Exchange Act s.15(a)
Requires anyone in the business of effecting securities transactions for others to register as a broker or dealer; charged against unregistered sellers and promoters. 166 records cite it, filed 2013 to 2026.
Official text: 15 U.S.C. 78o (LII)
Counts
By year filed
- 2013: 12
- 2014: 8
- 2015: 16
- 2016: 23
- 2017: 8
- 2018: 12
- 2019: 20
- 2020: 14
- 2021: 12
- 2022: 11
- 2023: 8
- 2024: 13
- 2025: 3
- 2026: 6
By agency
- SEC: 166
By status
- Settled: 78
- Judgment entered: 63
- Alleged, pending: 20
- On appeal: 3
- Dismissed: 2
Technique mix
Most recent matched records
- SEC v. David T. Gilchrist, Christopher Aaron Novinger and Rebecca Novinger (2026)
- SEC v. Goliath Ventures, Inc. and Christopher A. Delgado (ponzi schemes, 2026)
- SEC v. Sanders Family Office and others (ponzi schemes, 2026)
- SEC v. Santos Kidd (ponzi schemes, 2026)
- SEC v. Zachary Miller (unregistered distributions, 2026)
- SEC v. Joel Castellanos (ponzi schemes, 2026)
- SEC v. David J. Bradford and Gerardo L. Linarducci (ponzi schemes, 2025)
- SEC v. David Hudzik (unregistered distributions, 2025)
- SEC v. Justin R. Kimbrough and Prosperity Consultants, LLC (ponzi schemes, 2025)
- SEC v. Frederick Tayton Dencer, Luke Abelard Dencer and others (2024)
- SEC v. David C. Underwood (unregistered distributions, 2024)
- SEC v. Marc J. Toomey (unregistered distributions, 2024)
- SEC v. Stephen R. Bishop (unregistered distributions, 2024)
- SEC v. Dow Rockwell LLC and Richard Dow Rockwell (2024)
- SEC v. Mango Labs, LLC, Mango DAO, and Blockworks Foundation (unregistered distributions, 2024)
All 166 matched records
- SEC v. David T. Gilchrist, Christopher Aaron Novinger and Rebecca Novinger (2026)
- SEC v. Goliath Ventures, Inc. and Christopher A. Delgado (ponzi schemes, 2026)
- SEC v. Sanders Family Office and others (ponzi schemes, 2026)
- SEC v. Santos Kidd (ponzi schemes, 2026)
- SEC v. Zachary Miller (unregistered distributions, 2026)
- SEC v. Joel Castellanos (ponzi schemes, 2026)
- SEC v. David J. Bradford and Gerardo L. Linarducci (ponzi schemes, 2025)
- SEC v. David Hudzik (unregistered distributions, 2025)
- SEC v. Justin R. Kimbrough and Prosperity Consultants, LLC (ponzi schemes, 2025)
- SEC v. Frederick Tayton Dencer, Luke Abelard Dencer and others (2024)
- SEC v. David C. Underwood (unregistered distributions, 2024)
- SEC v. Marc J. Toomey (unregistered distributions, 2024)
- SEC v. Stephen R. Bishop (unregistered distributions, 2024)
- SEC v. Dow Rockwell LLC and Richard Dow Rockwell (2024)
- SEC v. Mango Labs, LLC, Mango DAO, and Blockworks Foundation (unregistered distributions, 2024)
- SEC v. Karina N. Fernandez and others (ponzi schemes, 2024)
- SEC v. Rari Capital Infrastructure LLC (unregistered distributions, 2024)
- SEC v. Anthony Guarino (2024)
- SEC v. Ricardi Celicourt and Brisly Guillaume (ponzi schemes, 2024)
- SEC v. Janusz (John) Zukowski and Jerry Samaras (2024)
- SEC v. Mario Gogliormella, Steven Lacaj, and Karim Ibrahim a/k/a/ Chris Hayes (boiler rooms, 2024)
- SEC v. Nutra Pharma Corp. et al (unregistered distributions, 2024)
- SEC v. Raymond J. Pirrello, Jr., et al. (2023)
- SEC v. William B. McHenry, Jr. and First South Investments, LLC (ponzi schemes, 2023)
- SEC v. Nathalia I. Burgos, Christian A. Cuesta, Steven A. Fernandez et. al. (ponzi schemes, 2023)
- SEC v. Aras Investment Business Group S.A.P.I. de C.V., Armando Gutierrez Rosas and others (ponzi schemes, 2023)
- SEC v. Brent Seaman, Accanito Holdings, LLC, and others (ponzi schemes, 2023)
- SEC v. Legend Venture Partners LLC (boiler rooms, 2023)
- SEC v. Damon R. Durante (2023)
- SEC v. Chimene Van Gundy and others (ponzi schemes, 2023)
- SEC v. Joseph R. Earle Jr, Barry D. Reagh, William Clayton, Francis T. Dudley, Steven E. Bryant, Upper Street Marketing, Inc. and Project Growth International, Inc. (boiler rooms, 2022)
- SEC v. Douver Torres Braga, Joff Paradise, Keleionalani Akana Taylor and Jonathan Tetreault (ponzi schemes, 2022)
- SEC v. Pavel Ruiz (ponzi schemes, 2022)
- SEC v. Nicolas Arkells (unregistered distributions, 2022)
- SEC v. Matthew Wade Beasley, et al. (ponzi schemes, 2022)
- SEC v. Justin R. Kimbrough, Terry Nikopoulos and others (ponzi schemes, 2022)
- SEC v. StraightPath Venture Partners LLC, et al. (2022)
- SEC v. TKO Farms, Inc., Agravitae, Inc., Kenneth Owen and others (undisclosed control blocks, 2022)
- SEC v. Wealth Plus, Inc. (unregistered distributions, 2022)
- SEC v. Julie Minuskin, Joshua Stoll, Dennis DiRicco, Tom Casey and Golden Genesis, Inc. (ponzi schemes, 2022)
- SEC v. Robert Lenard Booth, Michael D'Urso, Daniel T. Wellcome Jr., Alyssa D'Urso, Antonella Chiaramonte, and Jay Garnock) (boiler rooms, 2022)
- SEC v. BNZ One Capital, LLC, et al. (ponzi schemes, 2021)
- SEC v. Sky Group, et al. (ponzi schemes, 2021)
- SEC v. Zeeshawn S. Zia (boiler rooms, 2021)
- SEC v. Roger E. Dobrovodsky (unregistered distributions, 2021)
- SEC v. William B. McHenry Jr. and First South Investments, LLC (ponzi schemes, 2021)
- SEC v. Murchinson Ltd. and Marc Bistricer and Paul Zogala (naked short selling debate, 2021)
- SEC v. Jonathan Mimun a/k/a Jonathan Maymon and Ronn BenHarav (boiler rooms, 2021)
- SEC v. Matthew J. Skinner, et al. (2021)
- SEC v. Robert Joseph Armijo, et al. (ponzi schemes, 2021)
- SEC v. LFS Funding Limited Partnership, Stephen Thompson, Steven Comisar, Dale Engelhardt and Ross Erskine (undisclosed control blocks, 2021)
- SEC v. Jason P. Wootten, et al. (ponzi schemes, 2021)
- SEC v. Vuuzle Media Corp., Ronald Shane Flynn, and Richard Marchitto (boiler rooms, 2021)
- SEC v. DeAndre P. Sears et al. (ponzi schemes, 2020)
- SEC v. Craig Rumbaugh, et al. (2020)
- SEC v. Alex Forester, Michael Hicks, Yarden Krampf, Christopher Lee, Sean O'Neal, Michael Raynor, and Lee Sobel (boiler rooms, 2020)
- SEC v. Michael Staisil (ponzi schemes, 2020)
- SEC v. PowerTradersPress.com, Inc., et al. (boiler rooms, 2020)
- SEC v. Dale Tenhulzen et al. (ponzi schemes, 2020)
- SEC v. Jack Brewer (insider trading, 2020)
- SEC v. Abetterfinancialplan.Com, LLC (unregistered distributions, 2020)
- SEC v. Clinton Maurice Tucker II (boiler rooms, 2020)
- SEC v. Brook Church-Koegel, et al. (ponzi schemes, 2020)
- SEC v. EquiAlt LLC, et al. (2020)
- SEC v. Michael Douglas Billings and MDB Group, LLC (ponzi schemes, 2020)
- SEC v. Drake et al., Messier et al., Brooks (boiler rooms, 2020)
- SEC v. Bajic et al., Ciapala et al. (unregistered distributions, 2020)
- SEC v. Retirement Surety LLC Crescendo Financial LLC Rose and others (unregistered distributions, 2019)
- SEC v. Brett Pittsenbargar, et al. (ponzi schemes, 2019)
- SEC v. Richard Eden, Christopher Neumann and Dale Pearlman (matched orders, 2019)
- SEC v. Anton Senderov, et al. (boiler rooms, 2019)
- SEC v. Gil Beserglik, et al. (boiler rooms, 2019)
- SEC v. William M. Apostelos, et al. (ponzi schemes, 2019)
- SEC v. Bio Defense Corporation, et al. (boiler rooms, 2019)
- SEC v. Toon Goggles Inc., et al. (boiler rooms, 2019)
- SEC v. Baker and others (unregistered distributions, 2019)
- SEC v. Terry Wayne Kelly and Kelly Management, LLC (ponzi schemes, 2019)
- SEC v. Carol J. Wayland, et al. (boiler rooms, 2019)
- SEC v. Henry J. Wieniewitz, III, et al. (ponzi schemes, 2019)
- SEC v. Talman Harris and Victor Alfaya (boiler rooms, 2019)
- SEC v. Andrew J. Kandalepas (marking the close, 2019)
- SEC v. Robert S. Davis, Jr., et al. (ponzi schemes, 2019)
- SEC v. Anthony C. Zufelt (ponzi schemes, 2019)
- SEC v. Ivan Acevedo & Dane R. Roseman (ponzi schemes, 2019)
- SEC v. Jeffrey Gainer (ponzi schemes, 2019)
- SEC v. Tiber Creek Corp. and James M. Cassidy (shell factories, 2019)
- SEC v. Andrew Stitt (boiler rooms, 2019)
- SEC v. Joe Lawler (ponzi schemes, 2018)
- SEC v. Nutra Pharma Corp. et al (unregistered distributions, 2018)
- SEC v. Jeffrey Goldman and Christopher Eikenberry (2018)
- SEC v. Alexander Charles White and Paul Douglas Vandivier (unregistered distributions, 2018)
- SEC v. Chad Anthony Lewis (unregistered distributions, 2018)
- SEC v. James VanBlaricum, et al. (ponzi schemes, 2018)
- SEC v. Keith Houlihan (boiler rooms, 2018)
- SEC v. Wellness Center USA, Inc. (fake press releases, 2018)
- SEC v. The Lifepay Group, Clifton E. Stanley and Michael E. Watts (ponzi schemes, 2018)
- SEC v. Peter H. Pocklington, The Eye Machine LLC and others (boiler rooms, 2018)
- SEC v. AmeraTex Energy, Inc., et al (unregistered distributions, 2018)
- SEC v. Geoffrey H. Lunn (2018)
- SEC v. Ronald A. Fossum, Jr. and Alonzo R. Cahoon (unregistered distributions, 2017)
- SEC v. Jason A. Wallace (boiler rooms, 2017)
- SEC v. David Howard Welch, et al (boiler rooms, 2017)
- SEC v. Naris Chamroonrat (2017)
- SEC v. Steve G. Blasko (boiler rooms, 2017)
- SEC v. Curtis A. Peterson (ponzi schemes, 2017)
- SEC v. Ryan Gilbertson, et al. (undisclosed control blocks, 2017)
- SEC v. Robin G. Charlet, Steven W. Sparks, Gregory J. Tuthill and Kirk D. Porter (unregistered distributions, 2017)
- SEC v. Naris Chamroonrat and Adam L. Plumer (2016)
- SEC v. Chamroonrat, Plumer, Avnon, Armon and G Six Trading (2017)
- SEC v. Gary L. McDuff (ponzi schemes, 2016)
- SEC v. Ikenna Ikokwu and his firms (2016)
- SEC v. Marcus A. Luna, et al. (boiler rooms, 2016)
- SEC v. Craig V. Sizer, and Miguel Mesa (boiler rooms, 2016)
- SEC v. Jason A. Wallace (boiler rooms, 2016)
- SEC v. Curtis A. Peterson (ponzi schemes, 2016)
- SEC v. Damon M. Barnes and Cathy S. Barnes (ponzi schemes, 2016)
- SEC v. Daniel J. Bean (ponzi schemes, 2016)
- SEC v. Jeremy D. Barnes (ponzi schemes, 2016)
- SEC v. John L. Shipley (ponzi schemes, 2016)
- SEC v. Joshua M. Beauregard and Jennifer M. Beauregard (ponzi schemes, 2016)
- SEC v. Deven Sellers and Roland Barrera (ponzi schemes, 2016)
- SEC v. Providence Financial Investments, Inc., Providence Fixed Income Fund, LLC, Jeffory Churchfield, and Jack Jarrell (unregistered distributions, 2016)
- SEC v. Wayne L. Palmer (ponzi schemes, 2016)
- SEC v. David B. Kaplan and Synchronized Organizational Solutions (ponzi schemes, 2016)
- SEC v. Richard St. Julien et al. (paid stock promotion, 2016)
- SEC v. William E. Mapp, III, et al. (paid stock promotion, 2016)
- SEC v. Arcturus Corporation, et al. (unregistered distributions, 2016)
- SEC v. Garfield M. Taylor (ponzi schemes, 2016)
- SEC v. IBC Funds, LLC (unregistered distributions, 2016)
- SEC v. Marquis Properties, Deucher and Clatfelter (ponzi schemes, 2016)
- SEC v. Trudy R. Gilmond (ponzi schemes, 2015)
- SEC v. William M. Apostelos and WMA Enterprises (ponzi schemes, 2015)
- SEC v. Summit Trust Company, Kevin and George Brown (ponzi schemes, 2015)
- SEC v. Craig Danzig (unregistered distributions, 2015)
- SEC v. Garfield Taylor, Jeffrey King and Gibraltar Asset Management (ponzi schemes, 2015)
- SEC v. Commodore Financial Corp., et al. (boiler rooms, 2015)
- SEC v. Manny J. Shulman and David K. Hirschman (undisclosed control blocks, 2015)
- SEC v. Marc S. Mandel (unregistered distributions, 2015)
- SEC v. Michael R. Enea (ponzi schemes, 2015)
- SEC v. Harold Bailey "B.J." Gallison II et al. (paid stock promotion, 2015)
- SEC v. Luca International Group, Yang and others (ponzi schemes, 2015)
- SEC v. Team Resources, Inc., et al. (unregistered distributions, 2015)
- SEC v. Julieann Palmer Martin (ponzi schemes, 2015)
- SEC v. Phillip Cory Roberts (subpoena enforcement, 2015)
- SEC v. International Capital Group, LLC (reverse merger schemes, 2015)
- SEC v. Oppenheimer & Co. Inc. (unregistered distributions, 2015)
- SEC v. Eureeca Capital SPC (unregistered distributions, 2014)
- SEC v. Alicia Bryan (ponzi schemes, 2014)
- SEC v. Armand R. Franquelin (ponzi schemes, 2014)
- SEC v. LavaFlow, Inc. (2014)
- SEC v. Chalmers and Julianne (ponzi schemes, 2014)
- SEC v. Visionary Trading LLC, Lightspeed Trading LLC and five individuals (layering, 2014)
- SEC v. Coplan and Jenny E. (ponzi schemes, 2014)
- SEC v. Richard D. Hicks (ponzi schemes, 2014)
- SEC v. Frank Bluestein (ponzi schemes, 2013)
- SEC v. Julieann Palmer Martin (ponzi schemes, 2013)
- SEC v. David G. Bartholomew (ponzi schemes, 2013)
- SEC v. Ricardo Bonilla Rojas (ponzi schemes, 2013)
- SEC v. Joseph Hilton a/k/a Joseph Yurkin (boiler rooms, 2013)
- SEC v. New Horizon Publishing Inc. (boiler rooms, 2013)
- SEC v. ABN AMRO Bank, N.V. (unregistered distributions, 2013)
- SEC v. Jennifer E. Thoennes (ponzi schemes, 2013)
- SEC v. Larry Michael Parrish (ponzi schemes, 2013)
- SEC v. Patrick Merrill Brody (ponzi schemes, 2013)
- SEC v. Banco Comercial Português, S.A. (unregistered distributions, 2013)
- SEC v. James S. Tagliaferri (ponzi schemes, 2013)
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.