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Litigation Releases Archives 2011

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-22213 Dec. 29, 2011 Magyar Telekom Plc. and Deutsche Telekom AG and Straub, et al.
See also: SEC complaint v. the companies and SEC Complaint v. the executives
LR-22212 Dec. 29, 2011 Shawn R. Merriman et al.
LR-22211 Dec. 28, 2011 Evolution Capital Advisors, et al.
LR-22210 Dec. 23, 2011 GE Funding Capital Market Services, Inc.
LR-22209 Dec. 22, 2011 Alfred S. Teo, Sr., et al.
LR-22208 Dec. 22, 2011 David Ronald Allen, et al.
LR-22207 Dec. 21, 2011 Robert A. Walker, et al; Gary A. Collyard, et al
LR-22206 Dec. 21, 2011 Myron Weiner
LR-22205 Dec. 21, 2011 John R. Easom, et al.
See also: SEC Complaint
LR-22204 Dec. 20, 2011 Heart Tronics, Inc., et al.
See also: SEC Complaint
LR-22203 Dec. 20, 2011 Aon Corporation
LR-22202 Dec. 20, 2011 Enrica Cotellessa-Pitz
See also: SEC Complaint
LR-22201 Dec. 20, 2011 Mudd, Syron et. al.,
LR-22200 Dec. 16, 2011 OCC Holdings, Ltd., et al.
LR-22199 Dec. 16, 2011 Stuart W. Fuhlendorf
Other Release No.: AAER-3346
LR-22198 Dec. 16, 2011 Daniel E. Ruettiger, Rocco Brandonisio, Stephen DeCesare, Pawel P. Dynkowski, Kevin S. Kaplan, Gregg R. Mulholland, Mehmet Mustafoglu, Joseph A. Padilla, Angelo R. Panetta, Kevin J. Quinn, Andrea M. Ritchie, Chad P. Smanjak, and Gary J. Yocom
See also: SEC Complaint
LR-22197 Dec. 16, 2011 Stephen M. Folan
See also: SEC Complaint
LR-22196 Dec. 16, 2011 Frederick J. O'Meally et al.
LR-22195 Dec. 15, 2011 Management Solutions, Inc, Wendell A. Jacobson and Allen R. Jacobson
See also: SEC Complaint
LR-22194 Dec. 15, 2011 All Know Holdings Ltd, et al.
See also: SEC Complaint
LR-22193 Dec. 15, 2011 Securities Investor Protection Corporation
See also: Application and Memorandum
LR-22192 Dec. 13, 2011 Michael Resnick et al.
Other Release No.: AAER-3343
LR-22191 Dec. 13, 2011 Marcin Malarz et al.
LR-22190 Dec. 13, 2011 Uriel Sharef, Ulrich Bock, Carlos Sergi, Stephan Signer, Herbert Steffen, Andres Truppel and Bernd Regendantz
Other Release No.: AAER-3342
See also: SEC Complaint
LR-22189 Dec. 12, 2011 Alternative Green Technologies, Inc.
See also: SEC Complaint
LR-22188 Dec. 12, 2011 Geoffrey J. Eiten and National Financial Communications Corp.
See also: SEC Complaint
LR-22187 Dec. 12, 2011 Stiefel Laboratories Inc. and Charles W. Stiefel
See also: SEC Complaint
LR-22186 Dec. 9, 2011 Cutillo et al.
LR-22185 Dec. 9, 2011 Galleon Management, LP, et al.
LR-22184 Dec. 9, 2011 Glenn Grossman, Lawrence Steven Cohen, Shay Keren, And John Zanic
LR-22183 Dec. 8, 2011 Wachovia Bank, N.A., now known as Wells Fargo Bank, N.A., successor by merger
See also: SEC Complaint
LR-22182 Dec. 7, 2011 Giuseppe Pino Baldassarre, Robert Mouallem, and Malcolm Stockdale
LR-22181 Dec. 6, 2011 The Milan Group, Inc., a/k/a The Milan Trading Group, Inc., Frank L. Pavlico III, a/k/a Frank Lorenzo, Brynee K. Baylor, Baylor & Jackson, P.L.L.C., Mia C. Baldassari, Elmo Baldassari, Brett A. Cooper, Global Funding Systems, LLC, GPH Holdings, LLC, Dawn R. Jackson, Patrick T. Lewis, Susan C. Kevra-Shiner, a/k/a Susan C. Kevra, The Law Office of Susan C. Kevra
LR-22180 Dec. 6, 2011 All Know Holdings Ltd, et al.
See also: SEC Complaint
LR-22179 Dec. 5, 2011 Integrity Financial AZ, LLC, Steven R. Long, Stanley M. Paulic, Walter W. Knitter, and Robert C. Koeller
LR-22178 Dec. 5, 2011 David Ronald Allen, et al.
LR-22177 Dec. 2, 2011 Michael Lee and ZipGlobal Holdings, Inc.; James Wheeler and Microholdings US, Inc.; and Edward Henderson and Paul Desjourdy
See also: SEC Complaint vs. Michael Lee and ZipGlobal Holdings, Inc.
See also: SEC Complaint vs. James Wheeler and Microholdings US, Inc.
See also: SEC Complaint vs. Edward Henderson and Paul Desjourdy
LR-22176 Dec. 2, 2011 Michael R. Balboa and Gilles T. De Charsonville
See also: SEC Complaint
LR-22175 Dec. 2, 2011 Richard Dalton and Universal Consulting Resources LLC, Defendants, and Marie Dalton, Relief Defendant
LR-22174 Dec. 2, 2011 Nancy S.W. Chu et al.
Other Release No.: AAER-3341
LR-22173 Dec. 1, 2011 William J. Reilly
LR-22172 Nov. 30, 2011 Jeffrey R. Neufeld and Paridon Capital Management LLC f/k/a Tritone Capital Management, LLC
LR-22171 Nov. 30, 2011 Cheng Yi Liang, et al.
LR-22170 Nov. 28, 2011 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
LR-22169 Nov. 25, 2011 Jeffrey S. Richardson
See also: SEC Complaint
LR-22168 Nov. 23, 2011 Myron Weiner
See also: SEC Complaint
LR-22167 Nov. 22, 2011 Patrick G. Rooney and Solaris Management, LLC
See also: SEC Complaint
LR-22166 Nov. 22, 2011 David Kugel
See also: SEC Complaint
LR-22165 Nov. 22, 2011 David Ronald Allen, et al.
LR-22164 Nov. 21, 2011 Brian Hollnagel and BCI Aircraft leasing, Inc.
LR-22163 Nov. 21, 2011 Randall Merk, et al.
LR-22162 Nov. 18, 2011 Garfield Taylor, Inc., et al.
See also: SEC Complaint
LR-22161 Nov. 18, 2011 Mark A. Konyndyk
See also: SEC Complaint
LR-22160 Nov. 17, 2011 John A. Mattera, Bradford Van Siclen, The Praetorian Global Fund, et al.
See also: SEC Complaint
LR-22159 Nov. 17, 2011 New Futures Trading International Corporation and Henry Roche
See also: SEC Complaint
LR-22158 Nov. 17, 2011 Joseph F. “Chip” Skowron III, et al.
LR-22157 Nov. 17, 2011 Frank C. Calmes, Lynn D. Rowntree, James E. Pratt, and Manny J. Shulman
LR-22156 Nov. 16, 2011 J.T. Battenberg, III and Paul Free
Other Release No.: AAER-3340
LR-22155 Nov. 15, 2011 ConnectAJet.com, Inc., et al.
LR-22154 Nov. 15, 2011 Jerome Krantz, Cary Chasin, and Gary Nadelman
LR-22153 Nov. 15, 2011 Mark Anthony Longoria, et al.
LR-22152 Nov. 14, 2011 Tyrone L. Gilliams, Jr. and TL Gilliams, LLC
See also: SEC Complaint
LR-22151 Nov. 10, 2011 Chetan Kapur; Lilaboc, LLC d/b/a ThinkStrategy Capital Management, LLC
See also: SEC Complaint
LR-22150 Nov. 10, 2011 Joseph S. Amundsen
LR-22149 Nov. 9, 2011 James N. Fry, Michelle W. Palm, and Arrowhead Capital Management LLC
See also: SEC Complaint
LR-22148 Nov. 8, 2011 Trade-LLC, et al.
LR-22147 Nov. 7, 2011 Fernando J. Espuelas et al.
LR-22146A Nov. 4, 2011 Atlantis Technology Group and Christopher M. Dubeau
LR-22145 Oct. 31, 2011 Drake Asset Management, LLC and Oliver R. Grace, Jr.
See also: SEC Complaint
LR-22144 Oct. 31, 2011 Andrey C. Hicks and Locust Offshore Management, LLC, as Defendants, and Locust Offshore Fund, Ltd., as Relief Defendant
LR-22143 Oct. 28, 2011 Mark Leslie, Kenneth E. Lonchar, Paul A. Sallaberry, Michael M. Cully, and Douglas S. Newton
LR-22142 Oct. 28, 2011 Scott I. Kupersmith and Frederick C. Chelly
See also: SEC Complaint
LR-22141 Oct. 26, 2011 Andrey C. Hicks and Locust Offshore Management, LLC, as Defendants, and Locust Offshore Fund, Ltd., as Relief Defendant
See also: SEC Complaint
LR-22140 Oct. 26, 2011 Rajat Gupta and Raj Rajaratnam
See also: SEC Complaint
LR-22139 Oct. 25, 2011 Arnold McClellan and Annabel McClellan
LR-22138 Oct. 24, 2011 Koss Corporation and Michael J. Koss
Other Release No.: AAER-3330
See also: SEC Complaint
LR-22137 Oct. 24, 2011 H. Clayton Peterson, Drew Clayton Peterson, Drew K. Brownstein, and Big 5 Asset Management, LLC
LR-22136 Oct. 20, 2011 Charles P. Copeland, Copeland Wealth Management, A Financial Advisory Corporation, and Copeland Wealth Management, A Real Estate Corporation
See also: SEC Complaint
LR-22135 Oct. 20, 2011 Cutillo et al.
LR-22134 Oct. 19, 2011 Citigroup Global Markets Inc.; Brian H. Stoker
LR-22133 Oct. 19, 2011 Long Term-Short Term, Inc. and Freddie Rick
LR-22132 Oct. 19, 2011 Lisa C. Berry
LR-22131 Oct. 18, 2011 David B. Welliver and Dblaine Capital, LLC
See also: SEC Complaint
LR-22130 Oct. 18, 2011 James G. Temme and Stewardship Fund LP
See also: SEC Complaint
LR-22129 Oct. 18, 2011 Thomas L. Kivisto
See also: SEC Complaint
LR-22128 Oct. 18, 2011 Ryan M. Reynolds, et al.
LR-22127A Oct. 17, 2011 Daniel W. Nodurft
LR-22126 Oct. 14, 2011 Joseph P. Cillo
LR-22125 Oct. 14, 2011 Wall Street Capital Funding LLC, Philip Cardwell, Roy Campbell, and Aaron Hume
See also:
LR-22124 Oct. 12, 2011 Jerry L. Aubrey, Timothy J. Aubrey, Brian S. Cherry, and Aaron M. Glasser
See also: SEC Complaint
LR-22123 Oct. 12, 2011 Koji Goto et al.
LR-22122 Oct. 11, 2011 Gregory E. Webb and InfrAegis, Inc.
See also: SEC Complaint
LR-22121 Oct. 11, 2011 Thomas S. Wu, Ebrahim Shabudin, Thomas T. Yu, and Craig S. On
Other Release No.: AAER-3327
See also: SEC Complaint
LR-22120 Oct. 11, 2011 Murdoch Security and Investigations, Inc., Robert Goldstein, and William Vassell
See also: SEC Complaint
LR-22119 Oct. 11, 2011 Gregory L. Reyes, et al.
LR-22118 Oct. 11, 2011 M. Jason Hanold
See also: SEC Complaint
LR-22117 Oct. 6, 2011 Eric Aronson, et al.
See also: SEC Complaint
LR-22116 Oct. 6, 2011 Christopher Sells and Timothy Murawski
Other Release No.: AAER-3326
See also: SEC Complaint
LR-22115 Oct. 6, 2011 StratoComm Corporation., et al.
LR-22114 Oct. 5, 2011 Galleon Management, LP, et al.
LR-22113 Oct. 4, 2011 David Ronald Allen, et al.
LR-22112 Oct. 3, 2011 Richard A. Hansen, et al.
Third Quarter
LR-22111 Sep. 30, 2011 Stephen Amella, et al.
See also: SEC Complaint
LR-22110 Sep. 29, 2011 Alfred Clay Ludlum, III, et. al.
LR-22109 Sep. 29, 2011 John Michael Kelly, Steven E. Rindner, Joseph A. Ripp, and Mark Wovsaniker
Other Release No.: AAER-3324
LR-22108 Sep. 29, 2011 Christopher A. Seeley and Justin G. Dickson
See also: SEC Complaint
LR-22107 Sep. 29, 2011 Kurt S. Hovan, Lisa B. Hovan, Edward J. Hovan, Jr., and Hovan Capital Management, LLC
See also: SEC Complaint
LR-22106 Sep. 28, 2011 The NIR Group, LLC, et al.
See also: SEC Complaint
LR-22105 Sep. 27, 2011 Shreyans Desai, et al.
See also: SEC Complaint
LR-22104 Sep. 26, 2011 Larry Langford, et al.
LR-22103 Sep. 23, 2011 Jason George Rivera, Jr., Marc Christopher Harmon, The Joseph Rene Corporation, and Executive Members Management Group
See also: SEC Complaint
LR-22102 Sep. 22, 2011 Thomas Rubin, Christopher Scott, BGLR Enterprises, LLC and E-Info Solutions, LLC; Jeff Greeney and Big Baller Media Group, LLC
See also:
SEC Complaint vs. Rubin, Scott, BGLR Enterprises and E-Info Solutions
SEC Complaint vs. Greeney and Big Baller Media Group
LR-22101 Sep. 22, 2011 Doris E. Nelson
LR-22100 Sep. 21, 2011 Feinblatt, et al.
LR-22099 Sep. 19, 2011 One or More Unknown Purchasers of Securities of Global Industries, Ltd.
See also: SEC Complaint
LR-22098 Sep. 19, 2011 K2 Unlimited, Inc., 211 Ventures, LLC, Diane Glatfelter, Robert Rice, and Robert Anderson
See also: SEC Complaint
LR-22097 Sep. 19, 2011 Christopher W. Bass,Swiss Capital Harbor-USA, LLC, Swiss Capital Harbor Fund A Partners, L.P., Swiss Capital Harbor Fund B Partners, L.P., and Swiss Capital Harbor Fund C Partners, L.P.
LR-22096 Sep. 16, 2011 Jeffrey L. Mowen, Thomas R. Fry, Bevan J. Wilde, Gary W. Hansen, Michael G. Butcher, James B. Mooring, David G. Bartholomew, and Michael W. Averett, Defendants, and Erin O’Malley, f/k/a Erin O. Mowen, Relief Defendant
LR-22095 Sep. 16, 2011 Escala Group, Inc., Gregory Manning, and Larry Lee Crawford, CPA
Other Release No.: AAER-3321
LR-22094 Sep. 16, 2011 Doyle Scott Elliott, Scott Elliott, Inc., Michael J. Xirinachs, Emerald Asset Advisors LLC, Robert L. Weidenbaum, and CLX & Associates, Inc.
LR-22093 Sep. 15, 2011 Scott Allen et al.
See also: SEC Complaint
LR-22092 Sep. 15, 2011 James O’Reilly, James P. McAluney, and Martin Cutler
See also: SEC Complaint
LR-22091 Sep. 14, 2011 Wall Street Communications, Inc., et al.
LR-22090 Sep. 12, 2011 Jody Dunn
See also: SEC Complaint
LR-22089 Sep. 8, 2011 Robert D. Orr, Leland G. Orr, Michael S. Lowry, Michael S. Hess, Kyle L. Garst, and Travis W. Vrbas
LR-22088 Sep. 8, 2011 Deloitte Touche Tohmatsu CPA Ltd.
Other Release No.: AAER-3319
See also: SEC court filing and Application
LR-22087 Sep. 8, 2011 Richard A. Finger, Jr. and Black Diamond Securities LLC
See also: SEC Complaint
LR-22086 Sep. 8, 2011 EagleEye Asset Management, LLC and Jeffrey A. Liskov
See also: SEC Complaint
LR-22085 Sep. 7, 2011 Feinblatt, et al.
LR-22084 Sep. 7, 2011 Mutual Benefits Corp., et al
LR-22083 Sep. 2, 2011 National Stock Transfer, Inc., Kay Berenson-Galster and Roger Greer
LR-22082 Sep. 2, 2011 Christian Stanley, Inc. and Daniel C.S. Powell, et al.
See also: SEC Complaint
LR-22081 Sep. 1, 2011 John A. Grant, Sage Advisory Group, LLC and Benjamin Lee Grant
See also: SEC Complaint
LR-22080 Aug. 31, 2011 Clay Capital Management, LLC, James F. Turner II, Scott A. Vollmar, Scott A. Robarge and Mark A. Durbin
See also: SEC Complaint
LR-22079 Aug. 31, 2011 Belal K. Faruki, et al.
See also: SEC Complaint
LR-22078 Aug. 31, 2011 Anthony Scolaro
See also: SEC Complaint
LR-22077 Aug. 31, 2011 James Davis Risher and Daniel Joseph Sebastian
See also: SEC Complaint
LR-22076 Aug. 31, 2011 Pharma Holdings, Inc., Edward Klapp IV and Edward Klapp Jr.
LR-22075 Aug. 31, 2011 James Li, Thomas Chow, Roger Kao, and Wayne A. Pratt
Other Release No.: AAER-3315
See also: SEC Complaint
LR-22074 Aug. 30, 2011 James O'Leary
Other Release No.: AAER-3314
See also: SEC Complaint
LR-22073 Aug. 29, 2011 Stanley J. Kowalewski, et al
LR-22072 Aug. 25, 2011 Peter W. Fisher, et al.
LR-22071 Aug. 24, 2011 Galleon Management, LP, et al.
LR-22070 Aug. 19, 2011 Andreas Badian, et al.
LR-22069 Aug. 18, 2011 Westmoore Management, LLC, Westmoore Investment, L.P., Westmoore Capital Management, Inc., Westmoore Capital, LLC, and Matthew Jennings
LR-22068 Aug. 16, 2011 Larry Langford, et al.
LR-22067 Aug. 15, 2011 Michael Strauss, Stephen Hozie and Robert Bernstein
Other Release No.: AAER-3313
LR-22066 Aug. 11, 2011 Toby G. Scammell
LR-22065 Aug. 11, 2011 Evolution Capital Advisors, et al.
LR-22064 Aug. 10, 2011 Stifel, Nicolaus & Co., Inc. and David W. Noack
LR-22063 Aug. 5, 2011 Clayton Peterson et al.
LR-22062 Aug. 4, 2011 Douglas V. DeCinces, Joseph J. Donohue, Fred Scott Jackson and Roger A. Wittenbach
LR-22061 Aug. 4, 2011 Gary Richetelli
LR-22060 Aug. 4, 2011 Karlheinz Redekopp
Other Release No.: AAER-3311
LR-22059 Aug. 3, 2011 William A. Marovitz
LR-22058 Aug. 2, 2011 Brian A. Bjork, et al.
LR-22057 Aug. 2, 2011 Stephen D. Ferrone, et al.
LR-22056 Aug. 2, 2011 Franz Tudor
LR-22055 Aug. 1, 2011 Compania International Financiera S.A., et al.
LR-22054 Jul. 29, 2011 James E. Koenig
Other Release No.: AAER-3308
LR-22053 Jul. 22, 2011 Trevor G. Cook, Patrick J. Kiley, et al. and Jason Bo-Alan Beckman, et al.
LR-22052 Jul. 22, 2011 Gerald Harold Levine, et al.
LR-22051 Jul. 20, 2011 Michael Cardillo
LR-22050 Jul. 20, 2011 Robert Doyle
See also: SEC Complaint
LR-22049 Jul. 20, 2011 Compania International Financiera S.A., et al.
LR-22048 Jul. 19, 2011 Howard B. Wildstein
LR-22047 Jul. 18, 2011 Martin J. Druffner, et. al.
LR-22046 Jul. 18, 2011 Robert D. Orr, Leland G. Orr, Michael S. Lowry, Michael S. Hess, Kyle L. Garst, and Travis W. Vrbas
Other Release No.: AAER-3304
LR-22045 Jul. 15, 2011 Charles C. Slowey, Jr., et al.
LR-22044 Jul. 15, 2011 Mark Anthony Longoria, et al.
LR-22043 Jul. 15, 2011 James M. Peister, et al.
See also: SEC Complaint
LR-22042 Jul. 15, 2011 Galleon Management, LP, et al.
See also: Final Judgment
LR-22041 Jul. 15, 2011 Darrel West and Own My Travel, LLC, and Professionally Assisted Marketing, Inc.
LR-22040 Jul. 15, 2011 Jeffery A. Lowrance, et al.
See also: SEC Complaint
LR-22039 Jul. 15, 2011 Vinayak S. Gowrish
LR-22038 Jul. 14, 2011 Robert C. Brown, Jr., et al.
LR-22037 Jul. 13, 2011 Armor Holdings, Inc.
Other Release No.: AAER-3302
See also: SEC Complaint
LR-22036 Jul. 12, 2011 Sam Otto Folin, Benchmark Asset Managers LLC, and Harvest Managers LLC
See also: SEC Complaint
LR-22035 Jul. 12, 2011 Retail Pro, Inc. (fka Island Pacific, Inc.), et al.
LR-22034 Jul. 12, 2011 Ronald F. LeGrand and Frederick E. Wheat, Jr.
See also: SEC Complaint
LR-22033 Jul. 11, 2011 John N. Irwin and Jacklin Associates, Inc.
See also: SEC Complaint
LR-22032 Jul. 11, 2011 Presto Telecommunications, Inc. and Alfred Louis Vassallo, Jr.
LR-22031 Jul. 7, 2011 J.P. Morgan Securities LLC
See also: SEC Complaint; Final Judgment
LR-22030 Jul. 7, 2011 Joshua Constantin et al.
See also: SEC Complaint
LR-22029 Jul. 6, 2011 Carl E. Binette and Peter E. Talbot
LR-22028 Jul. 6, 2011 Navigators International Management Co., Ltd., James R. Spurger and Benjamin W. Young, Jr.
LR-22027 Jul. 5, 2011 John Raffle, David Applegate and Kathy Raffle
See also: SEC Complaint
LR-22026 Jul. 1, 2011 Michael L. Rothenberg, et al.
LR-22025 Jul. 1, 2011 Locke Capital Management, Inc. and Leila C. Jenkins
LR-22024 Jul. 1, 2011 ICP Asset Management, LLC, ICP Securities, LLC, Institutional Credit Partners, LLC, Thomas C. Priore, Lori A. Priore, and Bertrand H. Smyers
LR-22023 Jul. 1, 2011 Fernando J. Espuelas et al.
Second Quarter
LR-22022 Jun. 30, 2011 Shawn A. Icely
LR-22021 Jun. 30, 2011 Galleon Management, LP, et al.
LR-22020 Jun. 30, 2011 Robert M. Esposito, Gregory A. King, Jack R. Belluscio and Anscott Industries, Inc.
LR-22019 Jun. 30, 2011 Edward A. Allen, David L. Olson, and A&O Investments, LLC
LR-22018 Jun. 30, 2011 Brian Gibson, Douglas Newton and Real American Brands, Inc., n/k/a Real American Capital Corp., Donald W. Klein and KCM Holdings Corp., Thomas Schroepfer a/k/a Thomas Schroepfer Baetsen, Charles Fuentes, and Smokefree Innotec, Inc.
See also: SEC Complaint in this matter against Brian Gibson, SEC Complaint in this matter against Douglas Newton and Real American Brands, Inc. n/k/a Real American Capital Corp., SEC Complaint in this matter against Donald W. Klein and KCM Holdings Corp., SEC Complaint in this matter against Thomas Schroepfer
LR-22017 Jun. 29, 2011 Richard Verdiramo, Vincent L. Verdiramo, Edward Meyer, Jr., and Victoria Chen
LR-22016 Jun. 28, 2011 Michael E. Kelly, et al.
LR-22015 Jun. 28, 2011 Francisco Illarramendi et al.
LR-22014 Jun. 27, 2011 Peter L. Jensen and Thomas C. Tekulve, Jr.
Other Release No.: AAER-3301
See also: SEC Complaint
LR-22013 Jun. 27, 2011 Elite Resources, et al.
LR-22012 Jun. 22, 2011 Radical Bunny, LLC, Tom Hirsch, Berta Walder, Howard Walder, and Harish Shah
LR-22011 Jun. 21, 2011 Cutillo et al.
LR-22010 Jun. 21, 2011 Galleon Management, LP, et al.
LR-22009 Jun. 21, 2011 Florin S. Ilovici, et al.
See also: SEC Complaint
LR-22008 Jun. 21, 2011 J.P.Morgan Securities LLC (f/k/a J.P. Morgan Securities Inc.); Edward S. Steffelin
LR-22007 Jun. 21, 2011 Paul R. Allen
Other Release No.: AAER-3295
See also: SEC Complaint
LR-22006 Jun. 20, 2011 David Ronald Allen, et al.
See also: SEC Complaint
LR-22005 Jun. 17, 2011 Feinblatt, et al.
LR-22004 Jun. 17, 2011 Adam Smith
LR-22003 Jun. 17, 2011 Founding Partners Capital Management Co., et al.
LR-22002 Jun. 16, 2011 Farkas; Brown; Kissick; Kelly
Other Release No.: AAER-3294
LR-22001 Jun. 14, 2011 Brian J. Smart and Smart Assets, LLC
LR-22000 Jun. 14, 2011 Thomas C. Hardin
LR-21999 Jun. 14, 2011 Lanexa Management LLC and Thomas C. Hardin
LR-21998 Jun. 14, 2011 U.S. Technologies, Inc. and C. Gregory Earls
LR-21997 Jun. 13, 2011 Norman Forrest Germany, et al.
See also: SEC Complaint
LR-21996 Jun. 13, 2011 Phillip E. (Rick) Powell
See also: SEC Complaint
LR-21995 Jun. 9, 2011 Copper King Mining Corp, Alexander Lindale, LLC., Mark D. Dotson, Wilford R. Blum and Stephen G. Bennett
See also: SEC Complaint
LR-21994 Jun. 8, 2011 Michael E. Kelly, et al.
LR-21993 Jun. 8, 2011 Onele Trading & Finance Ltd.
LR-21992 Jun. 7, 2011 David Ronald Allen, et al.
LR-21991 Jun. 6, 2011 One or More Unknown Purchasers of Securities of Telvent GIT S.A.
LR-21990 Jun. 6, 2011 Dean A. Goetz
See also: SEC Complaint
LR-21989 Jun. 3, 2011 Ronald Abernathy, Arthur Weiss and Sovereign International Group, LLC
See also: SEC Complaint
LR-21988 Jun. 3, 2011 Association for Betterment Through Education and Love, Inc., et al.
LR-21987 Jun. 2, 2011 Cheng Yi Liang, et al.
See also: SEC Complaint
LR-21986 Jun. 2, 2011 Carol McKeown, et al.
LR-21985 Jun. 2, 2011 Michael L. Rothenberg, et al.
See also: SEC Complaint
LR-21984 Jun. 2, 2011 Bruce E. Snyder, Jr.
LR-21983 May 27, 2011 Edward L. Moskop and Financial Services Moskop & Associates, Inc.
LR-21982 May 26, 2011 Alfred S. Teo, Sr. and M.A.A.A. Trust
LR-21981 May 26, 2011 Donald L. Johnson, Defendant, and Dalila Lopez, Relief Defendant
See also: SEC Complaint
LR-21980 May 26, 2011 Giuseppe Tullio Abatemarco
LR-21979 May 26, 2011 PCSEdventures!.com, Inc., Anthony A. Maher, and Shannon M. Stith
LR-21978 May 26, 2011 Gregory A. Seib
LR-21977 May 24, 2011 Abraham Haim
See also: SEC Complaint
LR-21976 May 24, 2011 e-Smart Technologies, Inc., et al.
See also: SEC Complaint
LR-21975 May 23, 2011 Christopher T. Vulliez, et al.
See also: SEC Complaint
LR-21974 May 23, 2011 David Wallace and Costa Bajjali
See also: SEC Complaint
LR-21973 May 20, 2011 Alero Odell Mack, Jr., et al.
LR-21972 May 18, 2011 Mary Beth Knight and Rebecca Norton
See also: SEC Complaint
LR-21971 May 16, 2011 John Clement & Edgefund Capital, LLC
LR-21970 May 16, 2011 Francisco Illarramendi, Highview Point Partners, LLC and Michael Kenwood Capital Management, LLC, as Defendants, and Highview Point Master Fund, Ltd., Highview Point Offshore, Ltd., Highview Point LP, Michael Kenwood Asset Management, LLC, Michael Kenwood Energy and Infrastructure LLC, and MKEI Solar, LP, as Relief Defendants
See also: SEC Complaint
LR-21969 May 13, 2011 Jay L. LeBoeuf and New Castle Energy
See also: SEC Complaint
LR-21968 May 13, 2011 Lloyd V. Barriger
See also: SEC Complaint
LR-21967 May 13, 2011 Advanced Optics Electronics, Inc., Leslie S. Robins, JDC Swan, Inc. and Jason Claffey
See also: SEC Complaint
LR-21966 May 13, 2011 Thor Industries, Inc., and Mark C. Schwartzhoff
Other Release No.: AAER-3280
See also: SEC Complaint
LR-21965 May 12, 2011 Luis Felipe Perez
LR-21964 May 12, 2011 Louis W. Zehil, Strong Branch Ventures IV LP, and Chestnut Capital Partners II, LLC
LR-21963 May 11, 2011 George Garcy et al.
See also: SEC Complaint
LR-21962 May 11, 2011 Michael Baker Corporation, John Scullin and Dennis Higgins
Other Release No.: AAER-3279
See also: SEC Complaint
LR-21961 May 10, 2011 Jupiter Group Capital Advisors, LLC, and Rick Cho
See also: SEC Complaint
LR-21960 May 5, 2011 North American Clearing, Inc., et al.
LR-21959 May 5, 2011 Robert C. Butler
See also: SEC Complaint
LR-21958 May 5, 2011 ICP Asset Management, LLC, ICP Securities, LLC, Institutional Credit Partners, LLC, and Thomas C. Priore
LR-21957 May 4, 2011 Robert D. Orr, Leland G. Orr, Michael S. Lowry, Michael S. Hess, Kyle L. Garst, and Travis W. Vrbas
Other Release No.: AAER-3276
See also: SEC Complaint
LR-21956 May 4, 2011 UBS Financial Services Inc.
See also: SEC Complaint; Final Judgment
LR-21955 May 4, 2011 Allen E. Weintraub and AWMS Acquisitions, Inc., d/b/a Sterling Global Holdings
See also: SEC Complaint
LR-21954 May 3, 2011 Patrick M. Carroll, James P. Carroll, William T. Carroll, David A. Stitt, John P. Monroe, Stephen Somers, David Mark Calcutt and Christopher T. Calcutt
See also: SEC Complaint
LR-21953 May 3, 2011 David Ronald Allen, et al.
See also: SEC Complaint
LR-21952 May 2, 2011 Radical Bunny, LLC, Tom Hirsch, Berta Walder, Howard Walder, and Harish Shah
LR-21951 Apr. 29, 2011 Magnum d'Or Resources, Inc.,
See also: SEC Complaint
LR-21950 Apr. 28, 2011 Jonathan Hollander
See also: SEC Complaint
LR-21949 Apr. 27, 2011 K.W. Brown and Company, et al.
LR-21948 Apr. 26, 2011 J. Kenneth Stringer III, et al.
LR-21947 Apr. 25, 2011 IU Group, Inc., Elijah Bang (a/k/a Elijah Bhang), and Daniel Lee
See also: SEC Complaint
LR-21946 Apr. 22, 2011 Charles C. Slowey, Jr., et al.
LR-21945 Apr. 22, 2011 David M. Otto, Todd Van Siclen, et al.
LR-21944 Apr. 21, 2011 mUrgent Corporation, et al.
See also: SEC Complaint
LR-21943 Apr. 21, 2011 Prevost, Harrold, et al.
LR-21942 Apr. 21, 2011 WG Trading Investors, L.P., et al.
LR-21941 Apr. 21, 2011 Terry M. Phillips
Other Release No.: AAER-3273
LR-21940 Apr. 21, 2011 Commodities Online, LLC and Commodities Online Management, LLC
See also: SEC Complaint
LR-21939 Apr. 20, 2011 Duane Martin and Gary Trump
Other Release No.: AAER-3272
LR-21938 Apr. 19, 2011 Biovail Corporation, Eugene Melnyk, Brian Crombie, John Miszuk, and Kenneth G. Howling
LR-21937 Apr. 18, 2011 Art Intellect, Inc. et al.
See also: SEC Complaint
LR-21936 Apr. 18, 2011 Robert Glenn Bard, et al.
See also: Stipulated Order of Contempt
LR-21935 Apr. 18, 2011 Gianluca Di Nardo, et al.
LR-21934 Apr. 18, 2011 AIC, Inc., et al.
See also: SEC Complaint
LR-21933 Apr. 15, 2011 William K. Harrison, et al.
LR-21932 Apr. 15, 2011 William K. Harrison, et al.
LR-21931 Apr. 15, 2011 Richard Elkinson
LR-21930 Apr. 14, 2011 Rebecca Lynn Higgins
Other Release No.: AAER-3270
See also: SEC Complaint
LR-21929 Apr. 14, 2011 Inofin, Inc., Michael J. Cuomo, Kevin J. Mann, Sr., Melissa George, Thomas Kevin Keough, David Affeldt, and Nancy Keough
See also: SEC Complaint
LR-21928 Apr. 13, 2011 Joseph F. “Chip” Skowron III, et al.
See also: SEC Complaint
LR-21927 Apr. 13, 2011 East Delta Resources Corp., Victor Sun, David Amsel and Mayer Amsel
LR-21926 Apr. 11, 2011 Brian D. Fox
Other Release No.: AAER-3284
See also: SEC Complaint
LR-21925 Apr. 8, 2011 Luis Garg, Jason Zakocs, RealFund Investment Trust, First Atlanta LP, Weatherby LP, and Citiprop Corporation
See also: SEC Complaint
LR-21924 Apr. 8, 2011 Paul Nicholson and Professional Investment Exchange, Inc.
See also: SEC Complaint
LR-21923 Apr. 8, 2011 Perry A. Gruss
See also: SEC Complaint
LR-21922 Apr. 8, 2011 Johnson & Johnson
Other Release No.: AAER-3261
See also: SEC Complaint
LR-21921 Apr. 7, 2011 MAM Wealth Management, LLC, MAMW Real Estate Fund General Partner, LLC, Alex Martinez, and Raphael R. Sanchez
See also: SEC Complaint
LR-21920 Apr. 7, 2011 Comverse Technology, Inc.
See also: SEC Complaint
LR-21919 Apr. 6, 2011 Jason Jadidian
LR-21918 Apr. 6, 2011 HedgeLender LLC, et al.
LR-21917 Apr. 6, 2011 Matthew H. Kluger and Garrett D. Bauer
See also: SEC Complaint
LR-21916 Apr. 5, 2011 Jason K. Fifield
LR-21915 Apr. 5, 2011 Satyam Computer Services Limited d/b/a Mahindra Satyam
Other Release No.: AAER-3258
See also: SEC Complaint
LR-21914 Apr. 4, 2011 Douglas A. Glaser
LR-21913 Apr. 1, 2011 Joseph J. Monterosso, et. al.
Other Release No.: AAER-3256
LR-21912 Apr. 1, 2011 Neurotech Development Corporation, et al.
First Quarter
LR-21911 Mar. 30, 2011 Aerokinetic Energy Corporation and Randolph E. Bridwell
LR-21910 Mar. 30, 2011 James Clements and Zeina Smidi
See also: SEC Complaint
LR-21909 Mar. 30, 2011 LandOak Securities, LLC, et al.
LR-21908 Mar. 30, 2011 Navigators International Management Co., Ltd., James R. Spurger and Benjamin W. Young, Jr.
LR-21907 Mar. 29, 2011 Cheng Yi Liang, et al.
See also: SEC Complaint
LR-21906 Mar. 28, 2011 Marlon Quan, Acorn Capital Group, LLC and Stewardship Investment Advisors, LLC, Defendants and Asset Based Resource Group, LLC and Florene Quan
LR-21905 Mar. 28, 2011 Jose O. Vianna, Jr. and Creswell Equities, Inc.
LR-21904 Mar. 28, 2011 Gaston E. Cantens and Teresita Cantens
LR-21903 Mar. 28, 2011 John Scott Clark, Impact Cash, LLC and Impact Payment Systems, LLC
See also: SEC Complaint
LR-21902 Mar. 28, 2011 Joseph Catapano and Michael Piervinanzi
See also: SEC Complaint
LR-21901 Mar. 25, 2011 Daniel Sholom Frishberg
LR-21900 Mar. 24, 2011 HomePals, LLC, HomePals Investment Club, LLC, Ronnie Eugene Bass, Jr., Abner Alabre and Brian J. Taglieri
LR-21899 Mar. 24, 2011 Mark A. Duffell
See also: SEC Complaint
LR-21898 Mar. 24, 2011 Mike Watson Capital, LLC, Michael P. Watson and Joshua F. Escobedo
LR-21897 Mar. 23, 2011 James J. Konaxis
See also: SEC Complaint
LR-21896 Mar. 23, 2011 Daniel F. Wiener II
See also: SEC Complaint
LR-21895 Mar. 23, 2011 Timothy J. Roth, et al.
LR-21894 Mar. 22, 2011 Michael Rivers and ARKR Trust, LLC
LR-21893 Mar. 22, 2011 JSW Financial Inc., James S. Ward, David S. Lee, Edward G. Locker, Richard F. Tipton and David C. Lin
See also: SEC Complaint
LR-21892 Mar. 22, 2011 Spyglass Equity Systems, Inc., Richard L. Carter, Preston L. Sjoblom, Tyson D. Elliott, Flatiron Capital Partners, LLC, Flatiron Systems, LLC and David E. Howard II
See also: SEC Complaint
LR-21891 Mar. 18, 2011 Anselm Exploration Co. et al.
See also: SEC Complaint
LR-21890 Mar. 18, 2011 Kim Ann Deskovick and Brian S. Haig
See also: SEC Complaint
LR-21889 Mar. 18, 2011 International Business Machines Corporation
Other Release No.: AAER-3254
See also: SEC Complaint
LR-21888 Mar. 16, 2011 Timothy S. Durham, et al.
LR-21887 Mar. 16, 2011 Jason Bo-Alan Beckman and the Oxford Private Client Group, LLC, et al.
LR-21886 Mar. 16, 2011 Juno Mother Earth Asset Management, LLC, Eugenio Verzili and Arturo Allan Rodriguez Lopez a/k/a Arturo Rodriguez, Defendants
See also: SEC Complaint
LR-21885 Mar. 15, 2011 Charles William Petty, II, et al.
LR-21884 Mar. 14, 2011 Frank J. Custable, Jr., et al.
LR-21883 Mar. 14, 2011 Robert L. Hollier and Wayne A. Dupuis
LR-21882 Mar. 10, 2011 Frederick O'Meally, et. al.
LR-21881 Mar. 9, 2011 Larry Michael Parrish
See also: SEC Complaint
LR-21880 Mar. 9, 2011 Fernando J. Espuelas et al.
Other Release No.: AAER-3252
LR-21879 Mar. 9, 2011 Jason Bo-Alan Beckman and Oxford Private Client Group, LLC, et al.
See also: SEC Complaint
LR-21878 Mar. 8, 2011 Joseph A. Dawson
See also: SEC Complaint
LR-21877 Mar. 7, 2011 Todd Leslie Treadway
See also: SEC Complaint
LR-21876 Mar. 7, 2011 Radius Capital Corporation and Robert A. DiGiorgio
See also: SEC Complaint
LR-21875 Mar. 7, 2011 Francisco Illarramendi and Michael Kenwood Capital Management, LLC, as Defendants, and Michael Kenwood Asset Management, LLC, Michael Kenwood Energy and Infrastructure LLC, and MKEI Solar, LP, as Relief Defendants
See also: SEC Complaint
LR-21874 Mar. 7, 2011 Anthony Fareri, Fareri Financial Services, Inc. d/b/a Amerifinancial, and Anthony Fareri & Associates, Inc.
LR-21873 Mar. 4, 2011 Ian J. McCarthy
Other Release No.: AAER-3250
LR-21872 Mar. 3, 2011 Steven T. Kobayashi
See also: SEC Complaint
LR-21871 Mar. 3, 2011 Gregory A. Seib
LR-21870 Mar. 1, 2011 Lawrence R. Goldfarb et al.
See also: SEC Complaint
LR-21869 Mar. 1, 2011 Finbar Securities Corp., et al.
LR-21868 Mar. 1, 2011 Douglas F. Vaughan, The Vaughan Company, Realtors, Inc., and Vaughan Capital, LLC
LR-21867 Feb. 28, 2011 DHB Industries, Inc. n/k/a Point Blank Solutions, Inc.; Jerome Krantz, Cary Chasin, and Gary Nadelman
Other Release No.: AAER-3247
LR-21866 Feb. 28, 2011 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.
See also: SEC Complaint
LR-21865 Feb. 25, 2011 Todd M. Ficeto, Florian Homm, Colin Heatherington, Hunter World Markets, Inc., and Hunter Advisors, LLC, et al.
See also: SEC Complaint
LR-21864 Feb. 22, 2011 Secure Capital Funding Corporation, Bertram A. Hill, PP&M Trade Partners, and Kiavanni Pringle
See also: SEC Complaint
LR-21863 Feb. 22, 2011 Greenstone Holdings, Inc. et al.
See also: SEC Complaint
LR-21862 Feb. 18, 2011 Jonathan R. Curshen, et al.
See also: SEC Complaint
LR-21861 Feb. 17, 2011 Sakwinder Singh Narwal, Justin Beck, Brian Hill, and Larry Downs
See also: SEC Complaint
LR-21860 Feb. 16, 2011 Lorenz Kohler and Swiss Real Estate International Holding AG, Defendants, and Sacho Todorov Dermendjiev, Relief Defendant
LR-21859 Feb. 16, 2011 Zhenyu Ni
See also: SEC Complaint
LR-21858 Feb. 16, 2011 Brett A. Cohen; David V. Myers; Aaron J. Scalia; and Stephen J. Scalia
See also: SEC Complaint
LR-21857 Feb. 16, 2011 Winning Kids, Inc., et al.
LR-21856 Feb. 15, 2011 Monroe L. Beachy
See also: SEC Complaint
LR-21855 Feb. 14, 2011 Alternate Energy Holdings, Inc., et al.
LR-21854 Feb. 14, 2011 Matthew C. Devlin, et al.
LR-21853 Feb. 11, 2011 Michael W. Perry and A. Scott Keys; and S. Blair Abernathy
Other Release No.: AAER-3277
See also: SEC Complaint vs. Perry and Keys; SEC Complaint vs. Abernathy
LR-21852 Feb. 11, 2011 Neal R. Greenberg
LR-21851 Feb. 10, 2011 Tyson Foods, Inc.
LR-21850 Feb. 10, 2011 Algird M. Norkus and Financial Update, Inc.
LR-21849 Feb. 10, 2011 James N. Turek, et al.
LR-21848 Feb. 10, 2011 David E. Watson, et al.
LR-21847 Feb. 8, 2011 Carol McKeown, et al.
LR-21846 Feb. 8, 2011 John W. Lawton, Paramount Partners LP, and Crossroad Capital Management, LLC
LR-21845 Feb. 8, 2011 Robert Olins, et al.
LR-21844 Feb. 8, 2011 Mark Anthony Longoria, Daniel L. DeVore, James Fleishman, Bob Nguyen, Winifred Jiau, Walter Shimoon, Samir Barai, Jason Pflaum, Barai Capital Management, Noah Freeman, and Donald Longueuil
See also: SEC Complaint
LR-21843 Feb. 8, 2011 Curtis Peterson, Eric Maher, Ronald White, and Express International, LLC, et al.
See also: SEC Complaint
LR-21842 Feb. 7, 2011 Gustav George Bujkovsky, et al.
LR-21841 Feb. 7, 2011 Wall Street Capital Funding LLC, Philip Cardwell, Roy Campbell, and Aaron Hume
See also: SEC Complaint
LR-21840 Feb. 7, 2011 William J. Reid, Algorithmic Trading Advisors, LLC and World Stock Fund, L.P.
See also: SEC Complaint
LR-21839 Feb. 4, 2011 Galleon Management, LP, et al.
LR-21838 Feb. 4, 2011 Vinayak S. Gowrish
LR-21837 Feb. 4, 2011 Scott D. Farah, Donald E. Dodge, Financial Resources Mortgage, Inc., and C L and M, Inc., as Defendants, and Center Harbor Christian Church, as Relief Defendant
LR-21836 Feb. 3, 2011 Mark Anthony Longoria, Daniel L. DeVore, James Fleishman, Bob Nguyen, Winifred Jiau, and Walter Shimoon
See also: SEC Complaint
LR-21835 Feb. 2, 2011 Louis E. Rivelli, et al.
Other Release No.: AAER-3238
LR-21834 Feb. 1, 2011 Galleon Management, LP, et al.
LR-21833 Feb. 1, 2011 Gregg M.S. Berger, et al.
See also: SEC Complaint
LR-21832 Jan. 31, 2011 Maxwell Technologies Inc.
Other Release No.: AAER-3236
See also: SEC Complaint
LR-21831 Jan. 31, 2011 Eugene C. Geiger; AbsoluteFuture.com, et al.; Wamex Holdings, Inc., et al.
LR-21830 Jan. 31, 2011 David J. Hernandez et al.
LR-21829 Jan. 31, 2011 William Landberg, Kevin Kramer, Steven Gould, Janis Barsuk, West End Financial Advisors LLC, West End Capital Management LLC, and Sentinel Investment Management Corporation, Defendants, and Louise Crandall and L/C Family Limited Partnership, Relief Defendants
LR-21828 Jan. 28, 2011 Francisco Illarramendi and Michael Kenwood Capital Management, LLC, as Defendants, and Michael Kenwood Asset Management, LLC, Michael Kenwood Energy and Infrastructure LLC, and MKEI Solar, LP, as Relief Defendants
See also: SEC Complaint
LR-21827 Jan. 26, 2011 Adam Smith
LR-21826 Jan. 26, 2011 Michael Cardillo
See also: SEC Complaint
LR-21825 Jan. 25, 2011 Joseph P. Nacchio, et al.
See also: SEC Complaint
LR-21824 Jan. 25, 2011 Christopher S. Metcalf, Bozidar "Bob" Vukovich, and Pantera Petroleum, Inc.
LR-21823 Jan. 24, 2011 Smart Online, Inc., et al.
LR-21822 Jan. 24, 2011 Paul W. Jennings
Other Release No.: AAER-3235
See also: SEC Complaint
LR-21821 Jan. 21, 2011 Wall Street Communications, Inc., et al.
LR-21820 Jan. 21, 2011 Zizhong Fan and Zishen Fan, Defendants and Junhua Fan, Relief Defendant
See also: SEC Complaint
LR-21819 Jan. 20, 2011 NutraCea, et al.
Other Release No.: AAER-3234
See also: SEC Complaint
LR-21818 Jan. 19, 2011 Provident Capital Indemnity, Ltd.,Minor Vargas Calvo, Jorge L. Castillo, and Relief Defendant Desarrollos Comerciales Ronim, S.A.
LR-21817 Jan. 14, 2011 Christopher Wheeler, et al.
See also: SEC Complaint
LR-21816 Jan. 14, 2011 Theodore R. Maloney; Donald K. McGhan and Jimmy J. McGhan
LR-21815 Jan. 14, 2011 George H. Holley, Steven V. Dudas, and Phairot Iamnaita
LR-21814 Jan. 14, 2011 Joseph D. Radcliffe and Michael J. Radcliffe
Other Release No.: AAER-3231
LR-21813 Jan. 14, 2011 Lowell Gene “Bob” Hancher, Commerce Street Venture Group, Inc., Edward T. Whelan and Grace Holdings, Inc.
See also: SEC Complaint
LR-21812 Jan. 13, 2011 Warren D, Nadel, Warren D. Nadel & Co. and Registered Investment Advisers, LLC
See also: SEC Complaint
LR-21811 Jan. 13, 2011 CytoCore, Inc., et al.
See also: SEC Complaint
LR-21810 Jan. 13, 2011 Sujata Sachdeva, et. al.
LR-21809 Jan. 12, 2011 NIC, Inc., Jeffrey S. Fraser, Harry H. Herington, and Eric J. Bur; Stephen M. Kovzan
Other Release No.: AAER-3229
See also: SEC Complaint vs. NIC, Fraser, Herington, and Bur; SEC Complaint vs. Kovzan
LR-21808 Jan. 12, 2011 Petroleum Unlimited, LLC, Petroleum Unlimited II, LLC, Roger A. Kimmel, Jr., Harry Nyce, Michel-Jean Geraud, Robert Rossi, Joseph Valko, and Morgan Kimmel, n/k/a Morgan Petitti
See also: SEC Complaint
LR-21807 Jan. 12, 2011 Phillip Macdonald, Martin Gollan, and Michael Goodman
LR-21806 Jan. 11, 2011 Charles Schwab Investment Management, Charles Schwab & Co., Inc., and Schwab Investments
See also: SEC Complaint
LR-21805 Jan. 11, 2011 Kimon P. Daifotis and Randall Merk
See also: SEC Complaint
LR-21804 Jan. 11, 2011 Michael R. Drogin
Other Release No.: AAER-3228
See also: SEC Complaint
LR-21803 Jan. 11, 2011 ConnectAJet.com, Inc., et al.
LR-21802 Jan. 10, 2011 Robert Feinblatt, Jeffrey Yokuty, Trivium Capital Management LLC, Sunil Bhalla, and Shammara Hussain
See also: SEC Complaint
LR-21801 Jan. 7, 2011 Raymond P. Morris, E&R Holdings, LLC, Wise Financial Holdings, LLC, Momentum Leasing, LLC, James L. Haley, Cornerstone Capital Fund, LLC, Vantage Point Capital, LLC, Jay J. Linford, Freedom group, LLC, and Luc D. Nguyen
See also: SEC Complaint
LR-21800 Jan. 7, 2011 Stanley J. Kowalewski and SJK Investment Management, LLC
See also: SEC Complaint
LR-21799 Jan. 6, 2010 Alfred S. Teo, Sr., et al.
LR-21798 Jan. 6, 2011 Gendarme Capital Corp., et al.
See also: SEC Complaint
LR-21797 Jan. 6, 2011 Joseph M. Braas and Michael J. Schlager
See also: SEC Complaint
LR-21796 Jan. 3, 2011 K&L International Enterprises, Inc., et al.

 

http://www.sec.gov/litigation/litreleases/litrelarchive/litarchive2011.shtml

Modified: 10/16/2014