SEC v. Small Business Capital Corp. - Securities Enforcement
Summary
The SEC filed a securities enforcement action against Small Business Capital Corp. and others in the Northern District of California (Case 5:12-cv-03237-EJD) in June 2012. Recent filings from March-April 2026 show ongoing procedural litigation, including motions related to court-appointed receiver and the Barton Doctrine, with no new substantive orders or penalties entered.
What changed
This docket page shows procedural filings in SEC v. Small Business Capital Corp., a securities enforcement case filed in 2012. Recent activity (March-April 2026) consists of routine litigation motions: motions for leave to file civil actions against the court-appointed receiver pursuant to the Barton Doctrine, oppositions, declarations, and administrative motions for supplemental briefing. No new substantive orders, penalties, or obligations have been issued in these recent filings.
For compliance purposes, this represents routine case monitoring rather than new regulatory requirements. The underlying enforcement action has been ongoing since 2012 and appears to involve a court-appointed receiver. Companies with exposure to SEC enforcement should note this case demonstrates continued SEC enforcement activity in securities matters and receiver-related litigation. No immediate compliance actions are required from this docket update.
Source document (simplified)
Securities and Exchange Commission v. Small Business Capital Corp. et al
Case Number: 5:12-cv-03237-EJD Judge: Davila, Edward J. Location: San Jose Case Type: Civil Case Basis: U.S. Government Plaintiff Nature of Suit: Securities/Commodities Date Filed:
June 25, 2012
Last Filing Date:
March 30, 2026
View Publicly Available Documents Case Summary No summary of this case is available
Recent Filings
| Date Filed | Docket Number | Document Description |
| --- | --- | --- |
| 04-05-26 | 1449 | NOTICE by Mark Feathers re [1446] First ADMINISTRATIVE MOTION Leave of the Court to Submit Supplemental Brief to Motion for Leave on Barton re [1440] First MOTION for Leave to File Motion for Leave to File Civil Action Against Court-Appoin |
| 04-02-26 | 1448 | Declaration of Mark Feathers in Support of [1440] First MOTION for Leave to File Motion for Leave to File Civil Action Against Court-Appointed Receiver Pursuant to the Barton Doctrine Supplemental Declaration of Mark Feathers in Supp |
| 04-01-26 | 1446 | First ADMINISTRATIVE MOTION Leave of the Court to Submit Supplemental Brief to Motion for Leave on Barton re [1440] First MOTION for Leave to File Motion for Leave to File Civil Action Against Court-Appointed Receiver Pursuant to the Barton D |
| 04-01-26 | 1447 | First ADMINISTRATIVE MOTION Admin Motion to Add Supplemental Memorandum to Admin Motion re [1446] First ADMINISTRATIVE MOTION Leave of the Court to Submit Supplemental Brief to Motion for Leave on Barton re [1440] First MOTION for Leave to F |
| 03-31-26 | 1445 | Response re [1440] First MOTION for Leave to File Motion for Leave to File Civil Action Against Court-Appointed Receiver Pursuant to the Barton Doctrine Reply to Receiver's Opposition to Motion for Leave for Barton Exception b |
| 03-30-26 | 1444 | OPPOSITION/RESPONSE (re [1440] First MOTION for Leave to File Motion for Leave to File Civil Action Against Court-Appointed Receiver Pursuant to the Barton Doctrine ) filed byThomas A. Seaman. (Attachments: # (1) Request for Judi |
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