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Litigation Releases

The list below provides links to litigation releases concerning civil lawsuits brought by the Commission in federal court.
Third Quarter |  Second Quarter | First Quarter

Additional Archives

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Release No. Date Action
Fourth Quarter
LR-23116 Oct. 21, 2014 Subaye, Inc. and James T. Crane
LR-23115 Oct. 17, 2014 Dennis F. Wright
LR-23114 Oct. 15, 2014 Stephen D. Ferrone, et al.
LR-23112 Oct. 15, 2014 iShopNoMarkup.com, Inc., et al.
LR-23111 Oct. 10, 2014 Edwin Yoshihiro Fujinaga and MRI International, Inc., et al.
LR-23110 Oct. 10, 2014 8000, Inc., Jonathan E. Bryant, Thomas J. Kelly, and Carl N. Duncan, Esq.
LR-23109 Oct. 10, 2014 The Estate of Vincent James Saviano and Palmetto Investments LLC
See also: SEC Complaint
LR-23108 Oct. 8, 2014 Paul T. Mannion, Jr., et al.
LR-23107 Oct. 8, 2014 Geoffrey J. Eiten and National Financial Communications Corp.
LR-23106 Oct. 8, 2014 Nationwide Automated Systems, Inc. et al.
See also: SEC Complaint
LR-23105 Oct. 6, 2014 Puglisi, et al.
LR-23104 Oct. 6, 2014 Nikolai Battoo, BC Capital Group S.A. (Panama), BC Capital Group Limited (Hong Kong), and Tracy Lee Sunderlage
LR-23103 Oct. 3, 2014 Patrick G. Rooney, John R. Rooney, and Positron Corporation
LR-23102 Oct. 1, 2014 Oscar F. Villarreal
Third Quarter
LR-23101 Sep. 30, 2014 George B. Franz III
LR-23100 Sep. 30, 2014 Dennis F. Wright
Other Release No.:
See also: SEC Complaint
LR-23098 Sep. 30, 2014 Wealth Strategy Partners, LC, et al.
LR-23099 Sep. 30, 2014 Lee Cole, et al.
LR-23097 Sep. 30, 2014 Thomas Abdallah, et al.
LR-23096 Sep. 29, 2014 China Valves Technology, Inc., et al.
See also: SEC Complaint
LR-23095 Sep. 29, 2014 Michael B. Ferguson and Transactions Unlimited
LR-23094 Sep. 29, 2014 Erick Laszlo Mathe and Ashif Jiwa
See also: SEC Complaint
LR-23093 Sep. 25, 2014 Marlon Quan, et al.,
LR-23092 Sep. 25, 2014 Spencer Pharmaceutical Inc., et al.
LR-23091 Sep. 23, 2014 Zhunrize, Inc.
See also: SEC Complaint
LR-23090 Sep. 22, 2014 Trendon T. Shavers and Bitcoin Savings and Trust
LR-23089 Sep. 22, 2014 Frank Tamayo
LR-23088 Sep. 19, 2014 Craig A. Karlis, et al.
LR-23087 Sep. 18, 2014 Cope
See also: SEC Complaint
LR-23086 Sep. 17, 2014 Dimitry Braveman and Vitaly Pupynin
See also: SEC Complaint
LR-23085 Sep. 16, 2014 Abatement Corp. Holding Company Limited, et al.
See also: SEC Complaint
LR-23084 Sep. 16, 2014 Joseph D. Stilwell
LR-23083 Sep. 15, 2014 DDBO Consulting, Inc./CalPacific Equity Group, LLC, et al.
LR-23082 Sep. 12, 2014 Edward Henderson and Paul Desjourdy
LR-23081 Sep. 10, 2014 Heart Tronics, Inc., et al.
LR-23080 Sep. 9, 2014 Steven R. Markusen, et al.
LR-23079 Sep. 5, 2014 Jesse C. Litvak
LR-23078 Sep. 4, 2014 Michael Lee and ZipGlobal Holdings, Inc. (Corrected)
LR-23077 Sep. 4, 2014 Justin Moongyu Lee, et al.
LR-23076   (Intentionally omitted)
LR-23075 Aug. 28, 2014 Blake Richards
LR-23074 Aug. 26, 2014 Michael Anthony Dupre Lucarelli
LR-23073 Aug. 26, 2014 Oscar F. Villarreal
See also: SEC Complaint
LR-23072 Aug. 21, 2014 Andrew I. Farmer, et al.
LR-23071 Aug. 19, 2014 Heidi Ann Gamer, Gamer Economic Systems, LLC, and Gamer Media Partners Corp.
See also: SEC Complaint
LR-23070 Aug. 18, 2014 J. Patrick O’Neill and Robert H. Bray
See also: SEC Complaint
LR-23069 Aug. 15, 2014 Moshe Manoah and Blair G. Schlossberg
See also: SEC Complaint
LR-23068 Aug. 14, 2014 Donald S. Toth and James A. Nash
See also: SEC Complaint
LR-23067 Aug. 14, 2014 Joseph D. Stilwell
See also: Order to Show Cause; Application and Memorandum
LR-23066 Aug. 13, 2014 Sage Advisory Group, LLC and Benjamin Lee Grant
LR-23065 Aug. 13, 2014 Garber et al. (Corrected)
LR-23064 Aug. 11, 2014 BIH Corporation, et al.
See also: Statement by Andrew Ceresney
LR-23063 Aug. 8, 2014 Julian R. Brown and Alliance Investment Management Limited
See also: SEC Complaint
LR-23062 Aug. 8, 2014 AIC, Inc., et al.,
LR-23061 Aug. 7, 2014 Anthony G. Blumberg
See also: SEC Complaint
LR-23060 Aug. 7, 2014 Rudolf D. Pameijer, et al.
LR-23059 Aug. 4, 2014 Walter Ng, Kelly Ng, Bruce Horwitz, and The Mortgage Fund, LLC
LR-23058 Aug. 4, 2014 John Thornes, Defendant, and Christopher Burnell, Kyle Larick, and Doreen Thornes, Relief Defendants
See also: SEC Complaint
LR-23057 Aug. 1, 2014 Robert Hurd, Your Best Memories International Inc. and Kenneth Gross
LR-23056 Aug. 1, 2014 Robert Glenn Bard, et al.
LR-23055 Aug. 1, 2014 M. "Shi" Shailendra
See also: SEC Complaint
LR-23054 Aug. 1, 2014 Freedom Foundation, et al.
See also: SEC Complaint
LR-23053 Jul. 31, 2014 Donna Jessee Tucker
See also: SEC Complaint
LR-23052 Jul. 29, 2014 MSGI Technology Solutions, Inc., and J. Jeremy Barbera
See also: SEC Complaint
LR-23051 Jul. 25, 2014 Volt Information Sciences, Inc. and Debra L. Hobbs; Jack J. Egan, Jr.
Other Release Nos.: AAER-3569 and AAER-3570
LR-23050 Jul. 24, 2014 International Stock Transfer Inc and Cecil Frederick Speight
See also: SEC Complaint
LR-23049 Jul. 22, 2014 Kevin McGrath
LR-23048 Jul. 22, 2014 Cedric Cañas Maillard, et al.
LR-23047 Jul. 18, 2014 Christopher Plummer, Lex M. Cowsert, and CytoGenix, Inc.
See also: SEC Complaint
LR-23046 Jul. 17, 2014 Abraxas J. Discala, Marc E. Wexler, Matthew A. Bell, Craig L. Josephberg, and Ira Shapiro
See also: SEC Complaint
LR-23045 Jul. 16, 2014 Patrick G. Rooney and Solaris Management, LLC
LR-23044 Jul. 15, 2014 Bernard H. Butts, Jr., Fotios Geivelis, Jr., also known as Frank Anastasio, Worldwide Funding III Limited LLC, Douglas J. Anisky, Sidney Banner, Express Commercial Capital LLC, James Baggs (Defendants), Bernard H. Butts, Jr. PA, Butts Holding Corporation, Margaret A. Hering, Global Worldwide Funding Ventures, Inc., and PW Consulting Group LLC (Relief Defendants)
LR-23043 Jul. 11, 2014 Robert G. Pearson and Illinois Stock Transfer Company (d/b/a/ ist Shareholder Services)
LR-23042 Jul. 11, 2014 Tyson D. Williams and Stanley D. Parrish
LR-23041 Jul. 11, 2014 Michael Affa, Andrew Affa, Mitchell Brown, Christopher Putnam, and Christopher Nix
See also: SEC Complaint
LR-23040 Jul. 11, 2014 Eric McPhail, et al.
See also: SEC Complaint
LR-23039 Jul. 8, 2014 John Babikian
LR-23038 Jul. 7, 2014 Mark A. Jackson and James J. Ruehlen
LR-23037 Jul. 3, 2014 Bruce Alpert
LR-23036 Jul. 2, 2014 Todd A. Duckson, et al.
Second Quarter
LR-23035 Jun. 30, 2014 Marcus Luna, Nathan Montgomery, Adam Daskivich, David Murtha, St. Paul Venture Fund LLC, Minnesota Venture Capital, Inc., Real Estate of Minnesota, Inc., Matrix Venture Capital, Inc.
LR-23034 Jun. 30, 2014 OM Investment Management LLC et al.
LR-23033 Jun. 27, 2014 AutoChina International Limited, Hui Kai Yan, Rui Ge Dong, Victory First Limited, Rainbow Yield Limited, Yong Qi Li, Ai Xi Ji, Ye Wang, Zhong Wen Zhang, Li Xin Ma, Yong Li Li, and Shu Ling Li
LR-23032 Jun. 26, 2014 Cheryl L. Robinson
See also: SEC Complaint
LR-23031 Jun. 25, 2014 Daryl M. Payton and Benjamin Durant III
See also: SEC Complaint
LR-23030 Jun. 24, 2014 Vineet Kalucha et al.
LR-23029 Jun. 24, 2014 Thomas Gaffney et al.
LR-23028 Jun. 24, 2014 Mark Balbirer
LR-23027 Jun. 24, 2014 Lance T. Berger
LR-23026 Jun. 23, 2014 Weston Capital Asset Management LLC, et al.
See also: SEC Complaint
LR-23025   (Intentionally omitted)
LR-23024 Jun. 17, 2014 John Lazorchak, et al.
LR-23023 Jun. 16, 2014 Scott Valente et al.
LR-23022 Jun. 13, 2014 Saleem Khan, et al.
See also: SEC Complaint
LR-23021 Jun. 13, 2014 Lawrence P. Schmidt, Commercial Equity Partners, Ltd, FutureGen Company (d/b/a FutureGen Capital), FGC Distressed Assets Investment #1, LLC; FutureGen Capital DDA CG Fund LLC; FGC Tax Lien Fund #2, LLC; FGC Trading Fund #1 LLC; FGC SPE NO 1 LLC; FGC SPE NO 2 LLC; and FGC CM Note Fund LLC
LR-23020 Jun. 12, 2014 Luis Chang and Everbright Development Overseas Limited
See also: SEC Complaint
LR-23019 Jun. 11, 2014 Robert Hurd, Your Best Memories International Inc. and Kenneth Gross
LR-23018 Jun. 10, 2014 Michael J. Baron
See also: SEC Complaint
LR-23017 Jun. 10, 2014 Henry Morris, et al.
LR-23016 Jun. 10, 2014 E-Monee.com, Inc. et al.
LR-23015 Jun. 5, 2014 Charles J. Dushek, et al.
LR-23014 Jun. 4, 2014 Giuseppe Pino Baldassarre, Robert Mouallem, and Malcolm Stockdale
LR-23013 Jun. 4, 2014 Arrowood
LR-23012 Jun. 3, 2014 Scott Valente and The ELIV Group, LLC
See also: SEC Complaint
LR-23011 Jun. 2, 2014 Nelson J. Obus, Peter F. Black, Thomas Bradley Strickland, et. al.
LR-23010 May 30, 2014 Steven McCraw
See also: SEC Complaint
LR-23009 May 29, 2014 Richard K. Olive and Susan L. Olive
LR-23008 May 29, 2014 Neal V. Goyal, et al.
See also: SEC Complaint
LR-23007 May 28, 2014 Robert G. Pearson and Illinois Stock Transfer Company d/b/a IST Shareholder Services
See also: SEC Complaint
LR-23006 May 28, 2014 Inofin, Inc., Michael J. Cuomo, Kevin J. Mann, et al.
LR-23005 May 28, 2014 Gendarme Capital Corporation, et al.
LR-23004 May 27, 2014 Ronald L. Drewery
LR-23003 May 27, 2014 DGSE Companies Inc. and I. John Benson
See also: SEC Complaint
LR-23002 May 23, 2014 Edward Henderson; Paul Desjourdy; Edward Henderson and Paul Desjourdy; James Wheeler; James Wheeler and MicroHoldings US, Inc.; Michael Lee; Michael Lee and ZipGlobal Holdings, Inc.
LR-23001 May 23, 2014 Frederick J. O’Meally, et al.
LR-23000 May 22, 2014 Kevin McKnight and Stephen C. Bauer; Jeffrey M. Berkowitz; Eric S. Brown; Richard A. Altomare; Billy V. Ray, Jr., Wade Clark, and Urban AG Corporation
See also Complaints: Kevin McKnight and Stephen C. Bauer; Jeffrey M. Berkowitz; Eric S. Brown; Richard A. Altomare; Billy V. Ray, Jr., Wade Clark, and Urban AG Corporation
LR-22999 May 22, 2014 Glenn Cohen et al.
See also: SEC Complaint
LR-22998 May 22, 2014 Steven B. Heinz, S.B. Heinz & Associates, Inc.
LR-22997 May 21, 2014 Gaeton S. Della Penna et al.
See also: SEC Complaint
LR-22996 May 19, 2014 Franklin M. Chu and Daniel J. Lama
See also Complaints: Franklin M. Chu and Daniel J. Lama
LR-22995 May 16, 2014 Douglas E. Cowgill and Professional Investment Management, Inc.
LR-22994 May 16, 2014 Vineet Kalucha et al.
LR-22993 May 15, 2014 Behrooz Sarafraz
See also: SEC Complaint
LR-22992 May 13, 2014 TelexFree, Inc. et al.
LR-22991 May 13, 2014 Derek Cohen, Michael Fleischli and Robert Herman
See also: SEC Complaint
LR-22990 May 13, 2014 Charles Couch and Couch Oil & Gas, Inc.
See also: SEC Complaint
LR-22989 May 12, 2014 Herbert Richard Lawson, William B. Lawson, and John J. Cerullo
See also: SEC Complaint
LR-22988 May 9, 2014 Vineet Kalucha et al.
LR-22987 May 7, 2014 John Campani, John Mullin, and Alan Posner
LR-22986 May 7, 2014 S. Paul Kelley, et al.
See also: SEC Complaint
LR-22985 May 5, 2014 Douglas E. Cowgill and Professional Investment Management, Inc.
LR-22984 May 2, 2014 Allen Ross Smith
LR-22983 Apr. 30, 2014 Barry R. Bekkedam
See also: SEC Complaint
LR-22982 Apr. 30, 2014 American Pension Services, Inc. and Curtis DeYoung
LR-22981 Apr. 29, 2014 Saridakis, et al.
LR-22980 Apr. 29, 2014 Charles Vista, LLC
LR-22979 Apr. 28, 2014 Guardian Oil & Gas, Inc., Guardian Oil and Natural Gas, Inc., and Rick D. Mullins
LR-22978 Apr. 28, 2014 James L. Erwin and Joint Venture Solutions, Inc.
See also: SEC Complaint
LR-22977 Apr. 23, 2014 Vitale, et al.
See also: SEC Complaint
LR-22976 Apr. 23, 2014 Gurudeo Persaud
LR-22975 Apr. 17, 2014 Keith A. Seilhan
See also: SEC Complaint
LR-22974 Apr. 17, 2014 TelexFree, Inc. et al.
See also: SEC Complaint
LR-22973 Apr. 16, 2014 Palladino, et al.
LR-22972 Apr. 11, 2014 Timothy J. Coughlin, et al.
See also: SEC Complaint
LR-22971 Apr. 11, 2014 K2 Unlimited, Inc., 211 Ventures, LLC, Diane Glatfelter, Robert Rice, and Robert Anderson
LR-22970 Apr. 10, 2014 Richard T. Posey
LR-22969 Apr. 8, 2014 JCS Enterprises, Inc. et al.
LR-22968 Apr. 8, 2014 CVS Caremark Corp.
Other Release No.: AAER-3549
See also: SEC Complaint
LR-22967 Apr. 7, 2014 Matthew D. Sample
See also: SEC Complaint
LR-22966 Apr. 7, 2014 The Milan Group, Inc., a/k/a The Milan Trading Group, Inc., et al.
LR-22965 Apr. 3, 2014 Walter D. Wagner and Alexander J. Osborn
See also: SEC Complaint
LR-22964 Apr. 3, 2014 Michel Terpins, et al.
LR-22963 Apr. 2, 2014 John Kinnucan and Broadband Research Corporation
LR-22962 Apr. 2, 2014 Fredrick D. Scott
LR-22961 Apr. 1, 2014 Alan Sheinwald and Alliance Advisors LLC
LR-22960 Apr. 1, 2014 Simon
LR-22959 Apr. 1, 2014 Molinari and Nationwide Pharmassist Corp.
First Quarter
LR-22958 Mar. 31, 2014 Ching Hwa Chen
LR-22957 Mar. 31, 2014 Tyrone Hawk
LR-22956 Mar. 31, 2014 Syndicated Food Services International, Inc., et al.
LR-22955 Mar. 31, 2014 Schultz and Redfin Network, Inc.
LR-22954 Mar. 28, 2014 Jason A Halek, Joshua D. Spivey, Patrick J. Booths and Steven J. Little
LR-22953 Mar. 28, 2014 World Capital Market Inc., et al.
LR-22952 Mar. 26, 2014 Walter Gerasimowicz, Meditron Asset Management, LLC, and Meditron Management Group, LLC
LR-22951 Mar. 26, 2014 Bruce L. Grossman and Jonathan R. Curshen
LR-22950 Mar. 25, 2014 Imaging Diagnostic Systems, Inc., Linda Grable, and Allan Schwartz
LR-22949 Mar. 20, 2014 Frank Mazzola et al.
LR-22948 Mar. 20, 2014 Vladimir Eydelman and Steven Metro
LR-22947 Mar. 19, 2014 Radius Capital Corp. and Robert A. DiGiorgio
LR-22946 Mar. 19, 2014 David J. Cancian (Corrected)
See also: SEC Complaint
LR-22945 Mar. 19, 2014 A Chicago Convention Center, LLC, Anshoo Sethi, and Intercontinental Regional Center Trust of Chicago, LLC (Corrected)
See also: SEC Complaint
LR-22944 Mar. 14, 2014 John Babikian
LR-22943 Mar. 14, 2014 Charles Riel III a/k/a Chuck Riel et al.
See also: Order to Show Cause, Application and Memorandum
LR-22942 Mar. 13, 2014 Ronald N. Dennis
See also: SEC Complaint
LR-22941 Mar. 13, 2014 Alexander H.G. Mascioli and North Street Capital, LP
See also: SEC Complaint
LR-22940 Mar. 12, 2014 Alternative Green Technologies, Inc., et al.
LR-22939 Mar. 12, 2014 Boston Trading and Research, LLC, et al.
LR-22938 Mar. 10, 2014 Henry Morris, et al.
LR-22937 Mar. 7, 2014 Andrew W. Jacobs and Leslie J. Jacobs II
LR-22936 Mar. 5, 2014 StratoComm Corporation, et al.
LR-22935 Mar. 4, 2014 Gregory E. Webb and InfrAegis, Inc.
LR-22934 Feb. 27, 2014 Robert Custis
LR-22933 Feb. 25, 2014 Jeremy Fisher, The Good Life Financial Group, Inc., and The Good Life Global, LLC
LR-22932 Feb. 24, 2014 China MediaExpress Holdings, Inc. and Zheng Cheng
Other Release No.: AAER-3540
LR-22931 Feb. 24, 2014 Kevin P. O’Brien
LR-22930 Feb. 21, 2014 Christopher Sells and Timothy Murawski
Other Release No.: AAER-3539
LR-22929 Feb. 20, 2014 Samuel Braslau et al.
See also: SEC Complaint
LR-22928 Feb. 19, 2014 Jerry S. Williams, Monk’s Den, LLC, and First In Awareness, LLC
LR-22927 Feb. 14, 2014 James Y. Lee, et al.
See also: SEC Complaint
LR-22926 Feb. 12, 2014 Thomas C. Conradt, et al.
LR-22925 Feb. 11, 2014 Marlon Quan, Acorn Capital Group, LLC and Stewardship Investment Advisors, LLC, Defendants and Asset Based Resource Group, LLC and Florene Quan, Relief Defendants
LR-22924 Feb. 11, 2014 Peter L. Jensen and Thomas C. Tekulve, Jr.
LR-22923 Feb. 10, 2014 Uriel Sharef et al.
Other Release No.: AAER-3533
LR-22922 Feb. 7, 2014 Onyx Capital Advisors, LLC, Roy Dixon, Jr. and Michael A. Farr
LR-22921 Feb. 7, 2014 Hao He a/k/a Jimmy He
LR-22920 Feb. 6, 2014 Edward M. Daspin, a/k/a "Edward Michael," a/k/a "Ed Michael,"
LR-22919 Feb. 5, 2014 Joseph Paul Zada and Zada Enterprises, LLC
LR-22918 Feb. 4, 2014 Stephen Kovzan
LR-22917 Feb. 4, 2014 Rex C. Steffes, Cliff M. Steffes, Bret W. Steffes and Rex R. Steffes
LR-22916 Feb. 4, 2014 Michael P. Zenger
See also: SEC Complaint
LR-22915 Feb. 3, 2014 Revelation Capital Management Ltd. and Christopher P.C. Kuchanny
See also: SEC Complaint
LR-22914 Jan. 30, 2014 David L. Rothman, et al.
LR-22913 Jan. 29, 2014 Steven M. Dombrowski, Defendant, and Lisa L. Fox, Relief Defendant
See also: SEC Complaint
LR-22912 Jan. 28, 2014 Marek Leszczynski, et al.
LR-22911 Jan. 27, 2014 Deloitte Touche Tohmatsu CPA Ltd.
Other Release No.: AAER-3531
LR-22910 Jan. 27, 2014 Joseph M. Tocci
LR-22909 Jan. 24, 2014 Palladino, et al.
LR-22908A Jan. 23, 2014 Berton M. Hochfeld, et al.
LR-22907 Jan. 23, 2014 Anthony Coronati
LR-22906 Jan. 15, 2014 Christopher Hohol and Brian Poshak
Other Release No.: AAER-3528
LR-22905 Jan. 14, 2014 Waldyr Da Silva Prado Neto
LR-22904 Jan. 14, 2014 Mack D. Murrell, et al.
LR-22903 Jan. 13, 2014 InnoVida Holdings LLC, et al.
LR-22902 Jan. 9, 2014 Diamond Foods, Inc.
Other Release No.: AAER-3527
LR-22901 Jan. 6, 2014 Eric Aronson, Vincent Buonauro, Jr., Robert Kondratick, et al.

 

http://www.sec.gov/litigation/litreleases.shtml

Modified: 10/21/2014