Wednesday, October 7, 2026
Financial News
Category

SEC Enforcement

55 posts with links to original reporting.

DateSectionHeadlineSource
Oct 6 SEC Enforcement SEC Seeks $3 Million Judgment and Permanent Bars Against Former Western Asset Co-CIO Ken Leech Litigation Releases ▼ Oct 6 SEC Enforcement SEC Seeks $3 Million Judgment Against Ex-Western Asset Co-CIO Ken Leech Press Releases Oct 2 SEC Enforcement SEC Charges Former Global Tech CEO David Reichman in Alleged Share Scheme Litigation Releases ▼ Oct 1 SEC Enforcement SEC Litigation Release No. 26663 Names Thomas J. Moore III, Details Unavailable Litigation Releases Sep 30 SEC Enforcement SEC Charges Mukesh Asudani With Insider Trading Before Supernus Adamas Deal Litigation Releases ▼ Sep 30 SEC Enforcement SEC Settles GigaMedia Access Fraud Case With Robert Bernardi and Sunil Chandra Litigation Releases Sep 30 SEC Enforcement SEC Wins $5.74 Million Judgments Against Three BitConnect Promoters Litigation Releases Sep 30 SEC Enforcement SEC Charges Meyer Global Management, CEO in SpaceX Fund Fraud Case Litigation Releases ▼ Sep 30 SEC Enforcement SEC Charges Dinelli and Frankel in $8.7 Million Veteran-Targeted Fraud Litigation Releases ▼ Sep 30 SEC Enforcement SEC Charges Meyer Global and CEO in SpaceX Pre-IPO Fund Fraud Case Press Releases ▼ Sep 30 SEC Enforcement Travel + Leisure Settles SEC Loan Portfolio Disclosure Case for $975,000 Litigation Releases ▼ Sep 30 SEC Enforcement SEC Charges Lamar D. Fletcher in Alleged $4.25 Million Real Estate Offering Fraud Litigation Releases ▼ Sep 30 SEC Enforcement SEC Charges Dinelli and Frankel in Alleged $8.7 Million Veterans Fraud Press Releases ▼ Sep 29 SEC Enforcement SEC Settles $2.9 Million Crowdfunding Case Against Above: Space Executives Litigation Releases ▼ Sep 29 SEC Enforcement SEC Charges Cryptoaiml and TSAI Entities in $15.3 Million AI Trading Frauds Litigation Releases ▼ Sep 29 SEC Enforcement SEC Adds Chris Farrant to Insider Trading Case, Alleges $25,860 Profit Litigation Releases ▼ Sep 29 SEC Enforcement SEC Settles Cheryl Kramer Insider Trading Case Tied to Sage Therapeutics FDA Denial Litigation Releases ▼ Sep 29 SEC Enforcement SEC Charges Cryptoaiml and TSAI in $15 Million WhatsApp AI Fraud Press Releases ▼ Sep 28 SEC Enforcement SEC Sues 5G Funding and Jacob Garfinkel Over Alleged $4.5 Million Fraud Litigation Releases ▼ Sep 28 SEC Enforcement SEC Charges Six in $500,000 Cummins Meritor Insider Trading Case Litigation Releases ▼ Sep 28 SEC Enforcement SEC Settles Insider Trading Case Against Former Vital Farms Controller Litigation Releases ▼ Sep 28 SEC Enforcement SEC Fines Zoe Financial $450,000 Over Adviser Referral Conflicts Press Releases ▼ Sep 25 SEC Enforcement SEC Alleges $127 Million Truck Leasing Ponzi Scheme by Kristopher Lunsford Litigation Releases ▼ Sep 24 SEC Enforcement SEC Seeks Final Judgment Against Former HeadSpin CEO in Alleged $80 Million Fraud Litigation Releases ▼ Sep 23 SEC Enforcement SEC Charges Michael Williams and CMI Capital in Alleged $860,000 Scheme Targeting Officers Litigation Releases ▼ Sep 23 SEC Enforcement SEC Charges CMI Capital and Michael Williams in Alleged $860,000 Fraud Press Releases ▼ Sep 21 SEC Enforcement PetIQ Insider Trading Case: SEC Alleges $299,000 Profit Before Bansk Deal Litigation Releases ▼ Sep 21 SEC Enforcement SEC Charges Wavemark Capital and Michael Ayala Over Alleged $9.6 Million Mobile Home Fraud Litigation Releases ▼ Sep 18 SEC Enforcement SEC Charges Ellen Polcari in Alleged $1.28 Million Private Fund Scheme Litigation Releases ▼ Sep 16 SEC Enforcement uBiome Co-Founders Settle SEC Case for $125,000 Each, Face Three-Year Bars Litigation Releases ▼ Sep 15 SEC Enforcement SEC Settles Jon P. Kipp Funko Insider Trading Case for $1.07 Million Litigation Releases ▼ Sep 14 SEC Enforcement SEC Charges Ernest Boateng and Firms in Alleged $16 Million Ponzi Scheme Litigation Releases ▼ Sep 14 SEC Enforcement SEC Alleges $64 Million Offering Fraud by Croft, Frost and Dira Litigation Releases ▼ Sep 11 SEC Enforcement SEC Charges Adam B. Rundle in Alleged $1.5 Million Robinvest SAFE Fraud Litigation Releases ▼ Sep 11 SEC Enforcement SEC Wins $1.18 Million Judgment Against Invesco Alpha Over Form ADV Claims Litigation Releases ▼ Sep 10 SEC Enforcement SEC Finalizes Doximity Insider Trading Case Against Paul Jorgensen Litigation Releases ▼ Sep 10 SEC Enforcement SEC Charges Ernest Ossei Boateng in Alleged $16 Million Ponzi Scheme Press Releases ▼ Sep 9 SEC Enforcement SEC Wins Final Judgment Against Justin Chen in $2.2 Million Insider Trading Case Litigation Releases ▼ Sep 8 SEC Enforcement SEC Settles With Bonanza Global Co-Founder Over Alleged $5 Million Ponzi Scheme Litigation Releases ▼ Aug 27 SEC Enforcement SEC Sues 38 Entities Over False Forms ADV and Fake Adviser Legitimacy Litigation Releases ▼ Aug 27 SEC Enforcement SEC Charges 38 Entities Over False Form ADV Filings Targeting Retail Investors Press Releases ▼ Aug 26 SEC Enforcement SEC Dismisses Stephen E. Buyer Civil Enforcement Case With Prejudice Litigation Releases Aug 26 SEC Enforcement SEC Wins Modified $458,075.82 Judgment Against Evarist C. Amah Litigation Releases ▼ Aug 26 SEC Enforcement SEC Settles GenesisAI Fundraising Case Over $5.3 Million Raised Litigation Releases ▼ Aug 26 SEC Enforcement SEC Settles $1.4 Million Free-Riding Case Against Mayur Baviskar Litigation Releases ▼ Aug 21 SEC Enforcement SEC Seeks Final Judgments Against Live Ventures CEO and Former CFO Litigation Releases ▼ Aug 21 SEC Enforcement SEC Seeks Subpoena Enforcement in $42.7 Million 1859 Oil Offering Probe Litigation Releases ▼ Aug 21 SEC Enforcement SEC Charges Former Trade Desk Finance Director Over Earnings Trades Litigation Releases ▼ Aug 21 SEC Enforcement SEC Settlement Orders Brian Keasberry to Pay $87,864, Imposes Penny Stock Bar Litigation Releases Aug 18 SEC Enforcement SEC Charges Tricolor Executives in $1.9 Billion ABS Fraud Case Press Releases ▼ Aug 17 SEC Enforcement SEC Charges Andrew Spaventa Entities in Alleged $74 Million Pre-IPO Fraud Litigation Releases ▼ Aug 14 SEC Enforcement SEC Charges Andrew Spaventa, Three Entities in Alleged $74 Million Pre-IPO Scam Press Releases ▼ Aug 13 SEC Enforcement SEC Charges Toms River Trio Over Alleged $47 Million Affinity Fraud Litigation Releases ▼ Aug 13 SEC Enforcement SEC Charges Toms River Trio in Alleged $47 Million Affinity Fraud Press Releases ▼ Aug 10 SEC Enforcement SEC Charges Adit Ventures and CEO Over Alleged SpaceX, Klarna Fund Fraud Press Releases ▼