Regulatory Alerts
Broker Warnings & Licence Actions
A running timeline of what financial regulators are doing right now: public warnings, licence revocations and suspensions, fines, and clone-firm alerts. When a firm has a permanent trust profile, we link you straight to it on TrustFinance.
Showing 100 of 100 regulatory events
- Public warningSECHigh
SEC litigation release: Cary Edward Urich
Cary Edward Urich
- Public warningSECHigh
SEC litigation release: Bran Crudden and Transparent Equity Entrepreneurs, LLC
Bran Crudden and Transparent Equity Entrepreneurs, LLC
- Public warningSECHigh
SEC litigation release: BG Wealth Sharing Ltd and DSJ Exchange Pty Ltd
BG Wealth Sharing Ltd and DSJ Exchange Pty Ltd
- Public warningSECHigh
SEC litigation release: Jason R. Anderson; Blox Lending, LLC; Digital Licensing, Inc.; Schad Brannon; Roydon Nelson; and Business Funding Solutions, LLC, Relief Defendant.
Jason R. Anderson; Blox Lending, LLC; Digital Licensing, Inc.; Schad Brannon; Roydon Nelson; and Business Funding Solutions, LLC, Relief Defendant.
- Public warningSECHigh
SEC litigation release: Benjamin Conde
Benjamin Conde
- Public warningSEC
SEC litigation release: Siddhi Patel, as Administrator of the Estate of Chirayu Vijay Patel (Deceased)
Siddhi Patel, as Administrator of the Estate of Chirayu Vijay Patel (Deceased)
- Public warningSEC
SEC litigation release: Terrance P. Berland and David Michael Scalzo
Terrance P. Berland and David Michael Scalzo
- Public warningSEC
SEC litigation release: Nihat Cardak
Nihat Cardak
- Licence suspendedSEC
SEC trading suspension: TJGC Group Limited
TJGC Group Limited
- Public warningSEC
SEC litigation release: Matthew Brown and Matthew Brown Companies, LLC
Matthew Brown and Matthew Brown Companies, LLC
- Public warningSEC
SEC litigation release: William Sarris and Joseph Endoso
William Sarris and Joseph Endoso
- Public warningSEC
SEC litigation release: Jeremiah Silkowski and SQN Capital Management LLC
Jeremiah Silkowski and SQN Capital Management LLC
- Public warningSEC
SEC litigation release: Francis Biller; Raymond Dove; Chester Alvarez; Troy Gran-Brooks; Justin Plaizier; Shredderz International Corp.; Edward Clarke; Lia Patricia Sepulveda Salazar; and Edward Lopez Giraldo
Francis Biller; Raymond Dove; Chester Alvarez; Troy Gran-Brooks; Justin Plaizier; Shredderz International Corp.; Edward Clarke; Lia Patricia Sepulveda Salazar; and Edward Lopez Giraldo
- Public warningSEC
SEC litigation release: Darren J. Caris and Caris Investment Partners, Inc.
Darren J. Caris and Caris Investment Partners, Inc.
- Public warningSEC
SEC litigation release: Himanshu Jindal a/k/a Manish Jindal
Himanshu Jindal a/k/a Manish Jindal
- Public warningSEC
SEC litigation release: Robert D. Welsh and Caedrynn E. Conner
Robert D. Welsh and Caedrynn E. Conner
- Public warningSEC
SEC litigation release: Kalder Inc. and Gökçe Güven
Kalder Inc. and Gökçe Güven
- Public warningSEC
SEC litigation release: Stephen Kenneth Leech
Stephen Kenneth Leech
- Public warningSEC
SEC litigation release: David Reichman et al.
David Reichman et al.
- Public warningSEC
SEC litigation release: Thomas J. Moore, III
Thomas J. Moore, III
- Public warningSEC
SEC litigation release: Mukesh Asudani
Mukesh Asudani
- Public warningSEC
SEC litigation release: Robert Bernardi and Sunil Chandra
Robert Bernardi and Sunil Chandra
- Public warningSEC
SEC litigation release: Trevon Brown, Craig Grant, and Michael Noble
Trevon Brown, Craig Grant, and Michael Noble
- Public warningSEC
SEC litigation release: Owen E.H. Meyer; Meyer Global Management LLC
Owen E.H. Meyer; Meyer Global Management LLC
- Public warningSEC
SEC litigation release: Christopher Kenji Dinelli a/k/a Kenji Dinelli and Jacob David Frankel a/k/a Kobi Frankel
Christopher Kenji Dinelli a/k/a Kenji Dinelli and Jacob David Frankel a/k/a Kobi Frankel
- Public warningSEC
SEC litigation release: Travel + Leisure Co.
Travel + Leisure Co.
- Public warningSEC
SEC litigation release: Lamar D. Fletcher
Lamar D. Fletcher
- Public warningSEC
SEC litigation release: Timothy E. Alatorre, Rhonda D. Stevenson, and Above: Space Development Corporation f/k/a Orbital Assembly Corporation
Timothy E. Alatorre, Rhonda D. Stevenson, and Above: Space Development Corporation f/k/a Orbital Assembly Corporation
- Public warningSEC
SEC litigation release: Cryptoaiml Ltd.; Cryptoaiml Capital Foundation; TSAI Pro Ltd.; TSAI Capital Foundation
Cryptoaiml Ltd.; Cryptoaiml Capital Foundation; TSAI Pro Ltd.; TSAI Capital Foundation
- Public warningSEC
SEC litigation release: Chris Farrant
Chris Farrant
- Public warningSEC
SEC litigation release: Cheryl R. Kramer
Cheryl R. Kramer
- Public warningSEC
SEC litigation release: Jacob Garfinkel; 5G Funding LLC; Five G Funding LLC
Jacob Garfinkel; 5G Funding LLC; Five G Funding LLC
- Public warningSEC
SEC litigation release: Fan “Jocelyn” Yang; Jing Tian; Zijun Zhang; Shuchen Zhu; Chong Zhang; and Hanxiong Bo
Fan “Jocelyn” Yang; Jing Tian; Zijun Zhang; Shuchen Zhu; Chong Zhang; and Hanxiong Bo
- Public warningSEC
SEC litigation release: Lloyd Anderson Wilson, C.P.A.
Lloyd Anderson Wilson, C.P.A.
- Public warningSEC
SEC litigation release: Kristopher A. Lunsford; AKL Transport LLC; Southern Truck Leasing LLC
Kristopher A. Lunsford; AKL Transport LLC; Southern Truck Leasing LLC
- Public warningSEC
SEC litigation release: Manish Lachwani
Manish Lachwani
- Public warningSEC
SEC litigation release: Michael D. Williams and CMI Capital, LLC
Michael D. Williams and CMI Capital, LLC
- Public warningSEC
SEC litigation release: Lawrence Billimek and Alan Williams
Lawrence Billimek and Alan Williams
- Public warningSEC
SEC litigation release: Michael T. Christensen
Michael T. Christensen
- Public warningSEC
SEC litigation release: Michael Ayala; Wavemark Capital, LLC
Michael Ayala; Wavemark Capital, LLC
- Public warningSEC
SEC litigation release: Ellen Polcari
Ellen Polcari
- Public warningSEC
SEC litigation release: Jessica Richman and Zachary Apte
Jessica Richman and Zachary Apte
- Public warningSEC
SEC litigation release: Jon P. Kipp
Jon P. Kipp
- Public warningSEC
SEC litigation release: Ernest Ossei Boateng, Intercontinental Wealth Network, LLC, and I Wealth Network LP
Ernest Ossei Boateng, Intercontinental Wealth Network, LLC, and I Wealth Network LP
- Public warningSEC
SEC litigation release: Paul Thomas Croft, Jonathan David Frost, Matthew William Dira
Paul Thomas Croft, Jonathan David Frost, Matthew William Dira
- Public warningSEC
SEC litigation release: Adam B. Rundle
Adam B. Rundle
- Public warningSEC
SEC litigation release: Invesco Alpha Inc.
Invesco Alpha Inc.
- Public warningSEC
SEC litigation release: Paul W. Jorgensen
Paul W. Jorgensen
- Public warningSEC
SEC litigation release: Justin Chen
Justin Chen
- Public warningSEC
SEC litigation release: Francisco Javier Sarabia
Francisco Javier Sarabia
- Public warningSEC
SEC litigation release: Institutional Shareholder Services, Inc.
Institutional Shareholder Services, Inc.
- Public warningSEC
SEC litigation release: Parker Terrill Austin; Embarcadero Capital Advisors, Inc.
Parker Terrill Austin; Embarcadero Capital Advisors, Inc.
- Public warningSEC
SEC litigation release: Omar Dario Chavez
Omar Dario Chavez
- Public warningSEC
SEC litigation release: Trijya Vakil and Neeraj Visen
Trijya Vakil and Neeraj Visen
- Public warningSEC
SEC litigation release: Waldon Fenster
Waldon Fenster
- Public warningSEC
SEC litigation release: Mark D. Hanf and Hoai-Nam Chu Phan a/k/a Nam Phan
Mark D. Hanf and Hoai-Nam Chu Phan a/k/a Nam Phan
- Public warningSEC
SEC litigation release: Corey Ortiz
Corey Ortiz
- Public warningSEC
SEC litigation release: Mordechai Haim Ferder and Simba IL Holdings LLC, Defendants; Mordechai Haim Ferder and Edit Fintzi Ferder in Their Capacities as Trustees of the Haim Family Trust, TF 2021 Irrevocable Trust, and RF 2021 Irrevocable Trust, Relief Defendants
Mordechai Haim Ferder and Simba IL Holdings LLC, Defendants; Mordechai Haim Ferder and Edit Fintzi Ferder in Their Capacities as Trustees of the Haim Family Trust, TF 2021 Irrevocable Trust, and RF 2021 Irrevocable Trust, Relief Defendants
- Public warningSEC
SEC litigation release: David T. Gilchrist, Christopher Aaron Novinger, Rebecca Novinger
David T. Gilchrist, Christopher Aaron Novinger, Rebecca Novinger
- Public warningSEC
SEC litigation release: Ichcoin Tech Corp.
Ichcoin Tech Corp.
- Public warningSEC
SEC litigation release: False Forms ADV Filings
False Forms ADV Filings
- Public warningSEC
SEC litigation release: Stephen E. Buyer, et al.
Stephen E. Buyer, et al.
- Public warningSEC
SEC litigation release: Evarist C. Amah
Evarist C. Amah
- Public warningSEC
SEC litigation release: GenesisAI Corp. and Archil Cheishvili
GenesisAI Corp. and Archil Cheishvili
- Public warningSEC
SEC litigation release: Mayur Baviskar
Mayur Baviskar
- Public warningSEC
SEC litigation release: Gavin Wolfe; Jason Satsky, Defendants; and Evergreen Capital L.P., Evergreen Financial LLC, Empire Property Management LLC, GAW Holdings, LLC, SA 1055 LLC, SA 1057 LLC, SA 1082 LLC, and SA 1083 LLC, Relief Defendants
Gavin Wolfe; Jason Satsky, Defendants; and Evergreen Capital L.P., Evergreen Financial LLC, Empire Property Management LLC, GAW Holdings, LLC, SA 1055 LLC, SA 1057 LLC, SA 1082 LLC, and SA 1083 LLC, Relief Defendants
- Public warningSEC
SEC litigation release: John “Jon” Isaac and Virland A. Johnson
John “Jon” Isaac and Virland A. Johnson
- Public warningSEC
SEC litigation release: 1859 Operating, LLC; Centerfire Consulting, LLC; DMMD Marketing, Inc.; DM Sales Consulting, Inc.; The Slade Group, Inc.; Slade Marketing, Inc.; Adam Fieldsted; Dillon Murrow; Alison Slade; Dallin Slade; Duane Slade; and Mason Slade
1859 Operating, LLC; Centerfire Consulting, LLC; DMMD Marketing, Inc.; DM Sales Consulting, Inc.; The Slade Group, Inc.; Slade Marketing, Inc.; Adam Fieldsted; Dillon Murrow; Alison Slade; Dallin Slade; Duane Slade; and Mason Slade
- Public warningSEC
SEC litigation release: Jesse R. Mitchell
Jesse R. Mitchell
- Public warningSEC
SEC litigation release: Brian Keasberry
Brian Keasberry
- Public warningSEC
SEC litigation release: Daniel Chu; Jerome Kollar; Ameryn Seibold
Daniel Chu; Jerome Kollar; Ameryn Seibold
- Public warningSEC
SEC litigation release: Andrew Spaventa; The Spaventa Group LLC; TSG Capital Advisors LLC; TSG Alpha Partners LLC
Andrew Spaventa; The Spaventa Group LLC; TSG Capital Advisors LLC; TSG Alpha Partners LLC
- Public warningSEC
SEC litigation release: Leor Moshe, Jacob Goldman, Isaac Odes
Leor Moshe, Jacob Goldman, Isaac Odes
- Public warningSEC
SEC litigation release: Benjamin Tesfaye
Benjamin Tesfaye
- Public warningSEC
SEC litigation release: Goliath Ventures, Inc.; Christopher A. Delgado
Goliath Ventures, Inc.; Christopher A. Delgado
- Public warningSEC
SEC litigation release: John Fanning; Coreen Kraysler; Paul Riss; Martin Kay; Cecilia Lenk; Netcapital Inc.
John Fanning; Coreen Kraysler; Paul Riss; Martin Kay; Cecilia Lenk; Netcapital Inc.
- Public warningSEC
SEC litigation release: Frank M. Cerisano Jr.
Frank M. Cerisano Jr.
- Public warningSEC
SEC litigation release: Eric L. Munson; Adit Ventures Management, LLC, Adit Ventures, LLC, Adit Ventures II, LLC, and Adit Ventures III, LLC
Eric L. Munson; Adit Ventures Management, LLC, Adit Ventures, LLC, Adit Ventures II, LLC, and Adit Ventures III, LLC
- Public warningSEC
SEC litigation release: James Brian Blaylock
James Brian Blaylock
- Public warningSEC
SEC litigation release: Terren S. Peizer and Acuitas Group Holdings, LLC
Terren S. Peizer and Acuitas Group Holdings, LLC
- Public warningSEC
SEC litigation release: Anthem Blanchard; Anthem Holdings Company
Anthem Blanchard; Anthem Holdings Company
- Public warningSEC
SEC litigation release: Christopher Vaughan
Christopher Vaughan
- Public warningSEC
SEC litigation release: Wisdom Capital Management Group Ltd.
Wisdom Capital Management Group Ltd.
- Public warningSEC
SEC litigation release: John A. DeSalvo
John A. DeSalvo
- Public warningSEC
SEC litigation release: Gotbit Consulting LLC a/k/a Gotbit Hedge Fund and Fedor Kedrov
Gotbit Consulting LLC a/k/a Gotbit Hedge Fund and Fedor Kedrov
- Public warningSEC
SEC litigation release: Adamant Stone Limited
Adamant Stone Limited
- Public warningSEC
SEC litigation release: RAD Diversified REIT, Inc.; Brandon “Dutch” Mendenhall; Amy Vaughn; and The Seminar Solution, LLC, Relief Defendant
RAD Diversified REIT, Inc.; Brandon “Dutch” Mendenhall; Amy Vaughn; and The Seminar Solution, LLC, Relief Defendant
- Public warningSEC
SEC litigation release: Aras Investment Business Group S.A.P.I. de C.V.; Armando Gutierrez Rosas; Maria de Lourdes Tolentino Roque; Diayanira Rendon Trejo; Efren Quiroz Gardea; Luis Quiroz Gardea
Aras Investment Business Group S.A.P.I. de C.V.; Armando Gutierrez Rosas; Maria de Lourdes Tolentino Roque; Diayanira Rendon Trejo; Efren Quiroz Gardea; Luis Quiroz Gardea
- Public warningSEC
SEC litigation release: Gauntlet Holdings, LLC; Darrell W. Rideaux; Ali Derakhshanfar; Sal N. Ortiz
Gauntlet Holdings, LLC; Darrell W. Rideaux; Ali Derakhshanfar; Sal N. Ortiz
- Public warningSEC
SEC litigation release: Brian Kuzdas; John Rowland
Brian Kuzdas; John Rowland
- Public warningSEC
SEC litigation release: Semisub, Inc.; Jamey Denise Jackson
Semisub, Inc.; Jamey Denise Jackson
- Public warningSEC
SEC litigation release: Joshua A. Weiss
Joshua A. Weiss
- Public warningSEC
SEC litigation release: Zan Shaikh and Bright Vision Distribution LLC, d/b/a Mining Automatic
Zan Shaikh and Bright Vision Distribution LLC, d/b/a Mining Automatic
- Public warningSEC
SEC litigation release: Jamal (“Jimmy”) Chammout; Ali El Siblani; Ali Jawad; Rabih Rakha
Jamal (“Jimmy”) Chammout; Ali El Siblani; Ali Jawad; Rabih Rakha
- Public warningSEC
SEC litigation release: Shane Schmidt
Shane Schmidt
- Public warningSEC
SEC litigation release: American Patriot Brands, Inc.; Urban Pharms, LLC; TSL Distribution, LLC; DJ&S Property #1, LLC; Robert Y. Lee; Brian L. Pallas
American Patriot Brands, Inc.; Urban Pharms, LLC; TSL Distribution, LLC; DJ&S Property #1, LLC; Robert Y. Lee; Brian L. Pallas
- Public warningSEC
SEC litigation release: Michael J. Forster
Michael J. Forster
- Public warningSEC
SEC litigation release: Michael W. Patterson and Battle Motors, Inc.
Michael W. Patterson and Battle Motors, Inc.
- Public warningSEC
SEC litigation release: YouPlus, Inc. and Shaukat Shamim
YouPlus, Inc. and Shaukat Shamim
- Public warningSEC
SEC litigation release: Steve M. Bajic et al.
Steve M. Bajic et al.
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