SEC Charge Archives

Andrew Left of Citron Research Indicted by the DOJ and Charged by the SEC

July 29, 2024

Important Changes Are in Store for the SEC and Other Federal Agencies

July 3, 2024

Court denies James L. Koutoulas’ petition to quash SEC subpoena

June 13, 2024

SEC Charges The Cheesecake Factory For Misleading COVID-19 Disclosures

December 6, 2020

On Friday, the Securities and Exchange Commission (the "SEC") announced that it had settled charges against The Cheesecake Factory Incorporated (CAKE) for…

SEC Files Charges in Ponzi Scheme Targeting Hispanic Community

January 29, 2020

Blockchain of Things Inc. (BCOT) Charged by SEC for Unregistered ICO

January 17, 2020

Ulrick Debo and Kenneth Ciapala Charged By DOJ and SEC

January 13, 2020

SEC Charges Rishi Shah, Shradha Agarwal, Brad Purdy, Ashik Desai,and Outcome Health

December 4, 2019

Knightsbridge Private Partners Accused of Selling Fake Shares of Stock

November 28, 2019

Supreme Court Adds Securities Law Case against Charles Liu and Xin Wang to Merits Docket

November 26, 2019

SEC Charges Christopher Dougherty, an Investment Adviser with Running a Ponzi Scheme

May 20, 2019

SEC Charges Truckload Freight Company with Accounting Fraud

May 17, 2019

Former Broker Zachary Berkey Ordered to Pay SEC Disgorgement and Penalties

May 15, 2019

SEC Charges Eric Lyons For Misappropriation and Fraudulent Securities Offering

May 13, 2019

SEC Charges David Loflin in Greenway Design Pump-and-Dump

May 10, 2019

SEC Charges Yuh-Yue Chen, a California Engineer with Insider Trading

May 6, 2019

SEC Obtains Final Judgments Against Joseph Meli and Parties involved in Ticket Resale Scams

May 3, 2019

SEC Charges Woodbridge Directors, Ivan Acevedo and Dane Roseman with Fraud

May 1, 2019

SEC Charges Arif Naqvi and Dubai-Based Advisory Firm

April 29, 2019

SEC Charges Investment Adviser, Gonzalo Ortiz with Securities Fraud

April 26, 2019

SEC Charges Fifteen Unregistered Brokers for Illegal Offering of Intertech Solutions

April 24, 2019

Can Finders Raise Money Q & A – Going Public Lawyers

March 2, 2019

Finders may become involved in various securities transactions including matters other than raising capital, including reverse mergers and Direct Public Offerings. A…