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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

Notices of Covered Action

A bank"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."

Chairman Mary L. Schapiro
May 25, 2011