Notice of Covered Actions
Notice of Covered Actions Table
Notice No.
|
Action
|
Notice Date
|
Claim Due Date
|
---|---|---|---|
Notice No.:2011-194 |
Action: In the Matter of Pipeline Trading Systems LLC, Fred J. Federspiel, and Alfred R. Berkeley III |
Notice Date:12/01/2011 | Claim Due Date:02/29/2012 |
Notice No.:2011-195 |
Action: SEC v. Gregory N. McKnight, and Legisi Holdings, LLC |
Notice Date:12/01/2011 | Claim Due Date:02/29/2012 |
Notice No.:2011-196 |
Action: SEC v. Mark Leslie, Kenneth E. Lonchar, Paul A. Sallaberry, Michael M. Cully, and Douglas S. Newton |
Notice Date:12/01/2011 | Claim Due Date:02/29/2012 |
Notice No.:2011-197 |
Action: SEC v. Integrity Financial AZ LLC, Steven R. Long, Stanley M. Paulic, Walter W. Knitter, and Robert C. Koeller |
Notice Date:12/01/2011 | Claim Due Date:02/29/2012 |
Notice No.:2011-198 |
Action: SEC v. Norman Forrest Germany, Germany Energy Company, and Eb Germany & Sons, LLC |
Notice Date:12/01/2011 | Claim Due Date:02/29/2012 |
Notice No.:2011-199 |
Action: SEC v. Drake Asset Management LLC, and Oliver R. Grace, Jr. |
Notice Date:12/01/2011 | Claim Due Date:02/29/2012 |
Notice No.:2011-200 |
Action: 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 |
Notice Date:12/01/2011 | Claim Due Date:02/29/2012 |
Notice No.:2011-201 |
Action: In the Matter of Banco Espirito Santo S.A. |
Notice Date:12/01/2011 | Claim Due Date:02/29/2012 |
Notice No.:2011-202 |
Action: SEC v. America's Hedge Fund, L.P., Worldwide Partners LLC, and Christian Kuretski |
Notice Date:12/01/2011 | Claim Due Date:02/29/2012 |
Notice No.:2011-193 |
Action: SEC v. Trade-LLC, Philip W. Milton, and William H. Center |
Notice Date:12/01/2011 | Claim Due Date:02/29/2012 |
Notice No.:2011-192 |
Action: In the Matter of Watts Water Technologies, Inc. and Leesen Chang |
Notice Date:12/01/2011 | Claim Due Date:02/29/2012 |
Notice No.:2011-186 |
Action: In the Matter of Barr M. Rosenberg |
Notice Date:11/01/2011 | Claim Due Date:01/30/2012 |
Notice No.:2011-187 |
Action: In the Matter of Hector Gallardo, Michael Zurita, and Orion Trading, LLC |
Notice Date:11/01/2011 | Claim Due Date:01/30/2012 |
Notice No.:2011-188 |
Action: SEC v. James O'Leary, CPA |
Notice Date:11/01/2011 | Claim Due Date:01/30/2012 |
Notice No.:2011-189 |
Action: SEC v. Stanley J. Kowalewski and SJK Investment Management, LLC |
Notice Date:11/01/2011 | Claim Due Date:01/30/2012 |
Notice No.:2011-190 |
Action: SEC v. Mantria Corporation, Troy B. Wragg, Amanda E. Knorr, Speed of Wealth, LLC, Wayde M. McKelvy, and Donna M. McKelvy |
Notice Date:11/01/2011 | Claim Due Date:01/30/2012 |
Notice No.:2011-191 |
Action: In the Matter of RBC Capital Markets, LLC |
Notice Date:11/01/2011 | Claim Due Date:01/30/2012 |
Notice No.:2011-172 |
Action: SEC v. David A. Souza and D.A. Souza Investments, LLC |
Notice Date:10/05/2011 | Claim Due Date:01/03/2012 |
Notice No.:2011-173 |
Action: SEC v. Pegasus Wireless Corporation, Jasper Knabb, and Stephen Durland |
Notice Date:10/05/2011 | Claim Due Date:01/03/2012 |
Notice No.:2011-174 |
Action: SEC v. Gregory L. Reyes, Antonio Canova, and Stephanie Jensen |
Notice Date:10/05/2011 | Claim Due Date:01/03/2012 |
Notice No.:2011-175 |
Action: SEC v. Douglas V. DeCinces, Joseph J. Donohue, Fred Scott Jackson, and Roger A. Wittenbach |
Notice Date:10/05/2011 | Claim Due Date:01/03/2012 |
Notice No.:2011-176 |
Action: SEC v. LADP Acquisition, Inc., William A. Goldstein, and Marc E. Bercoon |
Notice Date:10/05/2011 | Claim Due Date:01/03/2012 |
Notice No.:2011-177 |
Action: SEC v. John Clement and Edgefund Capital, LLC |
Notice Date:10/05/2011 | Claim Due Date:01/03/2012 |
Notice No.:2011-178 |
Action: 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 |
Notice Date:10/05/2011 | Claim Due Date:01/03/2012 |
Notice No.:2011-179 |
Action: SEC v. Joseph R. Porche, Larry R Crowder, Konrad Kafarski, Carlton L. Williams, Gary K. Juncker, and Dale J. Engelhardt |
Notice Date:10/05/2011 | Claim Due Date:01/03/2012 |
Notice No.:2011-180 |
Action: SEC v. Nova Gen Corporation, Margaret Grey, and Paul Randall Fraley |
Notice Date:10/05/2011 | Claim Due Date:01/03/2012 |
Notice No.:2011-181 |
Action: SEC v. Doyle Scott Elliott, Scott Elliott, Inc., Michael J. Xirinachs, Emerald Asset Advisors LLC, Robert L. Weidenbaum, and CLX & Associates, Inc. |
Notice Date:10/05/2011 | Claim Due Date:01/03/2012 |
Notice No.:2011-182 |
Action: SEC v. Wellco Energy LLC, Justin William Rifkin, Patrick V. Looper, Richard G. Pacheco, and Dustin D. White |
Notice Date:10/05/2011 | Claim Due Date:01/03/2012 |
Notice No.:2011-183 |
Action: SEC v. Pharma Holdings, Inc., Edward Klapp IV, and Edward Klapp Jr. |
Notice Date:10/05/2011 | Claim Due Date:01/03/2012 |
Notice No.:2011-184 |
Action: SEC v. Striker Petroleum, LLC, Mark S. Roberts, and Christopher E. Pippin |
Notice Date:10/05/2011 | Claim Due Date:01/03/2012 |
Notice No.:2011-185 |
Action: SEC v. Anthony J. Scolaro, Jr. |
Notice Date:10/05/2011 | Claim Due Date:01/03/2012 |
Notice No.:2011-171 |
Action: 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. |
Notice Date:10/05/2011 | Claim Due Date:01/03/2012 |
Notice No.:2011-160 |
Action: 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 |
Notice Date:08/12/2011 | Claim Due Date:11/10/2011 |
Notice No.:2011-32 |
Action: SEC v. Randy M. Cho |
Notice Date:08/12/2011 | Claim Due Date:11/10/2011 |
Notice No.:2011-159 |
Action: SEC v. Vitesse Semiconductor Corporation, Louis R. Tomasetta, Eugene F. Hovanec, Yatin D. Mody, and Nicole R. Kaplan |
Notice Date:08/12/2011 | Claim Due Date:11/10/2011 |
Notice No.:2011-31 |
Action: SEC v. Chimay Capital Management Inc. and Guy Albert de Chimay |
Notice Date:08/12/2011 | Claim Due Date:11/10/2011 |
Notice No.:2011-158 |
Action: SEC v. Video Without Boundaries, Inc. (d/b/a China Logistics Group Inc), Vernon Jeffrey Harrell, and David J. Aubel |
Notice Date:08/12/2011 | Claim Due Date:11/10/2011 |
Notice No.:2011-157 |
Action: SEC v. Jose O. Vianna, Jr., and Creswell Equities, Inc. |
Notice Date:08/12/2011 | Claim Due Date:11/10/2011 |
Notice No.:2011-156 |
Action: 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 |
Notice Date:08/12/2011 | Claim Due Date:11/10/2011 |
Notice No.:2011-155 |
Action: SEC v. U.S. Pension Trust Corp., U.S. College Trust Corp., Iliana Maceiras, Leonardo Maceiras Jr., and Nildo Verdeja |
Notice Date:08/12/2011 | Claim Due Date:11/10/2011 |
Notice No.:2011-30 |
Action: SEC v. Charles Schwab Investment Management, Charles Schwab & Co., Inc., and Schwab Investments |
Notice Date:08/12/2011 | Claim Due Date:11/10/2011 |
Notice No.:2011-154 |
Action: SEC v. Universal Corporation |
Notice Date:08/12/2011 | Claim Due Date:11/10/2011 |
Notice No.:2011-153 |
Action: SEC v. UBS Financial Services Inc. |
Notice Date:08/12/2011 | Claim Due Date:11/10/2011 |
Notice No.:2011-29 |
Action: In the Matter of Carlson Capital, LP |
Notice Date:08/12/2011 | Claim Due Date:11/10/2011 |
Notice No.:2011-152 |
Action: SEC v. UBS AG |
Notice Date:08/12/2011 | Claim Due Date:11/10/2011 |
Notice No.:2011-151 |
Action: SEC v. Tyson Foods, Inc. |
Notice Date:08/12/2011 | Claim Due Date:11/10/2011 |
Notice No.:2011-28 |
Action: SEC v. Gaston E. Cantens and Teresita Cantens |
Notice Date:08/12/2011 | Claim Due Date:11/10/2011 |
Notice No.:2011-150 |
Action: SEC v. David P. Turner and Ousama N. Naaman |
Notice Date:08/12/2011 | Claim Due Date:11/10/2011 |
Notice No.:2011-27 |
Action: SEC v. Canopy Financial, Inc. and Jeremy J. Blackburn |
Notice Date:08/12/2011 | Claim Due Date:11/10/2011 |
Notice No.:2011-149 |
Action: SEC v. Lambert Vander Tuig, The Carolina Development Company, Inc., and Jonathan Carman |
Notice Date:08/12/2011 | Claim Due Date:11/10/2011 |
Notice No.:2011-26 |
Action: 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 |
Notice Date:08/12/2011 | Claim Due Date:11/10/2011 |
Notice No.:2011-25 |
Action: In the Matter of Brookside Capital LLC |
Notice Date:08/12/2011 | Claim Due Date:11/10/2011 |
Notice No.:2011-24 |
Action: SEC v. BroCo Investments, Inc., and Valery Maltsev |
Notice Date:08/12/2011 | Claim Due Date:11/10/2011 |
Notice No.:2011-148 |
Action: SEC v. Tuco Trading LLC and Douglas G. Frederick |
Notice Date:08/12/2011 | Claim Due Date:11/10/2011 |
Notice No.:2011-147 |
Action: SEC v. Transocean Inc. |
Notice Date:08/12/2011 | Claim Due Date:11/10/2011 |
Notice No.:2011-23 |
Action: SEC v. Joseph V. Braas and Michael J. Schlager |
Notice Date:08/12/2011 | Claim Due Date:11/10/2011 |
Notice No.:2011-146 |
Action: SEC v. Tidewater Inc. |
Notice Date:08/12/2011 | Claim Due Date:11/10/2011 |
Notice No.:2011-22 |
Action: In the Matter of BNY Mellon Securities LLC |
Notice Date:08/12/2011 | Claim Due Date:11/10/2011 |
Notice No.:2011-145 |
Action: SEC v. Thor Industries, Inc. and Mark C. Schwartzhoff |
Notice Date:08/12/2011 | Claim Due Date:11/10/2011 |
Notice No.:2011-144 |
Action: SEC v. TG Capital LLC, Thanh Viet “Jeremy” Cao, and Lodavina Grosnickle |
Notice Date:08/12/2011 | Claim Due Date:11/10/2011 |
Notice No.:2011-21 |
Action: SEC v. Carl E. Binette and Peter E. Talbot |
Notice Date:08/12/2011 | Claim Due Date:11/10/2011 |
Notice No.:2011-143 |
Action: 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 |
Notice Date:08/12/2011 | Claim Due Date:11/10/2011 |
Notice No.:2011-20 |
Action: SEC v. Billion Coupons, Inc. (aka Billion Coupons Investment) and Marvin R. Cooper |
Notice Date:08/12/2011 | Claim Due Date:11/10/2011 |
Notice No.:2011-142 |
Action: In the Matter of TD Ameritrade, Inc. |
Notice Date:08/12/2011 | Claim Due Date:11/10/2011 |
Notice No.:2011-141 |
Action: SEC v. Sun Empire LLC, ECAM LLC a/k/a Empire Capital Asset Management, Delilah A. Proctor, and Shauntel A. Mccoy |
Notice Date:08/12/2011 | Claim Due Date:11/10/2011 |
Notice No.:2011-140 |
Action: SEC v. Robert J. Sucarato d/b/a/ New York Financial Company |
Notice Date:08/12/2011 | Claim Due Date:11/10/2011 |
Notice No.:2011-139 |
Action: SEC v. James D. Sterling |
Notice Date:08/12/2011 | Claim Due Date:11/10/2011 |
Notice No.:2011-138 |
Action: SEC v. Star Exploration, Inc. and James T. Gurgainers |
Notice Date:08/12/2011 | Claim Due Date:11/10/2011 |
Notice No.:2011-137 |
Action: 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 |
Notice Date:08/12/2011 | Claim Due Date:11/10/2011 |
Notice No.:2011-136 |
Action: SEC v. Brian J. Smart, and Smart Assets, LLC |
Notice Date:08/12/2011 | Claim Due Date:11/10/2011 |
Notice No.:2011-135 |
Action: 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 |
Notice Date:08/12/2011 | Claim Due Date:11/10/2011 |
Notice No.:2011-134 |
Action: SEC v. Shidaal Express, Inc. and Mohamud Abdi Ahmed |
Notice Date:08/12/2011 | Claim Due Date:11/10/2011 |
Notice No.:2011-133 |
Action: SEC v. Rodney S. Shehyn, Rodney D. Marr, Donald L. Marr, and Karen S. Leigh |
Notice Date:08/12/2011 | Claim Due Date:11/10/2011 |
Notice No.:2011-132 |
Action: SEC v. Satyam Computer Services Limited d.b.a. Mahindra Satyam |
Notice Date:08/12/2011 | Claim Due Date:11/10/2011 |
Notice No.:2011-131 |
Action: SEC v. Mark E. Salyer |
Notice Date:08/12/2011 | Claim Due Date:11/10/2011 |
Notice No.:2011-130 |
Action: In the Matter of Royal Dutch Shell plc and Shell International Exploration and Production Inc. |
Notice Date:08/12/2011 | Claim Due Date:11/10/2011 |
Notice No.:2011-129 |
Action: 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 |
Notice Date:08/12/2011 | Claim Due Date:11/10/2011 |
Notice No.:2011-128 |
Action: In the Matter of Rockwell Automation, Inc. |
Notice Date:08/12/2011 | Claim Due Date:11/10/2011 |
Notice No.:2011-127 |
Action: SEC v. Rockford Funding Group, LLC |
Notice Date:08/12/2011 | Claim Due Date:11/10/2011 |
Notice No.:2011-126 |
Action: SEC v. Archie Paul Reynolds and Success Trust |
Notice Date:08/12/2011 | Claim Due Date:11/10/2011 |
Notice No.:2011-125 |
Action: SEC v. Regions Bank |
Notice Date:08/12/2011 | Claim Due Date:11/10/2011 |
Notice No.:2011-124 |
Action: SEC v. Steven L. Rattner |
Notice Date:08/12/2011 | Claim Due Date:11/10/2011 |
Notice No.:2011-123 |
Action: SEC v. RAE Systems Inc. |
Notice Date:08/12/2011 | Claim Due Date:11/10/2011 |
Notice No.:2011-122 |
Action: SEC v. Radical Bunny, LLC, Tom Hirsch, Berta Walder, Howard Walder, and Harish Shah |
Notice Date:08/12/2011 | Claim Due Date:11/10/2011 |
Notice No.:2011-18 |
Action: 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. |
Notice Date:08/12/2011 | Claim Due Date:11/10/2011 |
Notice No.:2011-121 |
Action: SEC v. Joseph D. Radcliffe and Michael J. Radcliffe |
Notice Date:08/12/2011 | Claim Due Date:11/10/2011 |
Notice No.:2011-17 |
Action: SEC v. Ben-Wal Leasing Company, Ben-Wal Management, Inc., and Jerry E. Benson |
Notice Date:08/12/2011 | Claim Due Date:11/10/2011 |
Notice No.:2011-120 |
Action: SEC v. Pride International, Inc. |
Notice Date:08/12/2011 | Claim Due Date:11/10/2011 |
Notice No.:2011-119 |
Action: In the Matter of Gordon Brent Pierce, Newport Capital Corp., and Jenirob Company Ltd. |
Notice Date:08/12/2011 | Claim Due Date:11/10/2011 |
Notice No.:2011-16 |
Action: In the Matter of Axa Rosenberg Group LLC, Axa Rosenberg Investment Management LLC, and Barr Rosenberg Research Center, LLC |
Notice Date:08/12/2011 | Claim Due Date:11/10/2011 |
Notice No.:2011-118 |
Action: SEC v. Panalpina, Inc. |
Notice Date:08/12/2011 | Claim Due Date:11/10/2011 |
Notice No.:2011-15 |
Action: SEC v. Aura Financial Services, Inc., Ronald E. Hardy, Jr., Peter C. Dunne, Qais R. Bhavnagari, Dipin Malla, Sandeep Singh, and Raymond Rapaglia |
Notice Date:08/12/2011 | Claim Due Date:11/10/2011 |
Notice No.:2011-117 |
Action: SEC v. One or More Unknown Traders in the Common Stock of Certain Issuers |
Notice Date:08/12/2011 | Claim Due Date:11/10/2011 |
Notice No.:2011-14 |
Action: In the Matter of Aristeia Capital, LLC |
Notice Date:08/12/2011 | Claim Due Date:11/10/2011 |
Notice No.:2011-116 |
Action: SEC v. Onele Trading & Finance Ltd |
Notice Date:08/12/2011 | Claim Due Date:11/10/2011 |
Notice No.:2011-115 |
Action: SEC v. One Equity Corporation, Triangle Equities Group, Inc., Victory Management Group, Inc., Dafcan Finance, Inc., Michael S. Spillan and Melissa K. Spillan |
Notice Date:08/12/2011 | Claim Due Date:11/10/2011 |
Notice No.:2011-114 |
Action: SEC v. Robert Olins, Spatialight, Inc., and Argyle Capital Management Corp. |
Notice Date:08/12/2011 | Claim Due Date:11/10/2011 |
Notice No.:2011-13 |
Action: SEC v. Sonja Anticevic |
Notice Date:08/12/2011 | Claim Due Date:11/10/2011 |
Notice No.:2011-113 |
Action: 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 |
Notice Date:08/12/2011 | Claim Due Date:11/10/2011 |
Notice No.:2011-12 |
Action: SEC v. Daryl O. Anderson |
Notice Date:08/12/2011 | Claim Due Date:11/10/2011 |
Notice No.:2011-11 |
Action: In the Matter of American Pegasus LDG LLC, American Pegasus Investment Management Inc., Benjamin P. Chui, Charles E. Hall, Jr. and Triffany Mok |
Notice Date:08/12/2011 | Claim Due Date:11/10/2011 |
Notice No.:2011-112 |
Action: SEC v. Noble Corporation |
Notice Date:08/12/2011 | Claim Due Date:11/10/2011 |
Notice No.:2011-10 |
Action: SEC v. Amante Corp., Commonwealth Capital Management, Inc., Edward M. Denigris, and William D. Dyer |
Notice Date:08/12/2011 | Claim Due Date:11/10/2011 |
Notice No.:2011-111 |
Action: SEC v. NIC, Inc., Jeffrey S. Fraser, Harry H. Herington, and Eric J. Bur |
Notice Date:08/12/2011 | Claim Due Date:11/10/2011 |
Notice No.:2011-110 |
Action: 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 |
Notice Date:08/12/2011 | Claim Due Date:11/10/2011 |
Notice No.:2011-109 |
Action: SEC v. Joseph P. Nacchio, Robert S. Woodruff, Robin R. Szeliga, Afshin Mohebbi, Gregory M. Casey, James J. Koslowski, and Frank T. Noyes |
Notice Date:08/12/2011 | Claim Due Date:11/10/2011 |
Notice No.:2011-9 |
Action: SEC v. Alliance One International, Inc. |
Notice Date:08/12/2011 | Claim Due Date:11/10/2011 |
Notice No.:2011-108 |
Action: SEC v. Angelo Mozilo, David Sambol, and Eric Sieracki |
Notice Date:08/12/2011 | Claim Due Date:11/10/2011 |
Notice No.:2011-107 |
Action: SEC v. William G. Mortensen and Feng Zheng |
Notice Date:08/12/2011 | Claim Due Date:11/10/2011 |
Notice No.:2011-106 |
Action: SEC v. Brad A. Morrice, Patti M. Dodge, David N. Kenneally |
Notice Date:08/12/2011 | Claim Due Date:11/10/2011 |
Notice No.:2011-8 |
Action: SEC v. Edward A. Allen, David L. Olson, and A&O Investments LLC |
Notice Date:08/12/2011 | Claim Due Date:11/10/2011 |
Notice No.:2011-105 |
Action: In the Matter of Morgan Asset Management, Inc., Morgan Keegan & Company, Inc., James C. Kelsoe, Jr., and Joseph Thompson Weller, CPA |
Notice Date:08/12/2011 | Claim Due Date:11/10/2011 |
Notice No.:2011-104 |
Action: 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 |
Notice Date:08/12/2011 | Claim Due Date:11/10/2011 |
Notice No.:2011-7 |
Action: SEC v. Jacob “Kobi” Alexander, David Kreinberg, and William F. Sorin |
Notice Date:08/12/2011 | Claim Due Date:11/10/2011 |
Notice No.:2011-103 |
Action: SEC v. Mike Watson Capital LLC, Michael P. Watson, and Joshua F. Escobeda |
Notice Date:08/12/2011 | Claim Due Date:11/10/2011 |
Notice No.:2011-102 |
Action: 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 |
Notice Date:08/12/2011 | Claim Due Date:11/10/2011 |
Notice No.:2011-101 |
Action: In the Matter of Merrill Lynch, Pierce, Fenner & Smith, Incorporated |
Notice Date:08/12/2011 | Claim Due Date:11/10/2011 |
Notice No.:2011-6 |
Action: SEC v. Alcatel-Lucent, S.A. |
Notice Date:08/12/2011 | Claim Due Date:11/10/2011 |
Notice No.:2011-5 |
Action: SEC v. Hazem Khalid Al-Braikan, United Gulf Bank (B.S.C.) E.C., KIPCO Asset Management Co., and Al-Raya Investment Co. |
Notice Date:08/12/2011 | Claim Due Date:11/10/2011 |
Notice No.:2011-4 |
Action: SEC v. Advanced Technologies Group LTD, Alexander Stelmak, and Abelis Raskas |
Notice Date:08/12/2011 | Claim Due Date:11/10/2011 |
Notice No.:2011-3 |
Action: 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 |
Notice Date:08/12/2011 | Claim Due Date:11/10/2011 |
Notice No.:2011-2 |
Action: SEC v. ABB LTD |
Notice Date:08/12/2011 | Claim Due Date:11/10/2011 |
Notice No.:2011-1 |
Action: SEC v. Giuseppe Tullio Abatemarco |
Notice Date:08/12/2011 | Claim Due Date:11/10/2011 |
Notice No.:2011-100 |
Action: SEC v. Paul P. Merklinger and Encore Associated Leasing, LLC |
Notice Date:08/12/2011 | Claim Due Date:11/10/2011 |
Notice No.:2011-99 |
Action: SEC v. Merchant Capital LLC, Steven C. Wyer, and Kurt Beasley |
Notice Date:08/12/2011 | Claim Due Date:11/10/2011 |
Notice No.:2011-98 |
Action: 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 |
Notice Date:08/12/2011 | Claim Due Date:11/10/2011 |
Notice No.:2011-97 |
Action: SEC v. Carol McKeown, Daniel F. Ryan, Meadow Vista Financial Corp., and Downshire Capital, Inc. |
Notice Date:08/12/2011 | Claim Due Date:11/10/2011 |
Notice No.:2011-96 |
Action: SEC v. Ian McCarthy |
Notice Date:08/12/2011 | Claim Due Date:11/10/2011 |
Notice No.:2011-95 |
Action: SEC v. Maxwell Technologies, Inc. |
Notice Date:08/12/2011 | Claim Due Date:11/10/2011 |
Notice No.:2011-94 |
Action: SEC v. Javeed A. Matin and Wilshire Equity, Inc. |
Notice Date:08/12/2011 | Claim Due Date:11/10/2011 |
Notice No.:2011-93 |
Action: SEC v. Amit Mathur and Entrust Capital Management, Inc. |
Notice Date:08/12/2011 | Claim Due Date:11/10/2011 |
Notice No.:2011-92 |
Action: SEC v. Madison Real Estate Group LLC, Richard Ames Higgins, Brandon S. Higgins, and Allan D. Christensen |
Notice Date:08/12/2011 | Claim Due Date:11/10/2011 |
Notice No.:2011-91 |
Action: 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 |
Notice Date:08/12/2011 | Claim Due Date:11/10/2011 |
Notice No.:2011-90 |
Action: SEC v. Alfred Clay Ludlum III, Printz Capital Management LLC, Printz Financial Group, Inc., and PCM Global Holdings LLC |
Notice Date:08/12/2011 | Claim Due Date:11/10/2011 |
Notice No.:2011-89 |
Action: In the Matter of Lovelock & Lewes, Price Waterhouse, Bangalore, Price Waterhouse & Co., Bangalore, Price Waterhouse, Calcutta, and Price Waterhouse & Co, Calcutta |
Notice Date:08/12/2011 | Claim Due Date:11/10/2011 |
Notice No.:2011-88 |
Action: SEC v. Locke Capital Management, Inc. and Leila C. Jenkins |
Notice Date:08/12/2011 | Claim Due Date:11/10/2011 |
Notice No.:2011-87 |
Action: 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 |
Notice Date:08/12/2011 | Claim Due Date:11/10/2011 |
Notice No.:2011-86 |
Action: In the Matter of Level Global Investors LP |
Notice Date:08/12/2011 | Claim Due Date:11/10/2011 |
Notice No.:2011-85 |
Action: SEC v. John W. Lawton, Paramount Partners LP, and Crossroad Capital Management LLC |
Notice Date:08/12/2011 | Claim Due Date:11/10/2011 |
Notice No.:2011-84 |
Action: In the Matter of KPMG Australia |
Notice Date:08/12/2011 | Claim Due Date:11/10/2011 |
Notice No.:2011-83 |
Action: SEC v. Mohit A. Khanna and MAK 1 Enterprises Group LLC |
Notice Date:08/12/2011 | Claim Due Date:11/10/2011 |
Notice No.:2011-82 |
Action: 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. |
Notice Date:08/12/2011 | Claim Due Date:11/10/2011 |
Notice No.:2011-81 |
Action: SEC v. Dennis Lee Keating II |
Notice Date:08/12/2011 | Claim Due Date:11/10/2011 |
Notice No.:2011-80 |
Action: 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 |
Notice Date:08/12/2011 | Claim Due Date:11/10/2011 |
Notice No.:2011-79 |
Action: SEC v. Albert Fase Kaleta and Kaleta Capital Management, Inc. |
Notice Date:08/12/2011 | Claim Due Date:11/10/2011 |
Notice No.:2011-78 |
Action: SEC v. J.P. Morgan Securities LLC |
Notice Date:08/12/2011 | Claim Due Date:11/10/2011 |
Notice No.:2011-77 |
Action: SEC v. J.P. Morgan Securities LLC |
Notice Date:08/12/2011 | Claim Due Date:11/10/2011 |
Notice No.:2011-76 |
Action: SEC v. Johnson & Johnson |
Notice Date:08/12/2011 | Claim Due Date:11/10/2011 |
Notice No.:2011-75 |
Action: SEC v. Carl W. Jasper |
Notice Date:08/12/2011 | Claim Due Date:11/10/2011 |
Notice No.:2011-74 |
Action: SEC v. International Realty Holdings, Inc., Ottoniel Medrano, and Leticia Isabel Medrano |
Notice Date:08/12/2011 | Claim Due Date:11/10/2011 |
Notice No.:2011-73 |
Action: SEC v. Imperia Invest IBC |
Notice Date:08/12/2011 | Claim Due Date:11/10/2011 |
Notice No.:2011-71 |
Action: In the Matter of Horseman Capital Management, L.P. |
Notice Date:08/12/2011 | Claim Due Date:11/10/2011 |
Notice No.:2011-70 |
Action: SEC v. Homestead Properties LP, Homestead Limited LLC, California Wealth Management Group, d.b.a. IFC Advisory, Heath M. Biddlecome, and William C. Tak |
Notice Date:08/12/2011 | Claim Due Date:11/10/2011 |
Notice No.:2011-69 |
Action: SEC v. Hedgelender LLC, Daniel W. Stafford, and Fred R. Wahler, Jr. |
Notice Date:08/12/2011 | Claim Due Date:11/10/2011 |
Notice No.:2011-68 |
Action: SEC v. Gary L. Harden, Sr. and Philip E. Lowery |
Notice Date:08/12/2011 | Claim Due Date:11/10/2011 |
Notice No.:2011-67 |
Action: SEC v. Lowell Gene “Bob” Hancher, Commerce Street Venture Group, Inc., Edward T. Whelan, and Grace Holdings |
Notice Date:08/12/2011 | Claim Due Date:11/10/2011 |
Notice No.:2011-66 |
Action: SEC v. Great American Technologies, Inc. and Vincent Setteducate a/k/a Vincent Sette |
Notice Date:08/12/2011 | Claim Due Date:11/10/2011 |
Notice No.:2011-65 |
Action: SEC v. George David Gordon, Joshua Wayne Lankford, and Dean Joseph Sheptycki |
Notice Date:08/12/2011 | Claim Due Date:11/10/2011 |
Notice No.:2011-64 |
Action: SEC v. Lawrence R. Goldfarb and Baystar Capital Management, LLC |
Notice Date:08/12/2011 | Claim Due Date:11/10/2011 |
Notice No.:2011-63 |
Action: SEC v. Golden Apple Oil and Gas, Inc., Jay Budd, John Briner, and Ethos Investments, Inc. |
Notice Date:08/12/2011 | Claim Due Date:11/10/2011 |
Notice No.:2011-62 |
Action: SEC v. GlobalSantaFe Corp. |
Notice Date:08/12/2011 | Claim Due Date:11/10/2011 |
Notice No.:2011-61 |
Action: 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 |
Notice Date:08/12/2011 | Claim Due Date:11/10/2011 |
Notice No.:2011-60 |
Action: 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 |
Notice Date:08/12/2011 | Claim Due Date:11/10/2011 |
Notice No.:2011-59 |
Action: SEC v. Gen-See Capital Corporation a/k/a Gen Unlimited and Richard S. Piccoli |
Notice Date:08/12/2011 | Claim Due Date:11/10/2011 |
Notice No.:2011-58 |
Action: SEC v. Jason M. Genet |
Notice Date:08/12/2011 | Claim Due Date:11/10/2011 |
Notice No.:2011-57 |
Action: SEC v. General Electric Company, Ionics, Inc., and Amersham plc |
Notice Date:08/12/2011 | Claim Due Date:11/10/2011 |
Notice No.:2011-56 |
Action: SEC v. Gendreau & Associates, Inc., and Jacques R. Gendreau |
Notice Date:08/12/2011 | Claim Due Date:11/10/2011 |
Notice No.:2011-55 |
Action: In the Matter of Gartmore Investment Limited |
Notice Date:08/12/2011 | Claim Due Date:11/10/2011 |
Notice No.:2011-54 |
Action: 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 |
Notice Date:08/12/2011 | Claim Due Date:11/10/2011 |
Notice No.:2011-53 |
Action: 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 |
Notice Date:08/12/2011 | Claim Due Date:11/10/2011 |
Notice No.:2011-52 |
Action: SEC v. Gregory Todd Froning |
Notice Date:08/12/2011 | Claim Due Date:11/10/2011 |
Notice No.:2011-50 |
Action: SEC v. Otto Sam Folin, Benchmark Asset Managers LLC, and Harvest Managers LLC |
Notice Date:08/12/2011 | Claim Due Date:11/10/2011 |
Notice No.:2011-49 |
Action: SEC v. Thomas P. Flanagan and Thomas T. Flanagan |
Notice Date:08/12/2011 | Claim Due Date:11/10/2011 |
Notice No.:2011-48 |
Action: SEC v. Robert Feinblatt, Jeffrey Yokuty, Trivium Capital Management LLC, Sunil Bhalla, and Shammara Hussain |
Notice Date:08/12/2011 | Claim Due Date:11/10/2011 |
Notice No.:2011-47 |
Action: SEC v. Anthony Fareri, Fareri Financial Services, Inc. d/b/a/ Amerifinancial, and Anthony Fareri & Associates, Inc. |
Notice Date:08/12/2011 | Claim Due Date:11/10/2011 |
Notice No.:2011-46 |
Action: SEC v. Robert M. Esposito, Gregory A. King, Jack R. Belluscio, and Anscott Industries, Inc. |
Notice Date:08/12/2011 | Claim Due Date:11/10/2011 |
Notice No.:2011-45 |
Action: SEC v. Earthly Mineral Solutions, Inc., Natural Minerals Processing Company, Roy D. Higgs, Frank L. Schwartz, and Rick Lawton |
Notice Date:08/12/2011 | Claim Due Date:11/10/2011 |
Notice No.:2011-44 |
Action: SEC v. Martin J. Druffner, Justin F. Ficken, Skifter Ajro, John S. Peffer, Marc J. Bilotti, and Robert E. Shannon |
Notice Date:08/12/2011 | Claim Due Date:11/10/2011 |
Notice No.:2011-43 |
Action: 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.) |
Notice Date:08/12/2011 | Claim Due Date:11/10/2011 |
Notice No.:2011-42 |
Action: In the Matter of Diageo plc |
Notice Date:08/12/2011 | Claim Due Date:11/10/2011 |
Notice No.:2011-41 |
Action: 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 |
Notice Date:08/12/2011 | Claim Due Date:11/10/2011 |
Notice No.:2011-40 |
Action: SEC v. Dell, Inc., Michael S. Dell, Kevin B. Rollins, James M. Schneider, Leslie L. Jackson, and Nicholas A.R. Dunning |
Notice Date:08/12/2011 | Claim Due Date:11/10/2011 |
Notice No.:2011-39 |
Action: In the Matter of Deerfield Capital Corp. and Danielle Valkner, CPA |
Notice Date:08/12/2011 | Claim Due Date:11/10/2011 |
Notice No.:2011-72 |
Action: SEC v. W. Anthony Huff, Danny L. Pixler, Anthony R. Russo, Otha Ray McCartha, and Charles J. Spinelli |
Notice Date:08/12/2011 | Claim Due Date:11/10/2011 |
Notice No.:2011-38 |
Action: SEC v. Joseph A. Dawson |
Notice Date:08/12/2011 | Claim Due Date:11/10/2011 |
Notice No.:2011-37 |
Action: SEC v. Credit Bancorp, Ltd., Credit Bancorp, Inc., Richard Jonathan Blech, Thomas M. Rittweger, and Douglas C. Brandon |
Notice Date:08/12/2011 | Claim Due Date:11/10/2011 |
Notice No.:2011-51 |
Action: 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 |
Notice Date:08/12/2011 | Claim Due Date:11/10/2011 |
Notice No.:2011-36 |
Action: 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 |
Notice Date:08/12/2011 | Claim Due Date:11/10/2011 |
Notice No.:2011-35 |
Action: SEC v. Nicolas Patrick Benoit Condroyer and Gilles Robert Roger |
Notice Date:08/12/2011 | Claim Due Date:11/10/2011 |
Notice No.:2011-34 |
Action: SEC v. Comverse Technology, Inc. |
Notice Date:08/12/2011 | Claim Due Date:11/10/2011 |
Notice No.:2011-33 |
Action: SEC v. Citigroup Inc. |
Notice Date:08/12/2011 | Claim Due Date:11/10/2011 |
Notice No.:2011-19 |
Action: 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 |
Notice Date:08/12/2011 | Claim Due Date:11/10/2011 |
Notice No.:2011-170 |
Action: SEC v. ZNext Mining Corporation, Inc. and Elvira G. Gamboa |
Notice Date:08/12/2011 | Claim Due Date:11/10/2011 |
Notice No.:2011-161 |
Action: SEC v. Martin T. Wegener, Wealth Resources LLC, and Wealth Resources, Inc. |
Notice Date:08/12/2011 | Claim Due Date:11/10/2011 |
Notice No.:2011-162 |
Action: In the Matter of Wells Fargo Securities LLC (f/k/a Wachovia Capital Markets LLC) |
Notice Date:08/12/2011 | Claim Due Date:11/10/2011 |
Notice No.:2011-163 |
Action: SEC v. Darrel West and Own My Travel LLC |
Notice Date:08/12/2011 | Claim Due Date:11/10/2011 |
Notice No.:2011-164 |
Action: 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 |
Notice Date:08/12/2011 | Claim Due Date:11/10/2011 |
Notice No.:2011-165 |
Action: SEC v. David A. Williams, Sherwood Secured Income Fund, LLC, WFG Holdings, Inc., and Williams Financial Group, LLC |
Notice Date:08/12/2011 | Claim Due Date:11/10/2011 |
Notice No.:2011-166 |
Action: SEC v. Winning Kids, Inc., Christian Hainsworth, Robert Comiskey, Edward Tamimi, and Victor Selenow |
Notice Date:08/12/2011 | Claim Due Date:11/10/2011 |
Notice No.:2011-167 |
Action: SEC v. Stuart H. Wolff and Peter B. Tafeen |
Notice Date:08/12/2011 | Claim Due Date:11/10/2011 |
Notice No.:2011-168 |
Action: SEC v. Travis L. Wright |
Notice Date:08/12/2011 | Claim Due Date:11/10/2011 |
Notice No.:2011-169 |
Action: SEC v. Louis W. Zehil, Strong Branch Ventures IV LP, and Chestnut Capital Partners II, LLC |
Notice Date:08/12/2011 | Claim Due Date:11/10/2011 |