Authority
US Securities and Exchange Commission
22 tracked cases. Each keeps its exact procedural stage.
| Case | Authority | Type | Number | Stage | Organization |
|---|---|---|---|---|---|
| In the Matter of S&P Global Ratings | US Securities and Exchange Commission | Regulatory | Not published | Settled order with admissions. | S&P Global Ratings |
| In the Matter of Icahn Enterprises L.P. and In the Matter of Carl C. Icahn | U.S. Securities and Exchange Commission | Regulatory | Press release 2024-99 | Settled cease and desist orders, without admitting or denying | Icahn Enterprises L.P. |
| SEC v. Celsius Network Limited and Alexander Mashinsky | US Securities and Exchange Commission | Civil | 1:23-cv-06005 | Complaint filed. Celsius consented to the requested relief. | Celsius Network LLC |
| In the Matter of Rio Tinto plc | US Securities and Exchange Commission | Regulatory | Not stated in the sources read | Final settled order | Rio Tinto plc |
| SEC v. Danske Bank A/S | US Securities and Exchange Commission | Civil | Not published | Settled by consent to a final judgment | Danske Bank A/S |
| SEC v. Samuel Bankman-Fried | US Securities and Exchange Commission | Civil | Not published | Complaint filed. Later stage not checked. | FTX Trading Ltd. |
| In the Matter of ABB Ltd | US Securities and Exchange Commission | Regulatory | Not published | Settled cease-and-desist order. | ABB Ltd |
| In the Matter of Nikola Corporation | U.S. Securities and Exchange Commission | Regulatory | Press release 2021-267 | Settled administrative order, without admitting or denying | Nikola Corporation |
| Securities and Exchange Commission v. Luckin Coffee Inc. | US Securities and Exchange Commission, before the US District Court for the Southern District of New York | Civil | Press Release 2020-319 | Settled without admitting or denying, approved by the court, penalties satisfied | Luckin Coffee Inc. |
| In the Matter of J&F Investimentos S.A., JBS S.A., Joesley Batista and Wesley Batista | US Securities and Exchange Commission | Regulatory | Administrative Proceeding File No. 3-20124, as listed by the Stanford FCPA Clearinghouse | Cease-and-desist order entered on consent. | JBS S.A. and J&F Investimentos S.A. |
| United States v. Wells Fargo & Company (DPA) and In the Matter of Wells Fargo & Company (SEC) | US Department of Justice and US Securities and Exchange Commission | Criminal | Not published | Deferred prosecution agreement with a three-year term and SEC cease-and-desist order with a US$500 million penalty. | Wells Fargo & Company |
| Securities and Exchange Commission v. Facebook, Inc. | US Securities and Exchange Commission | Civil | Not published | Settled without admitting or denying, with consent to the entry of a final judgment. | Meta Platforms, Inc. |
| In the Matter of Walmart Inc. | US Securities and Exchange Commission | Regulatory | Administrative Proceeding File No. 3-19207 | Cease-and-desist order entered on consent on 20 June 2019. | Walmart Inc. |
| Inquiry concerning Infosys Limited | US Securities and Exchange Commission | Regulatory | Not published | Concluded in March 2020, per the company. | Infosys Limited |
| US authorities and Swedbank AB | US Treasury Office of Foreign Assets Control, US Securities and Exchange Commission, US Department of Justice | Regulatory | Not published | OFAC settled in June 2023. SEC and DOJ closed without enforcement. New York DFS open. | Swedbank AB (publ) |
| In the Matter of Petróleo Brasileiro S.A. - Petrobras | US Securities and Exchange Commission | Regulatory | File No. 3-18843 | Settled | Petróleo Brasileiro S.A. - Petrobras |
| Securities and Exchange Commission v. Theranos, Inc. and Elizabeth Holmes | US Securities and Exchange Commission, action in the US District Court for the Northern District of California | Civil | Not published | Settled by Theranos and Holmes without admitting or denying, subject to court approval. | Theranos, Inc. |
| In the Matter of Telia Company AB | US Securities and Exchange Commission | Regulatory | Not published | Settled administrative order | Telia Company AB |
| SEC v. Satyam Computer Services Limited, and In the Matter of PwC India affiliates | US Securities and Exchange Commission | Regulatory | Press Release 2011-82 | Settled on 5 April 2011. | Satyam Computer Services Limited |
| Securities and Exchange Commission v. Siemens AG | US Securities and Exchange Commission | Civil | Not published in the release read | Settled by consent judgment without admission or denial. Concluded. | Siemens AG |
| Securities and Exchange Commission v. Richard A. Causey, Jeffrey K. Skilling and Kenneth L. Lay | US Securities and Exchange Commission, US District Court for the Southern District of Texas | Civil | Not published | Civil allegations against Lay never adjudicated to a finding against him before his death on 5 July 2006. | Enron Corporation |
| Inquiries concerning Super Micro Computer, Inc. | U.S. Department of Justice and U.S. Securities and Exchange Commission | Regulatory | Not published | Document requests disclosed February 2025. Company says it is cooperating with a government investigation, no public charge against the company as of October 2026 | Super Micro Computer, Inc. |