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Litigation Releases Archives 2012

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-22582 Dec. 27, 2012 Rajat K. Gupta and Raj Rajaratnam
LR-22581 Dec. 26, 2012 Thomas C. Conradt, et al.
See also: SEC Complaint
LR-22580 Dec. 21, 2012 GLR Capital Management, LLC, GLR Advisors, LLC, John A. Geringer, and Relief Defendant GLR Growth Fund, L.P.
LR-22579 Dec. 21, 2012 Danny Garber, Michael Manis, Kenneth Yellin, Jordan Feinstein, Aluma Holdings LLC, Azure Trading LLC, Coastal Group Holdings, Inc., Greyhawk Equities LLC, Leonidas Group Holdings LLC, The Leonidas Group LLC, Nismic Sales Corp., The OGP Group, Perlinda Enterprises LLC, Rio Sterling Holding LLC, Slow Train Holding LLC, and Spartan Group Holdings LLC
See also: SEC Complaint
LR-22578 Dec. 21, 2012 Lee S. Rosen
See also: SEC Complaint
LR-22577 Dec. 20, 2012 Rex T. Shelby, Scott Yeager, Kevin A. Howard and Michael W. Krautz; Schuyler M. Tilney and Thomas W. Davis
Other Release No.: AAER-3434
LR-22576 Dec. 20, 2012 Eli Lilly and Company
See also: SEC Complaint
LR-22575 Dec. 18, 2012 TheStreet, Inc., Eric Ashma, and Gregg Alwine and David Barnett
See also: SEC Complaint - TheStreet, Inc. and SEC Complaint - Eric Ashma
LR-22574 Dec. 17, 2012 Spencer Pharmaceutical Inc., Jean-François Amyot, Maximilien Arella, Ian Morrice, IAB Media Inc., and Hilbroy Advisory Inc.
See also: Trading Suspension; SEC Complaint
LR-22573 Dec. 14, 2012 Aletheia Research and Management, Inc. and Peter J. Eichler, Jr.
See also: SEC Complaint
LR-22572 Dec. 14, 2012 BioChemics, Inc., et al.
See also: SEC Complaint
LR-22571 Dec. 14, 2012 Deer Hill Financial Group, LLC, et al.
LR-22570 Dec. 14, 2012 EagleEye Asset Management, LLC and Jeffrey A. Liskov
LR-22569 Dec. 13, 2012 Tiger Asia Management, LLC, et al.
LR-22568 Dec. 11, 2012 Zhou, et al.
See also: SEC Complaint
LR-22567 Dec. 11, 2012 Steven B. Hart
See also: SEC Complaint
LR-22566 Dec. 11, 2012 Premco Western, Inc., et al.
See also: SEC Complaint
LR-22565 Dec. 11, 2012 Dwight Flatt and David Della Sciucca, Jr.
LR-22564 Dec. 7, 2012 Eric Todd Seiden and Kamal Abdallah
LR-22563 Dec. 7, 2012 InnoVida Holdings LLC, Claudio Osorio and Craig Toll
See also: SEC Complaint
LR-22562 Dec. 7, 2012 Guy M. Jean-Pierre a/k/a Marcelo Dominguez de Guerra
See also: SEC Complaint
LR-22561 Dec. 6, 2012 East Delta Resources Corp., Victor Sun, David Amsel and Mayer Amsel
LR-22560 Dec. 6, 2012 Femenia et al.
See also: SEC Complaint
LR-22559 Dec. 6, 2012 Glenn Grossman, Lawrence Steven Cohen, Shay Keren, and John Zanic
LR-22558 Dec. 4, 2012 A.L. Waters Capital, LLC, et al.
LR-22557 Dec. 3, 2012 Timothy S. Durham, et al.
LR-22556 Dec. 3, 2012 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-22555 Nov. 30, 2012 Joseph P. Cillo
LR-22554 Nov. 30, 2012 Igor Cornelsen and Bainbridge Group Inc.
See also: SEC Complaint
LR-22553 Nov. 30, 2012 I. Joseph Massoud
See also: SEC Complaint
LR-22552 Nov. 30, 2012 China North East Petroleum Holdings Limited, et al.
Other Release No.: AAER-3481
See also: SEC Complaint
LR-22551 Nov. 30, 2012 David Ronald Allen, et al.
LR-22550 Nov. 29, 2012 John H. Pamplin, Jr.
See also: SEC Complaint
LR-22549 Nov. 29, 2012 Thomas C. Conradt, et al.
See also: SEC Complaint
LR-22548 Nov. 29, 2012 Resources Planning Group, Inc., et al.
See also: SEC Complaint
LR-22547 Nov. 28, 2012 Michael Van Gilder and Roger Parker
LR-22546 Nov. 27, 2012 EagleEye Asset Management, LLC and Jeffrey A. Liskov
LR-22545 Nov. 26, 2012 Berton M. Hochfeld et al.
LR-22544 Nov. 26, 2012 Christopher S. Metcalf, Bozidar “Bob” Vukovich, and Pantera Petroleum, Inc.
LR-22543 Nov. 26, 2012 Elaine M. Brown and Gary A. Prince
LR-22542 Nov. 26, 2012 Greenstone Holdings, Inc., Virginia K. Sourlis, et al.
LR-22541 Nov. 21, 2012 Brian H. Stoker
LR-22540 Nov. 21, 2012 Edward S. Steffelin
LR-22539 Nov. 21, 2012 CR Intrinsic Investors, LLC et al.
LR-22538 Nov. 20, 2012 Christopher S. Metcalf, Bozidar "Bob" Vukovich, and Pantera Petroleum, Inc.
LR-22537 Nov. 20, 2012 Joel I. Wilson et al.
See also: SEC Complaint
LR-22536 Nov. 20, 2012 Jon Latorella and James Fields
LR-22535 Nov. 19, 2012 John Lazorchak, et al.
See also: SEC Complaint
LR-22534 Nov. 19, 2012 Stephen A. Colangelo, Jr.
See also: SEC Complaint
LR-22533 Nov. 16, 2012 J.P. Morgan Securities LLC, EMC Mortgage, LLC, Bear Stearns Asset Backed Securities I, LLC, Structured Asset Mortgage Investments II, Inc., SACO I, Inc., and J.P. Morgan Acceptance Corporation I
LR-22532 Nov. 16, 2012 Bruce L. Grossman and Jonathan R. Curshen
LR-22531 Nov. 15, 2012 BP p.l.c.
See also: SEC Complaint
LR-22530 Nov. 9, 2012 Anand Sekaran and Wasson Capital Advisors Ltd.
See also: SEC Complaint
LR-22529 Nov. 9, 2012 Lee Cole, Linden Boyne, Kevin B. Donovan and Timothy Quintanilla
Other Release No.: AAER-3423
See also: SEC Complaint
LR-22528 Nov. 9, 2012 James F. Ellis
See also: SEC Complaint
LR-22527 Nov. 9, 2012 Aamer Abdullah
LR-22526 Nov. 8, 2012 Stanley B. McDuffie (f/k/a Stanley Roberson and Stanley Battle) and Jilapuhn, Inc., d/b/a Her Majesty's Credit Union, LLC
LR-22525 Nov. 1, 2012 Adam Bielski
LR-22524 Oct. 31, 2012 Thomas P. Flanagan., et al.
LR-22523 Oct. 26, 2012 Kris Chellam
LR-22522 Oct. 26, 2012 Van Gilder
LR-22521 Oct. 26, 2012 MedLink International, Inc., Aurelio Vuono and James Rose
Other Release No.: AAER-3422
LR-22520 Oct. 26, 2012 Michael H. Johnson
Other Release No.: AAER-3421
See also: SEC Complaint
LR-22519 Oct. 25, 2012 Frank A. LoBue
See also: SEC Complaint
LR-22518 Oct. 23, 2012 James C. Mulholland, Jr. and Thomas S. Mulholland
See also: SEC Complaint
LR-22517 Oct. 19, 2012 Joseph Pacifico
Other Release No.: AAER-3418
See also: SEC Complaint
LR-22516 Oct. 19, 2012 Irwin Boock, et al.
LR-22515 Oct. 19, 2012 Well Advantage Limited, et al.
LR-22514 Oct. 18, 2012 Geoffrey H. Lunn, Darlene A. Bishop and Vincent G. Curry
See also: SEC Complaint
LR-22513 Oct. 18, 2012 Joseph J. Monterosso, et. al.
Other Release No.: AAER-3417
LR-22512 Oct. 18, 2012 A.L. Waters Capital, LLC, et al.
LR-22511 Oct. 17, 2012 The Investors Registry, LLC, and Michael J. Southworth
See also: SEC Complaint
LR-22510 Oct. 17, 2012 Yorkville Advisors, LLC, Mark Angelo and Edward Schinik
See also: SEC Complaint
LR-22509A Oct. 15, 2012 James B. Catledge, Derek F.C. Elliott, EMI Resorts (S.V.G.) Inc., EMI Sun Village, Inc. and Sun Village Juan Dolio, Inc.
See also: SEC Complaint
LR-22508 Oct. 12, 2012 All Know Holdings Ltd., et al.
See also: SEC Complaint
LR-22507 Oct. 12, 2012 James L. Douglas a/k/a James L. Cooper
LR-22506 Oct. 4, 2012 James S. Quay and Jeffrey A. Quay
See also: SEC Complaint
LR-22505 Oct. 4, 2012 Lion Capital Management, LLC and Hausmann-Alain Banet
See also: SEC Complaint
LR-22504 Oct. 3, 2012 GEI Financial Services, Inc., Norman Goldstein, and Laurie Gatherum
See also Complaints: GEI Financial Services and Lion Capital Management
LR-22503 Oct. 3, 2012 Joseph Hilton, f/k/a Joseph Yurkin, Pacific Northwestern Energy LLC, Rock Castle Drilling Fund LP, Rock Castle Drilling Fund II LP, and New Horizon Publishing Inc.
See also: SEC Complaint
LR-22502 Oct. 1, 2012 Michael W. Perry et al.
LR-22501 Oct. 1, 2012 Sunrise Solar Corporation, Eddie D. Austin, Jr., and Carolyn Austin
Other Release No.: AAER-3480
See also: SEC Complaint
Third Quarter
LR-22500 Sep. 28, 2012 Subramanian Krishnan
Other Release No.: AAER-3414
See also: SEC Complaint
LR-22499 Sep. 28, 2012 Irwin Boock, et al.
LR-22498 Sep. 27, 2012 Glenn Grossman, Lawrence Steven Cohen, Shay Keren, and John Zanic
LR-22497 Sep. 27, 2012 Jauyo ("Jason") Lee and Victor Chen
See also: SEC Complaint
LR-22496 Sep. 27, 2012 Bradley A. Holcom and Jose L. Pinedo
See also: SEC Complaint - Holcom and SEC Complaint - Pinedo
LR-22495 Sep. 27, 2012 8000, Inc., Jonathan E. Bryant, Thomas J. Kelly, and Carl N. Duncan, Esq.
See also: SEC Complaint
LR-22494 Sep. 26, 2012 David Gengler, Lashaico, et al.
LR-22493 Sep. 25, 2012 Gilbert G. Lundstrom et al. and Don A. Langford
Other Release No.: AAER-3410
See also: Lundstrom Complaint and Langford Complaint
LR-22492 Sep. 24, 2012 Rudolf D. Pameijer, et al.
See also: SEC Complaint
LR-22491 Sep. 24, 2012 Tyco International Ltd.
Other Release No.: AAER-3409
See also: SEC Complaint
LR-22490 Sep. 24, 2012 David L. Rothman
See also: SEC Complaint
LR-22489 Sep. 21, 2012 Revolutions Medical Corp. and Rondald L. Wheet
See also: SEC Complaint
LR-22488 Sep. 21, 2012 Edward Tackaberry
LR-22487 Sep. 21, 2012 Yusaf Jawed, Grifphon Asset Management, LLC, Grifphon Holdings, LLC, and Robert P. Custis; Jacques Nichols; Lyman Bruhn, Pearl Asset Management, LLC, and Sasquatch Capital Management, LLC
See also: SEC Complaint vs. Jawed et al.; SEC Complaint vs. Nichols; SEC Complaint vs. Bruhn et al.
LR-22486 Sep. 21, 2012 Waldyr Da Silva Prado Neto
See also: SEC Complaint
LR-22485 Sep. 19, 2012 Angelo A. Alleca, et al.
See also: SEC Complaint
LR-22484 Sep. 18, 2012 Bruce Cole and Nanette Cole
See also: SEC Complaint
LR-22483 Sep. 18, 2012 Mantria Corporation et al.
LR-22482 Sep. 17, 2012 Freedom Environmental Services, Inc., et al.
Other Release No.: AAER-3413
See also: SEC Complaint
LR-22481 Sep. 17, 2012 Gilbert Fiorentino
Other Release No.: AAER-3416
See also: SEC Complaint
LR-22480 Sep. 13, 2012 Joseph M. Braas, et al.
LR-22479 Sep. 13, 2012 Deer Hill Financial Group, LLC, et al.
See also: SEC Complaint
LR-22478 Sep. 10, 2012 Bio Defense Corporation, et al.
See also: SEC Complaint
LR-22477 Sep. 10, 2012 ICP Asset Management, LLC, ICP Securities, LLC, Institutional Credit Partners, LLC, Thomas C. Priore, Lori A. Priore, and Bertrand H. Smyers
LR-22476 Sep. 10, 2012 Louis V. Schooler and First Financial Planning Corporation d/b/a Western Financial Planning Corporation
LR-22475 Sep. 10, 2012 Worldwide Energy and Manufacturing USA, Inc. et al.
See also: SEC Complaint
LR-22474 Sep. 6, 2012 Arthur H. Reed and Allan F. Derusha
See also: SEC Complaint
LR-22473 Sep. 6, 2012 Renee White Fraser
See also: SEC Complaint
LR-22472 Sep. 6, 2012 James C. Howard III, Michael R. Casey, and Louis N. Gallo III, Defendants and Sutton Capital, LLC, J&W Trading, LLC, American Financial Solutions, LLC, and Minjo Corporation, Relief Defendants
See also: SEC Complaint
LR-22471 Sep. 5, 2012 Hyung Lim
See also: SEC Complaint
LR-22470 Sep. 4, 2012 China Sky One Medical, Inc. and Yan-qing Liu
Other Release No.: AAER-3404
See also: SEC Complaint
LR-22469 Sep. 4, 2012 R. Jeffrey Rooks
See also: SEC Complaint
LR-22468 Sep. 4, 2012 Thomas D. Melvin et al.
See also: SEC Complaint
LR-22467 Sep. 4, 2012 Casey D. Jackson
See also: SEC Complaint
LR-22466 Sep. 4, 2012 Ashley J. Coots
See also: SEC Complaint
LR-22465 Sep. 4, 2012 C. Roan Berry
See also: SEC Complaint
LR-22464 Aug. 31, 2012 Clay Capital Management, LLC, et al.
LR-22463 Aug. 31, 2012 Anthony K. Welch
See also: SEC Complaint
LR-22462 Aug. 29, 2012 Fabrizio Neves, et al.
See also: SEC Complaint
LR-22461 Aug. 29, 2012 Wwebnet, Inc. and Robert L. Kelly
See also: SEC Complaint
LR-22460 Aug. 27, 2012 Gary R. Marks
See also: SEC Complaint
LR-22459 Aug. 27, 2012 Jeffrey L. Mowen, et al.
LR-22458 Aug. 24, 2012 Eric Martin, Defendant and Robin Martin, Relief Defendant
LR-22457 Aug. 23, 2012 Edward Bronson, et al.
LR-22456 Aug. 22, 2012 Rex Venture Group LLC et al.
See also: SEC Complaint
LR-22455 Aug. 21, 2012 James L. Lieberman
See also: SEC Complaint
LR-22454 Aug. 21, 2012 Ricardo Bonilla Rojas and Shadai Yire, Inc.
See also: SEC Complaint
LR-22453 Aug. 17, 2012 James M. Donnan, III and Gregory L. Crabtree
See also: SEC Complaint
LR-22452 Aug. 17, 2012 Yossef Kahlon, et al.
See also: SEC Complaint
LR-22451 Aug. 17, 2012 James V. Mazzo, David L. Parker and Eddie C. Murray
See also: SEC Complaint
LR-22450 Aug. 16, 2012 Oracle Corporation
See also: SEC Complaint
LR-22449 Aug. 15, 2012 Bridge Premium Finance, LLC, Michael J. Turnock and William P. Sullivan, II, Defendants
LR-22448 Aug. 14, 2012 Petro-Suisse Ltd. and Mark Gasarch
See also: SEC Complaint
LR-22447 Aug. 14, 2012 Avanti Capital Partners, LLC, et al
See also: SEC Complaint
LR-22446 Aug. 14, 2012 Alero Odell Mack, Jr., et al.
LR-22445 Aug. 14, 2012 Thomas D. Coldicutt, Jr., et al.
See also: SEC Complaint
LR-22444 Aug. 10, 2012 Edward M. Laborio et al.
See also: SEC Complaint
LR-22443 Aug. 10, 2012 Nancy Shao Wen Chu, et al.
LR-22442 Aug. 10, 2012 Ronald D. Brooks
See also: SEC Complaint
LR-22441 Aug. 9, 2012 Thomas P. Flanagan, et al.
LR-22440 Aug. 8, 2012 Heart Tronics, Inc., et al.
LR-22439 Aug. 8, 2012 R. Brooke Dunn and Nicholas P. Howey
LR-22438 Aug. 8, 2012 Pfizer Inc. / Wyeth LLC
Other Release No.: AAER-3399
LR-22437 Aug. 7, 2012 The Companies (TC), LLC, et al.
See also: SEC Complaint
LR-22436 Aug. 6, 2012 Well Advantage Limited, et al.
See also: SEC Complaint
LR-22435 Aug. 6, 2012 Inofin, Inc. et al.
LR-22434 Aug. 3, 2012 Joseph McVicker
See also: SEC Complaint
LR-22433 Aug. 3, 2012 Robert D. Ramnarine
See also: SEC Complaint
LR-22432 Aug. 2, 2012 Mark Leslie et al.
Other Release No.: AAER-3397
LR-22431 Aug. 2, 2012 Phillip W. Offill, Jr., et al.
LR-22430 Jul. 30, 2012 Siris, et al. and Hu, et al.
See also: Complaint Against Peter Siris et al. and Complaint Against Alan Sheinwald et al.
LR-22429 Jul. 30, 2012 Michael A. Bodanza et al.
See also: SEC Complaint
LR-22428 Jul. 30, 2012 Well Advantage Limited et al.
LR-22427 Jul. 30, 2012 Emanuel L. Sarris, Sr. and Sarris Financial Group, Inc.
See also: SEC Complaint
LR-22426 Jul. 30, 2012 LocatePlus Holdings Corporation, Jon Latorella and James Fields
LR-22425 Jul. 27, 2012 Doyle Scott Elliott, Scott Elliott, Inc., Michael J. Xirinachs, Emerald Asset Advisors LLC, Robert L. Weidenbaum, and CLX & Associates, Inc.
LR-22424 Jul. 25, 2012 Ronald Feldstein
LR-22423 Jul. 25, 2012 Ladislav "Larry" Schvacho
LR-22422 Jul. 25, 2012 Renee Marie Brown, et al.
LR-22421 Jul. 25, 2012 Dynkowski, et al.
LR-22420 Jul. 23, 2012 Jerry S. Williams, Monk’s Den, LLC, and First In Awareness, LLC
See also: SEC Complaint
LR-22419 Jul. 20, 2012 Manouchehr Moshayedi
See also: SEC Complaint
LR-22418 Jul. 19, 2012 David Ronald Allen, et al.
LR-22417 Jul. 19, 2012 Mizuho Securities USA Inc.
LR-22416 Jul. 17, 2012 3 Eagles Research & Development LLC, Harry Dean Proudfoot III, Matthew Dale Proudfoot, Laurie Anne Vrvilo and Dennis Ashley Bukantis
See also: SEC Complaint
LR-22415 Jul. 16, 2012 Kimon P. Daifotis and Randall Merk
LR-22414 Jul. 12, 2012 Rodney R. Schoemann
LR-22413 Jul. 10, 2012 Apparao Mukkamala, Suresh Anne, Jitendra Prasad Katneni, Mallikarjunarao Anne, and Rao A.K. Yalamanchili
See also: SEC Complaint
LR-22412 Jul. 10, 2012 Orthofix International N.V.
See also: SEC Complaint
LR-22411 Jul. 9, 2012 Florin S. Ilovici, et al.
LR-22410 Jul. 6, 2012 Axius, Inc., Roland Kaufmann, and Jean-Pierre Neuhaus
See also: SEC Complaint
LR-22409 Jul. 3, 2012 Aubrey Lee Price, et al.
See also: SEC Complaint
LR-22408 Jul. 3, 2012 Gold Standard Mining Corp.
Other Release No.: AAER-3401
See also: SEC Complaint
Second Quarter
LR-22407 Jun. 29, 2012 Peter Madoff
LR-22406 Jun. 28, 2012 Small Business Capital Corp., et al.
See also: SEC Complaint
LR-22405 Jun. 28, 2012 FalconStor Software, Inc.
Other Release No.: AAER-3392
LR-22404 Jun. 28, 2012 H. Clayton Peterson et al.
LR-22403 Jun. 28, 2012 Harbinger Capital Partners LLC et al.
LR-22402 Jun. 27, 2012 AMMB Consultant Sendirian Berhad
LR-22401 Jun. 27, 2012 Tai Nguyen
See also: SEC Complaint
LR-22400 Jun. 25, 2012 Manuel M. Bello, Ayuda Equity Funding, LLC, and AmeriFund Capital Holdings, LLC
See also: SEC Complaint
LR-22399 Jun. 25, 2012 Gurudeo Persaud
See also: SEC Complaint
LR-22398 Jun. 25, 2012 Ralph R. Cioffi and Matthew M. Tannin
LR-22397 Jun. 25, 2012 Lawrence R. Goldfarb and Baystar Capital Group, LLC
LR-22396 Jun. 20, 2012 Gary J. Martel, d/b/a Martel Financial Group, and MFG Funding
See also: SEC Complaint
LR-22395 Jun. 18, 2012 James Clements and Zeina Smidi
LR-22394 Jun. 18, 2012 LocatePlus Holdings Corporation, Jon Latorella and James Fields
LR-22393 Jun. 13, 2012 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
LR-22392 Jun. 12, 2012 Benjamin Daniel DeHaan and Lighthouse Financial Partners, LLC
LR-22391 Jun. 12, 2012 Bryan Arias, et al.
See also: SEC Complaint
LR-22390 Jun. 11, 2012 Benjamin Daniel DeHaan and Lighthouse Financial Partners, LLC
See also: SEC Complaint
LR-22389 Jun. 4, 2012 Yan K. Skwara and US Farms, Inc. et al.
LR-22388 Jun. 1, 2012 Rajnish K. Das and Stormy L. Dean
LR-22387 Jun. 1, 2012 Charles E. Mazur, Jr. et al.
See also: SEC Complaint
LR-22386 Jun. 1, 2012 Brian Raymond Callahan et al.
See also: SEC Complaint
LR-22385 Jun. 1, 2012 Steven H. Bethke
See also: SEC Complaint
LR-22384 Jun. 1, 2012 James Roland Dial et al
See also: SEC Complaint
LR-22383 May 31, 2012 George G. Levin and Frank J. Preve
LR-22382 May 31, 2012 James B. Catledge, Derek F.C. Elliott, EMI Resorts (S.V.G.) Inc., EMI Sun Village, Inc. and Sun Village Juan Dolio, Inc.
See also: SEC Complaint
LR-22381 May 30, 2012 Mark A. Lefkowitz, Compass Capital Group, Inc., Mark A. Lopez, Unico, Inc., Steven R. Peacock, Shane H. Traveller, and Advanced Cell Technology, Inc.
See also: SEC Complaint
LR-22380 May 30, 2012 Richard DeMaria
See also: SEC Complaint
LR-22379 May 29, 2012 The BISYS Group, Inc. and Steven Wevodau
LR-22378 May 29, 2012 Compania International Financiera S.A., et al.
LR-22377 May 29, 2012 New Futures Trading International Corporation and Henry Roche
LR-22376 May 29, 2012 Jorge Gomez and Roberto Aleph Espinosa
See also: SEC Complaint
LR-22375 May 24, 2012 GLR Capital Management, LLC, GLR Advisors, LLC, Geringer, Luck & Rode LLC, John A. Geringer, and Relief Defendant GLR Growth Fund, L.P.
See also: SEC Complaint
LR-22374 May 24, 2012 Stephen H. Guth
See also: SEC Complaint
LR-22373 May 22, 2012 David M. Connolly
LR-22372 May 22, 2012 Reema D. Shah and Robert W. Kwok
LR-22371 May 18, 2012 Mark F. Spangler and The Spangler Group, Inc.
See also: SEC Complaint
LR-22370 May 16, 2012 Nicholas Louis Geranio, et al.
See also: SEC Complaint
LR-22369 May 15, 2012 Former CEO of Presstek, Inc. Settles Regulation FD Charges
LR-22368 May 14, 2012 China Natural Gas, Inc. and Qinan Ji
See also: SEC Complaint
LR-22367 May 11, 2012 Frank Lynn Blystone
See also: SEC Complaint
LR-22366 May 11, 2012 Global Development & Environmental Resources, Inc., et al.
LR-22365 May 11, 2012 Apartments America, LLC, Michael J. Stewart, John J. Packard, Randall A. Smith
See also: SEC Complaint
LR-22364 May 10, 2012 Dr. Bobby V. Khan
See also: SEC Complaint
LR-22363 May 10, 2012 David Blech and Margaret Chassman
LR-22362 May 9, 2012 Kwame M. Kilpatrick, et al.
See also: SEC Complaint
LR-22361 May 8, 2012 Gerald D. Kegley, et al.
See also: SEC Complaint
LR-22360A May 8, 2012 Mohammed Mark Amin, Robert Reza Amin, Michael Mahmood Amin, Sam Saeed Pirnazar, Mary Teresa Coley, and Ali Tashakori
LR-22359 May 8, 2012 James Tambone et al.
LR-22358 May 8, 2012 Mark Anthony Longoria, et al.
LR-22357 May 7, 2012 Angela Milliard et al.
See also: SEC Complaint
LR-22356 May 4, 2012 A.L. Waters Capital, LLC, et al.
LR-22355 May 2, 2012 Michael Lauer
LR-22354 May 1, 2012 Darlene Nelson Powell and Robert Eldridge
LR-22353 May 1, 2012 RKC Capital Management, LLC, RKC Capital, LLC, and Russell K. Cannon
See also: SEC Complaint
LR-22352 May 1, 2012 Christel S. Scucci, et al.
See also: SEC Complaint
LR-22351 Apr. 30, 2012 e-Smart Technologies, Inc., et al.
LR-22350 Apr. 30, 2012 Michael J. McNerney
See also: SEC Complaint
LR-22349 Apr. 30, 2012 Locke Capital Management, Inc. and Leila C. Jenkins
LR-22348 Apr. 30, 2012 Usee, Inc., et al
See also: SEC Complaint
LR-22347 Apr. 27, 2012 James Putman., et al.
LR-22346 Apr. 25, 2012 Garth R. Peterson
Other Release No.: AAER-3384
See also: SEC Complaint
LR-22345 Apr. 25, 2012 Matthew H. Kluger and Garrett D. Bauer
See also: SEC Complaint
LR-22344 Apr. 24, 2012 Option One Mortgage Corporation n/k/a Sand Canyon Corporation
See also: SEC Complaint
LR-22343 Apr. 24, 2012 Allen E. Weintraub and AWMS Acquisition, Inc., d/b/a Sterling Global Holdings
LR-22342 Apr. 23, 2012 ARVCO Capital Research, LLC, et al.
LR-22341 Apr. 23, 2012 SinoTech Energy Limited, Qingzeng Liu, Guoqiang Xin, and Boxun Zhang
LR-22340 Apr. 23, 2012 Marco Glisson
LR-22339 Apr. 20, 2012 Thomas Edward Hunter and Alexander John Hunter
See also: SEC Complaint
LR-22338 Apr. 18, 2012 Don W. Watson, Edward W. O’Brien, and Gary M. Opper
Other Release No.: AAER-3382
LR-22337 Apr. 17, 2012 Michael Anthony Gonzalez
See also: SEC Complaint
LR-22336 Apr. 18, 2012 William J. Reilly
LR-22335 Apr. 18, 2012 John J. Todd, Robert D. Manza, and Jeffrey Weitzen
LR-22334 Apr. 17, 2012 Phillip W. Offill, Jr., et al.
LR-22333 Apr. 17, 2012 Petr Murmylyuk
See also: SEC Complaint
LR-22332 Apr. 16, 2012 Provident Capital Indemnity, Ltd., Minor Vargas Calvo, Jorge L. Castillo, and Relief Defendant Desarrollos Comerciales Ronim, S.A.
LR-22331 Apr. 13, 2012 Shervin Neman and Neman Financial, Inc. , et al.
See also: SEC Complaint
LR-22330 Apr. 13, 2012 City Capital Corporation et al.
See also: SEC Complaint
LR-22329 Apr. 11, 2012 Robert Stinson, Jr.
LR-22328 Apr. 11, 2012 Spyglass Equity Systems, Inc., et al
LR-22327 Apr. 11, 2012 Kenneth A. Dachman, et al.
LR-22326 Apr. 11, 2012 AutoChina International Limited et al.
See also: SEC Complaint
LR-22325 Apr. 10, 2012 Spyridon Adondakis et al.
LR-22324 Apr. 6, 2012 James Li (a/k/a Ching Hua Li), Thomas Chow (a/k/a Man Kit Chow), Roger Kao (a/k/a Chao Chun Kao), Christopher Liu (a/k/a Chi Lei Liu), and Wayne A. Pratt
LR-22323 Apr. 6, 2012 Van et al.
See also: SEC Complaint
LR-22322 Apr. 6, 2012 Aragon Capital Advisors, LLC, et al.
LR-22321 Apr. 6, 2012 Anthony J. Nocella and J. Russell McCann
Other Release No.: AAER-3378
See also: SEC Complaint
LR-22320 Apr. 6, 2012 Siming Yang, et al.
See also: SEC Complaint
LR-22319 Apr. 6, 2012 George Elia and International Consultants & Investment Group Ltd. Corp. as Defendants, and 212 Entertainment Club, Inc. and Elia Realty, Inc., as Relief Defendants
See also: SEC Complaint
LR-22318 Apr. 5, 2012 Gaston E. Cantens
LR-22317 Apr. 5, 2012 Online-Registries, Inc. and David Stern
LR-22316 Apr. 3, 2012 Global Development & Environmental Resources, Inc., et al.
LR-22315 Apr. 2, 2012 Michael A. Baker and Michael T. Gluk
First Quarter
LR-22314 Mar. 30, 2012 Pentagon Capital Management PLC et al.
LR-22313 Mar. 30, 2012 Frederick S. Schiff and Richard J. Lane
LR-22312 Mar. 30, 2012 Quorne Limited and Michael Sarkesian
See also: SEC Complaint
LR-22311 Mar. 27, 2012 Brian Raymond Callahan, Horizon Global Advisors Ltd. and Horizon Global Advisors, LLC
LR-22310 Mar. 27, 2012 Matthew J. Gagnon
LR-22309 Mar. 27, 2012 John M. Cinderey
See also: SEC Complaint
LR-22308 Mar. 27, 2012 Mark Anthony Longoria, et al.
LR-22307 Mar. 26, 2012 David L. Marion and International Rarities Holdings, Inc.
See also: SEC Complaint
LR-22306 Mar. 26, 2012 Biomet, Inc.
Other Release No.: AAER-3374
See also: SEC Complaint
LR-22305 Mar. 23, 2012 Wells Fargo & Company
LR-22304 Mar. 22, 2012 Mark Leslie, Kenneth E. Lonchar, Paul A. Sallaberry, Michael M. Cully, and Douglas S. Newton
Other Release No.: AAER-3373
LR-22303 Mar. 22, 2012 Andrew Franz
LR-22302 Mar. 22, 2012 Andrey C. Hicks and Locust Offshore Management, LLC, as Defendants, and Locust Offshore Fund, Ltd., as Relief Defendant
LR-22301 Mar. 21, 2012 James Michael Murray
LR-22300 Mar. 20, 2012 Brian Hollnagel and BCI Aircraft Leasing, Inc.
LR-22299 Mar. 20, 2012 Cutillo et al.
LR-22298 Mar. 19, 2012 AXA Rosenberg
LR-22297 Mar. 19, 2012 Thomas C. Hardin and Lanexa Management, LLC
LR-22296 Mar. 16, 2012 SW Argyll Investments, LLC
LR-22295 Mar. 16, 2012 Noah J. Griggs, Jr.
LR-22294 Mar. 15, 2012 James J. Konaxis
LR-22293 Mar. 15, 2012 Sherif Mityas
LR-22292 Mar. 14, 2012 Frank Mazzola et al.
LR-22291 Mar. 14, 2012 Neal R. Greenberg
LR-22290 Mar. 14, 2012 Mark A. Jackson and James J. Ruehlen; Thomas F. O’Rourke
Other Release No.: AAER-3371
LR-22289   (Intentionally omitted)
LR-22288 Mar. 14, 2012 Timothy J. McGee, et al.
See also: SEC Complaint
LR-22287 Mar. 13, 2012 Larry Goldstone, Clarence Simmons, and Jane Starrett
Other Release No.: AAER-3370
See also: SEC Complaint
LR-22286 Mar. 13, 2012 United American Ventures, LLC, et al
LR-22285 Mar. 13, 2012 Fernando J. Espuelas et al.
Other Release No.: AAER-3369
LR-22284 Mar. 12, 2012 Alissa Joelle Kueng
LR-22283 (Intentionally omitted)
LR-22282A Mar. 12, 2012 Kevan D. Acord, et al.
LR-22281 Mar. 9, 2012 Edward V. Ellis, Sr. and Jennifer L. Seidel
See also: SEC Complaint
LR-22280 Mar. 9, 2012 Steven J. Harrold
See also: SEC Complaint
LR-22279 Mar. 8, 2012 Koss Corporation and Michael J. Koss
Other Release No.: AAER-3368
LR-22278 Mar. 7, 2012 Prime Star Group, Inc., et al.
See also: SEC Complaint
LR-22277 Mar. 6, 2012 Brookstreet Securities Corp. and Stanley C. Brooks
LR-22276 Mar. 6, 2012 Rajnish K. Das and Stormy L. Dean
LR-22275 Mar. 6, 2012 Brian Raymond Callahan, Horizon Global Advisors Ltd. and Horizon Global Advisors, LLC
See also: SEC Complaint
LR-22274 Mar. 5, 2012 William F. Duncan and John M. Williams
LR-22273 Mar. 1, 2012 Marleen Jantzen and John Jantzen
LR-22272 Feb. 28, 2012 Frank T. Noyes, et al.
LR-22271 Feb. 28, 2012 Robert S. Woodruff, et al.
LR-22266A Feb. 27, 2012 Jeremy Blackburn and Anthony Banas
LR-22270 Feb. 24, 2012 Mark Anthony Longoria, et al.
LR-22269 Feb. 24, 2012 Gregory N. McKnight, et al.
LR-22268 Feb. 24, 2012 Magnum d’Or Resources, Inc., et al.
LR-22267 Feb. 23, 2012 Robert Glenn Bard, et al.
LR-22266 Feb. 23, 2012 Jeremy Blackburn and Anthony Banas
LR-22265 Feb. 23, 2012 The BISYS Group, Inc.
LR-22264 Feb. 22, 2012 Ming Zhao and Liping Zhu
See also: SEC Complaint
Other Release No.: AAER-3372
LR-22263 Feb. 21, 2012 Verde Retirement LLC, Verde FX Nevada, LLC, Covenant Capital Partners, and Steven L. Hamilton
See also: SEC Complaint
LR-22262 Feb. 17, 2012 Pentagon Capital Management PLC et al.
LR-22261 Feb. 17, 2012 John Kinnucan and Broadband Research Corporation
See also: SEC Complaint
LR-22260 Feb. 16, 2012 CytoCore, Inc., et al
LR-22259 Feb. 15, 2012 Brenda A. Eschbach
See also: SEC Complaint
LR-22258 Feb. 15, 2012 Venulum Ltd., et al.
LR-22257 Feb. 13, 2012 Douglas F. Whitman and Whitman Capital, LLC
LR-22256 Feb. 10, 2012 Dynkowski
LR-22255 Feb. 10, 2012 Brent C. Bankosky
See also: SEC Complaint
LR-22254 Feb. 6, 2012 Kenneth A. Dachman, Scott A. Wolf and Stone Lion Management, Inc.
See also: SEC Complaint
LR-22253 Feb. 6, 2012 W. Anthony Huff, Defendant-Appellant, and Sheri Huff and Midwest Merger Management, LLC, Relief Defendants-Appellants
LR-22252 Feb. 6, 2012 Smith & Nephew PLC
Other Release No.: AAER-3363
See also: SEC Complaint
LR-22251 Feb. 3, 2012 Todd Leslie Treadway
LR-22250 Feb. 2, 2012 Cutillo et al.
LR-22249 Feb. 2, 2012 Lloyd V. Barriger
LR-22248 Feb. 2, 2012 Robert J. Therrien
LR-22247 Feb. 1, 2012 Kareem Serageldin et al.
LR-22246 Jan. 31, 2012 Christopher T. Vulliez, et al.
LR-22245 Jan. 31, 2012 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
LR-22244 Jan. 31, 2012 John J. Todd, Robert D. Manza, and Jeffrey Weitzen
LR-22243 Jan. 30, 2012 Robert Chiu (a/k/a Chi Hung Chiu); James Li (a/k/a Ching Hua Li), Thomas Chow (a/k/a Man Kit Chow), Roger Kao (a/k/a Chao Chun Kao), Christopher Liu (a/k/a Chi Lei Liu), and Wayne A. Pratt
Other Release No.: AAER-3360
See also: SEC Complaint
LR-22242 Jan. 30, 2012 Marcin Malarz et al.
LR-22241 Jan. 30, 2012 Richard J. Senior et al. and Brian S. Moore
See also: SEC Complaint v. Senior et al.; SEC Complaint v. Moore
LR-22240 Jan. 26, 2012 First Resource Group LLC, and David H. Stern
See also: SEC Complaint
LR-22239 Jan. 26, 2012 Integrity Financial AZ, LLC, Steven R. Long, Stanley M. Paulic, Walter W. Knitter, and Robert C. Koeller
LR-22238 Jan. 26, 2012 Igors Nagaicevs
See also: SEC Complaint
LR-22237 Jan. 25, 2012 Len A. Familant and Paul V. Greene
Other Release No.: AAER-3356
See also: SEC Complaint
LR-22236 Jan. 25, 2012 Mark Anthony Longoria, et al.
LR-22235 Jan. 25, 2012 (Intentionally omittted)
LR-22234 Jan. 24, 2012 Robert Ward, Benjamin Lewis, Stanley Lewis, and Jamie Lewis
See also: SEC Complaint
LR-22233 Jan. 24, 2012 Dale Shafer, Joseph Mroz and Jason Gonski
See also: SEC Complaint
LR-22232 Jan. 24, 2012 Carlo G. Chiaese, et al.
LR-22231 Jan. 23, 2012 Eric Aronson, Vincent Buonauro, Jr., Robert Kondratick, Fredric Aaron, PermaPave Industries, LLC, PermaPave USA Corp., PermaPave Distributions, Inc., Permeable Solutions, Inc., Verigreen, LLC, and Interlink-US-Network, Ltd., Defendants, and Caroline Aronson, Deborah Buonauro, DASH Development, LLC, Aron Holdings, Inc., PermaPave Construction Corp., Dymoncrete Industries, LLC, Dymon Rock LI, LLC, and Lumi-Coat, Inc., Relief Defendants
LR-22230 Jan. 18, 2012 Spyridon Adondakis, Anthony Chiasson, Sandeep Goyal, Jon Horvath, Danny Kuo, Todd Newman, Jesse Tortora, Diamondback Capital Management, LLC, and Level Global Investors, L.P.
See also: SEC Complaint
LR-22229 Jan. 18, 2012 BankAtlantic Bancorp., Inc. and Alan Levan
See also: SEC Complaint
LR-22228 Jan. 18, 2012 Burton Douglas Morriss, et al.
See also: SEC Complaint
LR-22227 Jan. 17, 2012 Farzin Bazshushtari
See also: SEC Complaint
LR-22226 Jan. 13, 2012 Compania International Financiera S.A., et al.
LR-22225 Jan. 11, 2012 Allen E. Weintraub and AWMS Acquisitions, Inc., d/b/a Sterling Global Holdings
LR-22224 Jan. 11, 2012 Imperiali, Inc.
Other Release No.: AAER-3355
See also: SEC Complaint
LR-22223 Jan. 11, 2012 Earl C. Arrowood and Parker H. "Pete" Petit
See also: SEC Complaint
LR-22222 Jan. 10, 2012 Kathleen S. Dobens, Charles T. Dobens, Joseph A. Roche, Silex Group, LLC, Preakness Apartments I & II, LLC, Cherry Hills Apartments of Forth Worth, LLC, and Clear River Partners, LLC, as Defendants, and East Coast Investment Solutions, LLC, The Dobens Company, LLC, Crosscreeks Apartments I and Crosscreeks Apartments II, LLC, as Relief Defendants
LR-22221 Jan. 10, 2012 Todd Farha, et al.
Other Release No.: AAER-3353
See also: SEC Complaint
LR-22220 Jan. 4, 2012 JBI, Inc., John Bordynuik and Ronald Baldwin, Jr.
Other Release No.: AAER-3352
See also: SEC Complaint
LR-22219 Jan. 4, 2012 Life Partners Holdings, Inc., Brian D. Pardo, R. Scott Peden and David M. Martin
Other Release No.: AAER-3351
LR-22218 Jan. 4, 2012 Kevin J. Wilcox, Jennifer E. Thoennes, and Eric R. Nelson
LR-22217 Jan. 3, 2012 Edward L. Moskop and Financial Services Moskop & Associates, Inc.
LR-22216 Jan. 3, 2012 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-22215 Jan. 3, 2012 Chalmer E. Detling, II, Esq.
See also: SEC Complaint
LR-22214 Jan. 3, 2012 Charles A. Aiken, et al.
See also: SEC Complaint

 

http://www.sec.gov/litigation/litreleases/litrelarchive/litarchive2012.shtml

Modified: 08/28/2014