Notices of Covered Action: 2011 Archive
| Notice No. | Action | Notice Date | Claim Due Date |
|---|---|---|---|
| 2011-217 | In the Matter of UBS Securities LLC Administrative Proceeding File No.: 3-14620 Case filed: November 10, 2011 |
01/09/2012 | 04/08/2012 |
| 2011-216 | SEC v. Dr. Joseph F. "Chip" Skowron III and Dr. Yves M. Benhamou Case number: 10-cv-08266 (United States District Court for the Southern District of New York) Case filed: November 2, 2010 |
01/09/2012 | 04/08/2012 |
| 2011-215 | SEC v. Seisma Oil Research, LLC, a/k/a Seisma Energy Research, LLC, Seisma Energy Research, AVV, a/k/a Seisma Oil Research, AVV, Permian Asset Management, AVV, and Justin Solomon Case number: 10-cv-00095 (United States District Court for the Northern District of Texas) Case filed: June 16, 2010 |
01/09/2012 | 04/08/2012 |
| 2011-214 | SEC v. Seaforth Meridian, Ltd., Seaforth Meridian Advisors, LLC, Seaforth Meridian Management, LLC,
Alaln A. Assemi, Timothy J. Clyman, John D. Friedrich, Scott F. Klion, a/k/a James S. Tucker, and David Tanner Case number: 06-cv-4107 (United States District Court for the District of Kansas) Case filed: September 14, 2006 |
01/09/2012 | 04/08/2012 |
| 2011-213 | SEC v. The Regency Group, LLC, Scott F. Gelbard, Jeffrey S. Koslosky, Aaron S. Lamkin, John J. Coutris, Michael J. Coutris, J. Coutris Partners, LP, Joseph S. Fernando, Wellington Capital Enterprises, Inc., James J. Coutris, and Dimitrios I. Gountis Case number: 09-cv-00497 (United States District Court for the District of Colorado) Case filed: March 9, 2009 |
01/09/2012 | 04/08/2012 |
| 2011-212 | SEC v. Par Three Financial, Inc. and Melvin D. Ruth Case number: 05-cv-80779 (United States District Court for the Southern District of Florida) Case filed: August 25, 2005 |
01/09/2012 | 04/08/2012 |
| 2011-211 | In the Matter of Morgan Stanley Investment Management Inc. Administrative Proceeding File No.: 3-14628 Case filed: November 16, 2011 |
01/09/2012 | 04/08/2012 |
| 2011-210 | SEC v. Cheng Yi Liang Case number: 11-cv-00819 (United States District Court for the District of Maryland) Case filed: March 29, 2011 |
01/09/2012 | 04/08/2012 |
| 2011-209 | SEC v. Thomas S. Labry and Cherokee Gas Systems, Inc. Case number: 10-cv-00018 (United States District Court for the Central District of California) Case filed: January 7, 2010 |
01/09/2012 | 04/08/2012 |
| 2011-208 | SEC v. Jerome Krantz, Cary Chasin, and Gary Nadelman Case number: 11-cv-60432 (United States District Court for the Southern District of Florida) Case filed: Month DD, YYYY |
01/09/2012 | 04/08/2012 |
| 2011-207 | SEC v. Maynard L. Jenkins Case number: 09-cv-01510 (United States District Court for the District of Arizona) Case filed: July 22, 2009 |
01/09/2012 | 04/08/2012 |
| 2011-206 | SEC v. George Wesley Harris, and Giant Operating, LLC Case number: 09-cv-01809 (United States District Court for the Northern District of Texas) Case filed: September 28, 2009 |
01/09/2012 | 04/08/2012 |
| 2011-205 | In the Matter of FTN Financial Securities Corp. Administrative Proceeding File No.: 3-14632 Case filed: November 17, 2010 |
01/09/2012 | 04/08/2012 |
| 2011-204 | SEC v. Arthur J. Cutillo, Jason C. Goldfarb, Zvi Goffer, Craig C. Drimal, Schotenfeld Group, LLC, Gautham Shankar, David Plate, Emanuel Goffer, and Michael Kimelman Case number: 09-cv-09208 (United States District Court for the Southern District of New York) Case filed: November 5, 2009 |
01/09/2012 | 04/08/2012 |
| 2011-203 | SEC v. Frank C. Calmes, Lynn D. Rowntree, Manny J. Shulman, Younger America, Inc. f/k/a Infinity Acquisition Corp., and James E. Pratt Case number: 09-cv-80524 (United States District Court for the Southern District of Florida) Case filed: April 2, 2009 |
01/09/2012 | 04/08/2012 |
| 2011-202 | SEC v. America's Hedge Fund, L.P., Worldwide Partners LLC, and Christian Kuretski Case number: 04-cv-4640 (United States District Court for the Eastern District of New York) Case filed: October 28, 2004 |
12/01/2011 | 02/29/2012 |
| 2011-201 | In the Matter of Banco Espirito Santo S.A. Administrative Proceeding File No.: 3-14599 Case filed: October 24, 2011 |
12/01/2011 | 02/29/2012 |
| 2011-200 | In the Matter of Credit Suisse Alternative Capital, LLC (f/k/a Credit Suisse Alternative Capital, Inc.), Credit Suisse Asset Management LLC, and Samir H. Bhatt Administrative Proceeding File No.: 3-14594 Case filed: October 19, 2011 |
12/01/2011 | 02/29/2012 |
| 2011-199 | SEC v. Drake Asset Management LLC, and Oliver R. Grace, Jr. Case number: 11-cv-1905 (United States District Court for the District of Columbia) Case filed: October 31, 2011 |
12/01/2011 | 02/29/2012 |
| 2011-198 | SEC v. Norman Forrest Germany, Germany Energy Company, and Eb Germany & Sons, LLC Case number: 11-cv-01252 (United States District Court for the Northern District of Texas) Case filed: June 10, 2011 |
12/01/2011 | 02/29/2012 |
| 2011-197 | SEC v. Integrity Financial AZ LLC, Steven R. Long, Stanley M. Paulic, Walter W. Knitter, and Robert C. Koeller Case number: 10-cv-782 (United States District Court for the Northern District of Ohio) Case filed: April 14, 2010 |
12/01/2011 | 02/29/2012 |
| 2011-196 | SEC v. Mark Leslie, Kenneth E. Lonchar, Paul A. Sallaberry, Michael M. Cully, and Douglas S. Newton Case number: 07-cv-03444 (United States District Court for the Northern District of California) Case filed: July 2, 2007 |
12/01/2011 | 02/29/2012 |
| 2011-195 | SEC v. Gregory N. McKnight, and Legisi Holdings, LLC Case number: 08-cv-11887 (United States District Court for the Eastern District of Michigan) Case filed: May 5, 2008 |
12/01/2011 | 02/29/2012 |
| 2011-194 | In the Matter of Pipeline Trading Systems LLC, Fred J. Federspiel, and Alfred R. Berkeley III Administrative Proceeding File No.: 3-14600 Case filed: October 24, 2011 |
12/01/2011 | 02/29/2012 |
| 2011-193 | SEC v. Trade-LLC, Philip W. Milton, and William H. Center Case number: 10-cv-80737 (United States District Court for the Southern District of Florida) Case filed: June 22, 2010 |
12/01/2011 | 02/29/2012 |
| 2011-192 | In the Matter of Watts Water Technologies, Inc. and Leesen Chang Administrative Proceeding File No.: 3-14585 Case filed: October 13, 2011 |
12/01/2011 | 02/29/2012 |
| 2011-191 | In the Matter of RBC Capital Markets, LLC Administrative Proceeding File No.: 3-14564 Case filed: September 27, 2011 |
11/01/2011 | 01/30/2012 |
| 2011-190 | SEC v. Mantria Corporation, Troy B. Wragg, Amanda E. Knorr, Speed of Wealth, LLC, Wayde M. McKelvy, and Donna M. McKelvy Case number: 09-cv-02676 (United States District Court for the District of Colorado) Case filed: November 16, 2009 |
11/01/2011 | 01/30/2012 |
| 2011-189 | SEC v. Stanley J. Kowalewski and SJK Investment Management, LLC Case number: 11-cv-0056 (United States District Court for the Northern District of Georgia) Case filed: January 6, 2011 |
11/01/2011 | 01/30/2012 |
| 2011-188 | SEC v. James O'Leary, CPA Case number: 11-cv-2901 (United States District Court for the Northern District of Georgia) Case filed: August 30, 2011 |
11/01/2011 | 01/30/2012 |
| 2011-187 | In the Matter of Hector Gallardo, Michael Zurita, and Orion Trading, LLC Administrative Proceeding File No.: 3-14139 Case filed: September 28, 2011 |
11/01/2011 | 01/30/2012 |
| 2011-186 | In the Matter of Barr M. Rosenberg Administrative Proceeding File No.: 3-14559 Case filed: September 22, 2011 |
11/01/2011 | 01/30/2012 |
| 2011-185 | SEC v. Anthony J. Scolaro, Jr. Case number: 11-cv-06112 (United States District Court for the Southern District of New York) Case filed: August 31, 2011 |
10/05/2011 | 01/03/2012 |
| 2011-184 | SEC v. Striker Petroleum, LLC, Mark S. Roberts, and Christopher E. Pippin Case number: 09-cv-2304 (United States District Court for the Northern District of Texas) Case filed: December 3, 2009 |
10/05/2011 | 01/03/2012 |
| 2011-183 | SEC v. Pharma Holdings, Inc., Edward Klapp IV, and Edward Klapp Jr. Case number: 10-cv-81615 (United States District Court for the Southern District of Florida) Case filed: December 22, 2010 |
10/05/2011 | 01/03/2012 |
| 2011-182 | SEC v. Wellco Energy LLC, Justin William Rifkin, Patrick V. Looper, Richard G. Pacheco, and Dustin D. White Case number: 09-cv-01114 (United States District Court for the District of Colorado) Case filed: May 14, 2009 |
10/05/2011 | 01/03/2012 |
| 2011-181 | SEC v. Doyle Scott Elliott, Scott Elliott, Inc., Michael J. Xirinachs, Emerald Asset Advisors LLC, Robert L. Weidenbaum, and CLX & Associates, Inc. Case number: 09-cv-07594 (United States District Court for the Southern District of New York) Case filed: September 1, 2009 |
10/05/2011 | 01/03/2012 |
| 2011-180 | SEC v. Nova Gen Corporation, Margaret Grey, and Paul Randall Fraley Case number: 09-cv-2711 (United States District Court for the Southern District of California) Case filed: December 3, 2009 |
10/05/2011 | 01/03/2012 |
| 2011-179 | SEC v. Joseph R. Porche, Larry R Crowder, Konrad Kafarski, Carlton L. Williams, Gary K. Juncker, and Dale J. Engelhardt Case number: 10-cv-1165 (United State District Court for the Central District of California) Case filed: August 4, 2010 |
10/05/2011 | 01/03/2012 |
| 2011-178 | SEC v. Eagle Development Enterprises, Inc., a Nevada corporation; Eagle Storage & Development, LLC, an Arizona limited liability company; Eagle Aviation Sales & Leasing, LLC, a California limited liability company; and Michael J. Bowen Case number: 09-cv-1470 (United States District Court for the Central District of California) Case filed: December 14, 2009 |
10/05/2011 | 01/03/2012 |
| 2011-177 | SEC v. John Clement and Edgefund Capital, LLC Case number: 11-cv-1034 (United States District Court for the Southern District of California) Case filed: May 11, 2011 |
10/05/2011 | 01/03/2012 |
| 2011-176 | SEC v. LADP Acquisition, Inc., William A. Goldstein, and Marc E. Bercoon Case number: 10-cv-6835 (United States District Court for the Central District of California) Case filed: September 14, 2010 |
10/05/2011 | 01/03/2012 |
| 2011-175 | SEC v. Douglas V. DeCinces, Joseph J. Donohue, Fred Scott Jackson, and Roger A. Wittenbach Case number: 11-cv-1168 (United States District Court for the Central District of California) Case filed: August 4, 2011 |
10/05/2011 | 01/03/2012 |
| 2011-174 | SEC v. Gregory L. Reyes, Antonio Canova, and Stephanie Jensen Case number: 06-cv-4435 (United States District Court for the Northern District of California) Case filed: July 20, 2006 |
10/05/2011 | 01/03/2012 |
| 2011-173 | SEC v. Pegasus Wireless Corporation, Jasper Knabb, and Stephen Durland Case number: 09-cv-2302 (United States District Court for the District of Northern California) Case filed: May 26, 2009 |
10/05/2011 | 01/03/2012 |
| 2011-172 | SEC v. David A. Souza and D.A. Souza Investments, LLC Case number: 09-cv-2421(United States District Court for the Eastern District of California) Case filed: August 28, 2009 |
10/05/2011 | 01/03/2012 |
| 2011-171 | SEC v. Provident Royalties, LLC, Provident Asset Management, LLC, Provident Energy 1, LP, Provident Resources 1, LP, Provident Energy 2, LP, Provident Energy 3, LP, Shale Royalties II, Inc., Shale Royalties 3, LLC, Shale Royalties 4, Inc., Shale Royalties 5, Inc., Shale Royalties 6, Inc., Shale Royalties 7, Inc., Shale Royalties 8, Inc., Shale Royalties 9, Inc., Shale Royalties 10, Inc., Shale Royalties 12, Inc., Shale Royalties 14, Inc., Shale Royalties 15, Inc., Shale Royalties 16, Inc., Shale Royalties 17, Inc., Shale Royalties 18, Inc., Shale Royalties 19, Inc., Shale Royalties 20, Inc., Paul R. Melbye, Brendan W. Coughlin, and Henry D. Harrison, defendants and Shale Royalties 21, Inc., Shale Royalties 22, Inc., Provident Operating Company, LLC, Somerset Lease Holdings, Inc., and Somerset Development, Inc. Case number: 09-cv-1238 (United States District Court for the Northern District of Texas) Case filed: July 2, 2009 |
10/05/2011 | 01/03/2012 |
| 2011-170 | SEC v. ZNext Mining Corporation, Inc. and Elvira G. Gamboa Case number: 09-cv-02611 (United States District Court for the Northern District of California) Case filed: June 12, 2009 |
08/12/2011 | 11/10/2011 |
| 2011-169 | SEC v. Louis W. Zehil, Strong Branch Ventures IV LP, and Chestnut Capital Partners II, LLC Case number: 07-cv-01439 (United States District Court for the Southern District of New York) Case filed: February 28, 2007 |
08/12/2011 | 11/10/2011 |
| 2011-168 | SEC v. Travis L. Wright Case number: 10-cv-00602 (United States District Court for the District of Utah) Case filed: July 2, 2010 |
08/12/2011 | 11/10/2011 |
| 2011-167 | SEC v. Stuart H. Wolff and Peter B. Tafeen Case number: 05-cv-03132 (United States District Court for the Central District of California) Case filed: April 28, 2005 |
08/12/2011 | 11/10/2011 |
| 2011-166 | SEC v. Winning Kids, Inc., Christian Hainsworth, Robert Comiskey, Edward Tamimi, and Victor Selenow Case number: 10-cv-80186 (United States District Court for the Southern District of Florida) Case filed: January 29, 2010 |
08/12/2011 | 11/10/2011 |
| 2011-165 | SEC v. David A. Williams, Sherwood Secured Income Fund, LLC, WFG Holdings, Inc., and Williams Financial Group, LLC Case number: 09-cv-02709 (United States District Court for the Central District of California) Case filed: April 20, 2009 |
08/12/2011 | 11/10/2011 |
| 2011-164 | SEC v. Blake G. Williams, Tbeck Capital. Inc., Warren Street Investments, Inc., Victoria Financial Consultants LLC, BGW Enterprises, Inc., Emerging Resources, Inc., Valek Investments, Inc., Derek Lopez, and DA Big Kahuna LLC Case number: 10-cv-1068 (United States District Court for the Northern District of Texas) Case filed: May 27, 2010 |
08/12/2011 | 11/10/2011 |
| 2011-163 | SEC v. Darrel West and Own My Travel LLC Case number: 09-cv-1419 (United States District Court for the Middle District of Florida) Case filed: August 14, 2009 |
08/12/2011 | 11/10/2011 |
| 2011-162 | In the Matter of Wells Fargo Securities LLC (f/k/a Wachovia Capital Markets LLC) Administrative Proceeding File No.: 3-14320 Case filed: April 5, 2011 |
08/12/2011 | 11/10/2011 |
| 2011-161 | SEC v. Martin T. Wegener, Wealth Resources LLC, and Wealth Resources, Inc. Case number: 10-cv-566 (United States District Court for the Western District of Michigan) Case filed: June 14, 2010 |
08/12/2011 | 11/10/2011 |
| 2011-160 | SEC v. Watermark Financial Services Group, Inc., Watermark M-One Holdings, Inc., M-One Financial Services LLC, Watermark Capital Group LLC, Guy W. Gane, Jr., and Lorenzo Altadonna Case number: 08-cv-361 (United States District Court for the Western District of New York) Case filed: May 15, 2008 |
08/12/2011 | 11/10/2011 |
| 2011-159 | SEC v. Vitesse Semiconductor Corporation, Louis R. Tomasetta, Eugene F. Hovanec, Yatin D. Mody, and Nicole R. Kaplan Case number: 10-cv-9239 (United States District Court for the Southern District of New York) Case filed: December 10, 2010 |
08/12/2011 | 11/10/2011 |
| 2011-158 | SEC v. Video Without Boundaries, Inc. (d/b/a China Logistics Group Inc), Vernon Jeffrey Harrell, and David J. Aubel Case number: 08-cv-61517 (United States District Court for the Southern District of Florida) Case filed: September 24, 2008 |
08/12/2011 | 11/10/2011 |
| 2011-157 | SEC v. Jose O. Vianna, Jr., and Creswell Equities, Inc. Case number: 10-cv-1842 (United States District Court for the Southern District of New York) Case filed: March 9, 2010 |
08/12/2011 | 11/10/2011 |
| 2011-156 | SEC v. VesCor Capital Corp., VesCor Capital, Inc., VesCorp Capital LLC, VesCorp Capital IV-A LLC, VesCorp Capital IV-M LLC, and Val E. Southwick Case number: 08-cv-0012 (United States District Court for the District of Utah) Case filed: February 6, 2008 |
08/12/2011 | 11/10/2011 |
| 2011-155 | SEC v. U.S. Pension Trust Corp., U.S. College Trust Corp., Iliana Maceiras, Leonardo Maceiras Jr., and Nildo Verdeja Case number: 07-cv-22570 (United States District Court for the Southern District of Florida) Case filed: September 28, 2007 |
08/12/2011 | 11/10/2011 |
| 2011-154 | SEC v. Universal Corporation Case number: 10-cv-1318 (United States District Court for the District of Columbia) Case filed: August 6, 2010. |
08/12/2011 | 11/10/2011 |
| 2011-153 | SEC v. UBS Financial Services Inc. Case number: 11-cv-2539 (United States District Court for the District of New Jersey) Case filed: May 4, 2011 |
08/12/2011 | 11/10/2011 |
| 2011-152 | SEC v. UBS AG Case number: 09-cv-00316 (United States District Court for the District of Columbia) Case filed: February 18, 2009 |
08/12/2011 | 11/10/2011 |
| 2011-151 | SEC v. Tyson Foods, Inc. Case number: 11-cv-00350 (United States District Court for the District of Columbia) Case filed: February 10, 2011 |
08/12/2011 | 11/10/2011 |
| 2011-150 | SEC v. David P. Turner and Ousama N. Naaman Case number: 10-cv-01309 (United States District Court for the District of Columbia) Case filed: August 5, 2010 |
08/12/2011 | 11/10/2011 |
| 2011-149 | SEC v. Lambert Vander Tuig, The Carolina Development Company, Inc., and Jonathan Carman Case number: 06-cv-172 (United States District Court for the Central District of California) Case filed: February 16, 2006 |
08/12/2011 | 11/10/2011 |
| 2011-148 | SEC v. Tuco Trading LLC and Douglas G. Frederick Case number: 08-cv-0400 (United States District Court for the Southern District of California) Case filed: March 4, 2008 |
08/12/2011 | 11/10/2011 |
| 2011-147 | SEC v. Transocean Inc. Case number: 10-cv-1891 (United States District Court for the District of Columbia) Case filed: November 4, 2010 |
08/12/2011 | 11/10/2011 |
| 2011-146 | SEC v. Tidewater Inc. Case number: 10-cv-04180 (United States District Court for the Eastern District of Louisiana) Case filed: November 4, 2010 |
08/12/2011 | 11/10/2011 |
| 2011-145 | SEC v. Thor Industries, Inc. and Mark C. Schwartzhoff Case number: 11-cv-00889 (United States District Court for the District of Columbia) Case filed: May 12, 2011 |
08/12/2011 | 11/10/2011 |
| 2011-144 | SEC v. TG Capital LLC, Thanh Viet “Jeremy” Cao, and Lodavina Grosnickle Case number: 07-cv-579 (United States District Court for the Central District of California) Case filed: May 22, 2007 |
08/12/2011 | 11/10/2011 |
| 2011-143 | SEC v. Tecumseh Holdings Corporation, Tecumseh Tradevest LLC, S.B. Cantor & Co., Inc., John L. Milling, Gerard A. McCallion, Anthony M. Palovchik, and Dale Carone Case number: 03-cv-5490 (United States District Court for the Southern District of New York) Case filed: July 24, 2003 |
08/12/2011 | 11/10/2011 |
| 2011-142 | In the Matter of TD Ameritrade, Inc. Administrative Proceeding File No.: 3-14225 Case filed: February 3, 2011 |
08/12/2011 | 11/10/2011 |
| 2011-141 | SEC v. Sun Empire LLC, ECAM LLC a/k/a Empire Capital Asset Management, Delilah A. Proctor, and Shauntel A. Mccoy Case number: 09-cv-399 (United States District Court for the Central District of California) Case filed: April 2, 2009 |
08/12/2011 | 11/10/2011 |
| 2011-140 | SEC v. Robert J. Sucarato d/b/a/ New York Financial Company Case number: 09-cv-04953 (United States District Court for the District of New Jersey) Case filed: September 25, 2009 |
08/12/2011 | 11/10/2011 |
| 2011-139 | SEC v. James D. Sterling Case number: 10-cv-08206 (United States District Court for the Southern District of New York) Case filed: October 29, 2010 |
08/12/2011 | 11/10/2011 |
| 2011-138 | SEC v. Star Exploration, Inc. and James T. Gurgainers Case number: 08-cv-2248 (United States District Court for the Northern District of Texas) Case filed: December 22, 2008 |
08/12/2011 | 11/10/2011 |
| 2011-137 | SEC v. Daniel Spitzer, Draseena Funds Group, Corp., Kenzie Financial Management, Inc. Kenzie Services LLC, Aneesard Management LLC, Nerium Management Co., DN Management Co. LLC, Arrow Fund, LLC, Arrow Fund II, LLC, Conservium Fund, LLC, Nerium Currency Fund, LP, Senior Strength Q Fund, LLC, Ssecurity Fund, LLC, Three Oaks Advanced Fund, LLC, Three Oaks Currency Fund, LP, Three Oaks Fund, LP, Three Oaks Fund 25, LLC, Three Oaks Senior Strength Fund, LLC, and USFirst Fund, LLC Case number: 10-cv-03758 (United States District Court for the Northern District of Illinois) Case filed: June 17, 2010 |
08/12/2011 | 11/10/2011 |
| 2011-136 | SEC v. Brian J. Smart, and Smart Assets, LLC Case number: 09-cv-00224 (United States District Court for the District of Utah) Case filed: March 11, 2009 |
08/12/2011 | 11/10/2011 |
| 2011-135 | SEC v. Sierra Brokerage Services, Inc., Richard Geiger, Jeffrey A. Richardson, Aaron Tsai, Michael E. Markow, Global Guarantee Corporation, Francois Goelo, Yongzhi Yang, K&J Consulting, Limited, Ke Luo, M&M Management, Limited, and Jerome B. Armstrong Case number: 03-cv-00326 (United States District Court for the Southern District of Ohio) Case filed: April 14, 2003 |
08/12/2011 | 11/10/2011 |
| 2011-134 | SEC v. Shidaal Express, Inc. and Mohamud Abdi Ahmed Case number: 09-cv-02610 (United States District Court for the Southern District of California) Case filed: November 19, 2009 |
08/12/2011 | 11/10/2011 |
| 2011-133 | SEC v. Rodney S. Shehyn, Rodney D. Marr, Donald L. Marr, and Karen S. Leigh Case number: 04-cv-02003 (United States District Court for the Southern District of New York) Case filed: March 15, 2004 |
08/12/2011 | 11/10/2011 |
| 2011-132 | SEC v. Satyam Computer Services Limited d.b.a. Mahindra Satyam Case number: 11-cv-00672 (United States District Court for the District of Columbia) Case filed: April 5, 2011 |
08/12/2011 | 11/10/2011 |
| 2011-131 | SEC v. Mark E. Salyer Case number: 08-cv-00179 (United States District Court for the Eastern District of Tennessee) Case filed: June 23, 2008 |
08/12/2011 | 11/10/2011 |
| 2011-130 | In the Matter of Royal Dutch Shell plc and Shell International Exploration and Production Inc. Administrative Proceeding File No.: 3-14107 Case filed: November 4, 2010 |
08/12/2011 | 11/10/2011 |
| 2011-129 | SEC v. Rockwell Energy of Texas LLC, Rockwell Energy Management LLC, Gregory S. Shindler, Bradley M. James, W. Todd Smith, Stuart E. Rawitt, and Brian W. Walsh Case number: 09-cv-4080 (United States District Court for the Southern District of Texas) Case filed: December 23, 2009 |
08/12/2011 | 11/10/2011 |
| 2011-128 | In the Matter of Rockwell Automation, Inc. Administrative Proceeding File No.: 3-14364 Case filed: May 3, 2011 |
08/12/2011 | 11/10/2011 |
| 2011-127 | SEC v. Rockford Funding Group, LLC Case number: 09-cv-10047 (United States District Court for the Southern District of New York) Case filed: December 8, 2009 |
08/12/2011 | 11/10/2011 |
| 2011-126 | SEC v. Archie Paul Reynolds and Success Trust Case number: 06-cv-1801 (United States District Court for the Northern District of Georgia) Case filed: August 2, 2006 |
08/12/2011 | 11/10/2011 |
| 2011-125 | SEC v. Regions Bank Case number: 09-cv-22821 (United States District Court for the Southern District of Florida) Case filed: September 21, 2009 |
08/12/2011 | 11/10/2011 |
| 2011-124 | SEC v. Steven L. Rattner Case number: 10-cv-8699 (United States District Court for the Southern District of New York) Case filed: November 18, 2010 |
08/12/2011 | 11/10/2011 |
| 2011-123 | SEC v. RAE Systems Inc. Case number: 10-cv-2093 (United States District Court for the District of Columbia) Case filed: December 10, 2010 |
08/12/2011 | 11/10/2011 |
| 2011-122 | SEC v. Radical Bunny, LLC, Tom Hirsch, Berta Walder, Howard Walder, and Harish Shah Case number: 09-cv-1560 (United States District Court for the District of Arizona) Case filed: July 28, 2009 |
08/12/2011 | 11/10/2011 |
| 2011-121 | SEC v. Joseph D. Radcliffe and Michael J. Radcliffe Case number: 11-cv-00091 (United States District Court for the District of Columbia) Case filed: January 14, 2011 |
08/12/2011 | 11/10/2011 |
| 2011-120 | SEC v. Pride International, Inc. Case number: 10-cv-4335 (United States District Court for the Southern District of Texas) Case filed: November 4, 2010 |
08/12/2011 | 11/10/2011 |
| 2011-119 | In the Matter of Gordon Brent Pierce, Newport Capital Corp., and Jenirob Company Ltd. Administrative Proceeding File No.: 3-13927 Case filed: June 8, 2010 |
08/12/2011 | 11/10/2011 |
| 2011-118 | SEC v. Panalpina, Inc. Case number: 10-cv-4334 (United States District Court for the Southern District of Texas) Case filed: November 4, 2010 |
08/12/2011 | 11/10/2011 |
| 2011-117 | SEC v. One or More Unknown Traders in the Common Stock of Certain Issuers Case number: 07-cv-00431 (United States District Court for the District of Columbia) Case filed: March 6, 2007 |
08/12/2011 | 11/10/2011 |
| 2011-116 | SEC v. Onele Trading & Finance Ltd (originally filed as SEC v. One or More Unknown Purchasers of Securities of Wimm-Bill-Dann Foods OJSC) Case number: 10-cv-9159 (United States District Court for the Southern District of New York) Case filed: December 8, 2010 |
08/12/2011 | 11/10/2011 |
| 2011-115 | SEC v. One Equity Corporation, Triangle Equities Group, Inc., Victory Management Group, Inc., Dafcan Finance, Inc., Michael S. Spillan and Melissa K. Spillan Case number: 08-cv-00667 (United States District Court for the Southern District of Ohio) Case filed: July 10, 2008 |
08/12/2011 | 11/10/2011 |
| 2011-114 | SEC v. Robert Olins, Spatialight, Inc., and Argyle Capital Management Corp. Case number: 07-cv-6423 (United States District Court for the Northern District of California) Case filed: December 20, 2007 |
08/12/2011 | 11/10/2011 |
| 2011-113 | SEC v. Novus Technologies, LLC, a Utah limited liability company, Ralph W. Thompson, Jr., Duane C. Johnson, RCH2, LLC, a Utah limited liability company, Robert Casey Hall, and Eric J. Wheeler Case number: 07-cv-00235 (United States District Court for the District of Utah) Case filed: April 11, 2007 |
08/12/2011 | 11/10/2011 |
| 2011-112 | SEC v. Noble Corporation Case number: 10-cv-4336 (United States District Court for the Southern District of Texas) Case filed: November 4, 2010 |
08/12/2011 | 11/10/2011 |
| 2011-111 | SEC v. NIC, Inc., Jeffrey S. Fraser, Harry H. Herington, and Eric J. Bur Case number: 11-CV-02016 (United States District Court for the District of Kansas) Case filed: January 12, 2011 |
08/12/2011 | 11/10/2011 |
| 2011-110 | in the Matter of Navistar International Corporation, Daniel C. Ustian, Robert C. Lannert, Thomas M. Akers, Jr., James W. McIntosh, James J. Stanaway, Ernest A. Stinsa, and Michael J. Schultz Administrative Proceeding File No.: 3-13994 Case filed: August 5, 2010 |
08/12/2011 | 11/10/2011 |
| 2011-109 | SEC v. Joseph P. Nacchio, Robert S. Woodruff, Robin R. Szeliga, Afshin Mohebbi, Gregory M. Casey, James J. Koslowski, and Frank T. Noyes Case number: 05-cv-480 (United States District Court for the District of Colorado) Case filed: March 15, 2005 |
08/12/2011 | 11/10/2011 |
| 2011-108 | SEC v. Angelo Mozilo, David Sambol, and Eric Sieracki Case number: 09-cv-3994 (United States District Court for the Central District of California) Case filed: June 4, 2009 |
08/12/2011 | 11/10/2011 |
| 2011-107 | SEC v. William G. Mortensen and Feng Zheng Case number: 10-cv-1142 (United States District Court for the Northern District of Texas) Case filed: June 9, 2010 |
08/12/2011 | 11/10/2011 |
| 2011-106 | SEC v. Brad A. Morrice, Patti M. Dodge, David N. Kenneally Case number: 09-cv-1426 (United States District Court for the Central District of California) Case filed: December 7, 2009 |
08/12/2011 | 11/10/2011 |
| 2011-105 | In the Matter of Morgan Asset Management, Inc., Morgan Keegan & Company, Inc., James C. Kelsoe, Jr., and Joseph Thompson Weller, CPA Administrative Proceeding File No.: 3-13847 Case filed: June 22, 2011 |
08/12/2011 | 11/10/2011 |
| 2011-104 | SEC v. Millennium Bank, United Trust of Switzerland S.A., UT of S, LLC, Millennium Financial Group, William J. Wise d/b/a Sterling Administration, d/b/a Sterling Investment Services, d/b/a Millennium Aviation, Kristi M. Hoegel, a/k/a Kristi M. Christopher, a/k/a Bessy Lu, Jacqueline S. Hoegel, a/k/a Jacquline S. Hoegel, a/k/a Jackie S. Hoegel, Philippe Angeloni, and Brijesh Chopra Case number: 09-cv-050 (United States District Court for the Northern District of Texas) Case filed: March 26, 2009 |
08/12/2011 | 11/10/2011 |
| 2011-103 | SEC v. Mike Watson Capital LLC, Michael P. Watson, and Joshua F. Escobeda Case number: 11-cv-00275 (United States District Court for the District of Utah) Case filed: March 23, 2011 |
08/12/2011 | 11/10/2011 |
| 2011-102 | SEC v. Merrill Scott & Associates Ltd., Merrill Scott & Associates, Inc., Phoenix Overseas Advisors Ltd., Gilbralter Permanente Assurance, Ltd., Patrick M. Brody, David E. Ross II, and Michael Licopantis Case number: 02-cv-0039 (United States District Court for the District of Utah) Case filed: January 15, 2002 |
08/12/2011 | 11/10/2011 |
| 2011-101 | In the Matter of Merrill Lynch, Pierce, Fenner & Smith, Incorporated Administrative Proceeding File No.: 3-14204 Case filed: January 25, 2011 |
08/12/2011 | 11/10/2011 |
| 2011-100 | SEC v. Paul P. Merklinger and Encore Associated Leasing, LLC Case number: 08-cv-13184 (United States District Court for the Eastern District of Michigan) Case filed: July 24, 2008 |
08/12/2011 | 11/10/2011 |
| 2011-99 | SEC v. Merchant Capital LLC, Steven C. Wyer, and Kurt Beasley Case number: 02-cv-2984 (United States District Court for the Northern District of Georgia) Case filed: November 4, 2002 |
08/12/2011 | 11/10/2011 |
| 2011-98 | SEC v. Michael J. McNaul, II, Dale C. Lucas, Gregg Krause, Lloyd F. Nunns, Russell W. Kilgariff, Steven L. Tallman, Freddie J. Hembree, Raymond L. Leonard, Jr., Mid Western Natural Gas, Inc., and Mark DuBoise Case number: 08-cv-1159 (United States District Court for the District of Kansas) Case filed: May 28, 2008 |
08/12/2011 | 11/10/2011 |
| 2011-97 | SEC v. Carol McKeown, Daniel F. Ryan, Meadow Vista Financial Corp., and Downshire Capital, Inc. Case number: 10-80748 (United States District Court for the Southern District of Florida) Case filed: June 23, 2010 |
08/12/2011 | 11/10/2011 |
| 2011-96 | SEC v. Ian McCarthy Case number: 11-cv-667 (United States District Court for the Northern District of Georgia) Case filed: March 3, 2011 |
08/12/2011 | 11/10/2011 |
| 2011-95 | SEC v. Maxwell Technologies, Inc. Case number: 11-cv-00258 (United States District Court for the District of Columbia) Case filed: January 31, 2011 |
08/12/2011 | 11/10/2011 |
| 2011-94 | SEC v. Javeed A. Matin and Wilshire Equity, Inc. Case number: 10-cv-1686 (United States District Court for the Central District of California) Case filed: November 1, 2010 |
08/12/2011 | 11/10/2011 |
| 2011-93 | SEC v. Amit Mathur and Entrust Capital Mangement, Inc. Case number: 05-cv-10729 (United States District Court for the District of Massachusetts) Case filed: April 12, 2005 |
08/12/2011 | 11/10/2011 |
| 2011-92 | SEC v. Madison Real Estate Group LLC, Richard Ames Higgins, Brandon S. Higgins, and Allan D. Christensen Case number: 08-cv-00243 (United States District Court for the District of Utah) Case filed: March 28, 2008 |
08/12/2011 | 11/10/2011 |
| 2011-91 | SEC v. Alero Odell Mack, Jr.; Steven Enrico Lopez, Sr.; Easy Equity Asset Management, Inc.; Easy Equity Management, L.P.; Easy Equity Partners, L.P.; Alero Equities the Real Estate Company, L.L.C.; and Alero I.X. Corporation Case number: 10-cv-8383 (United States District Court for the Central District of California) Case filed: November 4, 2010 |
08/12/2011 | 11/10/2011 |
| 2011-90 | SEC v. Alfred Clay Ludlum III, Printz Capital Management LLC, Printz Financial Group, Inc., and PCM Global Holdings LLC Case number: 10-cv-7379 (United States District Court for Eastern District of Pennsylvania) Case filed: December 20, 2010 |
08/12/2011 | 11/10/2011 |
| 2011-89 | In the Matter of Lovelock & Lewes, Price Waterhouse, Bangalore, Price Waterhouse & Co., Bangalore, Price Waterhouse, Calcutta, and Price Waterhouse & Co, Calcutta Administrative Proceeding File No.: 3-14321 Case filed: April 5, 2011 |
08/12/2011 | 11/10/2011 |
| 2011-88 | SEC v. Locke Capital Management, Inc. and Leila C. Jenkins Case number: 09-cv-100 (United States District Court for the District of Rhode Island) Case filed: March 9, 2009 |
08/12/2011 | 11/10/2011 |
| 2011-87 | SEC v. Brian N. Lines, Scott G.S. Lines, LOM (Holdings) Ltd., Lines Overseas Management Ltd., LOM Capital Ltd., LOM Securities (Bermuda) Ltd., LOM Securities (Cayman) Ltd., LOM Securities (Bahamas) Ltd., Anthony W. Wile, Wayne E. Wile, Robert J. Chapman, William Todd Peever, Phillip James Curtis, and Ryan G. Leeds Case number: 07-cv-11387 (United States District Court for the Southern District of New York) Case filed: December 19, 2007 |
08/12/2011 | 11/10/2011 |
| 2011-86 | In the Matter of Level Global Investors LP Administrative Proceeding File No.: 3-14443 Case filed: June 28, 2011 |
08/12/2011 | 11/10/2011 |
| 2011-85 | SEC v. John W. Lawton, Paramount Partners LP, and Crossroad Capital Management LLC Case number: 09-cv-368 (United States District Court for the District of Minnesota) Case filed: February 18, 2009 |
08/12/2011 | 11/10/2011 |
| 2011-84 | In the Matter of KPMG Australia Administrative Proceeding File No.: 3-14276 Case filed: February 28, 2011 |
08/12/2011 | 11/10/2011 |
| 2011-83 | SEC v. Mohit A. Khanna and MAK 1 Enterprises Group LLC Case number: 09-cv-1784 (United States District Court for the Southern District of California) Case filed: August 17, 2009 |
08/12/2011 | 11/10/2011 |
| 2011-82 | SEC v. Michael E.Kelly; Michael P. Kelly; Donald L. Kelly; John L. Corwin; Corporativo Nola, S.A. de C.V.; Resort Holding International (RHI) S.A.; Panorama Communities, S.A.; World Phantasy Tours, Inc. (Viajes Y Fantasia Por El Mundo, S.A.), also d/b/a Majesty Travel; Galaxy Properties Management, S.A.; Yucatan Resorts, S.A. de C.V.; Resort Holdings International, S.A. de C.V; Mark Ruttenberg; Ruttenberg and Associates Financial Marketing, Inc.; Mark G. Meyer; Mark Meyer and Associates, Inc.; Richard E. Riner; Southwest Income Marketing, Inc.; George Phelps, also d/b/a Safe Estate Plans; John E. Tencza also d/b/a American Investment Management Group, Inc.; American Elder Group, L.L.C.; Carl Q. Lee; Carl Lee and Associates, Inc.; Roy D. Higgs; Warren T. Chambers; William K. Boston, Jr.; and Century Estate Planning, Inc. Case number: 07-cv-4979 (United States District Court for the Northern District of Illinois) Case filed: September 5, 2007 |
08/12/2011 | 11/10/2011 |
| 2011-81 | SEC v. Dennis Lee Keating II Case number: 10-cv-00419 (United States District Court for the District of Utah) Case filed: May 6, 2010 |
08/12/2011 | 11/10/2011 |
| 2011-80 | SEC v. K&L International Enterprises, Inc., Signature Leisure, Inc., Signature Worldwide Advisors LLC, Stephen W. Carnes, Lawrence A. Powalisz, Enzyme Environmental Solutions, Inc. and Jared E. Hochstedler Case number: 09-cv-1638 (United States District Court for the Middle District of Florida) Case filed: September 24, 2009 |
08/12/2011 | 11/10/2011 |
| 2011-79 | SEC v. Albert Fase Kaleta and Kaleta Capital Management, Inc. Case number: 09-cv-3674 (United States District Court for the Southern District of Texas) Case filed: November 13, 2009 |
08/12/2011 | 11/10/2011 |
| 2011-78 | SEC v. J.P. Morgan Securities LLC Case number: 11-cv-4206 (United States District Court for the Southern District of New York) Case filed: June 21, 2011 |
08/12/2011 | 11/10/2011 |
| 2011-77 | SEC v. J.P. Morgan Securities LLC Case number: 11-cv-03877 (United States District Court for the District of New Jersey) Case filed: July 7, 2011 |
08/12/2011 | 11/10/2011 |
| 2011-76 | SEC v. Johnson & Johnson Case number: 11-cv-00686 (United States District Court for the District of Columbia) Case filed: April 8, 2011 |
08/12/2011 | 11/10/2011 |
| 2011-75 | SEC v. Carl W. Jasper Case number: 07-cv-6122 (United States District Court for the Northern District of California) Case filed: December 4, 2007 |
08/12/2011 | 11/10/2011 |
| 2011-74 | SEC v. International Realty Holdings, Inc., Ottoniel Medrano, and Leticia Isabel Medrano Case number: 09-cv-01945 (United States District Court for the Central District of California) Case filed: March 23, 2009 |
08/12/2011 | 11/10/2011 |
| 2011-73 | SEC v. Imperia Invest IBC Case number: 10-cv-986 (United States District Court for the District of Utah) Case filed: October 6, 2010 |
08/12/2011 | 11/10/2011 |
| 2011-72 | SEC v. W. Anthony Huff, Danny L. Pixler, Anthony R. Russo, Otha Ray McCartha, and Charles J. Spinelli Case number: 08-cv-60315 (United States District Court for the Southern District of Florida) Case filed: March 6, 2008 |
08/12/2011 | 11/10/2011 |
| 2011-71 | In the Matter of Horseman Capital Management, L.P. Administrative Proceeding File No.: 3-14202 Order filed: January 24, 2011 |
08/12/2011 | 11/10/2011 |
| 2011-70 | SEC v. Homestead Properties LP, Homestead Limited LLC, California Wealth Management Group, d.b.a. IFC Advisory, Heath M. Biddlecome, and William C. Tak Case number: 09-cv-1331 (United States District Court for the Central District of California) Case filed: December 24, 2009 |
08/12/2011 | 11/10/2011 |
| 2011-69 | SEC v. Hedgelender LLC, Daniel W. Stafford, and Fred R. Wahler, Jr. Case number: 09-cv-859 (United States District Court for the Southern District of Ohio) Case filed: September 30, 2009 |
08/12/2011 | 11/10/2011 |
| 2011-68 | SEC v. Gary L. Harden, Sr. and Philip E. Lowery Case number: 05-cv-354 (United States District Court for the Western District of Michigan) Case filed: May 19, 2005 |
08/12/2011 | 11/10/2011 |
| 2011-67 | SEC v. Lowell Gene “Bob” Hancher, Commerce Street Venture Group, Inc., Edward T. Whelan, and Grace Holdings Case number: 11-cv-4005 (United States District Court for the Northern District of Iowa) Case filed: January 13, 2011 |
08/12/2011 | 11/10/2011 |
| 2011-66 | SEC v. Great American Technologies, Inc. and Vincent Setteducate a/k/a Vincent Sette Case number: 07-cv-10694 (United States District Court for the Southern District of New York) Case filed: November 30, 2007 |
08/12/2011 | 11/10/2011 |
| 2011-65 | SEC v. George David Gordon, Joshua Wayne Lankford, and Dean Joseph Sheptycki Case number: 09-cv-061 (United States District Court for the Northern District of Oklahoma) Case filed: February 10, 2009 |
08/12/2011 | 11/10/2011 |
| 2011-64 | SEC v. Lawrence R. Goldfarb and Baystar Capital Management, LLC Case number: 11-cv-0938 (United States District Court for the Northern District of California) Case filed: March 1, 2011 |
08/12/2011 | 11/10/2011 |
| 2011-63 | SEC v. Golden Apple Oil and Gas, Inc., Jay Budd, John Briner, and Ethos Investments, Inc. Case number: 09-cv-07580 (United States District Court for the Southern District of New York) Case filed: August 31, 2009 |
08/12/2011 | 11/10/2011 |
| 2011-62 | SEC v. GlobalSantaFe Corp. Case number: 10-cv-1890 (United States District Court for the District of Columbia) Case filed: November 4, 2010 |
08/12/2011 | 11/10/2011 |
| 2011-61 | SEC v. Global Materials & Services, Inc. f/k/a American Fire Retardant Corp., Stephen F. Owens, ASMAC Financial, Inc., Edify Capital Group, Inc., Eric Ko, and William Woo Case number: 08-cv-881 (United States District Court for the Central District of California) Case filed: August 8, 2008 |
08/12/2011 | 11/10/2011 |
| 2011-60 | SEC v. Global Development & Environmental Resources, Inc., Philip Pritchard, Pietro Cimino, Dante M. Panella, Darko S. Mrakuzic, Anthony M. Cimini, Sr., and Carmine J. Bua Case number: 08-cv-993 (United States District Court for the Middle District of Florida) Case filed: May 23, 2008 |
08/12/2011 | 11/10/2011 |
| 2011-59 | SEC v. Gen-See Capital Corporation a/k/a Gen Unlimited and Richard S. Piccoli Case number: 09-cv-0014 (United States District Court for the Western District of New York) Case filed: January 8, 2009 |
08/12/2011 | 11/10/2011 |
| 2011-58 | SEC v. Jason M. Genet Case number: 09-cv-4215 (United States District Court for the Eastern District of New York) Case filed: September 30, 2009 |
08/12/2011 | 11/10/2011 |
| 2011-57 | SEC v. General Electric Company, Ionics, Inc., and Amersham plc Case number: 10-cv-1258 (United States District Court for the District of Columbia) Case filed: July 27, 2010 |
08/12/2011 | 11/10/2011 |
| 2011-56 | SEC v. Gendreau & Associates, Inc., and Jacques R. Gendreau Case number: 09-cv-3697 (United States District Court for the Central District of California) Case filed: May 26, 2009 |
08/12/2011 | 11/10/2011 |
| 2011-55 | In the Matter of Gartmore Investment Limited Administrative Proceeding File No.: 3-14154 Case filed: December 8, 2010 |
08/12/2011 | 11/10/2011 |
| 2011-54 | SEC v. Galleon Management LP, Raj Rajaratnam, Rajiv Goel, Anil Kumar, Danielle Chiesi, Mark Kurland, Robert Moffat, New Castle Funds LLC, Roomy Khan, Deep Shah, Ali T. Far, Choo-Beng Lee, Far & Lee LLC, Spherix Capital LLC, Ali Hariri, Zvi Goffer, David Plate, Gautham Shankar, Schottenfeld Group LLC, Steven Fortuna, and S2 Capital Management LP Case number: 09-cv-8811 (United States District Court for the Southern District of New York) Case filed: November 5, 2009 |
08/12/2011 | 11/10/2011 |
| 2011-53 | SEC v. FTC Capital Markets, Inc., FTC Emerging Markets, Inc. also d/b/a/ FTC Group, Guillermo David Clamens and Lina Lopez a/k/a Nazly Cucunuba Lopez Case number: 09-cv-4755 (United States District Court for the Southern District of New York) Case filed: May 20, 2009 |
08/12/2011 | 11/10/2011 |
| 2011-52 | SEC v. Gregory Todd Froning Case number: 10-cv-1503 (United States District Court for the Northern District of Texas) Case filed: August 2, 2010 |
08/12/2011 | 11/10/2011 |
| 2011-51 | SEC v. Founding Partners Capital Management Company, William Gunlicks, Sun Capital, Inc., Sun Capital Healthcare, Inc., Founding Partners Stable-Value Fund LP, Founding Partners Stable-Value Fund II LP, Founding Partners Global Fund Ltd., and Founding Partners Hybrid-Value Fund LP Case number: 09-cv-229 (United States District Court for the Middle District of Florida) Case filed: April 20, 2009 |
08/12/2011 | 11/10/2011 |
| 2011-50 | SEC v. Otto Sam Folin, Benchmark Asset Managers LLC, and Harvest Managers LLC Case number: 11-cv-4447 (United States District Court for the Eastern District of Pennsylvania) Case filed: July 12, 2011 |
08/12/2011 | 11/10/2011 |
| 2011-49 | SEC v. Thomas P. Flanagan and Thomas T. Flanagan Case number: 10-cv-4885 (United States District Court for the Northern District of Illinois) Case filed: August 4, 2010 |
08/12/2011 | 11/10/2011 |
| 2011-48 | SEC v. Robert Feinblatt, Jeffrey Yokuty, Trivium Capital Management LLC, Sunil Bhalla, and Shammara Hussain Case number: 11-cv-00170 (United States District Court for the Southern District of New York) Case filed: January 10, 2011 |
08/12/2011 | 11/10/2011 |
| 2011-47 | SEC v. Anthony Fareri, Fareri Financial Services, Inc. d/b/a/ Amerifinancial, and Anthony Fareri & Associates, Inc. Case number: 09-cv-80360 (United States District Court for the Southern District of Florida) Case filed: March 3, 2009 |
08/12/2011 | 11/10/2011 |
| 2011-46 | SEC v. Robert M. Esposito, Gregory A. King, Jack R. Belluscio, and Anscott Industries, Inc. Case number: 08-cv-494 (United States District Court for the Middle District of Florida) Case filed: March 17, 2008 |
08/12/2011 | 11/10/2011 |
| 2011-45 | SEC v. Earthly Mineral Solutions, Inc., Natural Minerals Processing Company, Roy D. Higgs, Frank L. Schwartz, and Rick Lawton Case number: 07-cv-1057 (United States District Court for the District of Nevada) Case filed: August 9, 2007 |
08/12/2011 | 11/10/2011 |
| 2011-44 | SEC v. Martin J. Druffner, Justin F. Ficken, Skifter Ajro, John S. Peffer, Marc J. Bilotti, and Robert E. Shannon Case number: 03-cv-12154 (United States District Court for the District of Massachusetts) Case filed: November 4, 2003 |
08/12/2011 | 11/10/2011 |
| 2011-43 | SEC v. Gianluca Di Nardo, Corralero Holdings, Inc., Oscar Ronzoni, Paolo Busardo, Tatus Corp., and A-Round Investment SA (originally filed as SEC v. One or More Purchasers of Call Options for the Common Stock of DRS Technologies, Inc. and American Power Conversion Corp.) Case number: 08-cv-6609 (United States District Court for the Southern District of New York) Case filed: July 25, 2008 |
08/12/2011 | 11/10/2011 |
| 2011-42 | In the Matter of Diageo plc Administrative Proceeding File No.: 3-14490 Case filed: July 27, 2011 |
08/12/2011 | 11/10/2011 |
| 2011-41 | SEC v. Matthew C. Devlin, Jamil A. Bouchareb, Daniel A. Corbin, Frederick E. Bowers, Thomas R. Faulhaber, Eric A. Holzer, Jeffrey R. Glover, Corbin Investment Holdings LLC, and Augustus Management Case number: 08-cv-11001 (United States District Court for the Southern District of New York) Case filed: December 18, 2008 |
08/12/2011 | 11/10/2011 |
| 2011-40 | SEC v. Dell, Inc., Michael S. Dell, Kevin B. Rollins, James M. Schneider, Leslie L. Jackson, and Nicholas A.R. Dunning Case number: 10-cv-1245 (United States District Court for the District of Columbia) Case filed: July 22, 2010 |
08/12/2011 | 11/10/2011 |
| 2011-39 | In the Matter of Deerfield Capital Corp. and Danielle Valkner, CPA Administrative Proceeding File No.: 3-14216 Case filed: February 2, 2011 |
08/12/2011 | 11/10/2011 |
| 2011-38 | SEC v. Joseph A. Dawson Case number: 11-cv-1615 (United States District Court for the Northern District of Illinois) Case filed: March 8, 2011 |
08/12/2011 | 11/10/2011 |
| 2011-37 | SEC v. Credit Bancorp, Ltd., Credit Bancorp, Inc., Richard Jonathan Blech, Thomas M. Rittweger, and Douglas C. Brandon Case number: 99-cv-11395 (United States District Court for the Southern District of New York) Case filed: November 11, 1999 |
08/12/2011 | 11/10/2011 |
| 2011-36 | SEC v. ConnectAJet.com, Inc., Martin T. Cantu, Martin M. Cantu, Firenze Funds LLC, Timothy T. Page, Testre LP, Verona Funds LLC, and Stephen Fayette Case number: 09-cv-1742 (United States District Court for the Northern District of Texas) Case filed: September 18, 2009 |
08/12/2011 | 11/10/2011 |
| 2011-35 | SEC v. Nicolas Patrick Benoit Condroyer and Gilles Robert Roger Case number: 09-cv-3600 (United States District Court for the Northern District of Georgia) Case filed: December 22, 2009 |
08/12/2011 | 11/10/2011 |
| 2011-34 | SEC v. Comverse Technology, Inc. Case number: 11-cv-1704 (United States District Court for the Eastern District of New York) Case filed: April 7, 2011 |
08/12/2011 | 11/10/2011 |
| 2011-33 | SEC v. Citigroup Inc. Case number: 10-cv-1277 (United States District Court for the District of Columbia) Case filed: July 29, 2010 |
08/12/2011 | 11/10/2011 |
| 2011-32 | SEC v. Randy M. Cho Case number: 09-cv-6261 (United States District Court for the Northern District of Illinois) Case filed: October 27, 2009 |
08/12/2011 | 11/10/2011 |
| 2011-31 | SEC v. Chimay Capital Management Inc. and Guy Albert de Chimay Case number: 10-cv-4582 (United States District Court for the Southern District of New York) Case filed: June 11, 2010 |
08/12/2011 | 11/10/2011 |
| 2011-30 | SEC v. Charles Schwab Investment Management, Charles Schwab & Co., Inc., and Schwab Investments Case number: 11-cv-0136 (United States District Court for the Northern District of California) Case filed: January 11, 2011 |
08/12/2011 | 11/10/2011 |
| 2011-29 | In the Matter of Carlson Capital, LP Administrative Proceeding File No.: 3-14066 Case filed: September 23, 2010 |
08/12/2011 | 11/10/2011 |
| 2011-28 | SEC v. Gaston E. Cantens and Teresita Cantens Case number: 10-cv-20635 (United States District Court for the Southern District of Florida) Case filed: March 3, 2010 |
08/12/2011 | 11/10/2011 |
| 2011-27 | SEC v. Canopy Financial, Inc. and Jeremy J. Blackburn Case number: 09-cv-7429 (United States District Court for the Northern District of Illinois) Case filed: November 30, 2009 |
08/12/2011 | 11/10/2011 |
| 2011-26 | SEC v. Robert L. Buckhannon, Terry D. Rawstern, Dale E. St. Jean, Gregory D. Tindall, Richard D. Mittasch, Christopher T. Paganes, Glenn M. Barikmo, and Imperium Investment Advisors LLC Case number: 10-cv-2859 (United States District Court for the Middle District of Florida) Case filed: December 21, 2010 |
08/12/2011 | 11/10/2011 |
| 2011-25 | In the Matter of Brookside Capital LLC Administrative Proceeding File No.: 3-14444 Case filed: June 28, 2011 |
08/12/2011 | 11/10/2011 |
| 2011-24 | SEC v. BroCo Investments, Inc., and Valery Maltsev Case number: 10-cv-2217 (United States District Court for the Southern District of New York) Case filed: March 15, 2010 |
08/12/2011 | 11/10/2011 |
| 2011-23 | SEC v. Joseph V. Braas and Michael J. Schlager Case number: 11-cv-0087 (United States District Court for the Eastern District of Pennsylvania) Case filed: January 6, 2011 |
08/12/2011 | 11/10/2011 |
| 2011-22 | In the Matter of BNY Mellon Securities LLC Administrative Proceeding File No.: 3-14191 Case filed: January 14, 2011 |
08/12/2011 | 11/10/2011 |
| 2011-21 | SEC v. Carl E. Binette and Peter E. Talbot Case number: 09-cv-30107 (United States District Court for the District Of Massachusetts) Case filed: July 13, 2009 |
08/12/2011 | 11/10/2011 |
| 2011-20 | SEC v. Billion Coupons, Inc. (aka Billion Coupons Investment) and Marvin R. Cooper Case number: 09-cv-00068 (United States District Court for the District of Hawaii) Case filed: February 18, 2009 |
08/12/2011 | 11/10/2011 |
| 2011-19 | SEC v. Berkshire Resources LLC, Berkshire (40L) LLP, Berkshire 2006-5 LLP, Passmore-5 LLP, Gueydan Canal 28-5 LLP, Gulf Coast Development #12 LLP, Drilling Deep in the Louisiana Water J.V., Jason T. Rose, David G. Rose, Mark D. Long, and Yolanda C. Velazquez Case number: 09-cv-00704 (United States District Court for the Southern District of Indiana) Case filed: June 8, 2009 |
08/12/2011 | 11/10/2011 |
| 2011-18 | SEC v. Gregg M.S. Berger, Francis A. Tribble, How Wai Hui, a.k.a. John Hui, Kwong-Chung Chan, a.k.a. Bernard Chan, Xiaoqing Du, a.k.a. Angela Du, Global Peopleline Telecom, Inc., Chi Shing Ng, a.k.a. Daniel Ng, China Digital Media Corporation, Mordechai Broudo, Shay Ben-Asulin, and M-Wise, Inc. Case number: 11-cv-10403 (United States District Court for the Eastern District of Michigan) Case filed: February 1, 2011 |
08/12/2011 | 11/10/2011 |
| 2011-17 | SEC v. Ben-Wal Leasing Company, Ben-Wal Management, Inc., and Jerry E. Benson Case number: 09-cv-6223 (United States District Court for the Central District of California) Case filed: August 26, 2009 |
08/12/2011 | 11/10/2011 |
| 2011-16 | In the Matter of Axa Rosenberg Group LLC, Axa Rosenberg Investment Management LLC, and Barr Rosenberg Research Center, LLC Administrative Proceeding File No.: 3-14224 Case filed: February 3, 2011 |
08/12/2011 | 11/10/2011 |
| 2011-15 | SEC v. Aura Financial Services, Inc., Ronald E. Hardy, Jr., Peter C. Dunne, Qais R. Bhavnagari, Dipin Malla, Sandeep Singh, and Raymond Rapaglia Case number: 09-cv-21592 (United States District Court for the Southern District of Florida) Case filed: June 11, 2009 |
08/12/2011 | 11/10/2011 |
| 2011-14 | In the Matter of Aristeia Capital, LLC Administrative Proceeding File No.: 3-14360 Case filed: May 2, 2011 |
08/12/2011 | 11/10/2011 |
| 2011-13 | SEC v. Sonja Anticevic Case number: 05-cv-6991 (United States District Court for the Southern District of New York) Case filed: August 5, 2005 |
08/12/2011 | 11/10/2011 |
| 2011-12 | SEC v. Daryl O. Anderson Case number: 09-cv-1799 (United States District Court for the District of Nevada) Case filed: September 10, 2009 |
08/12/2011 | 11/10/2011 |
| 2011-11 | In the Matter of American Pegasus LDG LLC, American Pegasus Investment Management Inc., Benjamin P. Chui, Charles E. Hall, Jr. and Triffany Mok Administrative Proceeding File No.: 3-14169 Case filed: December 21, 2010 |
08/12/2011 | 11/10/2011 |
| 2011-10 | SEC v. Amante Corp., Commonwealth Capital Management, Inc., Edward M. Denigris, and William D. Dyer Case number: 09-cv-61716 (United States District Court for the Southern District of Florida) Case filed: October 28, 2009 |
08/12/2011 | 11/10/2011 |
| 2011-9 | SEC v. Alliance One International, Inc. Case number: 10-cv-1319 (United States District Court for the District of Columbia) Case filed: August 6, 2010 |
08/12/2011 | 11/10/2011 |
| 2011-8 | SEC v. Edward A. Allen, David L. Olson, and A&O Investments LLC Case number: 10-cv-1143 (United States District Court for the Northern District of Ohio) Case filed: May 20, 2010 |
08/12/2011 | 11/10/2011 |
| 2011-7 | SEC v. Jacob “Kobi” Alexander, David Kreinberg, and William F. Sorin Case number: 06-cv-3844 (United States District Court for the Eastern District of New York) Case filed: August 9, 2006 |
08/12/2011 | 11/10/2011 |
| 2011-6 | SEC v. Alcatel-Lucent, S.A. Case number: 10-cv-24620 (United States District Court for the Southern District of Florida) Case filed: December 27, 2010 |
08/12/2011 | 11/10/2011 |
| 2011-5 | SEC v. Hazem Khalid Al-Braikan, United Gulf Bank (B.S.C.) E.C., KIPCO Asset Management Co., and Al-Raya Investment Co. Case number: 09-cv-6533 (United States District Court for the Southern District of New York) Case filed: July 23, 2009 |
08/12/2011 | 11/10/2011 |
| 2011-4 | SEC v. Advanced Technologies Group LTD, Alexander Stelmak, and Abelis Raskas Case number: 10-cv-4868 (United States District Court for the Southern District of New York) Case filed: June 23, 2010 |
08/12/2011 | 11/10/2011 |
| 2011-3 | SEC v. David Abish, Christopher Betts, Mark Charvat, Michael Cohn, James Corcoran, Charles Distefano, Paul Feeny, Stephen Gourlay, Brian Kearney, Michael Maccaull, Timothy Matthews, Robert Pratt, Mario Rodriguez, William Scuteri, Scott Siegel, Donald Turney, Andrew Tursi and David Weeks Case number: 00-cv-0978 (United States District Court for the Southern District of New York) Case filed: February 9, 2000 |
08/12/2011 | 11/10/2011 |
| 2011-2 | SEC v. ABB LTD Case number: 10-cv-1648 (United States District Court for the District of Columbia) Case filed: Sept. 29, 2010 |
08/12/2011 | 11/10/2011 |
| 2011-1 | SEC v. Giuseppe Tullio Abatemarco Case number: 10-cv-9527 (United States District Court for the Southern District of New York) Case filed: April 20, 2011 |
08/12/2011 | 11/10/2011 |
"Finally, in deciding upon the appropriate amount of an award, the rule indicates that the Commission will focus on the timeliness and quality of a whistleblower's assistance."