# SEC Litigation Release LR-14676

> Civil enforcement action · —

## Defendants

Penn Capital Financial Services, Inc., PennCapital Management, Inc., Roy Plaza, Helen A. Roy, Christopher E.Beimel, William P. Hogan, Bruce Batley, Daniel D. Beimel, John W.Ford, John T. Jarvis and Louis A. Miller



## Key facts

- **Release number:** LR-14676
- **Release date:** —
- **Defendants:** Penn Capital Financial Services, Inc., PennCapital Management, Inc., Roy Plaza, Helen A. Roy, Christopher E.Beimel, William P. Hogan, Bruce Batley, Daniel D. Beimel, John W.Ford, John T. Jarvis and Louis A. Miller

## Primary sources

- SEC HTML release: https://www.sec.gov/litigation/litreleases
- Litigation releases index: https://www.sec.gov/litigation/litreleases

## What this is

SEC Litigation Releases are the canonical "civil enforcement" docket. The SEC files civil actions in federal court against individuals and entities for securities-law violations — fraud, insider trading, Ponzi schemes, registration violations, misleading disclosures, market manipulation. Each release announces a filing, a settlement, or a final judgment. Activist funds, plaintiff lawyers, and investigative journalists use this archive as the most-comprehensive index of US securities enforcement.

## Citation

> US Securities and Exchange Commission, Litigation Release LR-14676 (), Penn Capital Financial Services, Inc., PennCapital Management, Inc., Roy Plaza, Helen A. Roy, Christopher E.Beimel, William P. Hogan, Bruce Batley, Daniel D. Beimel, John W.Ford, John T. Jarvis and Louis A. Miller. Retrieved via AI Analytics 2026-07-10 from https://api.ai-analytics.org/sec-litigation/14676.

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