Securities and Exchange Commission

SEC Litigation Releases

This file contains the respondents, release number, release date, and the url of the litigation releases concerning civil lawsuits brought by the Commission in federal court.

Example records
Namelegal entityFull NamepersonWebsitewebsiteRelease DatetemporalRelease Numberregistration
Nolan Wayne WadeNolan Wayne Wadehttp://www.sec.gov/litigation/litreleases/2010/lr2Jan 4, 2010LR-21358
Mitchel S. Guttenberg, Erik R. Franklin, David M. Mitchel S. Guttenberg, Erik R. Franklin, David M. http://www.sec.gov/litigation/litreleases/2010/lr2Jan 5, 2010LR-21359
Reza Saleh and Amir SalehReza Saleh and Amir Salehhttp://www.sec.gov/litigation/litreleases/2010/lr2Jan 5, 2010LR-21360
Use cases

Vendor Screening Against SEC Enforcement History

A procurement officer at a financial institution checks whether a prospective vendor or its principals have ever been named in an SEC civil action before approving a contract, flagging any matches for legal review.

NameFull NameRelease DateRelease Number

KYB Adverse Media and Regulatory Action Matching

A fintech onboarding team cross-references the names of business owners and entities submitted during account opening against SEC litigation records to detect undisclosed securities enforcement history before extending credit or payment services.

NameFull NameRelease NumberWebsite

Insurance Underwriting Exclusion Check for D&O Policies

An underwriter evaluating a directors and officers liability application searches named executives against SEC litigation releases to identify prior civil enforcement actions that would affect coverage terms or trigger exclusions.

Full NameNameRelease DateRelease Number
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