Neil R. Cole

U.S. SECURITIES AND EXCHANGE COMMISSION 

Litigation Release No. 26547/ May 4, 2026 

Securities and Exchange Commission v. Neil R. Cole, No. 19-cv-11148 (S.D.N.Y filed Dec. 5, 2019) 

SEC Announces Dismissal of Civil Enforcement Action Against Neil R. Cole

On May 4, 2026, the U.S. Securities and Exchange Commission filed a notice of voluntary dismissal in connection with the Commission’s civil enforcement action against Neil R. Cole.

As stated in the notice of dismissal, “The Commission’s decision to seek dismissal of this enforcement action is an exercise of its discretion and does not necessarily reflect the Commission’s position on any other case.”