Home / Cases / Unregistered distributions / Page 2 Unregistered distributions enforcement actions This library records 136 enforcement actions tagged unregistered distributions. An unregistered distribution is selling securities to the public without registration or a valid exemption, which Securities Act Section 5 prohibits regardless of whether anyone was deceived or harmed.
Actions are listed newest first. Each row links to a case page carrying the regulator's own release and, where one was published, the complaint. For how this technique works and what statute it engages, read the unregistered distributions technique page.
Actions 36
Total penalties $2.1m
Median penalty $50k
Largest $1.5m
Criminal parallel 11% Action Agency Filed Penalty Status SEC v. David Michael Burke (undisclosed control blocks, 2017) SEC 2017-05-02 — settled SEC v. Kent P. Watts, et al. (unregistered distributions, 2017) SEC 2017-04-21 — filed SEC v. Galena Biopharma, Inc. and Mark J. Ahn (paid stock promotion, 2017) SEC 2017-04-10 — settled SEC v. Arcturus Corporation, et al. (unregistered distributions, 2017) SEC 2017-03-03 — judgment SEC v. William G. Goode (unregistered distributions, 2017) SEC 2017-02-09 — judgment SEC v. Olde Monmouth Stock Transfer Co., Inc. and Matthew J. Troster (reverse merger schemes, 2017) SEC 2017-02-07 $100k judgment SEC v. George N. Krinos (unregistered distributions, 2017) SEC 2017-01-23 — filed SEC v. Robin G. Charlet, Steven W. Sparks, Gregory J. Tuthill and Kirk D. Porter (unregistered distributions, 2017) SEC 2017-01-13 $25k judgment SEC v. Empire Stock Transfer, Inc. and Matthew J. Blevins (paid stock promotion, 2016) SEC 2016-12-16 $50k settled SEC v. Dennis Ira Ringer (unregistered distributions, 2016) SEC 2016-11-23 $25k settled SEC v. Curt Kramer and Hope Capital, Inc. (unregistered distributions, 2016) SEC 2016-10-27 — settled SEC v. Tod A. Ditommaso, Esq. (undisclosed control blocks, 2016) SEC 2016-09-16 — unknown SEC v. Toni Tong Chen, CPA (unregistered distributions, 2016) SEC 2016-07-08 — judgment SEC v. StratoComm Corporation, et al. (unregistered distributions, 2016) SEC 2016-06-17 — appealed SEC v. Providence Financial Investments, Inc., Providence Fixed Income Fund, LLC, Jeffory Churchfield, and Jack Jarrell (unregistered distributions, 2016) SEC 2016-06-13 — judgment SEC v. Arcturus Corporation, et al. (unregistered distributions, 2016) SEC 2016-03-24 — unknown SEC v. IBC Funds, LLC (unregistered distributions, 2016) SEC 2016-02-19 — settled SEC v. Diane D. Dalmy, Esq. (reverse merger schemes, 2015) SEC 2015-12-22 — filed SEC v. Abraxas J. Discala, Marc E. Wexler, Matthew A. Bell, Craig L. Josephberg, and Ira Shapiro (reverse merger schemes, 2015) SEC 2015-11-04 — judgment SEC v. Allen Ross Smith (unregistered distributions, 2015) SEC 2015-10-08 $43.3k judgment SEC v. Commodore Financial Corp., et al. (boiler rooms, 2015) SEC 2015-10-01 — unknown SEC v. iShopNoMarkup.com, Inc. (unregistered distributions, 2015) SEC 2015-09-25 $330k judgment SEC v. Timothy M. Roberts, Terrance F. Taylor, and Craig Constantinou (unregistered distributions, 2015) SEC 2015-09-09 — filed SEC v. Ditto Holdings, Inc. (Now Known as Sovestech and Inc.) (unregistered distributions, 2015) SEC 2015-09-08 — settled SEC v. Marc S. Mandel (unregistered distributions, 2015) SEC 2015-09-08 — settled SEC v. Pamela S. Smith (unregistered distributions, 2015) SEC 2015-07-30 — settled SEC v. Timothy Patterson (unregistered distributions, 2015) SEC 2015-07-30 — settled SEC v. Stephen M. Coleman (unregistered distributions, 2015) SEC 2015-07-29 — settled SEC v. Spectrum Concepts, LLC Worswick and others (unregistered distributions, 2015) SEC 2015-06-11 — settled SEC v. Tracy Morgan Spaeth (unregistered distributions, 2015) SEC 2015-04-23 — settled SEC v. Joseph John Labadia (undisclosed control blocks, 2015) SEC 2015-04-17 — settled SEC v. Team Resources, Inc., et al. (unregistered distributions, 2015) SEC 2015-04-06 — settled SEC v. Mark A. Lefkowitz, et al. (unregistered distributions, 2015) SEC 2015-02-24 — judgment SEC v. Caledonian Bank Ltd., et al. (unregistered distributions, 2015) SEC 2015-02-11 — filed SEC v. International Capital Group, LLC (reverse merger schemes, 2015) SEC 2015-01-29 $1.5m settled SEC v. Oppenheimer & Co. Inc. (pump and dump, 2015) SEC 2015-01-27 — filed
← Previous
1 2 Next →