SEC Seal Home | Jobs | Fast Answers | Site Map | Search
U.S. Securities and Exchange Commission


  About the SEC

  Filings & Forms

  Regulatory Actions

  Staff Interps

  Investor Info

  News & Statements

  Litigation


  ALJ

  Information for...

  Divisions


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

RSS Feed  SEC Litigation Releases RSS Feed

Release No. Date Action
Third Quarter
LR-23333 Sep. 3, 2015 A.L. Waters Capital, LLC, et al.
LR-23332 Sep. 2, 2015 Roger S. Bliss and Roger S. Bliss d/b/a Roger Bliss and Associates Equities, LLC, Roger Bliss and Associates Club LLC and/or Bliss Club LLC
LR-23331 Sep. 2, 2015 Eric Aronson, et al.
LR-23330 Sep. 1, 2015 Navistar International Corp.
LR-23329 Aug. 27, 2015 Harrison Schumacher, et al.
See also: SEC Complaint
LR-23328 Aug. 25, 2015 Timothy E. Cook, et al.
LR-23327 Aug. 25, 2015 Ashish Aggarwal, et al.
See also: SEC Complaint
LR-23326 Aug. 25, 2015 Path America, LLC, et al.
See also: SEC Complaint
LR-23325 Aug. 20, 2015 Moshe Yehuda Dunoff
LR-23324 Aug. 20, 2015 Iftikar Ahmed, et al.
LR-23323 Aug. 19, 2015 Eric McPhail, et al.
LR-23322 Aug. 18, 2015 Carlos R. Garza
LR-23321 Aug. 17, 2015 EnviraTrends, Inc., et al.
See also: SEC Complaint
LR-23320 Aug. 13, 2015 John Thornes, Defendant, and Christopher Burnell, Kyle Larick, and Doreen Thornes, Relief Defendants
LR-23319 Aug. 13, 2015 Dubovoy, et al.
LR-23318 Aug. 13, 2015 Palladino, et al.
LR-23317 Aug. 13, 2015 Colonial Tidewater Realty Income Partners, LLC, et al.
See also: SEC Complaint
LR-23316 Aug. 13, 2015 Cedric Caņas Maillard
LR-23315 Aug. 12, 2015 Inofin, Inc., Michael J. Cuomo, Kevin J. Mann, Sr., Melissa George, Thomas Kevin Keough, David Affeldt, and Nancy Keough
LR-23314 Aug. 10, 2015 SEC Files Subpoena Enforcement Action Against Michael J. Forster for Failure to Produce Documents in Investigation of SLO 3 Holdings LLC
LR-23313 Jul. 30, 2015 ABS Manager, LLC and George Charles Cody Price
LR-23312 Jul. 30, 2015 Gregory W. Gray, Jr., et al.
LR-23311 Jul. 24, 2015 Ming Zhao and Liping Zhu
LR-23310 Jul. 23, 2015 DFRF Enterprises LLC, et al.
LR-23309 Jul. 21, 2015 Thomas S. Wu and Thomas T. Yu
Other Release No.: AAER-3671
LR-23308 Jul. 20, 2015 Donald L. Koch and Koch Asset Management, LLC
LR-23307 Jul. 20, 2015 Michael R. Enea
LR-23306 Jul. 17, 2015 CKB168 Holdings Ltd., et al.
LR-23305 Jul. 16, 2015 Herbert K. Sudfeld, Jr., et al.
See also: SEC Complaint
LR-23304 Jul. 15, 2015 Timothy J. McGee, et al.
See also: SEC Complaint
LR-23303 Jul. 14, 2015 Harold Bailey "B.J." Gallison, II (A.K.A. Bart Williams), et al.
SEC Complaint
LR-23302 Jul. 13, 2015 Frank Tamayo
LR-23301 Jul. 10, 2015 PTG Capital Partners LTD, et al.
LR-23300 Jul. 7, 2015 Neal Goyal
LR-23299 Jul. 6, 2015 Baldwin et al.
See also: SEC Complaint
LR-23298 Jul. 6, 2015 Luca International Group, LLC, et al.
See also: SEC Complaint
LR-23297 Jul. 6, 2015 Navistar International Corp.
See also: Court Order
LR-23296 Jul. 2, 2015 DFRF Enterprises LLC, et al.
See also: SEC Complaint
LR-23295 Jul. 1, 2015 Malcolm Segal
See also: SEC Complaint, Press Release
Second Quarter
LR-23294 Jun. 26, 2015 Interinvest Corporation, Inc. et al.
LR-23293 Jun. 25, 2015 Gregg R. Mulholland
See also: SEC Complaint, Press Release
LR-23292 Jun. 24, 2015 Capital Cove Bancorp LLC and Christopher M. Lee aka Rashid K. Khalfani
See also: SEC Complaint
LR-23291 Jun. 23, 2015 Phil Donnahue Williamson
LR-23290 Jun. 18, 2015 Norstra Energy Inc., Glen Landry and Eric Dany
LR-23289 Jun. 17, 2015 Eric McPhail, et al.
LR-23288 Jun. 17, 2015 Interinvest Corporation, Inc. et al.
See also: SEC Complaint
LR-23287 Jun. 16, 2015 Dimitry Braverman and Vitaly Pupynin
LR-23286 Jun. 15, 2015 Capital Financial Partners, LLC et al.
Will D. Allen and Susan C. Daub
LR-23285 Jun. 12, 2015 Ryan L. Cook and HelpMed, Inc., et al.
See also: SEC Complaint
LR-23284 Jun. 12, 2015 Matthew G. Teeple et al.
Andrew Miller
See also: SEC Complaint
LR-23283 Jun. 11, 2015 Joshua A. Yudell and OCFB LLC, et al.
LR-23282 Jun. 11, 2015 Aquaphex Total Water Resources and Gregory Jones
See also: SEC Complaint
LR-23281 Jun. 11, 2015 Charles Raymond Langston III, CRL Management, LLC, and Guarantee Reinsurance, Ltd.
LR-23280 Jun. 9, 2015 Andrew L. Evans
LR-23279 Jun. 9, 2015 Michael J. Fefferman, Chad E. Wiegand, and Akis C. Eracleous
See also: SEC Complaint
LR-23278 Jun. 8, 2015 Anthony Andrade, et al.
See also: SEC Complaint
LR-23277 Jun. 4, 2015 David Rivard
Other Release No.: AAER-3661
LR-23276 Jun. 3, 2015 Mark F. Spangler and The Spangler Group, Inc.
See also: SEC Complaint
LR-23275 Jun. 3, 2015 ClearPath Wealth Management, LLC et al.
See also: SEC Complaint
LR-23274 Jun. 2, 2015 Edmond L. Lonergan and Green Planet Group, Inc.
See also: SEC Complaint
LR-23273 Jun. 1, 2015 John A. Grant, Sage Advisory Group, LLC and Benjamin Lee Grant
LR-23272 May 29, 2015 Robert P. DePalo, Joshua B. Gladtke, Gregg A. Lerman, Pangaea Trading Partners LLC, Arjent LLC, Arjent Limited, Excalibur Asset Management LLC, Rosemarie DePalo (Relief Defendant), and Allied International Fund, Inc. (Relief Defendant),
LR-23271 May 28, 2015 Mike Taxon and Itamar Cohen
See also: SEC Complaint
LR-23270 May 28, 2015 Luis Chang and Everbright Development Overseas, Limited
See also: SEC Complaint
LR-23269 May 28, 2015 Adam S. Gottbetter, Mitchell G. Adam, and K. David Stevenson
See also: SEC Complaint
LR-23268 May 27, 2015 Gregory Geswein, Kevin Krakora, and Sandra Miller
LR-23267 May 20, 2015 Wwebnet, Inc. and Robert L. Kelly
LR-23266 May 20, 2015 China Valves Technology, Inc., et al.
LR-23265 May 19, 2015 Sethi Petroleum, LLC and Sameer Sethi
LR-23264 May 18, 2015 Eric McPhail, et al.
LR-23263 May 15, 2015 Palladino, et al.
LR-23262 May 14, 2015 North Star Finance LLC, Thomas G. Ellis, Yasuo Oda, Thomas H. Vetter, Michael K. Martin, Sharon L. Salinas, Capital Source Funding LLC, Capital Source Lending LLC
See also: SEC Complaint
LR-23261 May 14, 2015 Brian D. Jorgenson, et al.
LR-23260 May 13, 2015 Iftikar Ahmed, et al.
See also: SEC Complaint
LR-23259 May 13, 2015 ITT Educational Services, Inc., Kevin M. Modany, and Daniel M. Fitzpatrick
LR-23258 May 12, 2015 FX & Beyond Corporation and Steve H. Karroum
See also: Application for Order to Show Cause and for Order Requiring Compliance with Subpoenas
LR-23257 May 11, 2015 Timothy J. McGee, et al.
LR-23256 May 11, 2015 Christopher A. Novinger, et al.
See also: SEC Complaint
LR-23255 May 8, 2015 ClearPath Wealth Management, LLC and Patrick Evans Churchville, et al.
See also: SEC Complaint
LR-23254 May 7, 2015 David R. Gibson, et al.
See also: SEC Complaint
LR-23253 May 7, 2015 Charles H. Merchant, Sr. and Southern USA Resources, Inc.
See also: SEC Complaint
LR-23252 May 6, 2015 North Dakota Developments, LLC, Robert L. Gavin, and Daniel J. Hogan, et. al.
LR-23251 May 1, 2015 Rudolf D. Pameijer, et al.
LR-23250 Apr. 30, 2015 Joel I. Wilson et al.
LR-23249 Apr. 29, 2015 Xiaoyu Xia and Yanting Hu
LR-23248 Apr. 28, 2015 Frank Perkins Hixon, Jr., et al.
LR-23247 Apr. 27, 2015 Robert Asti
Other Release No.: AAER-3653
LR-23246 Apr. 24, 2015 Veros Partners, Inc., et al.
See also: SEC Complaint
LR-23245 Apr. 22, 2015 Leroy Brown, Jr. and LB Stocks and Trades Advice LLC
LR-23244 Apr. 21, 2015 Moazzam "Mark" Malik and American Bridge Investment Group, LLC, d/b/a Wolf Hedge LLC
LR-23243 Apr. 16, 2015 Daniel P. McKelvey, et al.
See also: SEC Complaint
LR-23242 Apr. 16, 2015 eCareer Holdings, Inc., eCareer, Inc., Joseph J. Azzata, Dean A. Esposito, Joseph DeVito, and Frederick J. Birks, et al.
See also: SEC Complaint, Trading Suspension
LR-23241 Apr. 14, 2015 Richard F. Syron, et al.
LR-23240 Apr. 13, 2015 James A. Evans, Jr., d/b/a Cashflowbot.com, d/b/a DollarMonster
See also: SEC Complaint
LR-23239 Apr. 10, 2015 Mieka Energy Corporation, et al.
See also: SEC Complaint
LR-23238 Apr. 10, 2015 Michael M. Cohen and Proteonomix, Inc.,
LR-23237 Apr. 9, 2015 Katsuichi Fusamae
See also: SEC Complaint
LR-23236 Apr. 9, 2015 Janus Spectrum LLC et al.
See also: SEC Complaint
LR-23235 Apr. 8, 2015 Warren D. Nadel et al.
LR-23234 Apr. 8, 2015 8000, Inc., Jonathan E. Bryant, Thomas J. Kelly, and Carl N. Duncan, Esq.
LR-23233 Apr. 7, 2015 Pacific West Capital Group Inc., et al.
See also: SEC Complaint
LR-23232 Apr. 7, 2015 Capital Financial Partners, LLC et al.
See also: SEC Complaint
LR-23231 Apr. 6, 2015 GC Resources, LLC and Brian J. Polito
See also: SEC Complaint
LR-23230 Apr. 6, 2015 Team Resources, Inc., et al.
LR-23229 Apr. 6, 2015 Gary J. Burtka and Eric Waidelich
LR-23228 Apr. 2, 2015 Charles R. Kokesh
LR-23227 Apr. 1, 2015 David Craven et al.
First Quarter
LR-23226 Mar. 31, 2015 StratoComm Corporation, et al.
LR-23225 Mar. 31, 2015 Andrew M. Miller
Other Release No.: AAER-3646
See also: SEC Complaint
LR-23224 Mar. 27, 2015 Michael J. Ling
See also: SEC Complaint
LR-23223 Mar. 27, 2015 Michael Anthony Dupre Lucarelli
LR-23222 Mar. 27, 2015 Macquarie Capital (USA) Inc. et al.
LR-23221 Mar. 27, 2015 Gregory W. Gray, Jr., et al.
LR-23220 Mar. 25, 2015 BioChemics, Inc., et al.
See also: SEC Complaint
LR-23219 Mar. 12, 2015 David Craven et al.
See also: SEC Complaint
LR-23218 Mar. 12, 2015 Edward J. Woodard, et al.
LR-23217 Mar. 11, 2015 Guy M. Jean-Pierre, a/k/a Marcelo Dominguez de Guerra
LR-23216 Mar. 10, 2015 Bonan Huang and Nan Huang
See also: SEC Complaint
LR-23215 Mar. 6, 2015 Zeringue, et al.
See also: SEC Complaint
LR-23214 Mar. 4, 2015 China Infrastructure Investment Corp., et al.
LR-23213 Mar. 3, 2015 Ahmad Fnaikher Alyasin and Optima Global Financial, Inc.
See also: SEC Complaint
LR-23212 Mar. 3, 2015 Inofin, Inc., Michael J. Cuomo, Kevin J. Mann, Sr., Melissa George, Thomas Kevin Keough, David Affeldt, and Nancy Keough
LR-23211 Mar. 2, 2015 Gary S. Williky
See also: SEC Complaint
LR-23210 Feb. 27, 2015 Gregory W. Gray, Jr., et al.
See also: SEC Complaint
LR-23209 Feb. 27, 2015 Tropikgadget FZE, et al.
See also:
LR-23208 Feb. 26, 2015 Joseph A. Noel
LR-23207 Feb. 26, 2015 Daniel Thibeault et al.
LR-23206 Feb. 24, 2015 Mark A. Lefkowitz, et al.
LR-23205 Feb. 23, 2015 Heart Tronics, Inc., et al.
LR-23204 Feb. 23, 2015 GLR Capital Management, LLC, et al.
LR-23203 Feb. 20, 2015 Premiere Power, LLC, et al.
See also: SEC Complaint
LR-23202 Feb. 19, 2015 Scott Zeringue and Jesse Roberts, III
See also: SEC Complaint
LR-23201 Feb. 19, 2015 Michael M. Cohen and Proteonomix, Inc.
See also: SEC Complaint
LR-23200 Feb. 18, 2015 Steven B. Hart
LR-23199 Feb. 18, 2015 K2 Unlimited, Inc.
LR-23198 Feb. 18, 2015 Kristine L. Johnson, Troy A. Barnes, Work with Troy Barnes, Inc. (d/b/a) The Achieve Community, Defendants, and Achieve International, LLC, Relief Defendant
See also: SEC Complaint
LR-23197 Feb. 13, 2015 Mozzam "Mark" Malik and American Bridge Investment Group, LLC, d/b/a Wolf Hedge LLC
See also: SEC Complaint
LR-23196 Feb. 12, 2015 Roger S. Bliss and Roger S. Bliss d/b/a Roger Bliss and Associates Equities, LLC, Roger Bliss and Associates Club LLC and/or Bliss Club LLC
See also: SEC Complaint
LR-23195 Feb. 11, 2015 Caledonian Bank Ltd., et al.
See also: SEC Complaint
LR-23194 Feb. 10, 2015 Craig S. Lax
See also: SEC Complaint
LR-23193 Feb. 9, 2015 Bradley A. Holcom
LR-23192 Feb. 6, 2015 Steven Neil
LR-23191 Feb. 6, 2015 Joseph A. Kostelecky
See also: SEC Complaint
LR-23190 Feb. 6, 2015 David Rivard
Other Release No.: AAER-3628
LR-23189 Feb. 5, 2015 John Gray et al.
LR-23188 Feb. 5, 2015 Total Wealth Management, Inc., et al.
See also: SEC Complaint
LR-23187 Feb. 3, 2015 Joel J. Epstein
See also: SEC Complaint
LR-23186 Feb. 3, 2015 Phillip Cory Roberts
See also: SEC Application and Order Compelling Compliance with Administrative Subpoena
LR-23185 Jan. 30, 2015 Francisco Illarramendi, et al.
LR-23184 Jan. 30, 2015 Edwin Yoshihiro Fujinaga and MRI International, Inc., et al.
LR-23183 Jan. 29, 2015 Navistar International Corp.
See also: SEC Court Filing
LR-23182 Jan. 29, 2015 Loren W. Holzhueter, et al.
See also: SEC Complaint
LR-23181 Jan. 29, 2015 Troy Lyndon and Ronald Zaucha
LR-23180 Jan. 27, 2015 City of Harvey, Illinois and Joseph T. Letke
LR-23179 Jan. 22, 2015 Bonan Huang and Nan Huang
LR-23178 Jan. 22, 2015 Daniel Thibeault, et al.
LR-23177 Jan. 22, 2015 Wwebnet, Inc. and Robert L. Kelly,
LR-23176 Jan. 22, 2015 MayfieldGentry Realty Advisors, LLC, et al.
LR-23175 Jan. 21, 2015 Frederic Elm f/k/a Frederic Elmaleh, et al.
See also: SEC Complaint
LR-23174 Jan. 16, 2015 Magdalena Tavella
LR-23173 Jan. 13, 2015 Aleksandr Milrud
See also: SEC Complaint
LR-23172 Jan. 13, 2015 Noah L. Myers
LR-23171 Jan. 9, 2015 Daniel Thibeault et al.
See also: SEC Complaint
LR-23170 Jan. 7, 2015 Sherwin Brown and Jamerica Financial, Inc.

 

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

Modified: 09/03/2015