Exchange Act s.20(a)
Makes a person who controls a violator liable alongside it, unless the controller acted in good faith. 24 records cite it, filed 2015 to 2026.
Official text: 15 U.S.C. 78t (LII)
Counts
By year filed
- 2015: 3
- 2016: 1
- 2017: 3
- 2018: 2
- 2019: 3
- 2020: 1
- 2021: 2
- 2023: 4
- 2024: 3
- 2026: 2
By agency
- SEC: 24
By status
- Settled: 11
- Judgment entered: 7
- Alleged, pending: 6
Technique mix
Most recent matched records
- SEC v. Aras Investment Business Group S.A.P.I. de C.V. and others (ponzi schemes, 2026)
- SEC v. Sanders Family Office and others (ponzi schemes, 2026)
- SEC v. Frederick Tayton Dencer, Luke Abelard Dencer and others (2024)
- SEC v. John J. Kralik V, JKV Capital, LLC and JKV LLC (2024)
- SEC v. Mario Gogliormella, Steven Lacaj, and Karim Ibrahim a/k/a/ Chris Hayes (boiler rooms, 2024)
- SEC v. Raymond J. Pirrello, Jr., et al. (2023)
- SEC v. Aras Investment Business Group S.A.P.I. de C.V., Armando Gutierrez Rosas and others (ponzi schemes, 2023)
- SEC v. Royal Bengal Logistics, Inc. and Sanjay Singh (ponzi schemes, 2023)
- SEC v. Aaron Cain McKnight and others (2023)
- SEC v. BNZ One Capital, LLC, et al. (ponzi schemes, 2021)
- SEC v. Profit Connect Wealth Services, Inc., et al. (2021)
- SEC v. Terrence Chalk, et al. (2020)
- SEC v. Michael J. Starkweather and Andiamo Corporation, William White (matched orders, 2019)
- SEC v. Anton Senderov, et al. (boiler rooms, 2019)
- SEC v. Gil Beserglik, et al. (boiler rooms, 2019)
All 24 matched records
- SEC v. Aras Investment Business Group S.A.P.I. de C.V. and others (ponzi schemes, 2026)
- SEC v. Sanders Family Office and others (ponzi schemes, 2026)
- SEC v. Frederick Tayton Dencer, Luke Abelard Dencer and others (2024)
- SEC v. John J. Kralik V, JKV Capital, LLC and JKV LLC (2024)
- SEC v. Mario Gogliormella, Steven Lacaj, and Karim Ibrahim a/k/a/ Chris Hayes (boiler rooms, 2024)
- SEC v. Raymond J. Pirrello, Jr., et al. (2023)
- SEC v. Aras Investment Business Group S.A.P.I. de C.V., Armando Gutierrez Rosas and others (ponzi schemes, 2023)
- SEC v. Royal Bengal Logistics, Inc. and Sanjay Singh (ponzi schemes, 2023)
- SEC v. Aaron Cain McKnight and others (2023)
- SEC v. BNZ One Capital, LLC, et al. (ponzi schemes, 2021)
- SEC v. Profit Connect Wealth Services, Inc., et al. (2021)
- SEC v. Terrence Chalk, et al. (2020)
- SEC v. Michael J. Starkweather and Andiamo Corporation, William White (matched orders, 2019)
- SEC v. Anton Senderov, et al. (boiler rooms, 2019)
- SEC v. Gil Beserglik, et al. (boiler rooms, 2019)
- SEC v. Peter H. Pocklington, The Eye Machine LLC and others (boiler rooms, 2018)
- SEC v. Jon E. Montroll and Bitfunder (unregistered distributions, 2018)
- SEC v. Jason McDiarmid, et al. (boiler rooms, 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. Town of Ramapo and others (municipal bond disclosure, 2016)
- SEC v. Diverse Financial Corp., Dekel and Kandell (ponzi schemes, 2015)
- SEC v. George Ivakhnik and The Mobile Star Corporation (fake press releases, 2015)
- SEC v. Timothy M. Roberts, Terrance F. Taylor, and Craig Constantinou (unregistered distributions, 2015)
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.