Actions Resulting from Referrals to Federal and State Authorities
| Number | Date | Title |
|---|---|---|
| 2022-85 | May 20, 2022 | SEC Charges Wells Fargo Advisors with Anti-Money Laundering Related Violations SEC Order |
| 2022-83 | May 16, 2022 | SEC Obtains Emergency Relief to Halt Pre-IPO Stock Fraud Scheme by Unregistered Broker-Dealer SEC Complaint |
| 2022-1 | January 5, 2022 | SEC Charges Additional Defendant in Phony Certificates of Deposit Scam SEC Complaint |
| 2021-264 | December 20, 2021 | SEC Charges Clinical Drug Trial Investigator with Insider Trading SEC Complaint |
| 2021-255 | December 10, 2021 | SEC Charges Three Canadian Citizens in Fraudulent Penny Stock Scheme SEC Complaint |
| 2021-249 | December 2, 2021 | SEC Charges Pharma CFO and Former Partner with Insider Trading SEC Complaint |
| 2021-135 | July 22, 2021 | SEC Charges California Resident in Microcap Fraud Scheme Targeting Retail Investors SEC Complaint |
| 2021-132 | July 19, 2021 | SEC Files Charges in Multi-Million Dollar Fraud Involving Two Companies SEC Complaint |
| 2021-117 | June 30, 2021 | SEC Charges San Francisco Bay Area Finance Employee and Friend With Insider Trading SEC Order – Gad SEC Order - Guido |
| 2021-98 | June 11, 2021 | SEC Charges Dentist-Turned Investment Adviser for Three Separate Funds SEC Complaint |
| 2021-46 | March 15, 2021 |
SEC Obtains Emergency Asset Freeze, Charges California Trader with Posting False Stock Tweets |
| 2021-38 | March 2, 2021 |
SEC Charges Seven Individuals for $45 Million Fraudulent Scheme |
| 2020-327 | December 18, 2020 |
SEC Charges Biotech Company and CEO with Fraud Concerning COVID-19 Blood Testing Device |
| 2020-321 | December 17, 2020 |
SEC Charges Robinhood Financial with Misleading Customers About Revenue Sources and Failing to Satisfy Duty of Best Execution |
| 2020-218 | September 23, 2020 |
SEC Obtains Emergency Asset Freeze, Charges Ring of Microcap Stock Manipulators Targeting Retail Investors |
| 2020-178 | August 10, 2020 |
SEC Charges Interactive Brokers with Repeatedly Failing to File Suspicious Activity Reports |
| 2020-158 | July 20, 2020 |
SEC Charges Financial Advisor with Fraud for Stealing Millions from Investors |
| 2020-142 | June 24, 2020 |
SG Americas to Pay $3.1 Million to Settle Charges of Providing Deficient Blue Sheet Data |
| 2020-132 | June 12, 2020 |
SEC Charges Broker Who Defrauded Seniors Out of Almost $1 Million |
| 2020-131 | June 11, 2020 |
SEC Charges Microcap Fraud Scheme Participants Attempting to Capitalize on the COVID-19 Pandemic |
| 2020-111 | May 14, 2020 |
SEC Charges Companies and CEO for Misleading COVID-19 Claims |
| 2020-97 | April 28, 2020 |
SEC Charges Company and CEO for COVID-19 Scam |
| 2020-1 | January 2, 2020 |
SEC Charges Six Individuals in International Microcap Fraud Schemes |
| 2019-261 | December 17, 2019 |
Silicon Valley IT Administrator and Friends Charged in Multimillion Dollar Insider Trading Ring |
| 2019-216 | October 16, 2019 |
SEC Charges 18 Traders in $31 Million Stock Manipulation Scheme |
| 2019-185 | September 23, 2019 |
SEC Brings New Charges in Multimillion Dollar Boiler Room Schemes |
| 2019-177 | September 16, 2019 |
Two Broker-Dealers to pay $4.65 Million in Penalties for Providing Deficient Blue Sheet Data |
| 2019-149 | August 12, 2019 |
SEC Charges Investment Banking Analyst with Insider Trading |
| 34-86690 | August 15, 2019 | SEC Charges Swiss Pharmaceutical Executive with Insider Trading Order - Lorenz Erne |
| Press Release | August 12, 2019 | SEC Charges Investment Banking Analyst with Insider Trading |
| 34-86480 | July 25, 2019 | Biohemp International Inc. Order |
| Press Release | July 18, 2019 | SEC Obtains Asset Freeze in Microcap Pump and Dump Scheme Targeting Elderly Retail Investors |
| Press Release | July 12, 2019 | SEC Charges Securities Lawyer and Microcap Agent with Fraud |
| Press Release | July 10, 2019 | SEC Charges Accountant and Friend in $6.2 Million Insider Trading Scheme |
| 34-86336 | July 9, 2019 | Advantis Corporation Order |
| 34-86250 | June 28, 2019 | Natural Health Farm Holdings Inc. Order |
| 34-86249 | June 28, 2019 | Befut Global Inc. Order |
| 34-86248 | June 28, 2019 | Apotheca Biosciences Inc. Order |
| 34-86247 | June 28, 2019 | Korver Corp. Order |
| 34-86228 | June 27, 2019 | Upper Street Marketing, Inc. Order |
| LR-24515 | June 27, 2019 | Rajeshwar R. Gannamaneni, Deepthi Gandra, and Linga R. Gannamaneni |
| News Release | June 20, 2019 | SEC Freezes Assets in International Manipulative Trading Scheme |
| LR-24503 | June 18, 2019 | Raymond Starker SEC Complaint |
| LR-24499 | June 12, 2019 | Christopher Salis, et al. |
| LR-24498 | June 11, 2019 | Steven Fishoff, et al. |
| LR-24472 | May 20, 2019 | David N. Osegueda, Ishmail Calvin Ross, aka Calvin Ross, Zachary R. Logan, and Jessica Snyder, fka Jessica Gutierrez SEC Complaint |
| LR-24470 | May 17, 2019 | Andrew I. Farmer, Scott R. Sieck, Eddie D. Austin, Jr., Carolyn P. Austin, and John D. Brotherton SEC Complaint |
| LR-24465 | May 9, 2019 | Lloyd Schuman and Dane Janes SEC Complaint |
| 34-85810 | May 8, 2019 | Perkins Oil & Gas Incorporated Order |
| Press Release | May 7, 2019 | SEC Charges Nevada Man Who Traded on Confidential Information Taken From Lifelong Friend |
| LR-24446 | April 9, 2019 | SEC Brings Actions Against Fifteen Unregistered Brokers for Their Participation in an IIIegal Offering of Microcap Securities Saccomanno, et al. Complaint Duncan Complaint Duke, et al. Complaint Bevil, et al. Complaint |
| LR-24441 | April 4, 2019 | SEC Settles Insider Trading Charges Against Pharma Company Accountant, Three Others |
| LR-24419 | March 12, 2019 | SEC Charges Nine Individuals and Companies for Roles in Microcap Scheme SEC Complaint |
| LR-24417 | March 4, 2019 | SEC Obtains Judgment Against China-Based Acquisition Advisor Charged with Insider Trading |
| LR-24409 | February 22, 2019 | SEC Obtains Final Judgments Against Former Law Partner and His Neighbor Charged with Insider Trading |
| LR-24406 | February 21, 2019 | SEC Settles with Biotech Insider Trader SEC Complaint |
| 2019-10 | February 13, 2019 | SEC Charges Former Senior Attorney at Apple With Insider Trading SEC Complaint |
| LR-24398 | February 12, 2019 | Court Enters Judgment Against Microcap Company and Two Promoters in Pump-And-Dump Scheme, Ordering Each Promoter to Pay Over $4.6 Million |
| Press Release | February 12, 2019 | Seven Defendants Convicted in Securities Fraud Conspiracy |
| 34-85049 | February 4, 2019 | Argus Worldwide Corp. Order |
| LR-24378 | December 20, 2018 | SEC Charges a Taiwan-Based Insurance Company and a Former Insider with Fraudulent Market Manipulation Scheme SEC Complaint |
| LR-24375 | December 17, 2018 | SEC Charges Husband of Investment Banker with Insider Trading SEC Complaint |
| 2018-275 | December 10, 2018 | Three Broker-Dealers to Pay More Than $6 Million in Penalties for Providing Deficient Blue Sheet Data SEC Order - Citadel Securities SEC Order - MUFG Securities Americas SEC Order - Natixis Securities Americas |
| 2018-273 | December 6, 2018 | SEC Halts Alleged Insider Trading Ring Spanning Three Countries SEC complaint |
| LR-24362 | November 29, 2018 | SEC Charges Self-Described Promoter with Microcap Market Manipulation Scheme |
| LR-24361 | November 28, 2018 | SEC Charges Four in Fraudulent Microcap Manipulation Scheme Orchestrated Through International Accounts SEC complaint |
| 2018-262 | November 15, 2018 | SEC Brings Additional Charges in New York Boiler Room Scheme Targeting Seniors SEC complaint |
| LR-24338 | November 8, 2018 | SEC Charges California Software Consultant with Insider Trading SEC complaint |
| LR-24340 | November 8, 2018 | SEC Charges Husband with Insider Trading Ahead of Announcements by Wife's Employer SEC complaint |
| 2018-251 | November 2, 2018 | SEC Charges Family Friend of Former Investment Banker With Insider Trading SEC complaint |
| LR-24325 | October 26, 2018 | Court Enters Final Judgment in Microcap Fraud Case Involving Shares of Cynk Technology Corp. |
| 2018-242 | October 22, 2018 | SEC Suspends Trading in Company for Making False Cryptocurrency-Related Claims about SEC Regulation and Registration Trading Suspension |
| LR-24317 | October 16, 2018 | SEC Charges Ebay's Former Director of SEC Reporting with Insider Trading SEC Complaint |
| LR-24315 | October 11, 2018 | Boston-Area Defendant in SEC Insider Trading Case Convicted in Criminal Case |
| 2018-228 | October 3, 2018 | SEC Halts Microcap Fraud Scheme Orchestrated Through International Accounts SEC Complaint |
| LR-24298 | September 28, 2018 | SEC Charges Former Vice President of Ocwen Financial Corporation with Insider Trading SEC Complaint |
| LR-24294 | September 28, 2018 | Defendant in SEC Insider Trading Case Sentenced in Parallel Criminal Action |
| LR-24269 | September 14, 2018 | SEC Charges Acquisition Advisor with Insider Trading SEC Complaint |
| 2018-191 | September 13, 2018 | Broker-Dealer to Pay $2.75 Million Penalty for Providing Deficient Blue Sheet Data SEC Order |
| LR-24261 | September 7, 2018 | Attorney in SEC Enforcement Action Indicted for Penny Stock Fraud SEC Complaint |
| 2018-182 | September 7, 2018 | SEC Charges Microcap Fraudsters for Roles in Lucrative Market Manipulation Schemes SEC Complaint |
| 2018-178 | September 5, 2018 | SEC Charges Two Men With Fraud in Fake Trading Accounts Scheme SEC Complaint |
| LR-24253 | August 30, 2018 | SEC Charges Buffalo, N.Y. Advisory Firm and Principal with Fraud Relating to Association with Barred Adviser SEC Complaint |
| LR-24251 | August 30, 2018 | SEC Charges Former Senior Executive At Silicon Valley Company with Insider Trading SEC Complaint |
| 2018-170 | August 29, 2018 | SEC Charges NFL Player and Former Investment Banker With Insider Trading SEC Complaint Timeline Graphic |
| LR-24241 | August 21, 2018 | SEC Charges Nevada Microcap Issuer and Individuals with Unregistered, Fraudulent Offering SEC Complaint |
| LR-24245 | August 23, 2018 | SEC Charges Former Pharma Executive and Others with Insider Trading SEC Complaint |
| 34-83896 | August 21, 2018 | SEC Charges Former In-House Counsel with Insider Trading Order - Ismail Lila |
| LR-24239 | August 21, 2018 | SEC Charges Long-Island Based Cold-Caller and His Firm with Defrauding Investors Into Purchasing Penny Stock SEC Complaint |
| LR-24221 | August 21, 2018 | SEC Charges Certified Public Accountant with Insider Trading SEC Complaint |
| 2018-157 | August 20, 2018 | SEC Charges Unregistered Brokers Who Sold Woodbridge Securities to Main Street Investors SEC Complaint - Kornfelds et al SEC Complaint - Robbins |
| LR-24232 | August 10, 2018 | SEC Charges Biotechnology Company, and CEO with IIIegal Sales of Stock and a Misleading Public Company Filing SEC Complaint |
| 34-83795 | August 7, 2018 | SEC Charges California Bank Board Member's Son with Insider Trading Order |
| LR-24225 | August 3, 2018 | SEC Obtains Final Judgment Against Research Scientist Charged with Insider Trading |
| LR-24222 | August 1, 2018 | SEC Charges Former Corporate Officer for Insider Trading SEC Complaint, Deferred Prosecution Agreement |
| LR-24221 | August 1, 2018 | SEC Charges Scientist for Insider Trading SEC Complaint |
| 2018-148 | July 27, 2018 | SEC Charges Recidivist in Stock Manipulation Scheme SEC Order |
| LR-24217 | July 26, 2018 | SEC Obtains Final Judgment Against Former Biotech Executive in Insider Trading Case |
| LR-24215 | July 25, 2018 | Former Professional Trader Agrees to Settle with SEC in $1.1 Million Insider Trading Scheme |
| 2018-142 | July 24, 2018 | SEC Detects Silicon Valley Executive’s Insider Trading |
| 2018-132 | July 13, 2018 | SEC Files Charges in Busted Microcap Schemes |
| LR-24209 | July 17, 2018 | SEC Charges CEO and Oil Exploration Company with Lying About the Company's Prospects and Business Dealings |
| 34-83625 | July 12, 2018 | AXM Pharma, Inc. Order |
| LR-24191 | July 10, 2018 | SEC Charges Former Heartland CEO, Romantic Partner in Insider Trading Scheme SEC Complaint |
| LR-24194 | July 10, 2018 | Former Biotech Company Employee Charged with Insider Trading SEC Complaint |
| LR-24186 | July 5, 2018 | SEC Charges Former Executive for Insider Trading SEC Complaint |
| 34-83592 | July 3, 2018 | Big Time Holdings, Inc. |
| 34-83591 | July 3, 2018 | Century Petroleum Corp. |
| 34-83590 | July 3, 2018 | Williamsville Sears Management, Inc. |
| 2018-126 | July 2, 2018 | SEC Charges Attorney and Law Firm Business Manager With Illegal Sales of UBI Blockchain Internet Stock |
| 2018-115 | June 28, 2018 | Former Equifax Manager Charged With Insider Trading |
| 2018-113 | June 26, 2018 | SEC Charges Credit Ratings Analyst and Two Friends with Insider Trading |
| 34-83518 | June 25, 2018 | Evolution Blockchain Group Inc. Order |
| LR-24171 | June 20, 2018 | SEC Charges New York Penny Stock Financier with Fraudulent Market Manipulation and Scalping Scheme SEC Complaint |
| LR-24164 | June 12, 2018 | SEC Charges Canadian Accountant with Insider Trading SEC Complaint |
| LR-24163 | June 11, 2018 | Court Enters Consent Judgment against Robert M. Morano |
| 2018-97 | May 31, 2018 | SEC Charges Investment Banker in Insider Trading Scheme SEC Complaint |
| LR-24151 | May 25, 2018 | SEC Charges Microcap Executives With Defrauding Retail Investors SEC Complaint - Johnson SEC Complaint - Nielson Order Instituting Proceedings |
| Press Release | May 17, 2018 | Three Louisiana Residents Convicted of Insider Trading in Connection with Shaw Group Acquisition |
| 2018-85 | Apr. 15, 2018 | SEC Files Charges in International Manipulation Scheme SEC Complaint |
| LR-24134 | May 4, 2018 | SEC Charges Two Pennsylvania Residents with Insider Trading SEC Complaint |
| LR-24126 | May 2, 2018 | SEC Charges North Carolina-Based Microcap Company, its CEO, and Others in Scheme to Defraud Investors SEC Complaint |
| 34-83084 | Apr. 20, 2018 | IBITX Software Inc. |
| LR-24104 | Apr. 5, 2018 | SEC Charges New York Man with Insider Trading SEC Complaint |
| LR-24095 | Apr. 4, 2018 | Former Corporate Insider, Middleman Tipper, and Six Traders Charged with Insider Trading SEC Complaint |
| LR-24091 | Apr. 3, 2018 | SEC Charges Florida Resident with Market Manipulation Scheme SEC Complaint |
| 2018-53 | Apr. 2, 2018 | SEC Halts Fraudulent Scheme Involving Unregistered ICO SEC Complaint |
| LR-24084 | Mar. 26, 2018 | Stock Trader Charged in Insider Trading Ring |
| LR-24070 | Mar. 19, 2018 | SEC Obtains Summary Judgment in Grand Central Post-It Notes Insider Trading Case |
| 2018-40 | Mar. 14, 2018 | Former Equifax Executive Charged With Insider Trading SEC Complaint |
| 2018-38 | Mar. 9, 2018 | SEC Charges Penny Stock “Mailman” With Scalping Investors In Gold Mining Stocks SEC Complaint |
| 2018-37 | Mar. 9, 2018 | SEC Foils Penny Stock Executive’s Plan to Pump Stock and Exploit Investors SEC Order |
| LR-24066 | Mar. 8, 2018 | Jeffrey O. Friedland, Global Corporate Strategies LLC, and Intiva Pharma LLC, Defendants, and Lane 6552 LLC, Kathy B. Friedland, Aspen Upper Ranch LLC, Assurance Management, LLC, and The Jeffrey and Kathy Friedland Irrevocable Trust, Relief Defendants , Case. SEC Complaint |
| LR-24065 | Mar. 8, 2018 | SEC Charges Corporate Communications Specialist with Insider Trading Ahead of Acquisition Announcement |
| 2018-28 | Mar. 2, 2018 | SEC Charges U.K. Brokerage Firm, Investment Manager, CEO, and Others for Manipulative Trading in U.S. Microcap Stocks SEC Complaint - Beaufort SEC Complaint - Mancino Trading Suspension - HD View |
| LR-24056 | Feb. 28, 2018 | SEC: Insider Bought Minutes After Warnings Not to Trade SEC Complaint |
| 34-82738 | Feb. 16, 2018 | EnzymeBioSystems |
| 2018-21 | Feb. 16, 2018 | SEC Obtains Bars and Suspensions Against Individuals and Accounting Firm in Shell Factory Scheme SEC Complaint - Perlstein et al SEC Complaint - Strum SEC Complaint - Weinberg SEC Order - Baer |
| 2018-20 | Feb. 16, 2018 | SEC Suspends Trading in Three Issuers Claiming Involvement in Cryptocurrency and Blockchain Technology Trading Suspension Order - CHIT Trading Suspension Order - PDXP Trading Suspension Order - VICT |
| LR-24044 | Feb. 12, 2018 | SEC Charges Former Medical Products Executives with Insider Trading SEC Complaint (Todd LaVelle); SEC Order (Ara Chackerian ) |
| News Release | Feb. 8, 2018 | ASC alleges Calgarians engaged in fraudulent pump and dump scheme |
| LR-24035 | Jan. 26, 2018 | One or More Unknown Traders in the Securities of Bioverativ, Inc. SEC Complaint |
| LR-24031 | Jan. 22, 2018 | SEC Charges State-Registered Investment Adviser, CEO, and Former COO with Offering Fraud SEC Complaint |
| 34-82485-s | Jan. 11, 2018 | Former Corporate Insider and Brokerage Industry Employee Settle Insider Trading Charges with SEC |
| 34-82452 | Jan. 5, 2018 | UBI Blockchain Internet, Ltd. |
| 34-82347 | Dec. 18, 2017 | The Crypto Company |
| LR-24015 | Dec. 14, 2017 | SEC Charges Former Employee and Friend with Insider Trading in Securities of International Rectifier Corporation SEC Complaint |
| LR-24012 | Dec. 14, 2017 | Therapist Settles Charges of Insider Trading Ahead of Acquisition Announcement SEC Complaint |
| 2017-228 | Dec. 11, 2017 | Stock Trader Charged in Insider Trading Ring SEC Complaint |
| News Release | Oct. 18, 2017 | ASC Alleges Calgary Men Conspired With American Residents to Manipulate Markets |
| 34-81835 | Oct. 5, 2017 | Stevva Corp. |
| LR-23956 | Oct. 3, 2017 | SEC Obtains $58 Million Judgment against Perpetrator of International Pump-and-Dump Scheme Involving Marley Coffee |
| 2017-188 | Oct. 3, 2017 | SEC Charges Penny-Stock Operators in Push to Crack Down on Repeat Offenders SEC Complaint |
| LR-23957 | Oct. 3, 2017 | SEC Charges New Jersey Doctor with Insider Trading SEC Complaint |
| 2017-184 | Sep. 29, 2017 | Former Corporate Insider, Middleman Tipper, and Six Traders Charged With Insider Trading SEC Complaint |
| LR-23953 | Sep. 29, 2017 | SEC Charges Microcap Company and its Promoters in Pump-and-Dump Market Manipulation Scheme SEC Complaint |
| LR-23952 | Sep. 29, 2017 | SEC Charges Technology Company Insider with Tipping Family Members Ahead of Acquisition SEC Complaint |
| LR-23950 | Sep. 29, 2017 | SEC Charges Stock Promoter With Fraudulent Manipulation Scheme SEC Complaint |
| LR-23948 | Sep. 28, 2017 | SEC Obtains Final Judgment Against Former CFO in $1.1 Million Insider Trading Scheme |
| 2017-177 | Sep. 26, 2017 | Stock Market Analyst Barred for Illegally Cashing In On His Research Reports |
| 2017-173 | Sep. 22, 2017 | SEC Suspends Trading in Company Purporting Involvement in Hurricane Harvey Relief Efforts |
| 2017-168 | Sep. 20, 2017 | CEO Charged With Using Secret Accounts for Insider Trading in Company Stock SEC Complaint |
| 34-81639 | Sep. 15, 2017 | Rocky Mountain Ayres, Inc. Order |
| 2017-151 | Aug. 31, 2017 | Former Pharma Company Accountant, Three Others Charged With Insider Trading |
| 34-81481 | Aug. 24, 2017 | American Security Resources Corp. |
| 34-81474 | Aug. 23, 2017 | First Bitcoin Capital Corp. |
| 2017-143 | Aug. 16, 2017 | SEC Uncovers Wide-Reaching Insider Trading Scheme SEC Complaint |
| LR-23901 | Aug. 11, 2017 | SEC Charges Four Individuals with Insider Trading in Stock of International Rectifier Corporation SEC Complaint |
| 34-81367 | Aug. 9, 2017 | CIAO Group, Inc. Order |
| LR-23898 | Aug. 8, 2017 | Court Enters Final Judgments Against Investment Banker and Plumber Charged With Insider Trading SEC Complaint |
| 34-81314 | Aug. 3, 2017 | Strategic Global Investments, Inc. |
| 2017-137 | Aug. 2, 2017 | Overseas Stock Manipulator Settles SEC Charges SEC Complaint |
| Press Release | July 20, 2017 | Six Defendants Charged in Expanded Securities Fraud Conspiracy |
| LR-23881 | July 19, 2017 | SEC Files Fraud Charges Against Alleged Market Manipulators SEC Complaint |
| 34-81160-s | July 18, 2017 | SEC Charges Former IT Administrator With Insider Trading In Fingerprint Sensor Technology Company Acquired By Apple |
| 2017-125 | July 12, 2017 | SEC Files Insider Trading Charges Against Research Scientist Aiming to Avoid SEC Detection SEC Complaint |
| 2017-124 | July 12, 2017 | SEC Announces Charges in Massive Telemarketing Boiler Room Scheme Targeting Seniors SEC Complaint |
| LR-23877 | July 11, 2017 | SEC Charges Owner of Convenience Store in Louisiana with Insider Trading SEC Complaint |
| 2017-125 | July 12, 2017 | SEC Files Insider Trading Charges Against Research Scientist Aiming to Avoid SEC Detection SEC Complaint |
| 34-81104 | July 7, 2017 | China Gewang Biotechnology, Inc. |
| 34-81036 | June 27, 2017 | Environmental Packaging Technologies Holdings, Inc. |
| LR-23864 | June 21, 2017 | SEC Files Fraud Charges Against Stock Promoters in Market Manipulation Scheme SEC Complaint |
| 34-80986 | June 20, 2017 | Axiom Holdings, Inc. |
| LR-23854 | June 7, 2017 | SEC Charges Owner of Consulting Company in Louisiana With Insider Trading SEC Complaint |
| 34-80737 | May 19, 2017 | Eco Science Solutions, Inc. |
| 34-80667 | May 11, 2017 | Global Quest, Ltd. |
| 2017-100 | May 11, 2017 | Law Firm Partner and Neighbor Charged in $1 Million Insider Trading Scheme SEC Complaint |
| LR-23831 | May 11, 2017 | Court Orders Continuing Asset Freeze of $1.2 Million In Assets From Two Chinese Citizens For Illegally Selling Penny Stock Shares |
| LR-23830 | May 11, 2017 | SEC Names Additional Defendants in the Nonko Trading Fraud Case SEC Complaint |
| LR-23826 | May 9, 2017 | Default Judgments Entered Against All Defendants In Law Firm Hacking Case |
| 34-80600 | May 4, 2017 | Valmie Resources, Inc. |
| Press Release | May 2, 2017 | Five Additional Defendants Charged in Securities Fraud Conspiracy |
| LR-23821 | May 1, 2017 | SEC Freezes $1.2 Million In Assets From Two Chinese Citizens For Illegally Selling Penny Stock Shares SEC Complaint |
| 2017-83 | Apr. 24, 2017 | Investment Bank VP Charged With Insider Trading SEC Complaint |
| 2017-80 | Apr. 14, 2017 | SEC Freezes Brokerage Accounts Behind Alleged Insider Trading SEC Complaint |
| 34-80435 | Apr. 11, 2017 | Sunshine Capital, Inc. |
| Press Release | Apr. 7, 2017 | William T. “Billy” Walters Convicted In Manhattan Federal Court Of Insider Trading |
| 34-80368 | Apr. 4, 2017 | Immage Biotherapeutics Corp. |
| 34-80367 | Apr. 4, 2017 | AgriEuro Corp. |
| 34-80366 | Apr. 4, 2017 | eMedia Group, Inc |
| LR-23797 | Apr. 3 2017 | Court Orders Boston Area Resident to Pay Over $590,000 in Insider Trading Action SEC Complaint |
| 2017-71 | Mar. 27, 2017 | SEC Halts Boiler Room Scheme Involving State Lottery Tickets |
| LR-23789 | Mar. 24 2017 | SEC Obtains Asset Freeze in Suspected Insider Trading on Mobileye N.V. Acquisition SEC Complaint |
| LR-23784 | Mar. 23, 2017 | SEC Charges Virginia Man with Insider Trading SEC Complaint |
| LR-23783 | Mar. 20, 2017 | Court Enters Final Judgments Against Two Rhode Island Men Charged With Insider Trading |
| 2017-66 | Mar. 14, 2017 | Auditor Charged With Insider Trading on Client’s Nonpublic Information |
| 2017-62 | Mar. 9, 2017 | SEC Charges Marijuana-Related Company and Executives With Touting Bogus Revenues SEC Complaint |
| LR-23760 | Feb. 28, 2017 |
SEC Freezes Assets of Unknown Traders in Supsected Insider Trading Ahead of Fortress Acquisition |
| LR-23757 | Feb. 22, 2017 |
Former Investment Banker Sentenced to Three Years in Prison for Insider Trading |
| 2017-44 | Feb. 10, 2017 | SEC Charges Chinese Citizens Who Reaped Massive Profits From Insider Trading on Comcast-Dreamworks Acquisition SEC Complaint |
| LR-23737 | Feb. 1, 2017 |
SEC Charges Patric Ken Baccam with Fraudulent Offering and Sale of Securities |
| LR-23736 | Feb. 1, 2017 |
Market Maker Settles Charges in Fraudulent Pump-and Dump Scheme |
| LR-23730 | Jan. 27, 2017 |
Christopher R. Esposito, et al. |
| Press Release | Jan. 25, 2017 |
Owner of Offshore Brokerage Firm Sentenced to Prison for Role in International Money Laundering |
| LR-23719 | Jan. 13, 2017 |
Gregg R. Mulholland |
| LR-23711 | Dec. 27, 2016 |
Chinese Traders Charged with Trading On Hacked Nonpublic Information Stolen from Two New York-Based Law Firms Marks First Time SEC Charges Hacking into Law Firm Computer Networks |
| LR-23703 | Dec. 20, 2016 | SEC Charges Career Microcap Shell Promoter |
| 2016-265 | Dec. 16, 2016 | SEC Charges Gatekeepers in Microcap Frauds |
| 2016-256 | Dec. 5, 2016 | IT Specialist Settles Charges of Insider Trading on Hacked Nonpublic Information |
| 2016-222 | Oct. 21, 2016 | SEC Charges Board Member With Insider Trading During and After Board Meeting |
| 2016-214 | Oct. 13, 2016 | Hedge Fund Firm and Supervisor Charged With Failing to Prevent Insider Trading |
| LR-23667 | Sep. 30, 2016 | Stockbroker in Post-It Note Insider Trading Case Sentenced to 36 Months in Prison |
| LR-23666 | Sep. 30, 2016 | SEC Charges Alleged Penny Stock Manipulators |
| LR-23665 | Sep. 30, 2016 | SEC Announces Fraud Charges Against Colorado Company Focused On the Marijuana Industry |
| LR-23662 | Sep. 29, 2016 | Biotech Employee Charged with Insider Trading Ahead of Company's Announcements About Breast Cancer Drug SEC Complaint |
| 2016-205 | Sep. 29, 2016 | Biotech Employee Charged With Insider Trading Ahead of Company’s Announcements About Breast Cancer Drug SEC Complaint |
| 2016-198 | Sep. 28, 2016 | SEC Files Insider Trading Charges Against Peruvian Traders Using Overseas Accounts SEC Complaint |
| 34-78937-s | Sep. 26, 2016 | SEC Charges Four Individuals with Insider Trading in Pharmaceutical Company Stock Prior to Acquisition Announcement |
| 2016-193 | Sep. 26, 2016 | SEC Charges CEO and Boiler Room Operator With Fraud SEC Complaint |
| LR-23650 | Sep. 21, 2016 | Middleman in Post-It Note Insider Trading Case Sentenced to a Year and a Day in Prison |
| 2016-189 | Sep. 21, 2016 | SEC Charges Hedge Fund Manager Leon Cooperman With Insider Trading SEC Complaint |
| LR-23646 | Sep. 14, 2016 | Source in Post-It Note Insider Trading Case Sentenced to 46 months in Prison |
| 2016-178 | Sep. 6, 2016 | SEC Charges CEO and Paid Promoter With Fraudulently Promoting Stock of Las Vegas Health Products Company SEC Complaint |
| 34-78691 | Aug. 26, 2016 | MarilynJean Interactive Inc. |
| LR-23622 | Aug. 22, 2016 | SEC Charges Michael Andre Jones With Fraudulent Offering and Sales of Unregistered Securities SEC Complaint |
| News Release | Aug. 17, 2016 | Managing Director of Investment Bank Found Guilty of Insider Trading Charges |
| 34-78570 | Aug. 15, 2016 | Neuromama, Ltd. |
| LR-23618 | Aug. 12, 2016 | SEC Charges Florida-Based Company and its Former CEO and CFO With Fraud SEC Complaint |
| 2016-160 | Aug. 11, 2016 | SEC Charges Stockbroker and Friend With Insider Trading SEC Complaint |
| 2016-156 | Aug. 4, 2016 | SEC Charges Cardiologist With Insider Trading on Confidential Drug Trial Developments SEC Complaint |
| LR-23593 | Jul. 7, 2016 | Thomas W. Avent, Jr., Raymond J. Pirrello, Jr., and Lawrence J. Penna SEC Complaint |
| LR-23586 | Jun. 29, 2016 | Andrew F. Kerr SEC Complaint |
| News Release | Jun. 28, 2016 | Caroline Meyers sentenced to two years for role in “pump-and-dump” scheme |
| 2016-121 | Jun. 16, 2016 | Software Executive and Three Friends Charged With Insider Trading SEC Complaint |
| 2016-119 | Jun. 15, 2016 | Hedge Fund Managers and Former Government Official Charged in $32 Million Insider Trading Scheme |
| 34-78059 | Jun. 14, 2016 | Enterprise Energy, Inc. |
| 2016-115 | Jun. 9, 2016 | Consultant to Chinese Private Equity Firms Settles Insider Trading Charges |
| LR-23560 | Jun. 7, 2016 | Kingdom Legacy General Partner, LLC and Mark C. Northrop SEC Complaint |
| 2016-108 | Jun. 3, 2016 | Childhood Friends Charged With Insider Trading in Pharmaceutical Stocks |
| 2016-99 | May. 31, 2016 | SEC Halts Ponzi Scheme Aimed at Middle Class |
| 2016-96 | May. 31, 2016 | Investment Banker and Plumber Charged With Insider Trading |
| LR-23545 | May. 26, 2016 | Christopher R. Esposito, et al. SEC Complaint |
| 34-77870 | May. 20, 2016 | NuTech Energy Resources, Inc. |
| Press Release | May. 19, 2016 | William T. "Billy" Walters Charged In Manhattan Federal Court With Insider Trading |
| 2016-92 | May. 19, 2016 | SEC Announces Insider Trading Charges in Case Involving Sports Gambler and Board Member |
| 34-77783 | May. 9, 2016 | Midwest Oil and Gas, Inc. |
| LR-23527 | May. 3, 2016 | George A. Moore III, et al. |
| 2016-80 | May. 3, 2016 | SEC and Law Enforcement Partners Crack Stock Promotion and Kickback Schemes |
| 2016-79 | May. 2, 2016 | Silicon Valley Executive Settles Insider Trading Charges |
| LR-23526 | Apr. 26, 2016 | Asher Z. Zwebner, and Luke C. Zouvas, et al. |
| 2016-67 | Apr. 13, 2016 | SEC: Research Analyst Is Insider Trading in Mother’s Brokerage Account |
| LR-23511 | Apr. 7, 2016 | David Aubel and Robert Raffa |
| LR-23506 | Mar. 30, 2016 | Daniel Rivera, et al. SEC Complaint |
| LR-23504 | Mar. 29, 2016 | Tobin Smith, et al. SEC Complaint |
| LR-23496 | Mar. 23, 2016 | Guy Gentile SEC Complaint |
| LR-23491 | Mar. 16, 2016 | Yue Han, et al. |
| 2016-53 | Mar. 14, 2016 | SEC Charges Microcap Company CEO for Touting Bogus “Clean Energy” Contracts With Foreign Governments |
| LR-23474 | Feb. 24, 2016 | Steven Fishoff, et al. |
| 2015-290 | Dec. 28, 2015 | Traders in China and Hong Kong Paying $920,000 to Settle Insider Trading Case |
| 2015-286 | Dec. 21, 2015 | SEC Charges Financial Advisor in Market Manipulation Case |
| 2015-282 | Dec. 17, 2015 | SEC Charges Martin Shkreli With Fraud |
| 2015-279 | Dec. 15, 2015 | SEC Files Charges in Multi-Million Dollar Market Manipulation |
| 2015-267 | Nov. 25, 2015 | Former Goldman Employee Charged With Insider Trading Before Mergers |
| LR-23408 | Nov. 17, 2015 | Steven C. Watson |
| 2015-259 | Nov. 17, 2015 | SEC Charges Pump-and-Dump in Marley Coffee Stock |
| LR-23403 | Nov. 10, 2015 | Zhichen Zhou and Yannan Liu |
| LR-23398 | Nov. 2, 2015 | Vlad B. Spivak, et al. |
| LR-23391 | Oct. 23, 2015 | Vladimir Eydelman |
| News Release | Oct. 15, 2015 | Stock promoters admit to violating Alberta securities laws |
| LR-23386 | Oct. 9, 2015 | Andrew Farmer, et al. |
| LR-23385 | Oct. 9, 2015 | Francis J. van Steenberge and Nicolas Zanen |
| LR-23380 | Oct. 7, 2015 | Oscar Wu |
| News Release | Sept. 29, 2015 | Joseph Bucci sentenced to 18 months for role in “pump and dump” scheme |
| 2015-214 | Sept. 28, 2015 | Credit Suisse to Pay $4.25 Million and Admits to Providing Deficient “Blue Sheet” Trading Data |
| 2015-213 | Sept. 28, 2015 | SEC Charges Five With Insider Trading, Including Two Attorneys and an Accountant |
| LR-23364 | Sep. 24, 2015 | Morando Berrettini, et al. |
| 2015-205 | Sept. 23, 2015 | SEC Charges Consultant and Friend With Insider Trading in Advance of P.F. Chang’s Merger |
| 2015-199 | Sept. 21, 2015 | SEC Charges Two Men in Stock Manipulation Scheme |
| LR-23349 | Sep. 16, 2015 | 8000, Inc., Jonathan E. Bryant, Thomas J. Kelly, and Carl N. Duncan, Esq. |
| 2015-185 | Sep. 9, 2015 | SEC Charges Father and Son and Friend With Insider Trading |
| 34-75841 | Sep. 4, 2015 | SEC Suspends Trading in Advanced Lighting Solutions, Inc. |
| LR-23333 | Sep. 3, 2015 | A.L. Waters Capital, LLC, et al. |
| 2015-163 | Aug. 11, 2015 | SEC Charges 32 Defendants in Scheme to Trade on Hacked News Releases |
| 2015-157 | July 31, 2015 | SEC Charges Man With Microcap Fraud Involving Shares of Cynk Technology Corp. |
| 2015-152 | July 21, 2015 | SEC Charges Three Penny Stock Promoters Behind Pump-and-Dump Schemes |
| LR-23302 | July 13, 2015 | Frank Tamayo |
| LR-23298 | July 6, 2015 | Luca International Group, LLC, et al. |
| 2015-129 | June 23, 2015 | SEC Charges Microcap Promoter With Illegally Selling Penny Stock Shares |
| 2015-128 | June 23, 2015 | SEC Obtains Asset Freeze Against China-Based Trader for Suspicious Activity Last Week |
| 2015-119 | June 15, 2015 | Swiss Trader to Pay $2.8 Million to Settle Insider Trading Charges |
| 34-75169 | June 15, 2015 | Joymain International Development Group, Inc. See also Order |
| 2015-116 | June 9, 2015 | SEC Charges Biotech Employee, Two Stockbrokers With Insider Trading on Nonpublic Information About Pharmaceutical Trials and Merger |
| 2015-115 | June 9, 2015 | Trader to Pay $1 Million for Short Selling Violations |
| LR-23278 | June 8, 2015 | Anthony Andrade, et al. SEC Complaint |
| 2015-107 | June 3, 2015 | SEC Charges Four With Insider Trading Ahead of Secondary Offerings |
| 2015-104 | May 28, 2015 | SEC Charges Two Stock Promoters With Conducting Market Manipulation Schemes |
| 2015-100 | May 26, 2015 | SEC Charges New York Lawyer and Two Promoters With Market Manipulation |
| 2015-90 | May 14, 2015 | SEC Charges Father and Son in $1.1 Million Insider Trading Scheme |
| LR-23248 | April 28, 2015 | Frank Perkins Hixon, Jr., et al. |
| 2015-68 | April 16, 2015 | SEC Charges New York-Based Financial Advisor With Stealing $20 Million From Customers |
| 2015-56 | April 2, 2015 | SEC Charges Friends With Insider Trading on Acquisition of Cooper Tire |
| 34-74550 | Mar. 20, 2015 | ChitrChatr Communications Inc. See also Order |
| Press Release | Mar. 12, 2015 | Former Ocala Area Man Arrested for Investment Fraud |
| 34-74428 | Mar. 4, 2015 | Spriza, Inc. See also Order |
| 2015-37 | Feb. 19, 2015 | SEC Charges Brothers-in-Law in Louisiana With Insider Trading |
| Press Release | Feb. 13, 2015 | Former Wells Fargo Investment Banker And Three Conpsirators Sentenced For Insider Trading Conspiracy |
| LR-23195 | Feb. 11, 2015 | Caledonian Bank Ltd., et al. |
| 2015-29 | Feb. 11, 2015 | SEC Announces Charges Against Atlanta Man Accused of Insider Trading in Advance of Tender Offer |
| 2015-23 | Feb. 5, 2015 | SEC Charges Four in California Insider Trading Ring |
| LR-23187 | Feb. 3, 2015 | Joel J. Epstein |
| 34-73841 | Dec. 16, 2014 | American Heritage International Inc. See also Order |
| 2014-282 | Dec. 16, 2014 | SEC Announces Charges Against Owner Of Equity Research Firm Accused Of Manipulative Trading |
| LR-23153 | Dec. 9, 2014 | George H. Holley, et al. |
| LR-23150 | Dec. 5, 2014 | J. Patrick O'Neill and Robert H. Bray |
| 2014-270 | Dec. 4, 2014 | SEC Charges Montana Man in Pump-and-Dump Scheme Involving Virginia-Based Penny Stock Company |
| LR-23142 | Nov. 25, 2014 | D. Michael Donnelly |
| 34-73650 | Nov. 20, 2014 | Bravo Enterprises Ltd., et al. See also Order |
| 2014-256 | Nov. 17, 2014 | SEC Charges Three Penny Stock Promoters Behind Pump-and-Dump Schemes |
| 2014-250 | Nov. 6, 2014 | SEC Charges California Lawyer and Two Massachusetts Men Behind Scheme to Manipulate Stock of Sports Ticket Broker |
| 2014-247 | Nov. 3, 2014 | SEC Charges Two Canadian Citizens With Penny Stock Fraud Involving Tennessee Coal Mining Company |
| 2014-238 | Oct. 24, 2014 | SEC Charges New Jersey Man in Insider Trading Case Involving Pharmaceutical Companies |
| 2014-227 | Oct. 14, 2014 | SEC Announces Insider Trading Charges Against Former Financial Analyst at Pharmaceutical Company |
| 34-73274 | Oct. 1, 2014 | Nudg Media Inc. See also Order |
| 2014-219 | Sept. 29, 2014 | SEC Charges Two Florida Men With Defrauding Investors in Purported Television Network |
| 2014-215 | Sept. 25, 2014 | SEC Suspends Trading in Nine Penny Stocks in Ongoing Initiative to Combat Microcap Fraud |
| 2014-204 | Sept. 19, 2014 | SEC Charges Brooklyn Man for Facilitating Insider Trading Scheme Via Post-It Notes at Grand Central Terminal |
| 2014-202 | Sept. 18, 2014 | SEC Charges Eight for Roles in Widespread Pump-and-Dump Scheme Involving California-Based Microcap Company |
| 2014-198 | Sept. 16, 2014 | SEC Obtains Asset Freeze Against Company in Turks and Caicos Islands Behind South Florida-Based Ponzi Scheme |
| 2014-197 | Sept. 16, 2014 | SEC Charges IT Employee at Law Firm With Insider Trading Ahead of Merger Announcements |
| 2014-175 | Aug. 26, 2014 | SEC Charges Investor Relations Firm Executive With Insider Trading Ahead of News Announcements By Clients |
| 2014-169 | Aug. 18, 2014 | SEC Charges Former Bank Executive and Friend With Insider Trading Ahead of Acquisition |
| 2014-168 | Aug. 15, 2014 | SEC Announces Charges in Houston-Based Sc |