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Litigation Releases Archives 2009

The list below provides links to litigation releases concerning civil lawsuits brought by the Commission in federal court.

Fourth Quarter | Third Quarter | Second Quarter | First Quarter

Additional Archives

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Release No. Date Action
Fourth Quarter
LR-21357 Dec. 31, 2009 UTStarcom, Inc.
Other Release No.: AAER-3093
See also: SEC Complaint
LR-21356 Dec. 30, 2009 Walter A. Forbes et al.
Other Release No.: AAER-3091
LR-21355 Dec. 29, 2009 Harold H. Jaschke
See also: SEC Complaint
LR-21354 Dec. 29, 2009 HomePals, LLC, HomePals Investment Club, LLC, Ronnie Eugene Bass, Jr., Abner Alabre and Brian J. Taglieri
LR-21353 Dec. 24, 2009 Homestead Properties, L.P.; Homestead Limited, L.L.C.; California Wealth Management Group, d.b.a. IFC Advisory; Heath M. Biddlecome; William C. Tak, Defendants; and Homestead Northland MHC, LLC and Jackson MHC, L.L.C., Relief Defendants
LR-21352 Dec. 23, 2009 Crossroads Financial Planning, Inc., and Julie M. Jarvis
LR-21351 Dec. 23, 2009 Golden Apple Oil and Gas, Inc., et al.
See also: Judgment as to Jay Budd
LR-21350 Dec. 23, 2009 Richard E. McDonald, et al.
Other Release No.: AAER-3089
See also: SEC Complaint
LR-21349 Dec. 23, 2009 Alliance Transcription Services, Inc.
LR-21348 Dec. 23, 2009 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
See also: SEC Complaint
LR-21347 Dec. 23, 2009 Nicolas Patrick Benoit Condroyer and Gilles Robert Roger
See also: SEC Complaint
LR-21346 Dec. 22, 2009 Triton Financial, LLC, et al.
See also: SEC Complaint
LR-21345 Dec. 22, 2009 William Jacobson
See also: SEC Complaint
LR-21344 Dec. 18, 2009 Trevor G. Cook, Patrick J. Kiley, et al.
LR-21343 Dec. 18, 2009 Stephen F. Clifford d/b/a Clifford Financial Associates
LR-21342 Dec. 17, 2009 John W. Dwyer and Theodore P. Noncek
Other Release No.: AAER-3088
See also Complaints: John W. Dwyer and Theodore P. Noncek
LR-21341 Dec. 17, 2009 Pointer Worldwide, Ltd et al.
LR-21340 Dec. 17, 2009 Inter Global Technologies, Inc. and Michael E. Tomayko
See also: SEC Complaint
LR-21339 Dec. 16, 2009 Vinayak S. Gowrish, Adnan S. Zaman, Pascal S. Vaghar, Sameer N. Khoury, Defendants, and Elias N. Khoury, Relief Defendant
See also: SEC Complaint
LR-21338 Dec. 16, 2009 Dean P. Gross and Gregory W. Laser
See also: SEC Complaint
LR-21337 Dec. 15, 2009 Eagle Development Enterprises, Inc., Eagle Storage & Development, LLC, Eagle Aviation Sales & Leasing, LLC, Michael J. Bowen, defendants, and Eagle Assets & Management, LLC, Eagle Housing & Development AZ, LLC, Eagle Housing & Development, Inc., and Eagle Helicopters & Aviation, Inc., relief defendants
See also: SEC Complaint
LR-21336 Dec. 15, 2009 Canopy Financial, Inc. and Jeremy J. Blackburn
LR-21335 Dec. 14, 2009 Bobby Benton
See also: SEC Complaint
LR-21334 Dec. 14, 2009 Robert R. Ross, et al.
See also: Order Disbursing Funds
LR-21333 Dec. 14, 2009 Frank J. Russo, FJR Corporation, Russo Associates Limited Partnership, Eliot Partners and Veritasiti d/b/a Media Data Corporation, as Relief Defendant
LR-21332 Dec. 10, 2009 Brien P. Santarlas
See also: SEC Complaint
LR-21331 Dec. 10, 2009 Investools Inc., Michael J. Drew, and Eben D. Miller
See also: SEC Complaint
LR-21330 Dec. 10, 2009 Berkshire Resources, et al.
LR-21329 Dec. 8, 2009 Rockford Funding Group, et. al.
See also: SEC Complaint
LR-21328 Dec. 8, 2009 Brookstreet Securities Corp.
See also: SEC Complaint
LR-21327 Dec. 7, 2009 Brad A. Morrice, et al.
Other Release No.: AAER-3079
See also: SEC Complaint
LR-21326 Dec. 7, 2009 John E. Brake
LR-21325 Dec. 4, 2009 Striker Petroleum, LLC, et al.
See also: SEC Complaint
LR-21324 Dec. 4, 2009 Canopy Financial, Inc. and Jeremy J. Blackburn
LR-21323 Dec. 4, 2009 Black Box Corporation, Frederick C. Young, and Anna M. Baird
Other Release No.: AAER-3073
See also: SEC Complaint
LR-21322 Dec. 4, 2009 Nova Gen Corporation, Margaret Grey, and Paul Randall Fraley
See also: SEC Complaint
LR-21321 Dec. 4, 2009 Provident Royalties, LLC, et al.
LR-21320 Dec. 2, 2009 Shidaal Express, Inc. and Mohamud Abdi Ahmed
LR-21319 Dec. 2, 2009 Compass Capital Group, Inc., Mark A. Lefkowitz, Alvin L. Dahl, John R. Dumble, John C. Hopf, Kevin D. Romney, and Shane H. Traveller
LR-21318 Dec. 2, 2009 Sonja Anticevic, et al.
LR-21317 Dec. 1, 2009 Whitney D. Lund, Sr. and Standard Transfer & Trust Co.
See also: SEC Complaint
LR-21316 Dec. 1, 2009 HomePals, LLC, HomePals Investment Club, LLC, Ronnie Eugene Bass, Jr., Abner Alabre and Brian J. Taglieri
LR-21315 Nov. 30, 2009 William A. DiBella and North Cove Ventures LLC
LR-21314 Nov. 30, 2009 Home Solutions of America, Inc., Frank J. Fradella, Brian M. Marshall, Jeffrey M. Mattich, Rick J. O'Brien, Stephen C. Gingrich, Thomas L. Davis and Jeffrey T. Craft
Other Release No.: AAER-3071
See also: SEC Complaint
LR-21313 Nov. 24, 2009 Trevor G. Cook, Patrick J. Kiley, et al
See also: SEC Complaint
LR-21312 Nov. 23, 2009 David K. Donovan, Jr. and David R. Hinkle
LR-21311 Nov. 23, 2009 Capital Mountain Holding Corporation, et al.
See also: SEC Complaint
LR-21310 Nov. 20, 2009 Shidaal Express, Inc. and Mohamud Abdi Ahmed
See also: SEC Complaint
LR-21309 Nov. 20, 2009 Khaled Mohammed Sharif Al Sayed Al Hashemi a.k.a Khaled Al Hashemi
LR-21308 Nov. 19, 2009 R. Brooke Dunn and Nicholas P. Howey
LR-21307 Nov. 19, 2009 Khaled Mohammed Sharif Al Sayed Al Hashemi a.k.a Khaled Al Hashemi
LR-21306 Nov. 19, 2009 Mohit A. Khanna, MAK 1 Enterprises Group, LLC, et al.
LR-21305 Nov. 18, 2009 Big Apple Consulting USA, Inc., MJMM Investments, LLC, Marc Jablon, Matthew Maguire, Mark C. Kaley, and Keith Jablon
See also: SEC Complaint
LR-21304 Nov. 18, 2009 Homestead Properties, L.P.; Homestead Limited, L.L.C.; California Wealth Management Group, d.b.a. IFC Advisory; Heath M. Biddlecome; William C. Tak, Defendants; and Homestead Northland MHC, LLC and Jackson MHC, L.L.C., Relief Defendants
LR-21303 Nov. 18, 2009 Francis Elias Axiaq
LR-21302 Nov. 17, 2009 Benjamin Silva, III and Diane Bjorkstrom
Other Release No.: AAER-3070
See also Complaints: Benjamin Silva, III; Diane Bjorkstrom
LR-21301 Nov. 17, 2009 Mantria Corporation, Troy B. Wragg, Amanda E. Knorr, Speed of Wealth, LLC, Wayde M. McKelvy, and Donna M. McKelvy
See also: SEC Complaint
LR-21300 Nov. 16, 2009 Bancinsurance Corporation and John S. Sokol
Other Release No.: AAER-3069
See also: SEC Complaint
LR-21299 Nov. 16, 2009 Wall Street Communications, Inc., et al.
LR-21298 Nov. 16, 2009 Superior Opportunities, Inc., J.F. Simms & Co., LLC, William J. Hickey, Sean A. Osborne and Jon F. Simms
LR-21297 Nov. 16, 2009 Creative Capital Consortium, LLC, et. al.
LR-21296 Nov. 16, 2009 GMC Holding Corporation and Richard Brace
LR-21295 Nov. 16, 2009 Concorde America, Inc., et al.
LR-21294 Nov. 16, 2009 Global Development & Environmental Resources, Inc., et al.
LR-21293 Nov. 13, 2009 Albert Fase Kaleta, et al.
See also: SEC Complaint
LR-21292 Nov. 13, 2009 Jerome O'Hara and George Perez
See also: SEC Complaint
LR-21291 Nov. 12, 2009 Osvaldo Pitters et al.
LR-21290 Nov. 12, 2009 SafeNet, Inc., et. al.
Other Release No.: AAER-3068
See also: SEC Complaint
LR-21289 Nov. 10, 2009 Ezra C. Levy
LR-21288 Nov. 9, 2009 Thomas B. Evans
LR-21287 Nov. 6, 2009 Joseph A. Fontanetta et al.
LR-21286 Nov. 6, 2009 Robert Wayne Tedder, et al.
LR-21285 Nov. 6, 2009 Nicos Achilleas Stephanou et al.
LR-21284 Nov. 5, 2009 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
See also: SEC Complaint
LR-21283 Nov. 5, 2009 Arthur J. Cutillo, Jason C. Goldfarb, Zvi Goffer, Craig C. Drimal, Schottenfeld Group, LLC, Gautham Shankar, David Plate, Emanuel Goffer, and Michael Kimelman
See also: SEC Complaint
LR-21282 Nov. 4, 2009 Merge Healthcare Incorporated, Richard Linden, and Scott Veech
Other Release No.: AAER-3067
LR-21281 Nov. 4, 2009 Steven V. Cotton
Other Release No.: AAER-3066
LR-21280 Nov. 4, 2009 Charles E. LeCroy, and Douglas W. MacFaddin
See also: SEC Complaint
LR-21279 Nov. 4, 2009 David J. Hernandez and Relief Defendants NextStep Medical Staffing IL, Inc., NextStep Holdings, Inc., Spectrum Entertainment Group, Inc., The Ilumina Group, Inc., and Gina M. Hernandez
LR-21278 Nov. 4, 2009 James J. Treacy, et al.
Other Release No.: AAER-3065
LR-21277 Nov. 4, 2009 Symbol Technologies, Inc., et al.
Other Release No.: AAER-3064
LR-21276 Nov. 3, 2009 Peter S. Jessop, et al.
LR-21275 Nov. 3, 2009 Randy M. Cho
LR-21274 Nov. 3, 2009 David G. Friehling, C.P.A and Friehling & Horowitz, CPA's, P.C.
LR-21273 Nov. 2, 2009 Syndicated Food Services International, Inc., et al.
LR-21272 Oct. 30, 2009 China Holdings, Inc. and Julianna Lu (a.k.a. Jenny XueJian Lu)
Other Release No.: AAER-3063
See also: SEC Complaint
LR-21271 Oct. 30, 2009 King Chuen Tang a/k/a Chen Tang, Ronald Yee, Zisen Yu, Joseph Seto, Ming Siu, King S. Tang a/k/a James K. Tang, and Ying Kit Yu a/k/a Eddie Yu, Defendants, and Venture Associates Fund I, Tang Capital Partners, Acceleration Capital Partners, American Pegasus Long Short Fund Segregated Portfolio, Ping Lee Tang, Ka Ling Lee, Yin Lee Ka, Cheung-Ting Ka, Sylvia Tsui, Doi Ping Siu, Yuen-Lai Ma, Leung-Kee Siu, Rosalie Cho, Minor Child I and Minor Child II, minor children of Defendant King Chuen Tang a/k/a Chen Tang, Relief Defendants
See also: SEC Complaint
LR-21270 Oct. 30, 2009 Robert E. Lane, et al.
LR-21269 Oct. 30, 2009 Robert E. Lane, et al.
LR-21268 Oct. 29, 2009 Video Without Boundaries, Inc. (d/b/a China Logistics Group Inc.), et al.
LR-21267 Oct. 29, 2009 J. Bennett Grocock
See also: SEC Complaint
LR-21266 Oct. 29, 2009 Amante Corporation, Commonwealth Capital Management, Inc., Edward M. Denigris, and William D. Dyer
See also: SEC Complaint
LR-21265 Oct. 29, 2009 HomePals, LLC, HomePals Investment Club, LLC, Ronnie Eugene Bass, Jr., Abner Alabre and Brian J. Taglieri
LR-21264 Oct. 28, 2009 Charles R. Kokesh
See also: SEC Complaint
LR-21263 Oct. 27, 2009 Stanko J. Grmovsek
See also: SEC Complaint
LR-21262A Oct. 27, 2009 Rick J. Boros
LR-21261 Oct. 27, 2009 Thompson Price Holding Inc., et al.
LR-21260 Oct. 23, 2009 Don N. Spaugy
See also: SEC Complaint
LR-21259 Oct. 22, 2009 Lambros D. Ballas
See also: SEC Complaint
LR-21258 Oct. 22, 2009 Charles C. Slowey, Jr.; Endeavor Partners, LLC; Endeavor Capital Management Group, LLC; Edward D. Puttick, Sr.; Advanced Planning Securities, Inc.; Gregory L. Oldham; Glenn R. Harris; and Oldham Harris Inc.
See also: SEC Complaint
LR-21257 Oct. 21, 2009 Rita White
LR-21256 Oct. 21, 2009 John Zeglis, As Executor, Successor/Representative To James D. Zeglis, Gautam Gupta, Jim W. Dixon and Lance D. McKee
LR-21255 Oct. 16, 2009 Galleon Management, LP, Raj Rajaratnam, Rajiv Goel, Anil Kumar, Danielle Chiesi, Mark Kurland, Robert Moffat and New Castle LLC
See also: SEC Complaint
LR-21254 Oct. 16, 2009 Marvel Partners, marvelpartners.us, marvelpartners.net, and John Does, Nos. 1-5
See also: SEC Complaint
LR-21253 Oct. 16, 2009 Lion Gate Capital, Inc. and Kenneth Rickel
LR-21252 Oct. 16, 2009 Forest Resources Management Corp., et al.
LR-21251 Oct. 16, 2009 HomePals Investment Club, LLC, HomePals, LLC, Ronnie Eugene Bass, Jr., Abner Alabre and Brian J. Taglieri
See also: SEC Complaint
LR-21250 Oct. 15, 2009 Ethan Kass
See also: SEC Complaint
LR-21249 Oct. 15, 2009 Benjamin P. Jones, William F. Jones, III, William T. Dailey, III, and Jeremiah E. Carroll; and Alissa Joelle Kueng
See also Complaints: as to Benjamin P. Jones, William F. Jones, III, William T. Dailey, III, and Jeremiah E. Carroll and as to Alissa Joelle Kueng
LR-21248 Oct. 15, 2009 David F. Merrick, Traders International Return Network, MS, Inc., GTT Services, Inc., MDD Consulting, Inc., and Go ! Tourism, Inc.
See also: SEC Complaint
LR-21247 Oct. 13, 2009 John N. Milne
Other Release No.: AAER-3058
LR-21246 Oct. 9, 2009 Joseph J. Queri, Jr., Gary M. Gosson, et al.
LR-21245 Oct. 9, 2009 Thomas J. Petters
LR-21244 Oct. 8, 2009 Mitchel S. Guttenberg, Erik R. Franklin, David M. Tavdy, Mark E. Lenowitz, Robert D. Babcock, Andrew A. Srebnik, Ken Okada, David A. Glass, Marc R. Jurman, Randi E. Collotta, Christopher K. Collotta, Q Capital Investment Partners, LP, DSJ International Resources Ltd. (d/b/a Chelsey Capital), and Jasper Capital LLC, C.A.
LR-21243 Oct. 8, 2009 Irwin Boock, Stanton B. J. DeFreitas, Nicolette D. Loisel, Roger L. Shoss, and Jason C. Wong, Birte Boock, and 1621566 Ontario, Inc.
See also: SEC Complaint
LR-21242 Oct. 8, 2009 Mx Factors LLC, BBH Resources LLC, JTL Financial Group LLC, Richard M. Harkless, Daniel J. Berardi, Jr., Thomas Hawkesworth, and Randall W. Harding
LR-21241 Oct. 7, 2009 Randy M. Cho
See also: SEC Complaint
LR-21240 Oct. 7, 2009 Feng "Frank" Xie
See also: SEC Complaint
LR-21239 Oct. 7, 2009 Syndicated Food Services International, Inc., et al.
LR-21238 Oct. 6, 2009 Biopure Corporation et al.
LR-21237 Oct. 5, 2009 John J. Bravata, et al.
LR-21236 Oct. 5, 2009 Matthew W. Hardey, L. Cyrus DeBlanc, and Joe E. Penland
Other Release No.: AAER-3055
LR-21235 Oct. 1, 2009 Ronald Ferguson, Elizabeth Monrad, Christian Milton, Robert Graham and Christopher Garand
Other Release No.: AAER-3062
LR-21234 Oct. 1, 2009 Hedgelender LLC et al.
See also: SEC Complaint
LR-21233 Oct. 1, 2009 Mitchell Drucker and Ronald Drucker, Defendants, and William Minerva, Relief Defendant
Third Quarter
LR-21232 Sep. 30, 2009 Jason M. Genet
See also: SEC Complaint
LR-21231 Sep. 30, 2009 K&L International Enterprises, Inc., et al.
LR-21230 Sep. 30, 2009 William A. Huber and Hubadex, Inc.
See also: SEC Complaint
LR-21229 Sep. 30, 2009 AGCO Corporation
See also: SEC Complaint
LR-21228 Sep. 30, 2009 Michael A. Rivers and ARKR Trust LLC
Other Release No.: AAER-3060
LR-21227 Sep. 29, 2009 3001 AD, LLC, Jimmy L. Barker, Robert J. Ladrach, Marc S. Rifkin, Ronald B. Bowsky, Jack Maddock and Michael Weidgans
See also: SEC Complaint
LR-21226 Sep. 28, 2009 George Wesley Harris and Giant Operating, LLC, Defendants, and Stephen Christopher Plunkett, Giant Petroleum, Inc. and DSSC Operating LLC, Relief Defendants
LR-21225 Sep. 28, 2009 Maximum Return Investments, Inc. and Clelia A. Flores
LR-21224 Sep. 28, 2009 K&L International Enterprises, Inc., et al.
See also: SEC Complaint
LR-21223 Sep. 28, 2009 Frank Bluestein
See also: SEC Complaint
LR-21222 Sep. 24, 2009 Christopher A. Black
See also: SEC Complaint
LR-21221 Sep. 24, 2009 Reza Saleh and Amir Saleh
See also: SEC Complaint
LR-21220 Sep. 23, 2009 ConnectAJet.com, Inc., et al.
See also: SEC Complaint
LR-21219 Sep. 23, 2009 John P. Utsick, et al.
LR-21218 Sep. 22, 2009 David L. Hersh
LR-21217 Sep. 21, 2009 Uncommon Media Group, Inc., et al.
LR-21216 Sep. 21, 2009 Uncommon Media Group, Inc., et al.
LR-21215 Sep. 21, 2009 Regions Bank
See also: SEC Complaint
LR-21214 Sep. 21, 2009 John J. Bravata, et al.
LR-21213 Sep. 18, 2009 Charles Johnson, Jr., Christopher Benyo, Michael Kennedy, John Tuli, and Kent Wakeford
Other Release No.: AAER-3052
LR-21212 Sep. 16, 2009 Tony E. Morrison and Texas Securities Partners LLC
See also: SEC Complaint
LR-21211 Sep. 16, 2009 Michael Lauer, et al.
LR-21210 Sep. 14, 2009 Stuart W. Fuhlendorf and Isilon Systems, Inc.
Other Release No.: AAER-3050
See also:
SEC Complaint v. Fuhlendorf
SEC Complaint v. Isilon Systems
LR-21209 Sep. 14, 2009 Allen W. Moss
See also: SEC Complaint
LR-21208 Sep. 11, 2009 Robert D. Falor, et al.
LR-21207 Sep. 11, 2009 Bernard Cole, William Hennessy, Douglas Hodge and Robert Steimle
Other Release No.: AAER-3049
See also: SEC Complaint
LR-21206 Sep. 11, 2009 Paul D. Poetter, et. al.
See also: SEC Complaint
LR-21205 Sep. 11, 2009 Tenet Healthcare Corporation, et al.
Other Release No.: AAER-3047
LR-21204 Sep. 11, 2009 Daryl O. Anderson
See also: SEC Complaint
LR-21203 Sep. 9, 2009 Angel Acquisition Corp., et al
LR-21202 Sep. 9, 2009 Timothy J. Huff
Other Release No.: AAER-3046
See also: SEC Complaint
LR-21201 Sep. 9, 2009 Jeff L. Soisson and Karen Kaye Walker
See also: SEC Complaint
LR-21200 Sep. 8, 2009 Gary A. Reys; CellCyte Genetics Corporation and Ronald W. Berninger
See also:
SEC Complaint v. Reys
SEC Complaint v. CellCyte Genetics and Berninger
LR-21199 Sep. 8, 2009 Philip G. Barry, Leverage Group, Leverage Option Management Co., Inc., and North American Financial Services
See also: SEC Complaint
LR-21198 Sep. 8, 2009 Sidney S. Hanson, Charlotte M. Hanson, Queen Shoals, LLC, Queen Shoals II, LLC, Queen Shoals Capital, LLC, Queen Shoals Fund, LLC, Queen Shoals Group, LLC, Queen Shoals Holdings, LLC, Dominion Growth Fund, LLC, Dynasty Growth Fund, LLC, Heritage Growth Fund, LLC, Secure Wealth Fund, LLC, Select Fund, LLC, Two Oaks Fund, LLC
See also: SEC Complaint
LR-21197 Sep. 3, 2009 Doyle Scott Elliott, Scott Elliott, Inc., Michael Xirinachs, Emerald Asset Advisors LLC, Robert Weidenbaum, and CLX & Associates, Inc.
See also: SEC Complaint
LR-21196 Sep. 3, 2009 Jeffrey L. Mowen et al.
See also: SEC Complaint
LR-21195 Sep. 3, 2009 The Hain Celestial Group, Inc.
Other Release No.: AAER-3045
See also: SEC Complaint
LR-21194 Sep. 1, 2009 VeriFone Holdings, Inc. and Paul Periolat
Other Release No.: AAER-3044
See also: SEC Complaint
LR-21193A Sep. 1, 2009 Golden Apple Oil and Gas, Inc., et. al.
See also: SEC Complaint
LR-21192 Aug. 31, 2009 Sarath B. Gangavarapu
See also: SEC Complaint
LR-21191 Aug. 31, 2009 David A. Souza and D.A. Souza Investments
See also: SEC Complaint
LR-21190 Aug. 28, 2009 Oscar H. Meza
Other Release No.: AAER-3041
See also: SEC Complaint
LR-21189A Aug. 27, 2009 Michael J. Moore and Moore & Associates Chartered
Other Release No.: AAER-3040
LR-21188 Aug. 27, 2009 Ben-Wal Leasing Company, et al.
LR-21187 Aug. 27, 2009 Duane N. Martin and Gary Trump
See also: SEC Complaint
LR-21186 Aug. 27, 2009 William Graulich, IV and iVest International Holdings, Inc.
See also: SEC Complaint
LR-21185A Aug. 27, 2009 John F. Marshall, et al.
See also: SEC Complaint
LR-21184 Aug. 26, 2009 Titan Wealth Management, LLC, Point West Partners, LLC, and Thomas Lester Irby II, Defendants, and Joseph Romanow, David Romanow, Karen Bowie, France Michaud, John J. Kim, and Pegasus Holdings Group, Inc.
LR-21183 Aug. 24, 2009 Nancy Jewell, Kristin Mays, and Matthew B. Murphy, III
See also: SEC Complaint
LR-21182 Aug. 23, 2009 Darrel West and Own My Travel, LLC
See also: SEC Complaint
LR-21181 Aug. 20, 2009 Mohit A. Khanna and MAK 1 Enterprises Group, LLC, et al.
See also: SEC Complaint
LR-21180 Aug. 19, 2009 Daniel M. Kantrowitz
See also: SEC Complaint
LR-21179 Aug. 18, 2009 Eric Todd Seiden and Kamal Abdallah
See also: SEC Complaint
LR-21178 Aug. 13, 2009 Brantley Capital Management, LLC, Robert Pinkas, and Tab Keplinger
See also: SEC Complaint
LR-21177 Aug. 12, 2009 Terex Corporation
Other Release No.: AAER-3035
See also: SEC Complaint
LR-21176 Aug. 12, 2009 L. Daniel Ferrer
See also: SEC Complaint
LR-21175 Aug. 12, 2009 Edwin B. Lyon, IV, et al.
See also: SEC Complaint
LR-21174 Aug. 11, 2009 Frank DiPascali, Jr.
See also: SEC Complaint
LR-21173 Aug. 7, 2009 2Randall Consulting Group, LLC and Brion Gary Randall, Defendants
See also: SEC Complaint
LR-21172 Aug. 6, 2009 Vladimir Chekholko
See also: SEC Complaint
LR-21170 Aug. 6, 2009 Maurice R. Greenberg and Howard I. Smith
Other Release No.: AAER-3032
See also: SEC Complaint
LR-21169 Aug. 5, 2009 Albert J. Rasch, Jr., Kathleen R. Novinger, Sandra B. Masino, and 144 Opinions, Inc.
LR-21168 Aug. 5, 2009 Johannes Gerhardus Andreae
Other Release No.: AAER-3030
LR-21167 Aug. 4, 2009 Omar Ali Rizvi, Bellwether Venture Capital Fund I, Inc., and Strategy Partners, LLC
LR-21166 Aug. 4, 2009 General Electric Company
Other Release No.: AAER-3029
See also: SEC Complaint
LR-21165 Aug. 3, 2009 Medical Capital Holdings, Inc.; Medical Capital Corporation; Medical Provider Funding Corporation VI; Sidney M. Field; and Joseph J. Lampariello
LR-21164 Aug. 3, 2009 Bank of America Corp.
See also: SEC Complaint; SEC Amended Complaint
LR-21163 Aug. 3, 2009 Kenneth Selterman and Patti Tay
Other Release No.: AAER-3028
See also: SEC Complaint
LR-21162 Jul. 31, 2009 Nature's Sunshine Products, Inc., Douglas Faggioli and Craig D. Huff
See also: SEC Complaint
LR-21161 Jul. 31, 2009 Steven E. Tennies and Price Geld & Company, Inc.
See also: SEC Complaint
LR-21160 Jul. 30, 2009 Robert Glenn Bard and Vision Specialist Group LLC
See also: SEC Complaint
LR-21159 Jul. 30, 2009 Steven R. Chamberlain, Elaine M. Brown and Gary A. Prince
LR-21158 Jul. 29, 2009 Diversity Capital Investments, Inc., et al.
See also: SEC Complaint
LR-21157 Jul. 28, 2009 Radical Bunny, LLC, Tom Hirsch, Berta Walder, Howard Walder, and Harish Shah
See also: SEC Complaint
LR-21156 Jul. 28, 2009 Avery Dennison Corporation
Other Release No.: AAER-3020
See also: SEC Complaint
LR-21155 Jul. 28, 2009 John J. Bravata, et al.
See also: SEC Complaint
LR-21154 Jul. 27, 2009 Khaled Mohammed Sharif Al Sayed Al Hashemi a.k.a Khaled Al Hashemi
See also: SEC Complaint
LR-21153 Jul. 27, 2009 Darryl Lamonth Clark
LR-21152 Jul. 23, 2009 Hazem Khalid Al-Braikan
LR-21151 Jul. 23, 2009 Philip E. Lowery
LR-21150 Jul. 23, 2009 West Marine, Inc.
Other Release No.: AAER-3019
See also: SEC Complaint
LR-21149A Jul. 23, 2009 Maynard L. Jenkins
Other Release No.: AAER-3025
See also: SEC Complaint
LR-21148 Jul. 23, 2009 Joel M. Arnold, Grant P. Graham, John M. Walker, and Richard L. Weston
Other Release No.: AAER-3018
LR-21147 Jul. 23, 2009 Michael K.C. Tom, et al.
LR-21146 Jul. 22, 2009 Christopher Castaldo, et al.
LR-21145 Jul. 22, 2009 Jeffrey A. Hayden and Barry S. Griffin, et al.
LR-21144 Jul. 21, 2009 Deborah Duffy
See also: SEC Complaint
LR-21143 Jul. 21, 2009 Morgan Keegan & Company, Inc.
LR-21142 Jul. 21, 2009 The Formula, Inc., The Formula, LLC, and Brian A. Neiman
LR-21141 Jul. 20, 2009 Medical Capital Holdings, Inc.; Medical Capital Corporation; Medical Provider Funding Corporation VI; Sidney M. Field; and Joseph J. Lampariello
LR-21140 Jul. 20, 2009 Andres Leyva
LR-21139 Jul. 17, 2009 Blue Bottle Limited and Matthew C. Stokes
LR-21138 Jul. 17, 2009 Excellency Investment Realty Trust, Inc. and David Mladen
See also: SEC Complaint
LR-21137 Jul. 16, 2009 Matthew W. Hardey, L. Cyrus DeBlanc, and Joe E. Penland
Other Release No.: AAER-3012
See also: SEC Complaint
LR-21136 Jul. 16, 2009 Mark T. Turkcan
Other Release No.: AAER-3011
LR-21135 Jul. 15, 2009 John W. Lawton, Paramount Partners, LP, and Crossroad Capital Management, LLC
LR-21133 Jul. 15, 2009 Anthony Perez and Ian C. Perez; Math J. Hipp Jr.; Carl E. Binette and Peter E. Talbot
See also:
SEC Complaint v. Perez and Perez
SEC Complaint v. Hipp
SEC Complaint v. Binette and Talbot
LR-21132 Jul. 15, 2009 Kevan D. Acord et al.
See also: SEC Complaint
LR-21131 Jul. 15, 2009 Angel Acquisition Corp., et al
LR-21130 Jul. 15, 2009 Dmitriy Butko
LR-21129 Jul. 14, 2009 L. Dennis Kozlowski, Mark H. Swartz, and Mark A. Belnick
Other Release No.: AAER-3010
LR-21128 Jul. 14, 2009 Richard D. Power, Edward Federman, and Richard J. "Skip" Heger
Other Release No.: AAER-3009
LR-21127 Jul. 14, 2009 Sean Nathan Healy, Defendant, and Shalese Rania Healy and Sand Dollar Investing Partners, LLC, Relief Defendants
See also: SEC Complaint
LR-21126 Jul. 13, 2009 David M. Otto, Todd Van Siclen, MitoPharm Corporation, Pak Peter Cheung, Wall Street PR, Inc., Charles Bingham
See also: SEC Complaint
LR-21125 Jul. 10, 2009 Alanar, Inc., et al.
LR-21124 Jul. 10, 2009 Thomas J. Petters, Gregory M. Bell and Lancelot Investment Management LLC, Defendants, and Inna Goldman, Inna Goldman Revocable Trust, Asia Trust Ltd., Blue Sky Trust, and Gregory Bell Revocable Trust, Relief Defendants
See also: SEC Complaint
LR-21123 Jul. 10, 2009 Colonial Investment Management LLC, Colonial Fund LLC and Cary G. Brody
See also: Findings of Fact and Conclusions of Law
LR-21122 Jul. 9, 2009 Pointer Worldwide, Ltd et al.
See also: SEC Complaint
LR-21121 Jul. 9, 2009 James B. Duncan; Hendrix M. Montecastro; Maurice E. McLeod; Pacific Wealth Management, LLC; Stonewood Consulting, Inc.; and Total Return Fund, LLC
LR-21120 Jul. 8, 2009 Sky Capital LLC a/k/a Granta Capital LLC, Ross Mandell, Stephen Shea, Adam Harrington Ruckdeschel, Arn Wilson, Michael Passaro and Robert Grabowski
See also: SEC Complaint
LR-21119 Jul. 8, 2009 Jerry F. Wells, Jr.
Other Release No.: AAER-3008
See also: SEC Complaint
LR-21118 Jul. 7, 2009 Provident Royalties, LLC et al.
See also: SEC Complaint
LR-21117 Jul. 6, 2009 Doral Financial Corporation and First BanCorp
Other Release No.: AAER-3007
LR-21116 Jul. 2, 2009 Geotec, Inc. a/k/a Geotec Thermal Generators, Inc., Bradley T. Ray, William Richard Lueck, and Stephen D. Chanslor
See also: SEC Complaint
LR-21115 Jul. 1, 2009 James H. Park
See also: SEC Complaint
LR-21114 Jul. 1, 2009 Michael T. Rand
Other Release No.: AAER-3003
See also: SEC Complaint
LR-21113 Jul. 1, 2009 Ryan M. Jindra and Envision Investment Advisors, LLC, defendants, and Envision Financial Group, Inc., relief defendant
See also: SEC Complaint
Second Quarter
LR-21112 Jun. 30, 2009 Don Warner Reinhard
LR-21111 Jun. 30, 2009 Ricardo H. Goldman
LR-21110 Jun. 29, 2009 Karnig H. Durgarian, Jr., et al.
LR-21109 Jun. 29, 2009 Finbar Securities Corp., et al.
LR-21108 Jun. 29, 2009 Headstart Advisers Limited, et al.
LR-21107 Jun. 25, 2009 Mark Cocchiola and Steven Venechanos; Jack Gaglio; and Robert Quattrone, et al.
Other Release No.: AAER-3001
LR-21106 Jun. 25, 2009 Steven R. Garfinkel and Michael O'Hanlon
Other Release No.: AAER-3000
LR-21105 Jun. 25, 2009 Prime Time Group, Inc.
See also: SEC Complaint
LR-21104 Jun. 24, 2009 Michael J. Muzio
See also: SEC Complaint
LR-21103 Jun. 24, 2009 Richard F. Selden
LR-21102 Jun. 24, 2009 Regan & Company and Michael C. Regan
See also: SEC Complaint
LR-21101 Jun. 24, 2009 Moises Pacheco, Advanced Money Management, Inc., and Business Development & Consulting Co., et al.
See also: SEC Complaint
LR-21100 Jun. 23, 2009 Gary S. Becker, Gregory S. Schaefer, and Dillon Scott Securities, Inc.
See also: SEC Complaint
LR-21099 Jun. 22, 2009 Steven E. Nothern
LR-21098 Jun. 22, 2009 Horst W. Schroeder
Other Release No.: AAER-2998
LR-21097 Jun. 22, 2009 Warren B. Schmidgall and David E. Watson
Other Release No.: AAER-2997
LR-21096 Jun. 22, 2009 Stanley Chais
See also: SEC Complaint
LR-21095 Jun. 22, 2009 Cohmad Securities Corporation, Maurice J. Cohn, Marcia B. Cohn, and Robert M. Jaffe
See also: SEC Complaint
LR-21094 Jun. 22, 2009 Pinnacle Business Management, Jeffrey G. Turino, et al.
LR-21093 Jun. 22, 2009 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
LR-21092 Jun. 19, 2009 Stanford International Bank, Ltd., et al.
See also: SEC Second Amended Complaint
LR-21091 Jun. 18, 2009 Ulticom, Inc. and Lisa M. Roberts
Other Release No.: AAER-2995
See also:
SEC Complaint v. Ulticom
SEC Complaint v. Roberts
LR-21090 Jun. 18, 2009 Comverse Technology, Inc.
Other Release No.: AAER-2994
See also: SEC Complaint
LR-21089 Jun. 18, 2009 Joseph Hirko, et al.
Other Release No.: AAER-2993
LR-21088 Jun. 17, 2009 Horizon Property Holdings, L.C. and Cydney Sanchez
LR-21087 Jun. 17, 2009 Jerry D. Cash and David E. Grose
Other Release No.: AAER-2991
See also: SEC Complaint
LR-21086 Jun. 16, 2009 Mitchel S. Guttenberg, Erik R. Franklin, David M. Tavdy, Mark E. Lenowitz, Robert D. Babcock, Andrew A. Srebnik, Ken Okada, David A. Glass, Marc R. Jurman, Randi E. Collotta, Christopher K. Collotta, Q Capital Investment Partners, LP, DSJ International Resources Ltd. (d/b/a Chelsey Capital), and Jasper Capital LLC
LR-21085 Jun. 15, 2009 David J. Hernandez, also doing business as “NextStep Financial Services, Inc.”
See also: SEC Complaint
LR-21084 Jun. 12, 2009 ZNext Mining Corporation, Inc. and Elvira G. Gamboa
See also: SEC Complaint
LR-21083 Jun. 12, 2009 Blackout Media Corporation and Sandy Winick
Other Release No.: AAER-2990
See also: SEC Complaint
LR-21082 Jun. 12, 2009 John S. Morgan, Marian I. Morgan, Morgan European Holdings ApS a/k/a Money Talks, Inc., ApS, Stephen E. Bowman, Bowman Marketing Group, Inc., and Thomas D. Woodcock, Jr.
LR-21081 Jun. 12, 2009 Aura Financial Services, Inc., Ronald E. Hardy, Jr., Peter C. Dunne, Qais R. Bhavnagari, Dipin Malla, Sandeep Singh, and Raymond Rapaglia
See also: SEC Complaint
LR-21080 Jun. 11, 2009 Forest Resources Management Corp., et al.
LR-21079 Jun. 10, 2009 Phillip Macdonald, Martin Gollan, and Michael Goodman
See also: SEC Complaint
LR-21078 Jun. 10, 2009 Matthew D. Weitzman
See also: SEC Complaint
LR-21077 Jun. 9, 2009 Christopher M. Kunkel
See also: SEC Complaint
LR-21076 Jun. 9, 2009 Peter C. Son, Jin K. Chung, SNC Asset Management, Inc., and SNC Investments, Inc.
See also: SEC Complaint
LR-21075 Jun. 9, 2009 Lorenz Kohler and Swiss Real Estate International Holding AG, Defendants, and Sacho Todorov Dermendjiev, Relief Defendant
See also: SEC Complaint
LR-21074 Jun. 9, 2009 Berkshire Resources, L.L.C., et al.
LR-21073 Jun. 9, 2009 John M. Donnelly, et al.
LR-21072 Jun. 8, 2009 Robert L. Hollier and Wayne A. Dupuis
See also: SEC Complaint
LR-21071 Jun. 8, 2009 Alexis Ampudia, a/k/a Alexis Geancarlos Ampudia Navalo, a/k/a Alexis Emias, a/k/a Alexis Rojas
LR-21070 Jun. 5, 2009 Wall Street Communications, Inc. et al.
LR-21069 Jun. 4, 2009 Tajyar, et al.
See also: SEC Complaint
LR-21068A Jun. 4, 2009 Angelo Mozilo, David Sambol, and Eric Sieracki
Other Release No.: AAER-3023
See also: SEC Complaint
LR-21067 Jun. 4, 2009 Lena Yan
LR-21066 Jun. 3, 2009 Banc of America Investment Services, Inc.; RBC Capital Markets Corporation; and Deutsche Bank Securities Inc.
See also Complaints: Bank of America; RBC; and Deutsche Bank
LR-21065 Jun. 1, 2009 Charles C. Conaway and John T. McDonald, Jr.
LR-21064 May 29, 2009 Mark R. Hamlin, Kingdom First Trading, LLC, and Kingdom First Corp.
See also: SEC Complaint
LR-21063 May 29, 2009 Thomas Wurzel
Other Release No.: AAER-2980
See also: SEC Complaint
LR-21062 May 29, 2009 David E. Ruskjer
See also: SEC Complaint
LR-21061 May 28, 2009 William Betta, Jr., et al.
See also: SEC Complaint
LR-21060 May 27, 2009 Pegasus Wireless Corporation, Jasper Knabb, and Stephen Durland
See also: SEC Complaint
LR-21059 May 27, 2009 James E. Gansman, et al.
LR-21058 May 27, 2009 Richard J. Miller, Gary S. Jensen, and Michael E. Beaulieu
See also: SEC Complaint
Other Release No.: AAER-2977
LR-21057 May 26, 2009 Gendreau & Associates, Inc., and Jacques R. Gendreau
LR-21056 May 26, 2009 PrivateFX Global One Ltd., SA, 36 Holdings, Ltd., Robert D. Watson, and Daniel J. Petroski
LR-21055 May 21, 2009 Wealth Management LLC, James Putman, and Simone Fevola
LR-21054 May 21, 2009 Richard Karp
See also: SEC Complaint
LR-21053 May 21, 2009 Pawel P. Dynkowski, Matthew W. Brown, Jacob Canceli, Gerard J. D'Amaro, Joseph Mangiapane Jr., Nathan M. Michaud, Marc J. Riviello and Adam S. Rosengard
See also: SEC Complaint
LR-21052 May 20, 2009 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
See also: SEC Complaint
LR-21051 May 20, 2009 Zachariah P. Zachariah, et al.
LR-21050 May 19, 2009 David B. Stocker., et al.
LR-21049 May 19, 2009 Phillip W. Offill, Jr., et al.
LR-21048 May 19, 2009 Apogee Technology, Inc., David B. Meyers and Annette Jaynes
Other Release No.: AAER-2972
See also: SEC Complaint
LR-21047 May 19, 2009 W. Anthony Huff, et al.
LR-21046 May 19, 2009 Michael Lauer, et al.
LR-21045 May 18, 2009 Sun Group, et al.
See also: SEC Complaint
LR-21044 May 18, 2009 WellCare Health Plans, Inc.
Other Release No.: AAER-2971
See also: SEC Complaint
LR-21043 May 18, 2009 Gregg Thomas Rennie
LR-21042 May 18, 2009 Monster Worldwide, Inc.
Other Release No.: AAER-2970
See also: SEC Complaint
LR-21041 May 15, 2009 Gordon A. Driver and Axcess Automation, LLC
See also: SEC Complaint
LR-21040 May 15, 2009 Wellco Energy, LLC, Justin William Rifkin, Patrick V. Looper, Richard G. Pacheco, and Dustin D. White
See also: SEC Complaint
LR-21039 May 15, 2009 Gary A. Ray
Other Release No.: AAER-2969
See also: SEC Complaint
LR-21038 May 14, 2009 Sherbourne Capital Management, Ltd., Sherbourne Financial, Ltd., Paul G. Bultmeyer, and Arthur J. Piacentini
See also: SEC Complaint
LR-21037 May 13, 2009 Amit Mathur, et al.
LR-21036 May 12, 2009 Henry Morris et al.
See also: SEC Complaint
LR-21035 May 11, 2009 Kiselak Capital Group, LLC et al
See also: SEC Complaint
LR-21034 May 11, 2009 Daniel W. Nodurft
See also: SEC Complaint
LR-21033 May 11, 2009 Novo Nordisk A/S
See also: SEC Complaint
LR-21032 May 11, 2009 Robert Todd Beardsley and George Lindenberg
LR-21031 May 8, 2009 Hartmut Theodor Rose and James Patrick Reedy
See also: SEC Complaint
LR-21030 May 8, 2009 C. Wesley Rhodes, Jr., Rhodes Econometrics, Inc., The Rhodes Company, and Resource Transactions, Inc.
LR-21029 May 8, 2009 Courtney D. Smith
LR-21028 May 7, 2009 Exotics.com, Inc., et al.
LR-21027 May 7, 2009 Finbar Securities Corp., et al.
LR-21026 May 6, 2009 Robert P. Copeland
LR-21025 May 5, 2009 Reserve Management Company, Inc., Resrv Partners, Inc., Bruce Bent Sr. and Bruce Bent II
See also: SEC Complaint
LR-21024 May 5, 2009 Albert J. Rasch, Jr., Kathleen R. Novinger, Sandra B. Masino, and 144 Opinions, Inc.
See also: SEC Complaint
LR-21023 May 5, 2009 Jon-Paul Rorech, et. al.
See also: SEC Complaint
LR-21022 May 1, 2009 Lambert Vander Tuig, The Carolina Development Company, Inc. and Jonathan Carman
LR-21021 May 1, 2009 Daryn P. Fleming and Mathew C. Bruce
LR-21020 Apr. 30, 2009 Maher F. Kara, Michael F. Kara, Emile Y. Jilwan, Zahi T. Haddad, Bassam Y. Salman, and Karim I. Bayyouk; Joseph Azar; Nasser Mardini
See also:
SEC Complaint v. Maher F. Kara et al.
SEC Complaint v. Joseph Azar
SEC Complaint v. Nasser Mardini
LR-21019 Apr. 30, 2009 Golden State Equity Investors, Inc.
See also: SEC Complaint
LR-21018 Apr. 30, 2009 Henry Morris, David J. Loglisci, Barrett N. Wissman, Raymond B. Harding, Saul M. Meyer, Nosemote LLC, Pantigo Emerging LLC, Purpose LLC, Flandana Holdings Ltd., Tuscany Enterprises LLC, W Investment Strategies, HFV Management LP, HFV Asset Management LP and Aldus Equity Partners, L.P.
See also: SEC Complaint
LR-21017 Apr. 29, 2009 Bradley L. Ruderman, Ruderman Capital Management, LLC, Ruderman Capital Partners, LLC, and Ruderman Capital Partners A, LLC
See also: SEC Complaint
LR-21016 Apr. 29, 2009 Frederick J. Barton, Barton Asset Management, LLC, and TwinSpan Capital Management, LLC
LR-21015 Apr. 28, 2009 Matthew J. Browne
See also: SEC Complaint
LR-21014 Apr. 28, 2009 Michael Strauss, Stephen Hozie and Robert Bernstein
Other Release No.: AAER-2967
See also: SEC Complaint
LR-21013 Apr. 27, 2009 Private Equity Management Group LLC, et al.
See also: SEC Complaint
LR-21012 Apr. 27, 2009 Ponta Negra Fund I, LLC et al.
See also: SEC Complaint
LR-21011 Apr. 24, 2009 David Praise, et al.
LR-21010 Apr. 23, 2009 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.
See also: SEC Complaint
LR-21009 Apr. 22, 2009 Benny L. Judah, et al.
See also: SEC Complaint
LR-21008 Apr. 21, 2009 Joseph J. Queri, Jr., Gary M. Gosson, et al.; Joseph J. Queri, Jr., Joseph J. Queri, Sr., et al.
LR-21007 Apr. 20, 2009 David A. Williams, Sherwood Secured Income Fund, LLC, WFG Holdings, Inc., and Williams Financial Group, LLC
See also: SEC Complaint
LR-21006 Apr. 20, 2009 Donald Anthony Walker Young, et al.
See also: SEC Complaint
LR-21005 Apr. 17, 2009 William M. Gallahair
LR-21004 Apr. 16, 2009 J. Thomas Talbot
LR-21003 Apr. 15, 2009 Michael E. Kelly, et al.
LR-21002 Apr. 15, 2009 Edward T. Stein et al.
LR-21001 Apr. 15, 2009 Henry Morris, David J. Loglisci, Barrett N. Wissman, Raymond B. Harding, Nosemote LLC, Pantigo Emerging LLC, Purpose LLC, Flandana Holdings Ltd., Tuscany Enterprises LLC, W Investment Strategies, HFV Management LP and HFV Asset Management LP
See also: SEC Complaint
LR-21000 Apr. 15, 2009 Tri Energy, Inc., H & J Energy Company, Inc., Marina Investors Group, Inc., Lowell Decker, Robert Jennings, Henry Jones, Arthur Simburg, Mildred Stultz, DJM, LLC, Financial MD, Inc., Financial MD and Associates, Inc., Daniel J. Merriman, Global Village Records, and La Vie D'Argent, as defendants, and R.P.J. Investment Group, Inc., T.M.A. Investment Enterprises, Thomas Avery, and Wing NGA Lau, a/k/a Adrienne Lau, as relief defendants
LR-20999 Apr. 14, 2009 Osvaldo Pitters, Terrell J. Kuykendall and Steven M. Ivester
LR-20998 Apr. 14, 2009 Isaac I. Ovid, Aaron Riddle, J. Jonathan Coleman, Stephen Cina, Cory A. Martin, Timothy Smith, Robert J. Riddle, Jadis Capital, Inc., Jadis Investments, LLC, and Logos Multi-Strategy Hedge Fund I, LP
See also: SEC Complaint
LR-20997 Apr. 13, 2009 Maximum Return Investments, Inc. and Clelia A. Flores
LR-20996 Apr. 10, 2009 Crossroads Financial Planning, Inc., and Julie M. Jarvis
See also: SEC Complaint
LR-20995 Apr. 10, 2009 Kent H. Roberts
LR-20994 Apr. 9, 2009 Robert P. Copeland
See also: SEC Complaint
LR-20993A Apr. 8, 2009 Lydia Capital, LLC et al.
LR-20992 Apr. 7, 2009 Market Street Advisors, Shawn R. Merriman, LLC-1, LLC-2, Marque LLC-3, and LLC-4
See also: SEC Complaint
LR-20991 Apr. 7, 2009 Finbar Securities Corp., et al.
See also: SEC Complaint
LR-20990 Apr. 7, 2009 Ryan M. Reynolds, et al.
See also: SEC Amended Complaint
LR-20989 Apr. 6, 2009 Gregory L. Reyes, et al.
LR-20988 Apr. 6, 2009 Oversea Chinese Fund Limited Partnership, et al.
See also: SEC Complaint
LR-20987 Apr. 6, 2009 Whispering Winds Properties, LLC; LM Beagle Properties, LLC; Karlena, Inc.; Axis International, Inc.; and Dan Wise aka Danny Wise
LR-20986 Apr. 3, 2009 Sun Empire LLC, et al.
See also: SEC Complaint
LR-20985 Apr. 3, 2009 Spear & Jackson, Inc., et al.
LR-20984 Apr. 2, 2009 Frank C. Calmes, Lynn D. Rowntree, Manny J. Shulman, James E. Pratt, et al.
LR-20983 Apr. 1, 2009 Edward T. Stein, et. al.
LR-20982 Apr. 1, 2009 Take-Two Interactive Software, Inc.
Other Release No.: AAER-2957
See also: SEC Complaint
First Quarter
LR-20981 Mar. 31, 2009 John Hyun Joon Min and Dime Financial Group LLC
See also: SEC Complaint
LR-20980 Mar. 31, 2009 Forest Resources Management Corp., et al.
LR-20979 Mar. 30, 2009 CyberKey Solutions, Inc. and James E. Plant
LR-20978 Mar. 30, 2009 WMDS, Inc. One Universe Online, Inc., Seng Tan, James Bunchan and Christian Rochon
Other Release No.: AAER-2956
LR-20977 Mar. 27, 2009 Andrew S. Mackey and Inger L. Jensen
LR-20976 Mar. 27, 2009 Sonja Anticevic, et al.
LR-20975 Mar. 27, 2009 Delphi Corporation, Judith Kudla, et al.
Other Release No.: AAER-2955
LR-20974 Mar. 26, 2009 Millennium Bank, et al.
See also: SEC Complaint
LR-20973 Mar. 25, 2009 Gerald P. Alexander, CJB Consulting, Inc., and Regis Filia Holdings, Inc.
See also: SEC Complaint
LR-20972 Mar. 25, 2009 The Nutmeg Group, LLC, et al.
See also: SEC Complaint
LR-20971 Mar. 25, 2009 John M. Donnelly, et al.
LR-20970 Mar. 24, 2009 David Scott Cacchione
See also: SEC Complaint
LR-20969 Mar. 24, 2009 Innova Energy LLC, et al.
See also: SEC Complaint
LR-20968 Mar. 23, 2009 International Realty Holdings, Inc., et al.
See also: SEC Complaint
LR-20967 Mar. 23, 2009 Anthony Vassallo, Kenneth Kenitzer, and Equity Investment Management and Trading, Inc.
LR-20966 Mar. 23, 2009 Anthony A. James and James Asset Advisory, L.L.C.
LR-20965 Mar. 23, 2009 Escala Group, Inc., Gregory Manning, and Larry Lee Crawford, CPA
Other Release No.: AAER-3031
See also: SEC Complaint
LR-20964 Mar. 20, 2009 Mercury Interactive, LLC (f/k/a Mercury Interactive Corporation), Amnon Landan, Sharlene Abrams, Douglas Smith, and Susan Skaer
Other Release No.: AAER-2953
LR-20963 Mar. 19, 2009 Henry Morris, David Loglisci, Nosemote LLC, Pantigo Emerging LLC, and Purpose LLC
See also: SEC Complaint
LR-20962A Mar. 18, 2009 Albert K. Hu, Asenqua, Inc., Asenqua Capital Management, LLC, AQC Asset Management, Ltd., and Fireside Capital Management, Ltd.
See also: SEC Complaint
LR-20961 Mar. 18, 2009 Darrel T. Uselton and Jack E. Uselton
LR-20960 Mar. 18, 2009 Sky Way Global LLC (dba Sky Way Global, Inc.), Brent C. Kovar, Glenn A. Kovar, James S. Kent, Kenneth Bruce Baker (aka Bruce Baker), and Kenneth R. Kramer
See also: SEC Complaint
LR-20959 Mar. 18, 2009 David G. Friehling, C.P.A and Friehling & Horowitz, CPA's, P.C.
Other Release No.: AAER-2992
See also: SEC Complaint
LR-20958 Mar. 17, 2009 Tecumseh Holdings Corporation, et al.
LR-20957 Mar. 17, 2009 Paul M. Gozzo and PMG Capital, LLC
See also: SEC Complaint
LR-20956 Mar. 16, 2009 K.W. Brown and Company, et al.
LR-20955 Mar. 13, 2009 Peter W. Fisher, et al. and Phillip W. Offill, Jr., et al.
LR-20954 Mar. 13, 2009 Glenn E. Glasshagel
LR-20953A Mar. 13, 2009 Michael Biello
See also: SEC Complaint
LR-20952 Mar. 13, 2009 Automated Trading Desk Specialists, LLC; E*Trade Capital Markets LLC; Melvin Securities, LLC and Melvin & Company, LLC; Sydan, LP; and TradeLink, LLC
LR-20951 Mar. 13, 2009 Sunwest Management, Inc., et al.
LR-20950 Mar. 12, 2009 Quest Software, Inc., Vincent C. Smith, John J. Laskey, and Kevin E. Brooks
Other Release No.: AAER-2949
See also: SEC Complaint
LR-20949A Mar. 12, 2009 MedQuist Inc.; John A. Donohoe; and Brian J. Kearns and Bruce J. Van Fossen
Other Release No.: AAER-3022A
See also:
SEC Complaint v. MedQuist Inc.
SEC Complaint v. John A. Donohoe, Jr.
SEC Complaint v. Brian J. Kearns and Bruce J. Van Fossen
LR-20948 Mar. 12, 2009 Brian Travis, et al.
See also: SEC Complaint
LR-20947 Mar. 12, 2009 Howard P. Richman
LR-20946 Mar. 12, 2009 Brian J. Smart, et al.
See also: SEC Complaint
LR-20945 Mar. 11, 2009 PowerCold Corporation, Francis L. Simola, Joseph C. Cahill, and Grayling R. Hofer
Other Release No.: AAER-2948
See also: SEC Complaint
LR-20944 Mar. 11, 2009 Peter W. Fisher, et al.; Phillip W. Offill, Jr., et al.; David B. Stocker, et al.
LR-20943 Mar. 11, 2009 Anthony Vassallo, Kenneth Kenitzer, and Equity Investment Management and Trading, Inc.
See also: SEC Complaint
LR-20942 Mar. 11, 2009 Stephen P. Gardner, et al.
Other Release No.: AAER-2947
LR-20941 Mar. 11, 2009 John M. Donnelly, et al.
See also: SEC Complaint
LR-20940 Mar. 10, 2009 C. Jones & Company, Carter Allen Jones, Timothy J. Miles, Gaylen P. Johnson, and Jonathan Curshen
LR-20939 Mar. 10, 2009 iBIZ Technology Corp., Kenneth W. Schilling, H. Mark Perkins, Jeffrey Firestone, Jerrold B. McRoberts, and D. Scott Elliott
LR-20938 Mar. 10, 2009 Allen Barnett, et al.
Other Release No.: AAER-2946
See also: SEC Complaint
LR-20937 Mar. 9, 2009 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
See also: SEC Complaint
LR-20936 Mar. 9, 2009 Locke Capital Management, Inc. and Leila C. Jenkins
See also: SEC Complaint
LR-20935 Mar. 6, 2009 Shelby Dean Martin, D. Martin Enterprises, Inc. and DM Ventures, LLC
See also: SEC Complaint
LR-20934 Mar. 6, 2009 Gary Richetelli
See also: SEC Complaint
LR-20933A Mar. 6, 2009 Martin G. Fraser, Don W. Watson, Edward W. O'Brien, and Gary M. Opper
Other Release No.: AAER-3024
LR-20932 Mar. 6, 2009 CRE Capital Corporation and James G. Ossie
LR-20931 Mar. 5, 2009 Anthony Fareri, Fareri Financial Services, Inc. d/b/a Amerifinancial, and Anthony Fareri & Associates, Inc.
See also: SEC Complaint
LR-20930 Mar. 5, 2009 John W. Lawton, Paramount Partners LP, and Crossroad Capital Management, LLC
See also: Order of Preliminary Injunction
LR-20929 Mar. 5, 2009 Competitive Technologies, Inc., et. al
LR-20928 Mar. 5, 2009 Zahra Ghods and RUSA Cap., Inc., Defendants, and Unisource Cap., LLC, Relief Defendant
LR-20927 Mar. 5, 2009 Pediatrix Medical Group, Inc.
Other Release No.: AAER-2943
See also: SEC Complaint
LR-20926 Mar. 5, 2009 Diversified Lending Group, Inc., et al.
LR-20925 Mar. 4, 2009 Ray M. White and CRW Management, L.P.
See also: SEC Complaint and Order
LR-20924 Mar. 4, 2009 James M. Nicholson, et. al.
LR-20923 Mar. 4, 2009 Scott A. Livengood, John W. Tate, and Randy S. Casstevens
See also: SEC Complaint
LR-20922 Mar. 4, 2009 Automated Trading Desk Specialists, LLC; E*Trade Capital Markets LLC; Melvin Securities, LLC and Melvin & Company, LLC; Sydan, LP; and TradeLink, LLC
See also:
SEC Complaint v. Automated Trading Desk Specialists, LLC
SEC Complaint v. E*Trade Capital Markets LLC
SEC Complaint v. Melvin Securities, LLC and Melvin & Company, LLC
SEC Complaint v. Sydan, LP
SEC Complaint v. TradeLink, LLC
LR-20921 Mar. 3, 2009 Stephen L. Hochberg
LR-20920 Mar. 2, 2009 Sunwest Management, Inc., Canyon Creek Development, Inc., Canyon Creek Financial, LLC, and Jon M. Harder
See also: SEC Complaint
LR-20919 Mar. 2, 2009 Nathan A. Chapman, et al.
LR-20918 Feb. 27, 2009 Daren L. Palmer and Trigon Group, Inc.
LR-20917 Feb. 27, 2009 Phillip R. Trujillo, Wealth Management Resources, LLC, PTV 22, LLC, PTV 33, LLC, and PTV 44, LLC
See also: SEC Complaint
LR-20916 Feb. 26, 2009 Lawrence B. Evans et al.
Other Release No.: AAER-2940
LR-20915 Feb. 26, 2009 Matthew E. Kopsky and Ronald W. Davis
LR-20914 Feb. 26, 2009 Zomax, Inc., et al.
LR-20913 Feb. 25, 2009 North Hills Management LLC, et al.
See also: SEC Complaint
LR-20912 Feb. 25, 2009 WG Trading Investors, L.P., et al.
See also: SEC Complaint
LR-20911 Feb. 25, 2009 James M. Nicholson and Westgate Capital Management, LLC, Defendants, and Westgate Absolute Return Fund, LP, et al., Relief Defendants
See also: SEC Complaint
LR-20910 Feb. 25, 2009 Frederick O'Meally, et. al.
LR-20909 Feb. 24, 2009 Victor P. Machado and Frank Lu
See also: SEC Complaint
LR-20908 Feb. 23, 2009 Global Development & Environmental Resources, Inc., et al.
LR-20907 Feb. 20, 2009 John W. Lawton, Paramount Partners LP, and Crossroad Capital Management, LLC
See also: SEC Complaint and Temporary Restraining Order
LR-20906 Feb. 19, 2009 Billion Coupons, Inc. (aka Billion Coupons Investment) and Marvin R. Cooper
See also: SEC Complaint
LR-20905 Feb. 18, 2009 UBS AG
See also: SEC Complaint
LR-20904 Feb. 18, 2009 William L. Walters
LR-20903 Feb. 17, 2009 Biovail Corporation, Eugene Melnyk, Brian Crombie, John Miszuk, and Kenneth G. Howling
LR-20902 Feb. 17, 2009 Research in Motion Limited, Dennis Kavelman, Arcangelo Loberto, James Balsillie and Mihal Lazaridis
Other Release No.: AAER-2937
See also: SEC Complaint
LR-20901 Feb. 17, 2009 Stanford International Bank, et al.
See also: SEC Complaint;
SEC First Amended Complaint; Memorandum of Law
LR-20900 Feb. 13, 2009 Virginia A. Papa, Kevin F. Crain, and Sandra G. Childs
LR-20899 Feb. 12, 2009 George Georgiou
See also: SEC Complaint
LR-20898 Feb. 11, 2009 Meridian Holdings, Inc., Anthony C. Dike and Michelle V. Nguyen
Other Release No.: AAER-2936
LR-20897A Feb. 11, 2009 Halliburton Company and KBR, Inc.
Other Release No.: AAER-2935A
See also: SEC Complaint
LR-20896 Feb. 11, 2009 ITT Corporation
Other Release No.: AAER-2934
See also: SEC Complaint
LR-20895 Feb. 10, 2009 Joseph J. Queri Jr., Gary M. Gosson, et al.
LR-20894 Feb. 10, 2009 Marc T. Duchesne, Jeffrey A. Hayden, Gregory A. Moffit, Robert S. Parsley, and Nationwide Capital Corp.
LR-20893 Feb. 10, 2009 Grant Ivan Grieve, Finvest Asset Management, LLC; and Finvest Fund Management, LLC
See also: SEC Complaint
LR-20892 Feb. 10, 2009 George David Gordon, Joshua Wayne Lankford, and Dean Joseph Sheptycki
See also: SEC Complaint
LR-20891 Feb. 10, 2009 Thom A. Faria, Stephen J. McLaughlin and William M. Stickney
Other Release No.: AAER-2932
LR-20890 Feb. 9, 2009 Craig T. Jolly and Quest Holdings, Inc.
See also: SEC Complaint
LR-20889 Feb. 9, 2009 Bernard L. Madoff and Bernard L. Madoff Investment Securities LLC
LR-20888 Feb. 6, 2009 Lewis E. Graham II and FLOWorks, Inc., defendants, and Linworth LLC, relief defendant
See also: SEC Complaint
LR-20887 Feb. 6, 2009 Andrew S. Mackey and Inger L. Jensen
LR-20886 Feb. 6, 2009 Ross Owen Haugen
LR-20885 Feb. 5, 2009 Wachovia Securities, LLC
See also: SEC Complaint
LR-20884 Feb. 5, 2009 Nicos Achilleas Stephanou, Ramesh Chakrapani, Achilleas Stephanou, George Paparrizos a/k/a Georgios Paparrizos, Konstantinos Paparrizos, Michael G. Koulouroudis and Joseph Contorinis
See also: SEC Complaint
LR-20883 Feb. 5, 2009 Enterprises, LLC, Brian V. Prendergast, Worldwide Equity Corporation, Donald R. Smith, and Yuail I. Enwia
See also: SEC Complaint
LR-20882 Feb. 4, 2009 Mark T. Turkcan
Other Release No.: AAER-2930
See also: SEC Complaint
LR-20881 Feb. 4, 2009 Stefan H. Benger, et al.
See also: SEC Complaint
LR-20880 Feb. 4, 2009 Biovail Corporation, Eugene Melnyk, Brian Crombie, John Miszuk, and Kenneth G. Howling
LR-20879 Feb. 4, 2009 Scott M. Ross
See also: SEC Complaint
LR-20878 Feb. 2, 2009 Forest Resources Management Corp., et al.
LR-20877 Feb. 2, 2009 Vector Medical Technologies, Inc., Michael H. Salit, James P. Farnell, Michael J. Farnell, David A. Zimmerman, and Stanley Wasser
LR-20876 Jan. 30, 2009 Lumenis Ltd., Sagi A. Genger and Kevin Morano
Other Release No.: AAER-2929
LR-20875 Jan. 30, 2009 James N. Stanard, et al.
LR-20874 Jan. 30, 2009 Gen-See Capital Corporation and Richard S. Piccoli
LR-20873 Jan. 28, 2009 Gordon B. Grigg and ProTrust Management, Inc., et al.
See also: SEC Complaint
LR-20872 Jan. 28, 2009 Lydia Capital, LLC et al.
LR-20871 Jan. 28, 2009 Asset Recovery and Management Trust, et. al.
LR-20870 Jan. 28, 2009 James Mulhearn, Damian Delgado, and Adrian Balboa
LR-20869 Jan. 27, 2009 Jeffery Steven Stone, et al.
LR-20868A Jan. 26, 2009 University Lab Technologies, Inc., et al.
LR-20867 Jan. 26, 2009 Transnational Fund, Inc., a/k/a National Savings, and Michael Luckett
LR-20866 Jan. 26, 2009 Jordan H. Mintz and Rex R. Rogers
Other Release No.: AAER-2925
LR-20865 Jan. 23, 2009 Gregg Thomas Rennie
See also: SEC Complaint
LR-20864 Jan. 23, 2009 Ranko Cucuz, William D. Shovers, Jesus Bonilla-Valdez, Ronald Lee Kolakowski, and HLI Operating Company, Inc., f/k/a Hayes Lemmerz International, Inc.
Other Release No.: AAER-2923
LR-20863A Jan. 22, 2009 Aaron S. Cooksey
See also: SEC Complaint
LR-20862 Jan. 22, 2009 Catherine R. McEnroe, Noreen O'Loughlin and Martin R. von Ruden
Other Release No.: AAER-2922
See also: SEC Complaint
LR-20861 Jan. 22, 2009 General Motors Corporation
Other Release No.: AAER-3033
See also: SEC Complaint
LR-20860 Jan. 21, 2009 Urs Kamber, Stephan Husi and Richard Jon May
Other Release No.: AAER-2919
LR-20859 Jan. 21, 2009 Ross Owen Haugen
See also: SEC Complaint
LR-20858 Jan. 21, 2009 Arthur Nadel, et al.
See also: SEC Complaint
LR-20857 Jan. 21, 2009 Rod Cameron Stringer, individually and d/b/a RCS Hedge Fund
LR-20856 Jan. 15, 2009 Platforms Wireless International Corp., William C. Martin, Charles B. Nelson, Robert D. Perry, Francois M. Draper, and Victor L. Ziller
LR-20855 Jan. 15, 2009 Marco Glisson
See also: SEC Complaint
LR-20854 Jan. 15, 2009 BarrierMed, Inc., BarrierMed Glove Co. and Victor J. Ragucci
See also: SEC Complaint
LR-20853 Jan. 15, 2009 CRE Capital Corporation and James G. Ossie
See also: SEC Complaint
LR-20852 Jan. 13, 2009 John Zeglis, As Executor, Successor/Representative To James D. Zeglis, Gautam Gupta, Lance D. McKee, and Jim W. Dixon
LR-20851 Jan. 13, 2009 Kevin J. Heron
LR-20850 Jan. 12, 2009 Jarrod W. McMillin, et al.
See also: SEC Complaint
LR-20849 Jan. 9, 2009 Gen-See Capital Corp. and Richard S. Piccoli
LR-20848 Jan. 8, 2009 Gen-See Capital Corp. and Richard S. Piccoli
See also: SEC Complaint
LR-20847 Jan. 8, 2009 Joseph S. Forte, et al.
See also: SEC Complaint
LR-20846 Jan. 7, 2009 Joel Steinger, et al.
LR-20845 Jan. 7, 2009 Stephen C. Sayre, et al.
LR-20844 Jan. 6, 2009 Martin J. Druffner, et. al.
LR-20843 Jan. 6, 2009 Savvides & Partners/PKF Cyprus, Pavlos Meletiou, R.K. Dhawan and Co., and R.K. Dhawan
Other Release No.: AAER-2917
LR-20842 Jan. 6, 2009 Anthony A. James
LR-20841 Jan. 5, 2009 Braintree Energy, Inc. and Howard Graham

 

http://www.sec.gov/litigation/litreleases/litrelarchive/litarchive2009.shtml

Modified: 10/16/2014