Securities Act s.5
Requires offers and sales of securities to be registered with the SEC or fall within an exemption; charged in unregistered share distributions. 428 records cite it, filed 2004 to 2026.
Official text: 15 U.S.C. 77e (LII)
Counts
By year filed
- 2004: 2
- 2005: 1
- 2009: 1
- 2013: 14
- 2014: 11
- 2015: 42
- 2016: 35
- 2017: 43
- 2018: 35
- 2019: 45
- 2020: 29
- 2021: 27
- 2022: 33
- 2023: 50
- 2024: 35
- 2025: 13
- 2026: 12
By agency
- SEC: 427
- OSC: 1
By status
- Settled: 187
- Judgment entered: 184
- Alleged, pending: 47
- Dismissed: 5
- On appeal: 5
Technique mix
Most recent matched records
- SEC v. Brian Keasberry (paid stock promotion, 2026)
- SEC v. Goliath Ventures, Inc. and Christopher A. Delgado (ponzi schemes, 2026)
- 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. Nathan Fuller (ponzi schemes, 2026)
- SEC v. Terrence Chalk (ponzi schemes, 2026)
- SEC v. Sudheesh Nambiar (ponzi schemes, 2026)
- SEC v. Geoffrey Allen Wall (pump and dump, 2026)
- SEC v. Titanium Capital LLC and Henry Abdo (ponzi schemes, 2026)
- SEC v. Zachary Miller (unregistered distributions, 2026)
- SEC v. Joel Castellanos (ponzi schemes, 2026)
- SEC v. Bernardo Mendia-Alcaraz and Toltec Capital LLC (ponzi schemes, 2026)
- SEC v. David J. Bradford and Gerardo L. Linarducci (ponzi schemes, 2025)
- SEC v. David Hudzik (unregistered distributions, 2025)
- SEC v. Linh Thuy Le and Trong Hoang Luu (ponzi schemes, 2025)
All 428 matched records
- SEC v. Brian Keasberry (paid stock promotion, 2026)
- SEC v. Goliath Ventures, Inc. and Christopher A. Delgado (ponzi schemes, 2026)
- 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. Nathan Fuller (ponzi schemes, 2026)
- SEC v. Terrence Chalk (ponzi schemes, 2026)
- SEC v. Sudheesh Nambiar (ponzi schemes, 2026)
- SEC v. Geoffrey Allen Wall (pump and dump, 2026)
- SEC v. Titanium Capital LLC and Henry Abdo (ponzi schemes, 2026)
- SEC v. Zachary Miller (unregistered distributions, 2026)
- SEC v. Joel Castellanos (ponzi schemes, 2026)
- SEC v. Bernardo Mendia-Alcaraz and Toltec Capital LLC (ponzi schemes, 2026)
- SEC v. David J. Bradford and Gerardo L. Linarducci (ponzi schemes, 2025)
- SEC v. David Hudzik (unregistered distributions, 2025)
- SEC v. Linh Thuy Le and Trong Hoang Luu (ponzi schemes, 2025)
- SEC v. Marco G. Santarelli (ponzi schemes, 2025)
- SEC v. Agridime, LLC, Jed Wood, and Joshua Link (ponzi schemes, 2025)
- SEC v. Justin R. Kimbrough and Prosperity Consultants, LLC (ponzi schemes, 2025)
- SEC v. Arsalan Rawjani and others (ponzi schemes, 2025)
- SEC v. Calvin Guess and others (ponzi schemes, 2025)
- SEC v. Ongkaruck Sripetch and others (pump and dump, 2025)
- SEC v. Peter Scalise III and The3rdBevco Inc. (unregistered distributions, 2025)
- SEC v. Kenneth Mattson and Relief Defendant KS Mattson Partners LP (ponzi schemes, 2025)
- SEC v. Kenneth W. Alexander II and others (ponzi schemes, 2025)
- SEC v. Investview, Inc. (unregistered distributions, 2025)
- SEC v. Tai Mo Shan Limited (unregistered distributions, 2024)
- SEC v. Ronald Bauer and seven others (pump and dump, 2024)
- SEC v. John S. Clayton and others (insider trading, 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. Timothy Page, Trevor Page and others (boiler rooms, 2024)
- SEC v. Dusan Varga and Pannon Investment Advisors LLC (ponzi schemes, 2024)
- SEC v. Brian Quinn and David Skriloff (Environmental Packaging, 2024)
- SEC v. Russell Armand, Maxwell Hernandez, Manpreet Singh Kohli, and Nam Tran (paid crypto market making, 2024)
- SEC v. Vy Pham (paid crypto market making, 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. Abraxas J. DiScala (pump and dump, 2024)
- SEC v. Rari Capital Infrastructure LLC (unregistered distributions, 2024)
- SEC v. Flyfish Club, LLC (unregistered distributions, 2024)
- SEC v. Drew Morgan Ciccarelli (pump and dump, 2024)
- SEC v. Nutra Pharma Corporation, et al. (unregistered distributions, 2024)
- SEC v. Bernardo Mendia-Alcaraz and Toltec Capital LLC (2024)
- SEC v. Kevan Casey, Adrian James, Jonathan Friedlander and Robert Wheat (pump and dump, 2024)
- SEC v. Ricardi Celicourt and Brisly Guillaume (ponzi schemes, 2024)
- SEC v. Giguiere et al. (undisclosed control blocks, 2024)
- SEC v. Mario Gogliormella, Steven Lacaj, and Karim Ibrahim a/k/a/ Chris Hayes (boiler rooms, 2024)
- SEC v. Frank Lynold Mercado and Tiger Wolf Capital, LLC (ponzi schemes, 2024)
- SEC v. Ian Balina (paid stock promotion, 2024)
- SEC v. Pedram Abraham Mehrian, Strategic Legacy Investment Group, Inc., and SLIG High-Interest Liquid Savings Company (ponzi schemes, 2024)
- SEC v. Nutra Pharma Corp. et al (unregistered distributions, 2024)
- SEC v. Ahmed Alomari and MCM Consulting (paid stock promotion, 2024)
- SEC v. Rafael Vargas (2024)
- SEC v. John Feloni and Stock Squirrel, Inc. (2024)
- SEC v. TradeStation Crypto, Inc. (unregistered distributions, 2024)
- SEC v. Prosper E. Beyond Moore and Prosperity Investments & Solutions, LLC (ponzi schemes, 2024)
- SEC v. Jonathan Farber, Aarif Jamani, Brian Keasberry (pump and dump, 2024)
- SEC v. Carnovale, et al. (undisclosed control blocks, 2024)
- SEC v. BarnBridge DAO (unregistered distributions, 2023)
- SEC v. Tyler Ward and Troy Murray (unregistered distributions, 2023)
- SEC v. Agridime LLC, Joshua Link, and Jed Wood (ponzi schemes, 2023)
- SEC v. Titanium Capital LLC and others (ponzi schemes, 2023)
- SEC v. Raymond J. Pirrello, Jr., et al. (2023)
- SEC v. Marc E. Wexler (price manipulation, 2023)
- SEC v. Nadim Ahmed et al. (unregistered distributions, 2023)
- SEC v. SafeMoon LLC, SafeMoon US LLC, Kyle Nagy, Braden John Karony, Thomas Glenn Smith (wash trading, 2023)
- SEC v. Bruce Schoengood, Medifirst Solutions, Inc., and Joshua Tyrell (unregistered distributions, 2023)
- SEC v. Matthew M. Motil (ponzi schemes, 2023)
- SEC v. John Feloni and Stock Squirrel, Inc. (2023)
- SEC v. William B. McHenry, Jr. and First South Investments, LLC (ponzi schemes, 2023)
- SEC v. Empirex Capital LLC and Rafael Alberto Vargas Gonzalez (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. MFB 111 Investment, LLC and Monise François Bien Aimé (ponzi schemes, 2023)
- SEC v. Tilila Walker Sumchai (ponzi schemes, 2023)
- SEC v. GGToor, Inc. (unregistered distributions, 2023)
- SEC v. Stoner Cats 2, LLC (unregistered distributions, 2023)
- SEC v. Linus Financial, Inc. (unregistered distributions, 2023)
- SEC v. Brady Jack Speers, Chatree Thiranon and GHAP, LLC d/b/a Blue Star Texas (2023)
- SEC v. Impact Theory, LLC (unregistered distributions, 2023)
- SEC v. Brent Seaman, Accanito Holdings, LLC, and others (ponzi schemes, 2023)
- SEC v. Quantstamp, Inc. (unregistered distributions, 2023)
- SEC v. Robert D. Christensen, Anthony M. Matic and four entities (ponzi schemes, 2023)
- SEC v. Celsius Network Limited and Alexander "Alex" Mashinsky (price manipulation, 2023)
- SEC v. Nayeem Choudhury and Dream Venture Capital Group, LLC (ponzi schemes, 2023)
- SEC v. Legend Venture Partners LLC (boiler rooms, 2023)
- SEC v. Andrew DeFrancesco, Marlio Mauricio Diaz Cardona, Carlos Felipe Rezk, Nikola Faukovic, and Catherine DeFrancesco (pump and dump, 2023)
- SEC v. Vuuzle Media Corp., Vuuzle Media Corp. Limited, Ronald Shane Flynn, and Richard Marchitto (boiler rooms, 2023)
- SEC v. Royal Bengal Logistics, Inc. and Sanjay Singh (ponzi schemes, 2023)
- SEC v. Chimene Van Gundy and others (ponzi schemes, 2023)
- SEC v. Green Stream Holdings, Inc. (unregistered distributions, 2023)
- SEC v. LiveWire Ergogenics, Inc. (unregistered distributions, 2023)
- SEC v. Principal Solar, Inc. (unregistered distributions, 2023)
- SEC v. SFLMaven Corp. (unregistered distributions, 2023)
- SEC v. Verde Bio Holdings, Inc. (unregistered distributions, 2023)
- SEC v. Matthew Bell (CodeSmart price manipulation, 2023)
- SEC v. Joshua Sason, et al. (Corrected) (unregistered distributions, 2023)
- SEC v. Brett M. Bartlett and others (ponzi schemes, 2023)
- SEC v. Neil Bergquist; Up and Global SEZC; Coinme, Inc. (unregistered distributions, 2023)
- SEC v. Matthew Nicosia, William Reininger, Fabrizio Di Carlo, and Ronald Touchard (boiler rooms, 2023)
- SEC v. Michael J. French, MJF Holdings, LLC and MJF Capital, LLC (ponzi schemes, 2023)
- SEC v. Darren Ofsink and Michael T. Morris (CodeSmart, 2023)
- SEC v. Carnovale, et al. (undisclosed control blocks, 2023)
- SEC v. William Andrew Stack, Esq. (undisclosed control blocks, 2023)
- SEC v. Justin Sun et al. (paid stock promotion, 2023)
- SEC v. Moynes, et al. (undisclosed control blocks, 2023)
- SEC v. Stephen Keith Woodard, Sr. (ponzi schemes, 2023)
- SEC v. Nexo Capital Inc. (unregistered distributions, 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. PFP Entrust Corp. (unregistered distributions, 2022)
- SEC v. PIC Renegade Properties, LLC (unregistered distributions, 2022)
- SEC v. Douver Torres Braga, Joff Paradise, Keleionalani Akana Taylor and Jonathan Tetreault (ponzi schemes, 2022)
- SEC v. Jeremy K. Rounsville (Arbitraging.co offering fraud, 2022)
- SEC v. Mauricio Chavez, Giorgio Benvenuto and CryptoFX, LLC (ponzi schemes, 2022)
- SEC v. Arbitrade Ltd., et al. (pump and dump, 2022)
- SEC v. Matthew Nicosia, William Reninger, Fabrizio Di Carlo, and Ronald Touchard (boiler rooms, 2022)
- SEC v. The Hydrogen Technology Corporation, Michael Ross Kane, and Tyler Ostern (paid crypto market making, 2022)
- SEC v. Christian J. Gonzalez (ponzi schemes, 2022)
- SEC v. Judith Paris-Pinder (ponzi schemes, 2022)
- SEC v. Brian Lam, NineSquare Capital Partners LLC and others (2022)
- SEC v. Sparkster, Ltd. and Sajjad Daya (unregistered distributions, 2022)
- SEC v. Nutra Pharma Corp. et al (unregistered distributions, 2022)
- SEC v. Pavel Ruiz (ponzi schemes, 2022)
- SEC v. Nicolas Arkells (unregistered distributions, 2022)
- SEC v. Vladimir Okhotnikov and others (ponzi schemes, 2022)
- SEC v. Alexandra Robert, Chalala Academy LLC (ponzi schemes, 2022)
- SEC v. Todd Lahr and Thomas Megas (ponzi schemes, 2022)
- SEC v. Bruce Schoengood, Medifirst Solutions, Inc., and Joshua Tyrell (paid stock promotion, 2022)
- SEC v. John W. Pauciulo, Esq. (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. Moynes, et al. (undisclosed control blocks, 2022)
- SEC v. StraightPath Venture Partners LLC, et al. (2022)
- SEC v. Jillian Sidoti (undisclosed control blocks, 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. Domenic Calabrigo, Curtis Lehner, Courtney Vasseur and Hasan Sario (pump and dump, 2022)
- SEC v. The Legal Funding Group of Georgia, LLC and Benjamin S. Eichholz (unregistered distributions, 2022)
- SEC v. Dean Shah et al. (undisclosed control blocks, 2022)
- SEC v. Ronald Bauer and seven others (pump and dump, 2022)
- SEC v. Julie Minuskin, Joshua Stoll, Dennis DiRicco, Tom Casey and Golden Genesis, Inc. (ponzi schemes, 2022)
- SEC v. Marco "Sully" Perez and Permian Basin Proppants, Inc. (ponzi schemes, 2021)
- SEC v. Wedbush Securities Inc. (unregistered distributions, 2021)
- SEC v. Auzins (unregistered distributions, 2021)
- SEC v. Carnovale, et al. (undisclosed control blocks, 2021)
- SEC v. Guy Scott Griffithe and Robert William Russell (ponzi schemes, 2021)
- SEC v. BNZ One Capital, LLC, et al. (ponzi schemes, 2021)
- SEC v. Gregory L. Ciccone, et al. (2021)
- SEC v. Sky Group, et al. (ponzi schemes, 2021)
- SEC v. Timothy Page et al., Daniel Cattlin and William R. Shupe (boiler rooms, 2021)
- SEC v. Charles Parkinson Lloyd (reverse merger schemes, 2021)
- SEC v. Simon Piers Thurlow, Roger Fidler and others (reverse merger 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. MJ Capital Funding, LLC, et al, (ponzi schemes, 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. Edgar M. Radjabli, Apis Capital Management LLC and My Loan Doctor LLC (sham tender offers, 2021)
- SEC v. Kai Christian Petersen, et al. (boiler rooms, 2021)
- SEC v. David N. Osegueda, et al. (pump and dump, 2021)
- SEC v. Jonathan P. Maroney, Et. Al (ponzi schemes, 2021)
- SEC v. Jason P. Wootten, et al. (ponzi schemes, 2021)
- SEC v. Shawn C. Cutting (2021)
- SEC v. Bruce Schoengood, Medifirst Solutions, Inc. and Joshua Tyrell (paid stock promotion, 2021)
- SEC v. Vuuzle Media Corp., Ronald Shane Flynn, and Richard Marchitto (boiler rooms, 2021)
- SEC v. William Andrew Stack, Esq. (undisclosed control blocks, 2021)
- SEC v. DeAndre P. Sears et al. (ponzi schemes, 2020)
- SEC v. Garrett M. O'Rourke and Michael J. Black (pump and dump, 2020)
- SEC v. Craig Rumbaugh, et al. (2020)
- SEC v. Terrence Chalk, et al. (2020)
- SEC v. Jillian Sidoti (undisclosed control blocks, 2020)
- SEC v. Drew Morgan Ciccarelli (pump and dump, 2020)
- SEC v. Frederick Mintz and Alan Fraade (undisclosed control blocks, 2020)
- SEC v. Ryan Felton, FLiK, and CoinSpark (price manipulation, 2020)
- SEC v. Covalent Collective, Inc. (unregistered distributions, 2020)
- SEC v. Peter DiChiara (reverse merger schemes, 2020)
- SEC v. Dale Tenhulzen et al. (ponzi schemes, 2020)
- SEC v. Victor Lee Farias and Integrity Aviation & Leasing, LLC (ponzi schemes, 2020)
- SEC v. Mustafa David Sayid and Norman Reynolds (pump and dump, 2020)
- SEC v. Abetterfinancialplan.Com, LLC (unregistered distributions, 2020)
- SEC v. Todd Lahr and Thomas Megas (ponzi schemes, 2020)
- SEC v. Gomes et al. (unregistered distributions, 2020)
- SEC v. Daniel F. Putnam, et al. (2020)
- SEC v. BitClave PTE Ltd. (unregistered distributions, 2020)
- SEC v. American Bondholders Foundation, LLC and Jonna Bianco (unregistered distributions, 2020)
- SEC v. Barry Honig, et al. (pump and dump, 2020)
- SEC v. Brook Church-Koegel, et al. (ponzi schemes, 2020)
- SEC v. EquiAlt LLC, et al. (2020)
- SEC v. DFRF Enterprises LLC, et al. (ponzi schemes, 2020)
- SEC v. Michael Douglas Billings and MDB Group, LLC (ponzi schemes, 2020)
- SEC v. David Aubel and Robert Raffa (pump and dump, 2020)
- SEC v. Benjamin L. Bunker, Esq. (pump and dump, 2020)
- SEC v. Guy Scott Griffithe, et al. (2020)
- SEC v. Bajic et al., Ciapala et al. (unregistered distributions, 2020)
- SEC v. Edward Espinal and Cash Flow Partners, LLC (ponzi schemes, 2020)
- SEC v. Retirement Surety LLC Crescendo Financial LLC Rose and others (unregistered distributions, 2019)
- SEC v. S. Paul Kelley, et al. (reverse merger schemes, 2019)
- SEC v. Brett Pittsenbargar, et al. (ponzi schemes, 2019)
- SEC v. David F. Bandimere (ponzi schemes, 2019)
- SEC v. David N. Osegueda, et al. (pump and dump, 2019)
- SEC v. Richard Eden, Christopher Neumann and Dale Pearlman (matched orders, 2019)
- SEC v. DFRF Enterprises LLC, et al. (ponzi schemes, 2019)
- SEC v. Eric J. "EJ" Dalius et al. (ponzi schemes, 2019)
- SEC v. Anton Senderov, et al. (boiler rooms, 2019)
- SEC v. Block.One (unregistered distributions, 2019)
- SEC v. Gil Beserglik, et al. (boiler rooms, 2019)
- SEC v. iQuantifi, Inc. and Thomas F. White (unregistered distributions, 2019)
- SEC v. Andres Fernandez and Edison Denizard (ponzi schemes, 2019)
- SEC v. William M. Apostelos, et al. (ponzi schemes, 2019)
- SEC v. Brian Robert Sodi, et al. (newsletter scalping, 2019)
- SEC v. Mediatrix Capital Inc., et al. (2019)
- SEC v. Bio Defense Corporation, et al. (boiler rooms, 2019)
- SEC v. Toon Goggles Inc., et al. (boiler rooms, 2019)
- SEC v. Executive Financial Services, Inc. (ponzi schemes, 2019)
- SEC v. Morrie Tobin et al. (undisclosed control blocks, 2019)
- SEC v. Baker and others (unregistered distributions, 2019)
- SEC v. Terry Wayne Kelly and Kelly Management, LLC (ponzi schemes, 2019)
- SEC v. Jehu Hand, et al. (pump and dump, 2019)
- SEC v. Reginald Middleton and Veritaseum (price manipulation, 2019)
- SEC v. Imran Husain, et al. (shell factories, 2019)
- SEC v. Carol J. Wayland, et al. (boiler rooms, 2019)
- SEC v. Garrett M. O'Rourke and Michael J. Black (pump and dump, 2019)
- SEC v. William J. Milles, Jr. and Donald J. Lutzko (ponzi schemes, 2019)
- SEC v. Zev Saltsman, et al. (unregistered distributions, 2019)
- SEC v. Henry J. Wieniewitz, III, et al. (ponzi schemes, 2019)
- SEC v. GT Media, Inc. (unregistered distributions, 2019)
- SEC v. Henry Sargent, Joseph Tomasek, Patrick Giordano, Frederick Mintz and Alan Fraade (undisclosed control blocks, 2019)
- SEC v. Matthew A. Krimm, et al. (2019)
- SEC v. Landon M. Smith (ponzi schemes, 2019)
- SEC v. Robert S. Davis, Jr., et al. (ponzi schemes, 2019)
- SEC v. Jonathan H. Seigel, et al. (ponzi schemes, 2019)
- SEC v. David N. Osegueda, Ishmail Calvin Ross, aka Calvin Ross, Zachary R. Logan, and Jessica Snyder, fka Jessica Gutierrez (pump and dump, 2019)
- SEC v. Andrew I. Farmer, Scott R. Sieck, Eddie D. Austin, Jr., Carolyn P. Austin, and John D. Brotherton (pump and dump, 2019)
- SEC v. Anthony C. Zufelt (ponzi schemes, 2019)
- SEC v. David M. Loflin (pump and dump, 2019)
- SEC v. Ivan Acevedo & Dane R. Roseman (ponzi schemes, 2019)
- SEC v. Jeffrey Gainer (ponzi schemes, 2019)
- SEC v. Jason McDiarmid, et al. (pump and dump, 2019)
- SEC v. NL Technology, LLC et al. (ponzi schemes, 2019)
- SEC v. Andrew Stitt (boiler rooms, 2019)
- SEC v. Cherubim Interests, Inc., PDX Partners, Inc., Victura Construction Group, Inc., and Patrick Jevon Johnson (2018)
- SEC v. BioElectronics Corp. IBEX, LLC St. John's, LLC Whelan and others (unregistered distributions, 2018)
- SEC v. Joe Lawler (ponzi schemes, 2018)
- SEC v. Tod A. Ditommaso, Esq. (unregistered distributions, 2018)
- SEC v. CoinAlpha Advisors LLC (unregistered distributions, 2018)
- SEC v. NVC Fund LLC and Frank Ekejija (2018)
- SEC v. Morrie Tobin et al. (paid stock promotion, 2018)
- SEC v. Michael E. Cone, et al (boiler rooms, 2018)
- SEC v. Brian Weber and Bebida Beverage Co. (fake press releases, 2018)
- SEC v. Mark E. Fisher and Joseph F. Capuozzo (pump and dump, 2018)
- SEC v. Richard J. Greenlaw et al. (unregistered distributions, 2018)
- SEC v. Jehu Hand and Antonio Katz (pump and dump, 2018)
- SEC v. NL Technology, LLC et al. (ponzi schemes, 2018)
- SEC v. Nutra Pharma Corp. et al (unregistered distributions, 2018)
- SEC v. Barry C. Honig, et al. (pump and dump, 2018)
- SEC v. Delaney Equity Group LLC, David C. Delaney and Ian C. Kass (reverse merger schemes, 2018)
- SEC v. Tomahawk Exploration LLC and David Thompson Laurance (2018)
- SEC v. Alexander Charles White and Paul Douglas Vandivier (unregistered distributions, 2018)
- SEC v. Chad Anthony Lewis (unregistered distributions, 2018)
- SEC v. Gannon Giguiere and others (matched orders, 2018)
- SEC v. Joseph Mangiapane, Jr. (Dynkowski penny stock manipulation, 2018)
- SEC v. James VanBlaricum, et al. (ponzi schemes, 2018)
- SEC v. Richard Weed et al. (reverse merger schemes, 2018)
- SEC v. Manhattan Transfer Registrar Company and John C. Ahearn (reverse merger schemes, 2018)
- SEC v. Eddy U. Marin and Shane R. Spierdowis (pump and dump, 2018)
- SEC v. Christopher R. Esposito, et al. (undisclosed control blocks, 2018)
- SEC v. Diane J. Harrison, Michael J. Daniels and Catherine A. Bradaick-Zolla (shell factories, 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. Sohrab ("Sam") Sharma and Robert Farkas (unregistered distributions, 2018)
- SEC v. Jon E. Montroll and Bitfunder (unregistered distributions, 2018)
- SEC v. Merrill Lynch and Pierce and Fenner & Smith Incorporated (unregistered distributions, 2018)
- SEC v. AmeraTex Energy, Inc., et al (unregistered distributions, 2018)
- SEC v. Analytica Bio-Energy Corp., Douglas Murdock, Luiz Brasil and Marvin Winick (undisclosed control blocks, 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. Artemus Mayor (pump and dump, 2017)
- SEC v. Henry Lin-Han Jan (pump and dump, 2017)
- SEC v. James M. Schneider and Andrew H. Wilson (blank check shells, 2017)
- SEC v. Homero Joshua Garza (ponzi schemes, 2017)
- SEC v. Wayne Weaver (Jammin' Java pump and dump, 2017)
- SEC v. Jason McDiarmid, et al. (boiler rooms, 2017)
- SEC v. Micheal A. Skerry (newsletter scalping, 2017)
- SEC v. David Howard Welch, et al (boiler rooms, 2017)
- SEC v. Pedro Fort Berbel and others (ponzi schemes, 2017)
- SEC v. Success Holding Group International, Inc. (unregistered distributions, 2017)
- SEC v. Richard P. Cedrone, Steven R. Ferris and George R. Thoreson (marking the close, 2017)
- SEC v. Caledonian Bank Ltd., et al. (unregistered distributions, 2017)
- SEC v. Dawn J. Bennett and DJB Holdings (ponzi schemes, 2017)
- SEC v. Robert Cortez Marshall and Adz on Wheelz (ponzi schemes, 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. Windsor Street Capital, L.P. ( and others (unregistered distributions, 2017)
- SEC v. Andrew Farmer, et al. (pump and dump, 2017)
- SEC v. Steve G. Blasko (boiler rooms, 2017)
- SEC v. Cheryl L. Jones (ponzi schemes, 2017)
- SEC v. Diana P. Lovera (boiler rooms, 2017)
- SEC v. Jehu Hand and Antonio Katz (pump and dump, 2017)
- SEC v. Tod A. Ditommaso, Esq. (unregistered distributions, 2017)
- SEC v. Homero Joshua Garza, GAW Miners, LLC, and ZenMiner, LLC (ponzi schemes, 2017)
- SEC v. Imran Husain, et al. (shell factories, 2017)
- SEC v. William R. Schantz III and Verto Capital Management LLC (ponzi schemes, 2017)
- SEC v. Kent P. Watts, et al. (unregistered distributions, 2017)
- SEC v. Christopher R. Esposito, et al. (undisclosed control blocks, 2017)
- SEC v. Mustafa David Sayid, Norman Reynolds and Kevin Jasper (pump and dump, 2017)
- SEC v. Galena Biopharma, Inc. and Mark J. Ahn (unregistered distributions, 2017)
- SEC v. ImmunoCellular Therapeutics, Ltd. (paid stock promotion, 2017)
- SEC v. Lion Biotechnologies, Inc. (paid stock promotion, 2017)
- SEC v. FX & Beyond Corporation and Steve H. Karroum (ponzi schemes, 2017)
- SEC v. Patrick O. Howard and Optimal Economics Capital Partners (ponzi schemes, 2017)
- SEC v. Raymond H. Barton (fake press releases, 2017)
- SEC v. William G. Goode (unregistered distributions, 2017)
- SEC v. Oxford City Football Club, Inc., et al. (boiler rooms, 2017)
- SEC v. Olde Monmouth Stock Transfer Co., Inc. and Matthew J. Troster (reverse merger schemes, 2017)
- SEC v. Herman Ronnie Young, Jr. d/b/a Race Cycler (ponzi schemes, 2017)
- SEC v. Robin G. Charlet, Steven W. Sparks, Gregory J. Tuthill and Kirk D. Porter (unregistered distributions, 2017)
- SEC v. Edward F. Panos, et al. (shell factories, 2016)
- SEC v. Empire Stock Transfer, Inc. and Matthew J. Blevins (unregistered distributions, 2016)
- SEC v. Gary L. McDuff (ponzi schemes, 2016)
- SEC v. Dennis Ira Ringer (unregistered distributions, 2016)
- SEC v. Daniel Christian Stanley Powell (ponzi schemes, 2016)
- SEC v. Nicholas H. Shermeta and Napa Properties, LLC (2016)
- SEC v. Curt Kramer and Hope Capital, Inc. (unregistered distributions, 2016)
- SEC v. Richard Weed, Coleman Flaherty III and Thomas Brazil (pump and dump, 2016)
- SEC v. Jason W. Galanis, et al. (matched orders, 2016)
- SEC v. Marcus A. Luna, et al. (boiler rooms, 2016)
- SEC v. Jason A. Wallace (boiler rooms, 2016)
- SEC v. Cliffe R. Bodden (2016)
- SEC v. Fusion Pharm, Inc. (undisclosed control blocks, 2016)
- SEC v. Microcap Management LLC, Bayside Realty Holdings LLC and Meadpoint Venture Partners, LLC (undisclosed control blocks, 2016)
- SEC v. William J. Sears (undisclosed control blocks, 2016)
- SEC v. Tod A. Ditommaso, Esq. (undisclosed control blocks, 2016)
- SEC v. Richard Weed, Coleman Flaherty III and Thomas Brazil (pump and dump, 2016)
- SEC v. Diane D. Dalmy, Esq. (unregistered distributions, 2016)
- SEC v. Traffic Monsoon and Charles Scoville (ponzi schemes, 2016)
- SEC v. StratoComm Corporation, et al. (unregistered distributions, 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. Gary C. Heath (Dynkowski penny stock manipulation, 2016)
- SEC v. Christopher R. Esposito, et al. (undisclosed control blocks, 2016)
- SEC v. Imran Husain, et al. (shell factories, 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. David Aubel and Robert Raffa (pump and dump, 2016)
- SEC v. Arcturus Corporation, et al. (unregistered distributions, 2016)
- SEC v. Canaccord Genuity Inc. (2016)
- SEC v. Guy Gentile (paid stock promotion, 2016)
- SEC v. Gedrey Thompson (ponzi schemes, 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. Oxford City Football Club, Inc. and Thomas Anthony Guerriero (boiler rooms, 2015)
- SEC v. Jehu Hand and Antonio Katz (pump and dump, 2015)
- SEC v. Trudy R. Gilmond (ponzi schemes, 2015)
- SEC v. Homero Joshua Garza, GAW Miners and ZenMiner (ponzi schemes, 2015)
- SEC v. James A. Torchia and Credit Nation Capital (ponzi schemes, 2015)
- SEC v. Abraxas J. Discala, Marc E. Wexler, Matthew A. Bell, Craig L. Josephberg, and Ira Shapiro (reverse merger 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. Andrew Farmer, et al. (pump and dump, 2015)
- SEC v. Allen Ross Smith (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. Spencer Pharmaceutical Inc., Jean-François Amyot and others (pump and dump, 2015)
- SEC v. iShopNoMarkup.com, Inc. (unregistered distributions, 2015)
- SEC v. Jason W. Galanis (matched orders, 2015)
- SEC v. Frank Morelli III and Louis Buonocore (undisclosed control blocks, 2015)
- SEC v. 8000, Inc., Jonathan E. Bryant, Thomas J. Kelly, and Carl N. Duncan, Esq. (fake press releases, 2015)
- SEC v. Joseph Paul Zada (ponzi schemes, 2015)
- SEC v. Timothy M. Roberts, Terrance F. Taylor, and Craig Constantinou (unregistered distributions, 2015)
- SEC v. Manny J. Shulman and David K. Hirschman (undisclosed control blocks, 2015)
- SEC v. Ditto Holdings, Inc. (Now Known as Sovestech and Inc.) (unregistered distributions, 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. DFRF Enterprises, Filho and others (ponzi schemes, 2015)
- SEC v. Gregg R. Mulholland (unregistered distributions, 2015)
- SEC v. Spectrum Concepts, LLC Worswick and others (unregistered distributions, 2015)
- SEC v. Adam S. Gottbetter, Mitchell G. Adam, and K. David Stevenson (pump and dump, 2015)
- SEC v. Mike Taxon and Itamar Cohen (paid stock promotion, 2015)
- SEC v. North Dakota Developments, Gavin and Hogan (ponzi schemes, 2015)
- SEC v. Joseph John Labadia (unregistered distributions, 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. James A. Evans, Jr., d/b/a Cashflowbot.com, d/b/a DollarMonster (ponzi schemes, 2015)
- SEC v. Team Resources, Inc., et al. (unregistered distributions, 2015)
- SEC v. Julieann Palmer Martin (ponzi schemes, 2015)
- SEC v. Joseph A. Noel (pump and dump, 2015)
- SEC v. Mark A. Lefkowitz, et al. (unregistered distributions, 2015)
- SEC v. Caledonian Bank Ltd., et al. (unregistered distributions, 2015)
- SEC v. International Capital Group, LLC (reverse merger schemes, 2015)
- SEC v. Oppenheimer & Co. Inc. (unregistered distributions, 2015)
- SEC v. Nicholas D. Skaltsounis (ponzi schemes, 2014)
- 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. E*Trade Securities, LLC and and G1 Execution Services, LLC (unregistered distributions, 2014)
- SEC v. Advanced Cell Technology, Inc. (2014)
- SEC v. Erik T. Voorhees (unregistered distributions, 2014)
- SEC v. Joseph P. Doxey and William J. Daniels (fake press releases, 2014)
- SEC v. Chalmers and Julianne (ponzi schemes, 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. Curt Kramer and others (unregistered distributions, 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. North East Capital and LLCand Anthony T. Vicidomine (unregistered distributions, 2013)
- SEC v. Joseph Hilton a/k/a Joseph Yurkin (boiler rooms, 2013)
- SEC v. ABN AMRO Bank, N.V. (unregistered distributions, 2013)
- SEC v. Jennifer E. Thoennes (ponzi schemes, 2013)
- SEC v. Scuderi Group, Inc. and Salvatore Scuderi (unregistered distributions, 2013)
- SEC v. Larry Michael Parrish (ponzi schemes, 2013)
- SEC v. Patrick Merrill Brody (ponzi schemes, 2013)
- OSC v. Fernando Honorate Fagundes also known as Henry Roche and New Futures Trading International Corporation (ponzi schemes, 2013)
- SEC v. Banco Comercial Português, S.A. (unregistered distributions, 2013)
- SEC v. Lexington Resources, Inc. Atkins and others (unregistered distributions, 2009)
- SEC v. James F. Glaza d/b/a Falcon Financial Services, Inc. (unregistered distributions, 2005)
- SEC v. OTC Live, Inc. and Mark A. Suleymanov (unregistered distributions, 2004)
- SEC v. Lorsin, Inc. and others (unregistered distributions, 2004)
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.