Exchange Act s.13(d) and 13(g)
Requires anyone who gathers more than five per cent of a class of listed shares to disclose it publicly; cited where control blocks were kept hidden. 37 records cite it, filed 2009 to 2024.
Official text: 15 U.S.C. 78m (LII)
Counts
By year filed
- 2009: 1
- 2015: 5
- 2016: 5
- 2017: 5
- 2018: 4
- 2019: 5
- 2020: 4
- 2021: 1
- 2022: 2
- 2023: 1
- 2024: 4
By agency
- SEC: 37
By status
- Judgment entered: 20
- Settled: 11
- Alleged, pending: 4
- Dismissed: 1
- On appeal: 1
Technique mix
Most recent matched records
- SEC v. John S. Clayton and others (insider trading, 2024)
- SEC v. Timothy Page, Trevor Page and others (boiler rooms, 2024)
- SEC v. Kevan Casey, Adrian James, Jonathan Friedlander and Robert Wheat (pump and dump, 2024)
- SEC v. Nutra Pharma Corp. et al (unregistered distributions, 2024)
- SEC v. Andrew DeFrancesco, Marlio Mauricio Diaz Cardona, Carlos Felipe Rezk, Nikola Faukovic, and Catherine DeFrancesco (pump and dump, 2023)
- SEC v. Nutra Pharma Corp. et al (unregistered distributions, 2022)
- SEC v. Rahim Mohamed, Davies ("Dave") Wong, et al. (hijacked account ramping, 2022)
- SEC v. Timothy Page et al., Daniel Cattlin and William R. Shupe (boiler rooms, 2021)
- SEC v. Gomes et al. (unregistered distributions, 2020)
- SEC v. Barry Honig, et al. (pump and dump, 2020)
- SEC v. David Aubel and Robert Raffa (pump and dump, 2020)
- SEC v. Bajic et al., Ciapala et al. (unregistered distributions, 2020)
- SEC v. S. Paul Kelley, et al. (reverse merger schemes, 2019)
- SEC v. Brian Robert Sodi, et al. (newsletter scalping, 2019)
- SEC v. Zev Saltsman, et al. (unregistered distributions, 2019)
All 37 matched records
- SEC v. John S. Clayton and others (insider trading, 2024)
- SEC v. Timothy Page, Trevor Page and others (boiler rooms, 2024)
- SEC v. Kevan Casey, Adrian James, Jonathan Friedlander and Robert Wheat (pump and dump, 2024)
- SEC v. Nutra Pharma Corp. et al (unregistered distributions, 2024)
- SEC v. Andrew DeFrancesco, Marlio Mauricio Diaz Cardona, Carlos Felipe Rezk, Nikola Faukovic, and Catherine DeFrancesco (pump and dump, 2023)
- SEC v. Nutra Pharma Corp. et al (unregistered distributions, 2022)
- SEC v. Rahim Mohamed, Davies ("Dave") Wong, et al. (hijacked account ramping, 2022)
- SEC v. Timothy Page et al., Daniel Cattlin and William R. Shupe (boiler rooms, 2021)
- SEC v. Gomes et al. (unregistered distributions, 2020)
- SEC v. Barry Honig, et al. (pump and dump, 2020)
- SEC v. David Aubel and Robert Raffa (pump and dump, 2020)
- SEC v. Bajic et al., Ciapala et al. (unregistered distributions, 2020)
- SEC v. S. Paul Kelley, et al. (reverse merger schemes, 2019)
- SEC v. Brian Robert Sodi, et al. (newsletter scalping, 2019)
- SEC v. Zev Saltsman, et al. (unregistered distributions, 2019)
- SEC v. Tiber Creek Corp. and James M. Cassidy (shell factories, 2019)
- SEC v. Edward Withrow, et al. (2019)
- SEC v. Nutra Pharma Corp. et al (unregistered distributions, 2018)
- SEC v. Barry C. Honig, et al. (pump and dump, 2018)
- SEC v. Gary S. Williky (insider trading, price manipulation, 2018)
- SEC v. Joseph A. Fiore, Berkshire Capital Management Company, Inc., and Eat at Joe's, Ltd. (n/k/a SPYR, Inc.) (newsletter scalping, 2018)
- SEC v. Wayne Weaver (Jammin' Java pump and dump, 2017)
- SEC v. Joe Yiu Cheung, a/k/a Dylon de lu Zhang (paid stock promotion, 2017)
- SEC v. Jeffrey D. Martin, Thomas L. Tedrow and others (Mainstream Entertainment pump and dump, 2017)
- SEC v. Adesh Kumar Tyagi (marking the close, 2017)
- SEC v. Kent P. Watts, et al. (unregistered distributions, 2017)
- SEC v. Edward F. Panos, et al. (shell factories, 2016)
- SEC v. Nicholas H. Shermeta and Napa Properties, LLC (2016)
- SEC v. Michael L. Reger (undisclosed control blocks, 2016)
- SEC v. Louis T. Buonocore, Jeremy R. Draper, Frank J. Morelli, III, Berardino "Dino" Paolucci, Jr. and Don L. Rose (matched orders, 2016)
- SEC v. David Aubel and Robert Raffa (pump and dump, 2016)
- SEC v. Marco Babini et al. (pump and dump, 2015)
- SEC v. Benjamin Wey, et al. (reverse merger schemes, 2015)
- SEC v. Luis Chang and Everbright Development Overseas, Limited (sham tender offers, 2015)
- SEC v. Gary S. Williky (insider trading, 2015)
- SEC v. Mark A. Lefkowitz, et al. (unregistered distributions, 2015)
- SEC v. Lexington Resources, Inc. Atkins and others (unregistered distributions, 2009)
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.