Enforcement Actions

March 21, 2025

Crypto Assets

Action Name Date Filed
SEC v. Cumberland DRW LLC 10/10/2024
SEC v. ZM Quant Investment Ltd., et al., SEC v. Gotbit Consulting LLC, a/k/a Gotbit Hedge Fund, et al., SEC v. CLS Global FZC LLC, et al., SEC v. Pham, Vy, a/k/a “msvy_crypto”, SEC v. Russell Armand, a/k/a “Saitamaguru1” 10/9/2024
In Re Galois Capital Mgmt 9/3/2024
SECv Plutus Lending, LLC d/b/a Abra 8/26/2024

SEC v. Tanner S. Adam, Jonathan L. Adam, Triten Financial Group, LLC and GCZ Global LLC

 8/26/2024
SEC v. NovaTech LTD et al. 8/12/2024
SEC v. Nader Al-Naji et al. 7/30/2024
Consensys Software Inc. 7/1/2024
SEC v. Geosyn Mining, LLC, et al. 4/24/2024
SEC v. Sanchez, et al.  3/14/2024
In the Matter of ShapeShift AG 3/5/2024
In the Matter of TradeStation Crypto, Inc. 2/7/2024
SEC v. Sewell and Rockwell Capital Management LLC 2/2/2024
SEC v. Lee, et al. 1/29/2024

In the Matter of BarnBridge DAO

In the Matter of Ward and Murray

 12/22/2023
SEC v. Kraken 11/20/2023
SEC v. Safemoon LLC, et al. 11/1/2023
SEC v. Woodbury and Holverson 9/20/2023

In the Matter of James Michael Wines

 9/20/2023
SEC v. Lufkin Advisors, LLC and Lufkin 9/19/2023
Stoner Cats 2, LLC 9/13/2023
Linus Financial, Inc. 9/7/2023
SEC v. Koski 9/1/2023
Impact Theory LLC 8/28/2023
SEC v. DeSalvo 8/23/2023
Tital Global Capital Management USA LLC 8/21/2023
SEC v. Crews 8/17/2023
SEC v. Hex et al. 7/31/2023
SEC v. Elbanna, Digital World, et al. 7/21/2023
Quantstamp 7/21/2023

SEC v. Celsius Network Limited

 7/13/2023
SEC v. Ichioka 6/22/2023
SEC v. Coinbase, Inc., et al. 6/6/2023
SEC v. Binance Holdings Limited, et al. 6/5/2023
In the Matter of Up, Global SEZC, et al.  4/28/2023
SEC v. Bittrex, Inc., et al. 4/17/2023
SEC v. Beaxy Digital, Ltd., et al. 3/29/2023

SEC v. Sun, et al.

In the Matter of Lohan

In the Matter of Mason

In the Matter of McCollum

In the Matter of Paul

In the Matter of Smith

In the Matter of Thiam

 3/22/2023
SEC v. Green United, LLC, et al. 3/8/2023
SEC v. Singh 2/28/2023
SEC v. BKCoin Management, LLC, et al. 2/23/2023
Pierce 2/17/2023
SEC v. Terraform Labs PTE Ltd and Kwon 2/16/2023
Payward Ventures, et al. (d/b/a Kraken) 2/9/2023
SEC v. Ryn and GexCrypto Corp. 2/7/2023
SEC v. Eisenberg 1/20/2023
Nexo Capital Inc. 1/19/2023
SEC v. Genesis Global Capital, LLC and Gemini Trust Company, LLC 1/12/2023
SEC v. Chandran, et al. 1/4/2023
SEC v. Ellison and Wang 12/21/2022
SEC v. Thor Technologies, Inc. and Chin; SEC v. Moravec 12/21/2022
SEC v. Da Silva, et al. 12/14/2022
SEC v. Bankman-Fried 12/13/2022

SEC v. Braga, et al.

11/4/2022
SEC v. Rounsville 11/3/2022
Kardashian 10/3/2022
SEC v. Chavez, et al. 10/3/2022
SEC v. Arbitrade Ltd., et al. 9/30/2022
SEC v. The Hydrogen Technology Corporation, et al. 9/28/2022
Sparkster, Ltd., et al. 9/19/2022
SEC v. Chicago Crypto Captial LLC, et al. 9/14/2022
SEC v. Dragonchain, Inc., et al. 8/16/2022
Bloom Protocol, LLC 8/9/2022
SEC v. Okhotnikov, et al. 8/1/2022
SEC v. Wahi, et al. 7/21/2022
SEC v. Chiang, et al. 4/28/2022
SEC v. Block Bits Capital, LLC, et al. 4/28/2022
SEC v. MCC International Corp., et al. 4/7/2022
SEC v. Barksdale, et al. 3/8/2022
BlockFi Lending LLC 2/14/2022
SEC v. Garcia 1/18/2022
SEC v. Crowd Machine, Inc., et al. 1/6/2022
SEC v. Auzins 12/2/2021
SEC v. Ginster 11/18/2021
GTV Media Group, Inc., et al. 9/13/2021
SEC v. Rivetz Corp., et al. 9/8/2021

SEC v. BitConnect, et al.

SEC v. Brown, et al.

9/1/2021

5/28/2021
Poloniex, LLC 8/9/2021
Blockchain Credit Partners d/b/a DeFi Money Market, et al. 8/6/2021
SEC v. Uulala, Inc., et al. 8/4/2021
Blotics Ltd., f/d/b/a Coinschedule Ltd. 7/14/2021
Loci, Inc., et al. 6/22/2021

SEC v. Hamid, et al.

SEC v. Manor, et al.

6/15/2021

1/17/2020
SEC v. Radjabli, et al. 6/11/2021
SEC v. LBRY, Inc. 3/29/2021
SEC v. Cutting 3/5/2021
SEC v. Coinseed, Inc., et al. 2/17/2021
SEC v. Krstic, et al. 2/1/2021
Wireline, Inc. 1/15/2021
Tierion, Inc. 12/23/2020
SEC v. Qin, et al. 12/22/2020
SEC v. Ripple Labs, Inc., et al. 12/22/2020
ShipChain, Inc. 12/21/2020
SEC v. Elmaani 12/9/2020
SEC v. McAfee, et al. 10/5/2020
Salt Blockchain Inc. 9/30/2020
SoluTech, Inc., et al. 9/25/2020
Unikrn, Inc. 9/15/2020
SEC v. FLiK, et al. 9/10/2020
SEC v. Millan, et al. 8/18/2020
Boon.Tech, et al. 8/13/2020
Plutus Financial Inc. d/b/a ABRA 7/13/2020
SEC v. NAC Foundation, LLC, et al. 6/25/2020
SEC v. High Street Capital Partners, LLC, et al. 6/16/2020
BitClave PTE Ltd. 5/28/2020
SEC v. Putnam, et al. 5/7/2020
SEC v. Dropil, Inc., et al. 4/23/2020
SEC v. Teshauter LLC, et al. 4/3/2020
SEC v. Meta 1 Coin Trust, et al. 3/20/2020
Steven Seagal 2/27/2020
Enigma MPC 2/19/2020
SEC v. Ackerman 2/11/2020
SEC v. Grybniak, et al. 1/21/2020
Blockchain of Things, Inc. 12/18/2019
SEC v. Eyal, et al. 12/11/2019
SEC v. Telegram Group Inc., et al. 10/11/2019
Block.one 9/30/2019
SEC v. Lucas 9/20/2019
SEC v. ICOBox, et al. 9/18/2019
SEC v. Bitqyck, Inc., et al. 8/29/2019
ICO Rating 8/20/2019
SimplyVital Health, Inc. 8/12/2019
SEC v. Middleton, et al.

8/12/2019

SEC v. Longfin Corp., et al.

SEC v. Longfin Corp., et al.

6/5/2019

4/6/2018
SEC v. Kik Interactive Inc. 6/4/2019
SEC v. Pacheco 5/22/2019
NextBlock Global Ltd. and Alex Tapscott 5/14/2019
SEC v. Natural Diamonds Investment Co., et al. 5/13/2019
Mutual Coin Fund LLC and Usman Majeed 4/1/2019
Gladius Network LLC 2/20/2019
CoinAlpha Advisors LLC 12/7/2018
Floyd Mayweather, Jr. 11/29/2018
Khaled Khaled ("DJ Khaled") 11/29/2018
Paragon Coin, Inc. 11/16/2018
CarrierEQ, Inc., d/b/a Airfox 11/16/2018
Zachary Coburn 11/8/2018
SEC v. Blockvest LLC, et al. 10/11/2018
SEC v. 1pool Ltd. a.k.a. 1Broker, et al. 9/27/2018
TokenLot LLC, Lenny Kugel, and Eli Lewitt 9/11/2018
Crypto Asset Management, LP and Timothy Enneking 9/11/2018
Tomahawk Exploration LLC and David T. Laurance 8/14/2018
SEC v. Jesky, et al. 7/2/2018
SEC v. Titanium Blockchain Infrastructure Services Inc., et al. 5/22/2018

SEC v. Sharma, et al.

SEC v. Sharma, et al.

4/20/2018

4/2/2018
SEC v. Montroll, et al. 2/21/2018

SEC v. AriseBank, et al.

Jared Rice Sr. and Stanley Ford

1/25/2018

12/11/2018
In re Munchee, Inc 12/11/2017
SEC v. PlexCorps, et al. 12/1/2017
SEC v. REcoin Group Foundation, LLC, et al. 9/29/2017
Report of Investigation Pursuant to Section 21(a) of the Securities Exchange Act of 1934: The DAO 7/25/2017
SEC v. Renwick Haddow, et al. 6/30/2017
In re Bitcoin Investment Trust and SecondMarket, Inc. 7/11/2016
SEC v. Garza, et al. 12/1/2015
In re Sand Hill Exchange, et al. 6/17/2015
In re BTC Trading, Corp. and Ethan Burnside 12/8/2014
In re Erik T. Voorhees 6/3/2014
SEC v. Shavers 7/23/2013

Account Intrusions

Action Name Date Filed
SEC v. Mohamed, et al. 8/15/2022
SEC v. Willner 10/30/2017
SEC v. Mustapha 6/22/2016
SEC v. Murmylyuk 4/17/2012
SEC v. Nagaicevs 1/26/2012

Hacking/Insider Trading

Action Name Date Filed
Olga Kuprina 2/8/2023
SEC v. Dishinger, et al. 8/15/2022
SEC v. Kliushin, et al. 12/20/2021
SEC v. Watson, et al. 7/9/2021
SEC v. Ieremenko, et al. 1/15/2019
SEC v. Hong, et al. 12/27/2016
SEC v. Ly 12/5/2016
SEC v. Zavodchiko, et al. 2/18/2016
SEC v. Dubovoy, et al. 8/11/2015

Market Manipulation/False Tweets/Fake Websites/Dark Web

Action Name Date Filed
SEC v. Murray, et al. 5/31/2024
SEC v. Patel 2/16/2023
SEC v. Parrino 9/28/2022
SEC v. Simmons 8/19/2022
SEC v. EmpiresX, et al. 6/30/2022
SEC v. Salandra 4/11/2022
SEC v. ten Cate 4/5/2022
SEC v. Giltman 1/5/2022
SEC v. Gallagher 10/26/2021
SEC v. Melnick 9/30/2021
SEC v. Trovias 7/9/2021
SEC v. Jones 3/18/2021
SEC v. Fassari 3/2/2021
SEC v. Ross 12/18/2020
SEC v. Sotnikov, et al. 3/13/2020
SEC v. Burns 7/11/2018
SEC v. Murray 5/19/2017
SEC v. Aly 5/24/2016
SEC v. Craig 11/6/2015
SEC v. PTG Capital Partners LTD, et al. 6/4/2015

Regulated Entities – Cybersecurity Controls and Safeguarding Customer Information

Action Name Date Filed
In re Equiniti Trust Company, LLC f/k/a American Stock Transfer & Trust Company, LLC 8/20/2024
Intercontinental Exchange, Inc., et al. 5/22/2024
The Options Clearing Corporation 2/16/2023
Morgan Stanley Smith Barney LLC 9/20/2022
J.P Morgan Securities LLC; UBS Financial Services Inc.; TradeStation Securities, Inc. 7/27/2022
KMS Financial Services, Inc.; Cetera Advisor Networks LLC, et al.; Cambridge Investment Research, Inc., et al. 8/30/2021
GWFS Equities, Inc. 5/12/2021
Virtu Americas LLC (f/k/a KCG Americas LLC) 9/30/2019
The Options Clearing Corporation 9/4/2019
Voya Financial Advisors 9/26/2018
Morgan Stanley Smith Barney LLC 6/8/2016
RT Jones Capital Equities Management, Inc. 9/22/2015

Public Company Disclosure and Controls

Action Name Date Filed
SEC v. Silvergate Capital Corporation et al. 7/2/2024
R.R. Donnelley & Sons Co. 6/18/2024
SEC v. Solarwinds Corp. and Brown 10/30/2023
Blackbaud, Inc. 3/9/2023
NVIDIA Corporation 5/6/2022
Pearson plc 8/16/2021
First American Financial Corporation 6/14/2021
Report of Investigation Pursuant to Section 21(a) of the Securities Exchange Act of 1934: Certain Cyber-Related Frauds Perpetrated Against Public Companies and Related Internal Accounting Controls Requirements 10/16/2018
Altaba Inc., f/d/b/a Yahoo! Inc. 4/24/2018

Trading Suspensions

Action Name Date Filed
American CryptoFed DAO LLC 11/18/2022
American CryptoFed DAO LLC 11/10/2021
Long Blockchain Corp. 2/22/2021
Bitcoin Generation, Inc. 4/29/2019
American Retail Group, Inc. aka Simex, Inc. 10/22/2018
Bitcoin Tracker One and Ether Tracker One 9/9/2018
Evolution Blockchain Group Inc. 6/25/2018
IBITX Software Inc. 4/20/2018
HD View 360 Inc. 3/1/2018
Cherubim Interests, Inc. 2/16/2018
PDX Partners, Inc., 2/16/2018
Victura Construction Group, Inc., 2/16/2018
UBI Blockchain Internet, Ltd. 1/5/2018
The Crypto Co. 12/18/2017
In re Rocky Mountain Ayres, Inc. 9/15/2017
In re American Security Resources Corp. 8/24/2017
In re First Bitcoin Capital Corp. 8/23/2017
In re CIAO Group, Inc. 8/9/2017
In re Strategic Global Investments, Inc. 8/3/2017
In re Sunshine Capital, Inc. 4/11/2017
In re Imogo Mobile Technologies Corp. 2/19/2014

Last Reviewed or Updated: April 24, 2025