|
|
 |
Litigation Releases
The list below provides links to litigation releases concerning civil lawsuits brought by the Commission in federal court.
Second Quarter | First Quarter
Additional Archives
2013 | 2012 | 2011 | 2010 | 2009 | 2008 | 2007 | 2006 | 2005 | 2004 | 2003 | 2002 | 2001 | 2000 | 1999 | 1998 | 1997 | 1996 | 1995
 SEC Litigation Releases RSS Feed
| Release No. |
Date |
Action |
| Second Quarter |
| LR-22707 |
May 24, 2013 |
Daniel Bergin, et al.
See also: SEC Complaint
|
| LR-22706 |
May 23, 2013 |
Blake Richards
See also: SEC Complaint
|
| LR-22705 |
May 22, 2013 |
John Anthony Stilwell, Dr. Michael Curtis Moore, and Jillian Margaret Murphy
See also: SEC Complaint
|
| LR-22704 |
May 20, 2013 |
Ren Hu
|
| LR-22703 |
May 17, 2013 |
Charles J. Dushek, et al.
See also: SEC Complaint
|
| LR-22702 |
May 17, 2013 |
Robert Fowler and US Capital Funding II Series Trust 1, Inc. a/k/a US Capital Investments II (HK) Limited
See also: SEC Complaint
|
| LR-22701 |
May 16, 2013 |
Deer Hill Financial Group, LLC, et al.
|
| LR-22700 |
May 15, 2013 |
Matthew C. Devlin, et al.
|
| LR-22699 |
May 15, 2013 |
RINO International Corporation, Dejun “David” Zou, and Jianping “Amy” Qiu
See also: SEC Complaint
|
| LR-22698 |
May 8, 2013 |
Subaye, Inc. and James T. Crane
See also: SEC Complaint
|
| LR-22697 |
May 7, 2013 |
Richard Verdiramo, Vincent L. Verdiramo, Edward Meyer, Jr., and Victoria Chen
See also: SEC Complaint
|
| LR-22696 |
May 3, 2013 |
Grant Ivan Grieve, Finvest Asset Management, LLC, and Finvest Fund Management, LLC
|
| LR-22695 |
May 3, 2013 |
Kevin J. Wilcox, Jennifer E. Thoennes, and Eric R. Nelson
|
| LR-22694 |
May 1, 2013 |
Steven Palladino, et al.
See also: SEC Complaint
|
| LR-22693 |
May 1, 2013 |
Well Advantage Limited, et al.
|
| LR-22692 |
Apr. 30, 2013 |
A.L. Waters Capital, LLC, et al.
|
| LR-22691 |
Apr. 30, 2013 |
Adondakis, et al.
|
| LR-22690 |
Apr. 29, 2013 |
City of Victorville, et al.
See also: SEC Complaint
|
| LR-22689 |
Apr. 26, 2013 |
InnoVida Holdings LLC, et al.
|
| LR-22688 |
Apr. 26, 2013 |
John Michael Kelly, et al. |
| LR-22687 |
Apr. 26, 2013 |
Hilton, et al..
|
| LR-22686 |
Apr. 26, 2013 |
Joshua Constantin, et al. |
| LR-22685 |
Apr. 25, 2013 |
USA Real Estate Fund 1, Inc. and Daniel F. Peterson
See also: SEC Complaint
|
| LR-22684 |
Apr. 23, 2013 |
Zufelt, et al.
|
| LR-22683 |
Apr. 23, 2013 |
Gibraltar Global Securities Inc., and Warren A. Davis
See also: SEC Complaint
|
| LR-22682 |
Apr. 22, 2013 |
Mark D. Begelman
|
| LR-22681 |
Apr. 19, 2013 |
Linda Woolf, Hands On Capital, Inc., et al.
|
| LR-22680 |
Apr. 18, 2013 |
Andrew Farmer and Iridium Capital, Ltd.
|
| LR-22679 |
Apr. 17, 2013 |
Joseph M. Mancuso
See also: SEC Complaint
|
| LR-22678 |
Apr. 17, 2013 |
Jauyo (“Jason”) Lee and Victor Chen
|
| LR-22677 |
Apr. 16, 2013 |
Jeffrey Stebbins and Corbin Jones
See also: SEC Complaint
|
| LR-22676 |
Apr. 16, 2013 |
Uriel Sharef, et al.
|
| LR-22675 |
Apr. 16, 2013 |
True North Finance Corp., et al.
|
| LR-22674 |
Apr. 16, 2013 |
Richard Bruce Moore
See also: SEC Complaint
|
| LR-22673 |
Apr. 16, 2013 |
Inter Reef, Ltd. dba Profitable Sunrise, Melland Company S.R.O., Color Shock S.R.O., Solutions Company S.R.O. and Fortuna-K S.R.O.
See also: SEC Complaint
|
| LR-22672 |
Apr. 16, 2013 |
Parker Drilling Company
Other Release No.: AAER-3454
See also: SEC Complaint
|
| LR-22671 |
Apr. 15, 2013 |
David Miller
See also: SEC Complaint
|
| LR-22670 |
Apr. 11, 2013 |
Scott London et al.
See also: SEC Complaint
|
| LR-22669 |
Apr. 8, 2013 |
Glenn Hoppes, United States Energy Corp., TN-KY Development Fund LP, TN-KY Development Fund II LP and TN-KY Development Fund III LP
See also: SEC Complaint
|
| LR-22668 |
Apr. 8, 2013 |
Matthew John Ryan, et al.
|
| LR-22667 |
Apr. 5, 2013 |
Inofin, Inc., Michael J. Cuomo, Kevin J. Mann, Sr., Melissa George, Thomas Kevin Keough, David Affeldt, and Nancy Keough
|
| LR-22666 |
Apr. 5, 2013 |
Inter Reef, Ltd. dba Profitable Sunrise, Melland Company S.R.O., Color Shock S.R.O., Solutions Company S.R.O. and Fortuna-K S.R.O.
See also: SEC Complaint
|
| LR-22665 |
Apr. 3, 2013 |
Garfield Taylor, Inc., et al.
|
| LR-22664 |
Apr. 1, 2013 |
John J. Bravata, et al. |
| LR-22663 |
Apr. 1, 2013 |
Well Advantage Limited, et al.
See also: SEC Complaint
|
| LR-22662 |
Apr. 1, 2013 |
Sigma Capital Management, LLC, et al.
|
| First Quarter |
| LR-22661 |
Mar. 29, 2013 |
Lowell Gene "Bob" Hancher, et al.
|
| LR-22660 |
Mar. 26, 2013 |
Matthew G. Teeple, David T. Riley, and John V. Johnson
|
| LR-22659 |
Mar. 22, 2013 |
Juan Carlos Bertini
See also: SEC Complaint
|
| LR-22658 |
Mar. 22, 2013 |
Rajarengan (a/k/a Rengan) Rajaratnam
|
| LR-22657 |
Mar. 22, 2013 |
Joseph Grendys et al.
Other Release No.: AAER-3449
|
| LR-22656 |
Mar. 22, 2013 |
Timothy J. Roth, et al.
|
| LR-22655 |
Mar. 20, 2013 |
Andrey C. Hicks
|
| LR-22654 |
Mar. 20, 2013 |
3 Eagles Research & Development LLC, Harry Dean Proudfoot III, Matthew Dale Proudfoot, Laurie Anne Vrvilo and Dennis Ashley Bukantis
|
| LR-22653 |
Mar. 20, 2013 |
Douglas F. Whitman and Whitman Capital, LLC
|
| LR-22651 |
Mar. 19, 2013 |
E-Monee.com, Inc. et al.
|
| LR-22652 |
Mar. 19, 2013 |
Gary J. Martel, d/b/a Martel Financial Group and MFG Funding
|
| LR-22650 |
Mar. 19, 2013 |
Sigma Capital Management, LLC et al.
See also: SEC Complaint
|
| LR-22649 |
Mar. 19, 2013 |
K2 Unlimited, Inc., 211 Ventures, LLC, Diane Glatfelter, Robert Rice, and Robert Anderson
See also: SEC Complaint
|
| LR-22648 |
Mar. 19, 2013 |
Gregg D. Caplitz, et al.
See also: SEC Complaint
|
| LR-22647 |
Mar. 18, 2013 |
CR Intrinsic Investors, LLC et al.
See also: SEC Complaint
|
| LR-22646 |
Mar. 15, 2013 |
Mercury Interactive, LLC (f/k/a Mercury Interactive Corporation), Amnon Landan, Sharlene Abrams, Douglas Smith, and Susan Skaer
|
| LR-22645 |
Mar. 15, 2013 |
Carrillo Huettel LLP, et al.
|
| LR-22633A |
Mar. 14, 2013 |
J.C. Reed & Company, Inc., J.C. Reed Advisory Group, LLC, Barron A. Mathis, and Estate of John C. Reed, Lana L. Reed, Executor
|
| LR-22644 |
Mar. 14, 2013 |
Edmund E. Wilson and Walter L. Ross
See also: SEC Complaint
|
| LR-22643 |
Mar. 13, 2013 |
Securities and Exchange Commission v. Frederick J. O’Meally et al.
|
| LR-22642 |
Mar. 12, 2013 |
Alvin R. Brown, First Choice Investment, Inc. and Advanced Corporate Enterprises, Inc. d/b/a A-Corp Enterprises a/k/a ACorp Development a/k/a A-Corp Investment
See also: SEC Complaint
|
| LR-22641 |
Mar. 12, 2013 |
Hunter
|
| LR-22640 |
Mar. 11, 2013 |
Michael Dale Lackey
See also: SEC Complaint
|
| LR-22639 |
Mar. 8, 2013 |
Inteligentry, Ltd., PlasmERG, Inc., PTP Licensing, Ltd. and John P. Rohner
See also: SEC Complaint
|
| LR-22638 |
Mar. 8, 2013 |
Brian R. Reiss
|
| LR-22637 |
Mar. 7, 2013 |
Scott I. Kupersmith, et al.
|
| LR-22636 |
Mar. 7, 2013 |
Robert Crane
See also: SEC Complaint
|
| LR-22635 |
Mar. 7, 2013 |
M. Mark McAdams and R. Dane Freeman
|
| LR-22634 |
Mar. 7, 2013 |
Gerald D. Kegley, et al.
|
| LR-22633 |
Mar. 7, 2013 |
J.C. Reed & Company, Inc., J.C. Reed Advisory Group, LLC, Barron A. Mathis, and Estate of John C. Reed, Lana L. Reed, Executor
|
| LR-22632 |
Mar. 5, 2013 |
Colin McCabe (D/B/A Elite Stock Report, The Stock Profiteer, and Resource Stock Advisor)
See also: SEC Complaint
|
| LR-22631 |
Mar. 4, 2013 |
Randal Kent Hansen, et al.
See also: SEC Complaint
|
| LR-22630 |
Mar. 1, 2013 |
Falcon Ridge Development, Inc., et al.
See also: SEC Complaint |
| LR-22629 |
Mar. 1, 2013 |
LocatePlus Holdings Corporation, Jon Latorella and James Fields
|
| LR-22628 |
Feb. 28, 2013 |
Walter Ng, Kelly Ng, Bruce Horwitz, and The Mortgage Fund, LLC
|
| LR-22627 |
Feb. 28, 2013 |
Keyuan Petrochemicals, Inc. and Aichun Li
Other Release No.: AAER-3447
See also: SEC Complaint |
| LR-22626 |
Feb. 27, 2013 |
Dynkowski, et al.
|
| LR-22625 |
Feb. 26, 2013 |
New Stream Capital, LLC, New Stream Capital (Cayman), Ltd., David A. Bryson, Bart C. Gutekunst, Richard Pereira, and Tara Bryson, et al.
See also: SEC Complaint |
| LR-22624 |
Feb. 26, 2013 |
Fernando J. Espuelas et al.
Other Release No.: AAER-3446
|
| LR-22623 |
Feb. 21, 2013 |
Mercury Interactive, LLC (f/k/a Mercury Interactive Corporation), Amnon Landan, Sharlene Abrams, Douglas Smith, and Susan Skaer
|
| LR-22622 |
Feb. 20, 2013 |
ABS Manager, LLC et. al.
See also: SEC Complaint
|
| LR-22621 |
Feb. 20, 2013 |
Douglas F. Vaughan
|
| LR-22620 |
Feb. 19, 2013 |
One or More Unknown Traders in the Securities of H.J. Heinz Company
See also: SEC Complaint
|
| LR-22619 |
Feb. 15, 2013 |
Sean David Morton, Vajra Productions, LLC, 27 Investments, LLC, and Magic Eight Ball Distributing, Inc., defendants, and Melissa Morton and Prophecy Research Institute, relief defendants
|
| LR-22618 |
Feb. 15, 2013 |
Delsa U. Thomas, et al.
|
| LR-22617 |
Feb. 13, 2013 |
Igor Poteroba, Aleksey Koval, Alexander Vorobiev, and Relief Defendants Tatiana Vorobieva and Anjali Walter
|
| LR-22616 |
Feb. 12, 2013 |
Howard Brett Berger and Michelle Berger
|
| LR-22615 |
Feb. 8, 2013 |
A Chicago Convention Center, LLC, Anshoo Sethi, and Intercontinental Regional Center Trust of Chicago, LLC
See also: SEC Complaint |
| LR-22614 |
Feb. 7, 2013 |
Michael W. Perry et al.
|
| LR-22613 |
Feb. 6, 2013 |
Harrold
|
| LR-22612 |
Feb. 6, 2013 |
James Balchan
See also: SEC Complaint |
| LR-22611 |
Feb. 5, 2013 |
Garfield Taylor, Inc., et al.
|
| LR-22610 |
Feb. 5, 2013 |
Patrick M. Carroll, James P. Carroll, William T. Carroll, David Mark Calcutt, Christopher Calcutt, David Stitt, John Monroe and Stephen Somers
|
| LR-22609 |
Feb. 5, 2013 |
Timothy J. Roth, et al.
|
| LR-22608 |
Feb. 4, 2013 |
We The People, Inc., of The United States; Richard K. Olive and Susan L. Olive; William G. Reeves, Esq.
See also Complaints: Olives; We The People; Reeves |
| LR-22607 |
Jan. 30, 2013 |
Barry J. Graham, Fred Davis Clark, Jr., a/k/a Dave Clark, Cristal R. Coleman, a/k/a Cristal Clark, David W. Schwarz, Ricky Lynn Stokes
See also: SEC Complaint
|
| LR-22606 |
Jan. 30, 2013 |
Blake R. Wellington and Daniel J. Vance
|
| LR-22605 |
Jan. 30, 2013 |
Kurt S. Hovan, et al.
|
| LR-22604 |
Jan. 29, 2013 |
Jonathan R. Curshen, et al.
|
| LR-22603 |
Jan. 29, 2013 |
Firas A. Hamdan, individually and doing business as FAH Capital Partners
See also: SEC Complaint
|
| LR-22602 |
Jan. 29, 2013 |
Jesse C. Litvak
See also: SEC Complaint
|
| LR-22601 |
Jan. 24, 2013 |
Randy M. Cho
|
| LR-22600 |
Jan. 24, 2013 |
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-22599 |
Jan. 23, 2013 |
Jonathan C. Gilchrist
See also: SEC Complaint
|
| LR-22598 |
Jan. 23, 2013 |
Christopher Castaldo, et al.
|
| LR-22597 |
Jan. 22, 2013 |
Kenneth A. Dachman, et al.
|
| LR-22596 |
Jan. 17, 2013 |
John M. Darden III
See also: SEC Complaint
|
| LR-22595 |
Jan. 17, 2013 |
Eric D. Rogers
See also: SEC Complaint
|
| LR-22594 |
Jan. 15, 2013 |
Francis E. Wilde, Steven E. Woods, Mark A. Gelazela, Bruce H. Haglund, Matrix Holdings LLC, BMW Majestic LLC, IDLYC Holdings Trust LLC, and IDLYC Holdings Trust, et al.
|
| LR-22593 |
Jan. 15, 2013 |
Andreas Badian, et al.
|
| LR-22592 |
Jan. 14, 2013 |
Christel S. Scucci, et al.
|
| LR-22591 |
Jan. 11, 2013 |
Gary J. Martel, D/B/A Martel Financial Group and MFG Funding
|
| LR-22590 |
Jan. 11, 2013 |
Exotics.com, Inc., et al.
|
| LR-22589 |
Jan. 11, 2013 |
Volt Information Sciences, Inc. and Debra L. Hobbs and Jack J. Egan, Jr.
Other Release No.: AAER-3439
|
| LR-22588 |
Jan. 9, 2013 |
Chetan Kapur; Lilaboc, LLC d/b/a ThinkStrategy Capital Management, LLC
|
| LR-22587 |
Jan. 9, 2013 |
Edward J. Woodard, Jr., Cynthia A. Sabol, CPA and Stephen G. Fields
Other Release No.: AAER-3437
See also: SEC Complaint
|
| LR-22586 |
Jan. 4, 2013 |
Spongetech Delivery Systems, Inc., RM Enterprises International, Inc., Steven Y. Moskowitz, Michael E. Metter, George Speranza, Joel Pensley and Jack Halperin
|
| LR-22585 |
Jan. 3, 2013 |
Nekekim Corp. and Kenneth W. Carlton
See also: SEC Complaint
|
| LR-22583 |
Jan. 2, 2013 |
Online-Registries, Inc. and David Stern
|
http://www.sec.gov/litigation/litreleases.shtml
|
