Litigation Releases

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

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Litigation Releases Table

Date	Respondents
Date: May 21, 2009	Respondents: Wealth Management LLC, James Putman, and Simone Fevola Release No. LR-21055
Date: May 21, 2009	Respondents: Richard Karp Release No. LR-21054 See Also: SEC Complaint
Date: May 21, 2009	Respondents: 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 Release No. LR-21053 See Also: SEC Complaint
Date: May 20, 2009	Respondents: 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 Release No. LR-21052 See Also: SEC Complaint
Date: May 20, 2009	Respondents: Zachariah P. Zachariah, et al. Release No. LR-21051
Date: May 19, 2009	Respondents: David B. Stocker., et al. Release No. LR-21050
Date: May 19, 2009	Respondents: Phillip W. Offill, Jr., et al. Release No. LR-21049
Date: May 19, 2009	Respondents: Apogee Technology, Inc., David B. Meyers and Annette Jaynes Release No. LR-21048, AAER-2972 See Also: SEC Complaint
Date: May 19, 2009	Respondents: W. Anthony Huff, et al. Release No. LR-21047
Date: May 19, 2009	Respondents: Michael Lauer, et al. Release No. LR-21046
Date: May 18, 2009	Respondents: Sun Group, et al. Release No. LR-21045 See Also: SEC Complaint
Date: May 18, 2009	Respondents: WellCare Health Plans, Inc. Release No. LR-21044, AAER-2971 See Also: SEC Complaint
Date: May 18, 2009	Respondents: Gregg Thomas Rennie Release No. LR-21043
Date: May 18, 2009	Respondents: Monster Worldwide, Inc. Release No. LR-21042, AAER-2970 See Also: SEC Complaint
Date: May 15, 2009	Respondents: Gordon A. Driver and Axcess Automation, LLC Release No. LR-21041 See Also: SEC Complaint
Date: May 15, 2009	Respondents: Wellco Energy, LLC, Justin William Rifkin, Patrick V. Looper, Richard G. Pacheco, and Dustin D. White Release No. LR-21040 See Also: SEC Complaint
Date: May 15, 2009	Respondents: Gary A. Ray Release No. LR-21039, AAER-2969 See Also: SEC Complaint
Date: May 14, 2009	Respondents: Sherbourne Capital Management, Ltd., Sherbourne Financial, Ltd., Paul G. Bultmeyer, and Arthur J. Piacentini Release No. LR-21038 See Also: SEC Complaint
Date: May 13, 2009	Respondents: Amit Mathur, et al. Release No. LR-21037
Date: May 12, 2009	Respondents: Henry Morris et al. Release No. LR-21036 See Also: SEC Complaint
Date: May 11, 2009	Respondents: Kiselak Capital Group, LLC et al Release No. LR-21035 See Also: SEC Complaint
Date: May 11, 2009	Respondents: Daniel W. Nodurft Release No. LR-21034 See Also: SEC Complaint
Date: May 11, 2009	Respondents: Novo Nordisk A/S Release No. LR-21033 See Also: SEC Complaint
Date: May 11, 2009	Respondents: Robert Todd Beardsley and George Lindenberg Release No. LR-21032
Date: May 8, 2009	Respondents: Hartmut Theodor Rose and James Patrick Reedy Release No. LR-21031 See Also: SEC Complaint
Date: May 8, 2009	Respondents: C. Wesley Rhodes, Jr., Rhodes Econometrics, Inc., The Rhodes Company, and Resource Transactions, Inc. Release No. LR-21030
Date: May 8, 2009	Respondents: Courtney D. Smith Release No. LR-21029
Date: May 7, 2009	Respondents: Exotics.com, Inc., et al. Release No. LR-21028
Date: May 7, 2009	Respondents: Finbar Securities Corp., et al. Release No. LR-21027
Date: May 6, 2009	Respondents: Robert P. Copeland Release No. LR-21026
Date: May 5, 2009	Respondents: Reserve Management Company, Inc., Resrv Partners, Inc., Bruce Bent Sr. and Bruce Bent II Release No. LR-21025 See Also: SEC Complaint
Date: May 5, 2009	Respondents: Albert J. Rasch, Jr., Kathleen R. Novinger, Sandra B. Masino, and 144 Opinions, Inc. Release No. LR-21024 See Also: SEC Complaint
Date: May 5, 2009	Respondents: Jon-Paul Rorech, et. al. Release No. LR-21023 See Also: SEC Complaint
Date: May 1, 2009	Respondents: Lambert Vander Tuig, The Carolina Development Company, Inc. and Jonathan Carman Release No. LR-21022
Date: May 1, 2009	Respondents: Daryn P. Fleming and Mathew C. Bruce Release No. LR-21021
Date: April 30, 2009	Respondents: Maher F. Kara, Michael F. Kara, Emile Y. Jilwan, Zahi T. Haddad, Bassam Y. Salman, and Karim I. Bayyouk; Joseph Azar; Nasser Mardini Release No. LR-21020 See Also: SEC Complaint v. Maher F. Kara et al. , SEC Complaint v. Joseph Azar , SEC Complaint v. Nasser Mardini
Date: April 30, 2009	Respondents: Golden State Equity Investors, Inc. Release No. LR-21019 See Also: SEC Complaint
Date: April 30, 2009	Respondents: 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. Release No. LR-21018 See Also: SEC Complaint
Date: April 29, 2009	Respondents: Bradley L. Ruderman, Ruderman Capital Management, LLC, Ruderman Capital Partners, LLC, and Ruderman Capital Partners A, LLC Release No. LR-21017 See Also: SEC Complaint
Date: April 29, 2009	Respondents: Frederick J. Barton, Barton Asset Management, LLC, and TwinSpan Capital Management, LLC Release No. LR-21016
Date: April 28, 2009	Respondents: Matthew J. Browne Release No. LR-21015 See Also: SEC Complaint
Date: April 28, 2009	Respondents: Michael Strauss, Stephen Hozie and Robert Bernstein Release No. LR-21014, AAER-2967 See Also: SEC Complaint
Date: April 27, 2009	Respondents: Private Equity Management Group LLC, et al. Release No. LR-21013 See Also: SEC Complaint
Date: April 27, 2009	Respondents: Ponta Negra Fund I, LLC et al. Release No. LR-21012 See Also: SEC Complaint
Date: April 24, 2009	Respondents: David Praise, et al. Release No. LR-21011
Date: April 23, 2009	Respondents: 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. Release No. LR-21010 See Also: SEC Complaint
Date: April 22, 2009	Respondents: Benny L. Judah, et al. Release No. LR-21009 See Also: SEC Complaint
Date: April 21, 2009	Respondents: Joseph J. Queri, Jr., Gary M. Gosson, et al.; Joseph J. Queri, Jr., Joseph J. Queri, Sr., et al. Release No. LR-21008
Date: April 20, 2009	Respondents: David A. Williams, Sherwood Secured Income Fund, LLC, WFG Holdings, Inc., and Williams Financial Group, LLC Release No. LR-21007 See Also: SEC Complaint
Date: April 20, 2009	Respondents: Donald Anthony Walker Young, et al. Release No. LR-21006 See Also: SEC Complaint
Date: April 17, 2009	Respondents: William M. Gallahair Release No. LR-21005
Date: April 16, 2009	Respondents: J. Thomas Talbot Release No. LR-21004
Date: April 15, 2009	Respondents: Michael E. Kelly, et al. Release No. LR-21003
Date: April 15, 2009	Respondents: Edward T. Stein et al. Release No. LR-21002
Date: April 15, 2009	Respondents: 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 Release No. LR-21001 See Also: SEC Complaint
Date: April 15, 2009	Respondents: 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 Release No. LR-21000
Date: April 14, 2009	Respondents: Osvaldo Pitters, Terrell J. Kuykendall and Steven M. Ivester Release No. LR-20999
Date: April 14, 2009	Respondents: 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 Release No. LR-20998 See Also: SEC Complaint
Date: April 13, 2009	Respondents: Maximum Return Investments, Inc. and Clelia A. Flores Release No. LR-20997
Date: April 10, 2009	Respondents: Crossroads Financial Planning, Inc., and Julie M. Jarvis Release No. LR-20996 See Also: SEC Complaint
Date: April 10, 2009	Respondents: Kent H. Roberts Release No. LR-20995
Date: April 9, 2009	Respondents: Robert P. Copeland Release No. LR-20994 See Also: SEC Complaint
Date: April 8, 2009	Respondents: Lydia Capital, LLC et al. Release No. LR-20993A
Date: April 7, 2009	Respondents: Market Street Advisors, Shawn R. Merriman, LLC-1, LLC-2, Marque LLC-3, and LLC-4 Release No. LR-20992 See Also: SEC Complaint
Date: April 7, 2009	Respondents: Finbar Securities Corp., et al. Release No. LR-20991 See Also: SEC Complaint
Date: April 7, 2009	Respondents: Ryan M. Reynolds, et al. Release No. LR-20990 See Also: SEC Amended Complaint
Date: April 6, 2009	Respondents: Gregory L. Reyes, et al. Release No. LR-20989
Date: April 6, 2009	Respondents: Oversea Chinese Fund Limited Partnership, et al. Release No. LR-20988 See Also: SEC Complaint
Date: April 6, 2009	Respondents: Whispering Winds Properties, LLC; LM Beagle Properties, LLC; Karlena, Inc.; Axis International, Inc.; and Dan Wise aka Danny Wise Release No. LR-20987 File Number: 3-13430,
Date: April 3, 2009	Respondents: Sun Empire LLC, et al. Release No. LR-20986 See Also: SEC Complaint
Date: April 3, 2009	Respondents: Spear & Jackson, Inc., et al. Release No. LR-20985
Date: April 2, 2009	Respondents: Frank C. Calmes, Lynn D. Rowntree, Manny J. Shulman, James E. Pratt, et al. Release No. LR-20984
Date: April 1, 2009	Respondents: Edward T. Stein, et. al. Release No. LR-20983
Date: April 1, 2009	Respondents: Take-Two Interactive Software, Inc. Release No. LR-20982, AAER-2957 See Also: SEC Complaint
Date: March 31, 2009	Respondents: John Hyun Joon Min and Dime Financial Group LLC Release No. LR-20981 See Also: SEC Complaint
Date: March 31, 2009	Respondents: Forest Resources Management Corp., et al. Release No. LR-20980
Date: March 30, 2009	Respondents: CyberKey Solutions, Inc. and James E. Plant Release No. LR-20979
Date: March 30, 2009	Respondents: WMDS, Inc. One Universe Online, Inc., Seng Tan, James Bunchan and Christian Rochon Release No. LR-20978, AAER-2956
Date: March 27, 2009	Respondents: Andrew S. Mackey and Inger L. Jensen Release No. LR-20977
Date: March 27, 2009	Respondents: Sonja Anticevic, et al. Release No. LR-20976
Date: March 27, 2009	Respondents: Delphi Corporation, Judith Kudla, et al. Release No. LR-20975, AAER-2955
Date: March 26, 2009	Respondents: Millennium Bank, et al. Release No. LR-20974 See Also: SEC Complaint
Date: March 25, 2009	Respondents: Gerald P. Alexander, CJB Consulting, Inc., and Regis Filia Holdings, Inc. Release No. LR-20973 See Also: SEC Complaint
Date: March 25, 2009	Respondents: The Nutmeg Group, LLC, et al. Release No. LR-20972 See Also: SEC Complaint
Date: March 25, 2009	Respondents: John M. Donnelly, et al. Release No. LR-20971
Date: March 24, 2009	Respondents: David Scott Cacchione Release No. LR-20970 See Also: SEC Complaint
Date: March 24, 2009	Respondents: Innova Energy LLC, et al. Release No. LR-20969 See Also: SEC Complaint
Date: March 23, 2009	Respondents: International Realty Holdings, Inc., et al. Release No. LR-20968 See Also: SEC Complaint
Date: March 23, 2009	Respondents: Anthony Vassallo, Kenneth Kenitzer, and Equity Investment Management and Trading, Inc. Release No. LR-20967
Date: March 23, 2009	Respondents: Anthony A. James and James Asset Advisory, L.L.C. Release No. LR-20966
Date: March 23, 2009	Respondents: Escala Group, Inc., Gregory Manning, and Larry Lee Crawford, CPA Release No. LR-20965, AAER-3031 See Also: SEC Complaint
Date: March 20, 2009	Respondents: Mercury Interactive, LLC (f/k/a Mercury Interactive Corporation), Amnon Landan, Sharlene Abrams, Douglas Smith, and Susan Skaer Release No. LR-20964, AAER-2953
Date: March 19, 2009	Respondents: Henry Morris, David Loglisci, Nosemote LLC, Pantigo Emerging LLC, and Purpose LLC Release No. LR-20963 See Also: SEC Complaint
Date: March 18, 2009	Respondents: Albert K. Hu, Asenqua, Inc., Asenqua Capital Management, LLC, AQC Asset Management, Ltd., and Fireside Capital Management, Ltd. Release No. LR-20962A See Also: SEC Complaint
Date: March 18, 2009	Respondents: Darrel T. Uselton and Jack E. Uselton Release No. LR-20961
Date: March 18, 2009	Respondents: 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 Release No. LR-20960 See Also: SEC Complaint
Date: March 18, 2009	Respondents: David G. Friehling, C.P.A and Friehling & Horowitz, CPA's, P.C. Release No. LR-20959, AAER-2992 See Also: SEC Complaint
Date: March 17, 2009	Respondents: Tecumseh Holdings Corporation, et al. Release No. LR-20958
Date: March 17, 2009	Respondents: Paul M. Gozzo and PMG Capital, LLC Release No. LR-20957 See Also: SEC Complaint
Date: March 16, 2009	Respondents: K.W. Brown and Company, et al. Release No. LR-20956