes | — | unknown |
| SEC v. Capital Financial Partners, LLC et al. (ponzi schemes, 2015) | SEC | 2015-04-07 | Ponzi Schemes | — | unknown |
| SEC v. Team Resources, Inc., et al. (unregistered distributions, 2015) | SEC | 2015-04-06 | Unregistered Distributions | — | settled |
| SEC v. David Craven et al. (pump and dump, 2015) | SEC | 2015-04-01 | Pump And Dump , Wash Trading | — | filed |
| SEC v. Gregory W. Gray, Jr., et al. (ponzi schemes, 2015) | SEC | 2015-03-27 | Ponzi Schemes | — | filed |
| SEC v. Keypoint Capital Management, LLC (rule 105 offering shorts, 2015) | SEC | 2015-03-19 | Rule 105 Offering Shorts | $65k | settled |
| SEC v. Randal Kent Hansen (ponzi schemes, 2015) | SEC | 2015-03-18 | Ponzi Schemes | — | judgment |
| SEC v. David Craven et al. (pump and dump, 2015) | SEC | 2015-03-12 | Pump And Dump , Wash Trading | — | unknown |
| SEC v. Bonan Huang and Nan Huang (insider trading, 2015) | SEC | 2015-03-10 | Insider Trading | — | judgment |
| SEC v. Julieann Palmer Martin (ponzi schemes, 2015) | SEC | 2015-03-09 | Ponzi Schemes , Unregistered Distributions | — | settled |
| SEC v. Zeringue, et al. (insider trading, 2015) | SEC | 2015-03-06 | Insider Trading | — | settled |
| SEC v. Gary S. Williky (insider trading, 2015) | SEC | 2015-03-02 | Insider Trading , Newsletter Scalping +2 | — | settled |
| SEC v. Joseph A. Noel (pump and dump, 2015) | SEC | 2015-02-26 | Pump And Dump | — | judgment |
| SEC v. Mark A. Lefkowitz, et al. (unregistered distributions, 2015) | SEC | 2015-02-24 | Unregistered Distributions | — | judgment |
| SEC v. John A. Geringer (ponzi schemes, 2015) | SEC | 2015-02-23 | Ponzi Schemes | — | judgment |
| SEC v. Scott Zeringue and Jesse Roberts, III (insider trading, 2015) | SEC | 2015-02-19 | Insider Trading | $64k | judgment |
| SEC v. Kristine L. Johnson, Troy A. Barnes, Work with Troy Barnes, Inc. (d/b/a) The Achieve Community, Defendants, and Achieve International, LLC, Relief Defendant (ponzi schemes, 2015) | SEC | 2015-02-18 | Ponzi Schemes | — | unknown |
| SEC v. Steven B. Hart (insider trading, 2015) | SEC | 2015-02-18 | Insider Trading | — | settled |
| SEC v. Caledonian Bank Ltd., et al. (unregistered distributions, 2015) | SEC | 2015-02-11 | Unregistered Distributions | — | filed |
| SEC v. Hill and Charles L., Jr. (insider trading, 2015) | SEC | 2015-02-11 | Insider Trading | — | unknown |
| SEC v. John Gray et al. (insider trading, 2015) | SEC | 2015-02-05 | Insider Trading | — | settled |
| SEC v. Joel J. Epstein (insider trading, 2015) | SEC | 2015-02-03 | Insider Trading | — | judgment |
| SEC v. Phillip Cory Roberts (reverse merger schemes, 2015) | SEC | 2015-02-03 | Reverse Merger Schemes | — | judgment |
| SEC v. Edwin Yoshihiro Fujinaga and MRI International, Inc., et al. (ponzi schemes, 2015) | SEC | 2015-01-30 | Ponzi Schemes | — | judgment |
| SEC v. Francisco Illarramendi, et al. (ponzi schemes, 2015) | SEC | 2015-01-30 | Ponzi Schemes | — | judgment |
| SEC v. Quan and Marlon Stewardship Investment Advisors, LLC (ponzi schemes, 2015) | SEC | 2015-01-30 | Ponzi Schemes | — | judgment |
| SEC v. International Capital Group, LLC (reverse merger schemes, 2015) | SEC | 2015-01-29 | Reverse Merger Schemes , Unregistered Distributions | $1.5m | settled |
| SEC v. Loren W. Holzhueter, et al. (ponzi schemes, 2015) | SEC | 2015-01-29 | Ponzi Schemes | — | unknown |
| SEC v. Oppenheimer & Co. Inc. (pump and dump, 2015) | SEC | 2015-01-27 | Pump And Dump , Unregistered Distributions | — | filed |
| SEC v. du Pasquier & Co., Inc. (naked short selling debate, 2015) | SEC | 2015-01-21 | Naked Short Selling Debate | $50k | settled |
| SEC v. Frederic Elm f/k/a Frederic Elmaleh, et al. (ponzi schemes, 2015) | SEC | 2015-01-21 | Ponzi Schemes | — | judgment |
| SEC v. Robert A. Ramsey, CPA (insider trading, 2015) | SEC | 2015-01-21 | Insider Trading | $130k | settled |
| SEC v. Gary Harrison Lane (ponzi schemes, 2015) | SEC | 2015-01-20 | Ponzi Schemes | — | judgment |
| SEC v. Aleksandr Milrud (layering, 2015) | SEC | 2015-01-13 | Layering | — | judgment |
| SEC v. Nicholas D. Skaltsounis (ponzi schemes, 2014) | SEC | 2014-12-31 | Ponzi Schemes , Unregistered Distributions | — | judgment |
| SEC v. Robert A. Hemm (insider trading, 2014) | SEC | 2014-12-05 | Insider Trading | $21.8k | settled |
| SEC v. Wedbush Securities Inc. Jeffrey Bell Christina Fillhart (layering, 2014) | SEC | 2014-11-20 | Layering , Marking The Close +5 | — | settled |