Schedule 13D
Schedule 13D discloses beneficial ownership above five per cent of a class of registered equity, along with the holder's intentions. Concealed control blocks are usually concealed by not filing it.
Where does schedule 13d come up?
This term is used in the following manipulation techniques, each explained in full on its own page.
Enforcement actions involving these techniques
| Action | Agency | Filed | Technique | Penalty | Status |
|---|---|---|---|---|---|
| SEC v. Airborne Wireless Network and others (pump and dump, 2025) | SEC | 2025-02-07 | Pump And Dump , Undisclosed Control Blocks | — | judgment |
| SEC v. Wells Real Estate Investment, LLC, Janalie C. Joseph a/k/a Janalie C. Bingham, and Jean Joseph, et al. (ponzi schemes, 2024) | SEC | 2024-08-20 | Ponzi Schemes , Undisclosed Control Blocks | — | unknown |
| SEC v. Damon R. Durante (undisclosed control blocks, 2023) | SEC | 2023-06-30 | Undisclosed Control Blocks | — | unknown |
| SEC v. William Andrew Stack, Esq. (undisclosed control blocks, 2023) | SEC | 2023-03-31 | Undisclosed Control Blocks , Unregistered Distributions | $333k | judgment |
| SEC v. John W. Pauciulo, Esq. (undisclosed control blocks, 2022) | SEC | 2022-07-07 | Undisclosed Control Blocks | $490k | settled |