Exchange Act s.13(a)
Requires companies with registered securities to file accurate periodic reports; cited where an issuer’s filings were false, late or missing. 61 records cite it, filed 2012 to 2026.
Official text: 15 U.S.C. 78m (LII)
Counts
By year filed
- 2012: 1
- 2013: 2
- 2014: 2
- 2015: 7
- 2016: 3
- 2017: 11
- 2018: 12
- 2019: 3
- 2020: 1
- 2021: 4
- 2022: 3
- 2023: 2
- 2024: 8
- 2025: 1
- 2026: 1
By agency
- SEC: 61
By status
- Settled: 36
- Judgment entered: 21
- Alleged, pending: 4
Technique mix
Most recent matched records
- SEC v. Brent David Willis (2026)
- SEC v. Medallion Financial Corp., Andrew Murstein, Lawrence Meyers, and Ichabod’s Cranium, Inc. (paid stock promotion, 2025)
- SEC v. Unisys Corporation (2024)
- SEC v. Newpoint Financial Corp., Keith D. Beekmeyer and Andrew M. Bye (2024)
- SEC v. Nutra Pharma Corporation, et al. (unregistered distributions, 2024)
- SEC v. John Brda and Georgios Palikaras (engineered short squeeze, 2024)
- SEC v. Meta Materials, Inc. ( and others (engineered short squeeze, 2024)
- SEC v. HF Foods Group Inc. (2024)
- SEC v. Nutra Pharma Corp. et al (unregistered distributions, 2024)
- SEC v. C-Bond Systems, Inc. and Scott Silverman (2024)
- SEC v. Dozy Mmobuosi, et al. (financial-statement fraud, 2023)
- SEC v. Lyft, Inc. (2023)
- SEC v. Brent David Willis (2022)
- SEC v. Sheng Fu and Ming Xu (insider trading, 2022)
- SEC v. Nutra Pharma Corp. et al (unregistered distributions, 2022)
All 61 matched records
- SEC v. Brent David Willis (2026)
- SEC v. Medallion Financial Corp., Andrew Murstein, Lawrence Meyers, and Ichabod’s Cranium, Inc. (paid stock promotion, 2025)
- SEC v. Unisys Corporation (2024)
- SEC v. Newpoint Financial Corp., Keith D. Beekmeyer and Andrew M. Bye (2024)
- SEC v. Nutra Pharma Corporation, et al. (unregistered distributions, 2024)
- SEC v. John Brda and Georgios Palikaras (engineered short squeeze, 2024)
- SEC v. Meta Materials, Inc. ( and others (engineered short squeeze, 2024)
- SEC v. HF Foods Group Inc. (2024)
- SEC v. Nutra Pharma Corp. et al (unregistered distributions, 2024)
- SEC v. C-Bond Systems, Inc. and Scott Silverman (2024)
- SEC v. Dozy Mmobuosi, et al. (financial-statement fraud, 2023)
- SEC v. Lyft, Inc. (2023)
- SEC v. Brent David Willis (2022)
- SEC v. Sheng Fu and Ming Xu (insider trading, 2022)
- SEC v. Nutra Pharma Corp. et al (unregistered distributions, 2022)
- SEC v. ProPetro Holding Corp. and Dale Redman (2021)
- SEC v. David P. Godwin (financial statement fraud, 2021)
- SEC v. Live Ventures Incorporated et al. (financial reporting fraud, 2021)
- SEC v. AT&T, Inc., et al. (2021)
- SEC v. Michelle Dipp (2020)
- SEC v. Abner Silva (2019)
- SEC v. TherapeuticsMD, Inc. (2019)
- SEC v. Longfin Corp. and Venkata S. Meenavalli, Longfin et. al (unregistered distributions, 2019)
- SEC v. ADT Inc. (2018)
- SEC v. BioElectronics Corp. IBEX, LLC St. John's, LLC Whelan and others (unregistered distributions, 2018)
- SEC v. David G. Dreslin, Michael Toups and Leslie Toups (2018)
- SEC v. Fifth Street Management, LLC (2018)
- SEC v. Pyxus International, Inc. (accounting fraud, 2018)
- SEC v. Nutra Pharma Corp. et al (unregistered distributions, 2018)
- SEC v. Barry C. Honig, et al. (pump and dump, 2018)
- SEC v. Keith Houlihan (boiler rooms, 2018)
- SEC v. Diane J. Harrison, Michael J. Daniels and Catherine A. Bradaick-Zolla (shell factories, 2018)
- SEC v. AF Ocean Investment Management Company (reverse merger schemes, 2018)
- SEC v. Andy Z. Fan (fake press releases, 2018)
- SEC v. ChinAmerica Andy Movie Entertainment Media Company (reverse merger schemes, 2018)
- SEC v. Micheal A. Skerry (newsletter scalping, 2017)
- SEC v. Success Holding Group International, Inc. (unregistered distributions, 2017)
- SEC v. Jeffrey D. Martin, Thomas L. Tedrow and others (Mainstream Entertainment pump and dump, 2017)
- SEC v. Karen F. Aalders (pump and dump, 2017)
- SEC v. Sterling Craig Barton (unregistered distributions, 2017)
- SEC v. Kent P. Watts, et al. (unregistered distributions, 2017)
- SEC v. Galena Biopharma, Inc. and Mark J. Ahn (unregistered distributions, 2017)
- SEC v. George N. Krinos (2017)
- SEC v. Eytan Bar (2017)
- SEC v. MDC Partners Inc. (2017)
- SEC v. Kenneth Mack and Bryan McMillan (2017)
- SEC v. John W.R. Miller (2016)
- SEC v. Ener1, Inc. (2016)
- SEC v. L&L Energy, Inc. and Dickson Lee, CPA (undisclosed control blocks, 2016)
- SEC v. Traci J. Anderson, Timothy W. Carnahan and CYIOS Corporation (2015)
- SEC v. Jeffrey K. Skilling et al. (insider trading, 2015)
- SEC v. David P. Godwin and Anthony G. Roth (financial statement fraud, 2015)
- SEC v. Idle Media, Inc. and Marcus Frasier (2015)
- SEC v. China Valves Technology, Inc., Siping Fang and Renrui Tang (2015)
- 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 v. Mark A. Lefkowitz, et al. (unregistered distributions, 2015)
- SEC v. Advanced Cell Technology, Inc. (2014)
- SEC v. Lions Gate Entertainment Corp. (2014)
- SEC v. Scott London, CPA (insider trading, 2013)
- SEC v. Lawrence D. Polizzotto (2013)
- SEC v. Jetronic Industries, Inc. and others (registration revocation, 2012)
What this does not show
These are statutes cited in the record's document where it charges, finds or alleges a violation, not necessarily proven ones. Dismissed and pending matters count as alleged. A release that names no section is not matched, so counts understate use of this provision. The plain-language meaning is a summary, not legal advice.