LR-26489 SEC Litigation Release

Civil enforcement action · — · view release on sec.gov ↗ · primary PDF ↗

Defendants

Joseph C. Lewis, Carolyn W. Carter, Patrick J. O’Connor, and Bryan L. Waugh

Related filings

Final Judgment - Joseph C. Lewis , Final Judgment - Carolyn W. Carter , Final Judgment - Bryan L. Waugh , Final Judgment - Patrick J. O’Connor

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.

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