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Litigation Releases

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-22900 Dec. 24, 2013 Archer-Daniels-Midland Company
See also: SEC Complaint
LR-22899 Dec. 23, 2013 David F. Marchand
See also: SEC Complaint
LR-22898 Dec. 23, 2013 Dawn Wright-Olivares and Daniel Olivares
See also: SEC Complaint
LR-22897 Dec. 23, 2013 All Know Holdings Ltd., et al.
LR-22896 Dec. 23, 2013 Mark A. Lefkowitz, et al.
LR-22895 Dec. 23, 2013 Patrick G. Rooney and Solaris Management, LLC
LR-22894 Dec. 20, 2013 E-Monee.com, Inc. et al.
LR-22893 Dec. 20, 2013 Brian D. Jorgenson, et al.
See also: SEC Complaint
LR-22892 Dec. 18, 2013 Randy A. Hamdan and Oracle Consultants, LLC
See also: SEC Complaint
LR-22891 Dec. 16, 2013 Arcturus Corporation, et al.
See also: SEC Complaint
LR-22890 Dec. 16, 2013 Malom Group AG, Martin U. Schläpfer, Hans-Jürg Lips, et al.
See also: SEC Complaint
LR-22889 Dec. 13, 2013 Daniel Dirk Coddington, et al.
See also: SEC Complaint
LR-22888 Dec. 13, 2013 EagleEye Asset Management, LLC and Jeffrey A. Liskov
LR-22887 Dec. 12, 2013 Michael H. Taber, CPA
Other Release No.: AAER-3517
LR-22886 Dec. 6, 2013 Robert A. Helms, et al.
See also: SEC Complaint
LR-22885 Dec. 5, 2013 A.L. Waters Capital, LLC, et al.
LR-22884 Dec. 4, 2013 Edward M. Daspin, a/k/a "Edward Michael", a/k/a "Ed Michael"
LR-22883 Dec. 3, 2013 Thomas Gaffney et al.
LR-22882 Dec. 3, 2013 Charles Raymond Langston III, CRL Management, LLC, and Guarantee Reinsurance, Ltd
See also: SEC Complaint
LR-22881 Dec. 2, 2013 Edward M. Laborio, Jonathan Fraiman, Matthew K. Lazar, Envit Capital, LLC, Envit Capital Group, Inc., Envit Capital Holdings, Inc., Envit Capital Private Wealth Management, LLC, Envit Capital Multi Strategy Mixed Investment Fund I LP, Aetius Group PLC, and Aetius Group LLC
LR-22880 Nov. 26, 2013 Weatherford International Ltd.
See also: SEC Complaint
LR-22879 Nov. 25, 2013 MedLink International, Inc., Aurelio Vuono, and James Rose
LR-22878 Nov. 25, 2013 Charles H. Merchant, Sr. and Southern USA Resources, Inc.
See also: SEC Complaint
LR-22877 Nov. 25, 2013 Steven Palladino, et al.
LR-22876 Nov. 21, 2013 Gary C. Snisky
See also: SEC Complaint
LR-22875 Nov. 21, 2013 R. Gordon Jones, CPA
Other Release No.: AAER-3513
See also: SEC Complaint
LR-22874 Nov. 21, 2013 Sam Miri
LR-22873 Nov. 21, 2013 The NIR Group, LLC, et al.
LR-22872 Nov. 21, 2013 David Miller
LR-22871 Nov. 18, 2013 Edward M. Daspin, a/k/a “Edward Michael,” a/k/a “Ed Michael,”
LR-22870 Nov. 14, 2013 Mark Megalli
See also: SEC Complaint
LR-22869 Nov. 13, 2013 Charles T. Lawrence
LR-22868 Nov. 13, 2013 Bobby Jones, Raymon Chadwick, Terry Johnson, Innovative Group, Redwater Funding Group, LLC and Expectrum, LLC
LR-22867 Nov. 12, 2013 Charles T. Lawrence
See also: Order to Show Cause, Application
LR-22866 Nov. 7, 2013 RBS Securities Inc.
See also: SEC Complaint
LR-22865 Nov. 7, 2013 Nicholas Louis Geranio, et al.
LR-22864 Nov. 7, 2013 Charles O. Morgan, Jr., as Personal Representative of the Estate of Frederick J. Kunen; Terry E. Provence and DT Capital LLC
LR-22863 Nov. 5, 2013 Anthony Coronati
See also: Order to Show Cause, Application
LR-22862 Nov. 5, 2013 Christopher A.T. Pedras, et al.
See also: SEC Complaint
LR-22861 Oct. 30, 2013 The Milan Group, Inc., a/k/a The Milan Trading Group, Inc., et al.
LR-22860 Oct. 30, 2013 Andrew J. Franz
LR-22859 Oct. 30, 2013 Steven W. Salutric
LR-22858 Oct. 29, 2013 Dennis Rosenberg
See also: SEC Complaint
LR-22857 Oct. 29, 2013 Joseph M. Mancuso
LR-22856 Oct. 28, 2013 Paul V. Greene
Other Release No.: AAER-3510
LR-22855 Oct. 23, 2013 Mark Cuban
LR-22854 Oct. 23, 2013 Zhou
LR-22853 Oct. 23, 2013 True North Finance Corporation, f/k/a CS Financing Corporation, et al.
LR-22852 Oct. 23, 2013 Michael Grosso
LR-22851 Oct. 22, 2013 Igor Poteroba, Aleksey Koval, Alexander Vorobiev, and Relief Defendants Tatiana Vorobieva and Anjali Walter
LR-22850 Oct. 22, 2013 AIC, Inc., et al.
LR-22849 Oct. 22, 2013 Diebold, Inc.
Other Release No.: AAER-3509
See also: SEC Complaint
LR-22848 Oct. 18, 2013 Yuhe International, Inc., and Gao Zhentao
See also: SEC Complaint
LR-22847 Oct. 17, 2013 JBI, Inc., John Bordynuik and Ronald Baldwin, Jr.
Other Release No.: AAER-3508
LR-22846 Oct. 17, 2013 CKB168 Holdings Ltd., et al. (Corrected)
LR-22845 Oct. 15, 2013 Peter Madoff
LR-22844 Oct. 15, 2013 Kilpatrick et al.
LR-22843 Oct. 11, 2013 Hochfeld et al.
LR-22842 Oct. 11, 2013 Michael R. Enea
See also: SEC Complaint
LR-22841 Oct. 10, 2013 Michel Terpins, et al.
See also: SEC Complaint
LR-22840 Oct. 10, 2013 Charles J. Dushek, et al.
LR-22839 Oct. 10, 2013 Jason Wynn and Martin Cantu
LR-22838 Oct. 9, 2013 Toby G. Scammell
LR-22837 Oct. 9, 2013 Lee Chi Ling, et al.
LR-22836 Oct. 8, 2013 Edward M. Laborio, Jonathan Fraiman, Matthew K. Lazar, Envit Capital, LLC, Envit Capital Group, Inc., Envit Capital Holdings, Inc., Envit Capital Private Wealth Management, LLC, Envit Capital Multi Strategy Mixed Investment Fund I LP, Aetius Group PLC, and Aetius Group LLC
LR-22835 Oct. 7, 2013 James C. Mulholland, Jr. and Thomas S. Mulholland
LR-22834 Oct. 7, 2013 Nguyen et al.
LR-22833 Oct. 4, 2013 China MediaExpress Holdings, Inc. and Zheng Cheng
LR-22832 Oct. 3, 2013 Edwin Yoshihiro Fujinaga, MRI International, Inc., and CSA Service Center, LLC
LR-22831a Oct. 2, 2013 Philip A. Falcone, Harbinger Capital Partners Offshore Manager, L.L.C. and Harbinger Capital Partners Special Situations GP, L.L.C. and Harbinger Capital Partners LLC, Philip A. Falcone and Peter A. Jenson
LR-22830 Oct. 2, 2013 Brett A. Cooper, Global Funding Systems LLC, Dream Holdings, LLC, Fortitude Investing, LLC, Peninsula Waterfront Development, LP, and REOP Group Inc. and David H. Frederickson and The Law Offices of David H. Frederickson
See also SEC Complaints: Brett A. Cooper, et al. and David H. Frederickson, et al.
LR-22829 Oct. 2, 2013 Petro-Suisse Ltd. and Mark Gasarch
LR-22828 Oct. 2, 2013 Jeremy Fisher, The Good Life Financial Group, Inc., and The Good Life Global, LLC
See also: SEC Complaint
Third Quarter
LR-22827 Sep. 30, 2013 Jenny E. Coplan
See also: SEC Complaint
LR-22826 Sep. 27, 2013 Frank Dappah and Yatalie Capital Management, et al.
LR-22825 Sep. 27, 2013 Vitesse Semiconductor Corporation, Louis R. Tomasetta, Eugene F. Hovanec, Yatin D. Mody, and Nicole R. Kaplan
Other Release No.: AAER-3495
LR-22824 Sep. 27, 2013 Irwin Boock, et al.
LR-22823 Sep. 27, 2013 Universal Travel Group, Jiangping Jiang and Jing Xie
Other Release No.: AAER-3494
LR-22822 Sep. 27, 2013 OM Investment Management LLC, Gignesh Movalia, and Edwin V. Gaw
See also: SEC Complaint
LR-22821 Sep. 27, 2013 Brian K. Velten
LR-22820 Sep. 27, 2013 William Dean Chapman, Jr., Alexander Capital Markets, LLC, and Alexander Financial LLC
LR-22819 Sep. 26, 2013 Chan Tze Ngon and Jiang Xiangyuan
See also: SEC Complaint
LR-22818 Sep. 26, 2013 Ronald E. Walblay, Energy Securities, Inc., and RyHolland Fielder, Inc.
See also: SEC Complaint
LR-22817 Sep. 26, 2013 Mercantile Bancorp, Inc.
Other Release No.: AAER-3493
See also: SEC Complaint
LR-22816 Sep. 26, 2013 ImageXpres Corporation, et al.
LR-22815 Sep. 26, 2013 Thought Development, Inc. and Alan Amron
See also: SEC Complaint
LR-22814 Sep. 26, 2013 Advanced Equity Partners, LLC, Premiere Consulting, LLC, Peter Kirschner and Stuart Rubens
See also: SEC Complaint
LR-22813 Sep. 25, 2013 Troy Lyndon and Ronald Zaucha
Other Release No.: AAER-3492
See also: SEC Complaint
LR-22812 Sep. 25, 2013 Yusaf Jawed, Grifphon Asset Management, LLC, and Grifphon Holdings, LLC
LR-22811 Sep. 25, 2013 Larry R. Polhill
See also: SEC Complaint
LR-22810 Sep. 23, 2013 Frank A. Spinosa
LR-22809 Sep. 23, 2013 Lawrence J. Robbins
LR-22808 Sep. 23, 2013 Stephen L. Kirkland and The Kirkland Organization, Inc.
See also: SEC Complaint
LR-22807 Sep. 23, 2013 Jing Wang and Gary Yin
See also: SEC Complaint
LR-22806 Sep. 23, 2013 Kieran Taylor
LR-22805 Sep. 23, 2013 Benjamin Sydney Staples, et al.,
See also: SEC Complaint
LR-22804 Sep. 20, 2013 Jenifer E. Hoffman, John C. Boschert, and Bryan T. Zuzga
LR-22803 Sep. 20, 2013 Tibor Klein and Michael Shechtman (Corrected)
See also: SEC Complaint
LR-22802 Sep. 19, 2013 Axius, Inc., Roland Kaufmann, and Jean-Pierre Neuhaus
LR-22801 Sep. 18, 2013 Imaging Diagnostic Systems, Inc., Linda Grable, and Allan Schwartz
Other Release No.: AAER-3486
See also: SEC Complaint
LR-22800 Sep. 18, 2013 Imperial Petroleum, Inc., et al.
Other Release No.: AAER-3485
LR-22799 Sep. 17, 2013 Fredrick D. Scott
LR-22798 Sep. 17, 2013 Joseph Paul Zada
LR-22797 Sep. 12, 2013 Paul Marshall, Bridge Securities, LLC a/k/a Bridge Financial, Bridge Equity, Inc. and FOGFuels, Inc.
See also: SEC Complaint
LR-22796 Sep. 11, 2013 True North Finance Corp., et al.
Other Release No.: AAER-3478
LR-22795 Sep. 10, 2013 Creative Capital Consortium, LLC, et. al.
LR-22794 Sep. 9, 2013 Brian G. Elrod and Nova Dean Pack
See also: SEC Complaint
LR-22793 Sep. 9, 2013 Projaris Management, LLC et al
See also: SEC Complaint
LR-22792 Sep. 9, 2013 Bernard H. Butts, Jr., Fotios Geivelis, Jr., also known as Frank Anastasio, Worldwide Funding III Limited LLC, Douglas J. Anisky, Sidney Banner, Express Commercial Capital LLC, James Baggs (Defendants), Bernard H. Butts, Jr. PA, Butts Holding Corporation, Margaret A. Hering, Global Worldwide Funding Ventures, Inc., and PW Consulting Group LLC (Relief Defendants)
See also: SEC Complaint
LR-22791 Sep. 3, 2013 Ronald Feldstein
See also: SEC Complaint
LR-22790 Sep. 3, 2013 Phillip J. DeZwirek
See also: SEC Complaint
LR-22789 Aug. 27, 2013 Larry J. Dearman, et al.
See also: SEC Complaint
LR-22788 Aug. 27, 2013 Jonathan C. Gilchrist
LR-22787 Aug. 23, 2013 Anthony T. Vicidomine and North East Capital, LLC
See also: Application
LR-22786 Aug. 22, 2013 Thomas S. Wu, Ebrahim Shabudin, and Thomas T. Yu
Other Release No.: AAER-3477
LR-22785 Aug. 21, 2013 Giuseppe Pino Baldassarre and Robert Mouallem
LR-22784 Aug. 20, 2013 Blake Richards
LR-22783 Aug. 19, 2013 Timothy E. Cook, et al.
LR-22782 Aug. 19, 2013 Robert Narvett and Shield Management Group, Inc.
See also: SEC Complaint
LR-22781 Aug. 15, 2013 Conrad M. Black
See also: SEC Complaint
LR-22780 Aug. 14, 2013 Jack Freedman; Jeffrey L. Schultz and Redfin Network, Inc.; Richard P. Greene and Peter Santamaria; Douglas P. Martin and VHGI Holdings, Inc.; Sheldon R. Simon; Sheldon R. Simon; Thomas Gaffney and Health Sciences Group, Inc.; Stephen F. Molinari and Nationwide Pharmassist Corp.
See also Complaints: Jack Freedman; Jeffrey L. Schultz and Redfin Network, Inc.; Richard P. Greene and Peter Santamaria; Douglas P. Martin and VHGI Holdings, Inc.; Sheldon R. Simon; Thomas Gaffney and Health Sciences Group, Inc.; Mark Balbirer; Stephen F. Molinari and Nationwide Pharmassist Corp.
LR-22779 Aug. 14, 2013 Javier Martin-Artajo and Julien G. Grout
Other Release No.: AAER-3476
See also: SEC Complaint
LR-22778 Aug. 14, 2013 Anchor Bancorp Wisconsin, Inc., et al.
Other Release No.: AAER-3475
See also: SEC Complaint
LR-22777 Aug. 14, 2013 Anthony J. Davian, et al.
See also: SEC Complaint
LR-22776 Aug. 13, 2013 Gregory N. McKnight, et al.
LR-22775 Aug. 12, 2013 Joseph M. Tocci
See also: SEC Complaint
LR-22774 Aug. 8, 2013 Steven B. Heinz, S.B. Heinz & Associates, Inc.
See also: SEC Complaint
LR-22773 Aug. 8, 2013 Michael H. Taber, CPA
Other Release No.: AAER-3474
See also: Application
LR-22772 Aug. 7, 2013 Bank of America, N.A., Banc of America Mortgage Securities, Inc., and Merrill Lynch, Fenner, Pierce & Smith LLC
See also: SEC Complaint
LR-22771 Aug. 6, 2013 Cort Poyner and Mohammed Dolah
See also: SEC Complaint
LR-22770 Aug. 5, 2013 John G. Rizzo
See also: SEC Complaint
LR-22769 Aug. 2, 2013 Chad C. McGinnis and Sergey Pugach, Defendants, and Bella Pugach, Relief Defendant
See also: SEC Complaint
LR-22768 Aug. 1, 2013 Cedric Cañas Maillard and Julio Marín Ugedo
LR-22767 Aug. 1, 2013 Banc de Binary Ltd.
LR-22766 Jul. 31, 2013 David Lee, et al.
LR-22765 Jul. 31, 2013 Gandy, et al.
See also: SEC Complaint
LR-22764 Jul. 30, 2013 John M. Sensenig
LR-22763 Jul. 30, 2013 Richard Lee and Sandeep Aggarwal
See also: SEC Complaint
LR-22762 Jul. 26, 2013 Stephen B. Gray
See also: SEC Complaint
LR-22761 Jul. 25, 2013 Richard Lee
LR-22760 Jul. 25, 2013 Trevor G. Cook, et al.
LR-22759 Jul. 25, 2013 Geoffrey J. Eiten and National Financial Communications Corp.
LR-22758 Jul. 25, 2013 Jauyo ("Jason") Lee and Victor Chen
LR-22757 Jul. 25, 2013 Mitchell S. Drucker
LR-22756 Jul. 25, 2013 Jorge Bravo, Jr.
LR-22755 Jul. 22, 2013 China Intelligent Lighting and Electronics, Inc. et al.
Other Release No.: AAER-3484
See also: SEC Complaint
LR-22754 Jul. 22, 2013 Robert D. Ramnarine
LR-22753 Jul. 19, 2013 City of Miami, Florida, and Michael Boudreaux
See also: SEC Complaint
LR-22752 Jul. 18, 2013 Steven Palladino, et al.
LR-22751 Jul. 12, 2013 Syndicated Food Service International, Inc., et al.,
LR-22750 Jul. 12, 2013 Kevin G. White, KGW Capital Management, LLC, Revelation Forex Fund, L.P., RFF GP, LLC, Meridian Propane, L.P., and W Corporate Real Estate L.P. d/b/a KGW Real Estate
See also: SEC Complaint
LR-22749 Jul. 11, 2013 Matthew J. Gagnon
LR-22748 Jul. 11, 2013 Bryan Arias, et. al. (Corrected)
LR-22747 Jul. 9, 2013 One or More Unknown Traders in the Securities of Onyx Pharmaceuticals, Inc.
See also: SEC Complaint
LR-22746 Jul. 9, 2013 Stewart A. Merkin
LR-22745 Jul. 8, 2013 William Todd Peever and Philip James Curtis
LR-22744 Jul. 8, 2013 John Fowler, Jeffrey Fowler, and Julianne Chalmers
LR-22743 Jul. 8, 2013 EagleEye Asset Management, LLC and Jeffrey A. Liskov
LR-22742 Jul. 3, 2013 Magdalena Tavella, et al.
See also: SEC Complaint
LR-22741 Jul. 2, 2013 Subramanian Krishnan
Other Release No.: AAER-3471
LR-22740 Jul. 2, 2013 Armand R. Franquelin and Martin A. Pool
See also: SEC Complaint
LR-22739 Jul. 1, 2013 Fuqi International, Inc. and Yu Kwai Chong
Other Release No.: AAER-3483
See also: SEC Complaint
LR-22738 Jul. 1, 2013 Mack D. Murrell, et al.
See also: SEC Complaint
LR-22737 Jul. 1, 2013 Bret Boteler
See also: SEC Complaint
LR-22736 Jul. 1, 2013 Infinity Exploration, LLC, et al.
See also: SEC Complaint
Second Quarter
LR-22735 Jun. 27, 2013 JBI, Inc., John Bordynuik and Ronald Baldwin, Jr.
Other Release No.: AAER-3466
LR-22734 Jun. 27, 2013 Matthew C. Devlin, et al.
LR-22733 Jun. 26, 2013 Imaging3, Inc. & Dean Janes
See also: SEC Complaint
LR-22732 Jun. 21, 2013 Robert Hurd, Your Best Memories International Inc. and Kenneth Gross
See also: SEC Complaint
LR-22731 Jun. 20, 2013 China MediaExpress Holdings, Inc. and Zheng Cheng
See also: SEC Complaint
LR-22730 Jun. 19, 2013 David F. Bahr
See also: SEC Complaint
LR-22729 Jun. 19, 2013 Thomas G. Massey
LR-22728A Jun. 18, 2013 Duncan J. MacDonald, III and Gloria Solomon
See also: SEC Complaint
LR-22727 Jun. 14, 2013 James Fry
LR-22726 Jun. 12, 2013 Reema D. Shah and Robert W. Kwok
LR-22725 Jun. 12, 2013 Victor Dosti and Whittier Trust Company
LR-22724 Jun. 12, 2013 Bridge Securities, LLC, et al.
LR-22723 Jun. 11, 2013 Leslie J. Jacobs, II, and Andrew W. Jacobs
See also: SEC Complaint
LR-22722 Jun. 11, 2013 Blake Richards
LR-22721 Jun. 11, 2013 Cutillo et al.
LR-22720 Jun. 10, 2013 MayfieldGentry Realty Advisors, LLC, et al.
See also: SEC Complaint
LR-22719 Jun. 7, 2013 China Natural Gas, Inc. and Qinan Ji
Other Release No.: AAER-3463
LR-22718 Jun. 7, 2013 Banc de Binary Ltd.
See also: SEC Complaint
LR-22717 Jun. 7, 2013 Bruce W. Tomlinson
LR-22716   (Intentionally omitted)
LR-22715 Jun. 5, 2013 Thomas Fisher, et al.
LR-22714 Jun. 5, 2013 Laidlaw Energy Group, Inc. and Michael Bartoszek
See also: SEC Complaint
LR-22713 Jun. 3, 2013 Thomas Rubin, Christopher Scott, et al.
See also: SEC Complaint
LR-22712 Jun. 3, 2013 Detroit Memorial Partners, LLC and Mark Morrow
See also: SEC Complaint
LR-22711 Jun. 3, 2013 PACCAR Inc, et al.
Other Release No.: AAER-3462
See also: SEC Complaint
LR-22710 May 31, 2013 Robert A. Gist, et al.
See also: SEC Complaint
LR-22709 May 30, 2013 MedLink International, Inc., Aurelio Vuono, and James Rose
LR-22708 May 30, 2013 John A. Grant, Sage Advisory Group, LLC and Benjamin Lee Grant
LR-22707 May 24, 2013 Daniel Bergin, et al.
See also: SEC Complaint
LR-22706 May 23, 2013 Blake Richards
See also: SEC Complaint
LR-22705 May 22, 2013 John Anthony Stilwell, Dr. Michael Curtis Moore, and Jillian Margaret Murphy
See also: SEC Complaint
LR-22704 May 20, 2013 Ren Hu
LR-22703 May 17, 2013 Charles J. Dushek, et al.
See also: SEC Complaint
LR-22702 May 17, 2013 Robert Fowler and US Capital Funding II Series Trust 1, Inc. a/k/a US Capital Investments II (HK) Limited
See also: SEC Complaint
LR-22701 May 16, 2013 Deer Hill Financial Group, LLC, et al.
LR-22700 May 15, 2013 Matthew C. Devlin, et al.
LR-22699 May 15, 2013 RINO International Corporation, Dejun "David" Zou, and Jianping "Amy" Qiu
Other Release No.: AAER-3482
See also: SEC Complaint
LR-22698 May 8, 2013 Subaye, Inc. and James T. Crane
Other Release No.: AAER-3458
See also: SEC Complaint
LR-22697 May 7, 2013 Richard Verdiramo, Vincent L. Verdiramo, Edward Meyer, Jr., and Victoria Chen
See also: SEC Complaint
LR-22696 May 3, 2013 Grant Ivan Grieve, Finvest Asset Management, LLC, and Finvest Fund Management, LLC
LR-22695 May 3, 2013 Kevin J. Wilcox, Jennifer E. Thoennes, and Eric R. Nelson
LR-22694 May 1, 2013 Steven Palladino, et al.
See also: SEC Complaint
LR-22693 May 1, 2013 Well Advantage Limited, et al.
LR-22692 Apr. 30, 2013 A.L. Waters Capital, LLC, et al.
LR-22691 Apr. 30, 2013 Adondakis, et al.
LR-22690 Apr. 29, 2013 City of Victorville, et al.
See also: SEC Complaint
LR-22689 Apr. 26, 2013 InnoVida Holdings LLC, et al.
LR-22688 Apr. 26, 2013 John Michael Kelly, et al.
Other Release No.: AAER-3457
LR-22687 Apr. 26, 2013 Hilton, et al..
LR-22686 Apr. 26, 2013 Joshua Constantin, et al.
LR-22685 Apr. 25, 2013 USA Real Estate Fund 1, Inc. and Daniel F. Peterson
See also: SEC Complaint
LR-22684 Apr. 23, 2013 Zufelt, et al.
LR-22683 Apr. 23, 2013 Gibraltar Global Securities Inc., and Warren A. Davis
See also: SEC Complaint
LR-22682 Apr. 22, 2013 Mark D. Begelman
LR-22681 Apr. 19, 2013 Linda Woolf, Hands On Capital, Inc., et al.
LR-22680 Apr. 18, 2013 Andrew Farmer and Iridium Capital, Ltd.
LR-22679 Apr. 17, 2013 Joseph M. Mancuso
See also: SEC Complaint
LR-22678 Apr. 17, 2013 Jauyo (“Jason”) Lee and Victor Chen
LR-22677 Apr. 16, 2013 Jeffrey Stebbins and Corbin Jones
See also: SEC Complaint
LR-22676 Apr. 16, 2013 Uriel Sharef, et al.
LR-22675 Apr. 16, 2013 True North Finance Corp., et al.
LR-22674 Apr. 16, 2013 Richard Bruce Moore
See also: SEC Complaint
LR-22673 Apr. 16, 2013 Inter Reef, Ltd. dba Profitable Sunrise, Melland Company S.R.O., Color Shock S.R.O., Solutions Company S.R.O. and Fortuna-K S.R.O.
See also: SEC Complaint
LR-22672 Apr. 16, 2013 Parker Drilling Company
Other Release No.: AAER-3454
See also: SEC Complaint
LR-22671 Apr. 15, 2013 David Miller
See also: SEC Complaint
LR-22670 Apr. 11, 2013 Scott London et al.
See also: SEC Complaint
LR-22669 Apr. 8, 2013 Glenn Hoppes, United States Energy Corp., TN-KY Development Fund LP, TN-KY Development Fund II LP and TN-KY Development Fund III LP
See also: SEC Complaint
LR-22668 Apr. 8, 2013 Matthew John Ryan, et al.
LR-22667 Apr. 5, 2013 Inofin, Inc., Michael J. Cuomo, Kevin J. Mann, Sr., Melissa George, Thomas Kevin Keough, David Affeldt, and Nancy Keough
LR-22666 Apr. 5, 2013 Inter Reef, Ltd. dba Profitable Sunrise, Melland Company S.R.O., Color Shock S.R.O., Solutions Company S.R.O. and Fortuna-K S.R.O.
See also: SEC Complaint
LR-22665 Apr. 3, 2013 Garfield Taylor, Inc., et al.
LR-22664 Apr. 1, 2013 John J. Bravata, et al.
LR-22663 Apr. 1, 2013 Well Advantage Limited, et al.
See also: SEC Complaint
LR-22662 Apr. 1, 2013 Sigma Capital Management, LLC, et al.
First Quarter
LR-22661 Mar. 29, 2013 Lowell Gene "Bob" Hancher, et al.
LR-22660 Mar. 26, 2013 Matthew G. Teeple, David T. Riley, and John V. Johnson
LR-22659 Mar. 22, 2013 Juan Carlos Bertini
See also: SEC Complaint
LR-22658 Mar. 22, 2013 Rajarengan (a/k/a Rengan) Rajaratnam
LR-22657 Mar. 22, 2013 Joseph Grendys et al.
Other Release No.: AAER-3449
LR-22656 Mar. 22, 2013 Timothy J. Roth, et al.
LR-22655 Mar. 20, 2013 Andrey C. Hicks
LR-22654 Mar. 20, 2013 3 Eagles Research & Development LLC, Harry Dean Proudfoot III, Matthew Dale Proudfoot, Laurie Anne Vrvilo and Dennis Ashley Bukantis
LR-22653 Mar. 20, 2013 Douglas F. Whitman and Whitman Capital, LLC
LR-22651 Mar. 19, 2013 E-Monee.com, Inc. et al.
LR-22652 Mar. 19, 2013 Gary J. Martel, d/b/a Martel Financial Group and MFG Funding
LR-22650 Mar. 19, 2013 Sigma Capital Management, LLC et al.
See also: SEC Complaint
LR-22649 Mar. 19, 2013 K2 Unlimited, Inc., 211 Ventures, LLC, Diane Glatfelter, Robert Rice, and Robert Anderson
See also: SEC Complaint
LR-22648 Mar. 19, 2013 Gregg D. Caplitz, et al.
See also: SEC Complaint
LR-22647 Mar. 18, 2013 CR Intrinsic Investors, LLC et al.
See also: SEC Complaint
LR-22646 Mar. 15, 2013 Mercury Interactive, LLC (f/k/a Mercury Interactive Corporation), Amnon Landan, Sharlene Abrams, Douglas Smith, and Susan Skaer
LR-22645 Mar. 15, 2013 Carrillo Huettel LLP, et al.
LR-22633A Mar. 14, 2013 J.C. Reed & Company, Inc., J.C. Reed Advisory Group, LLC, Barron A. Mathis, and Estate of John C. Reed, Lana L. Reed, Executor
LR-22644 Mar. 14, 2013 Edmund E. Wilson and Walter L. Ross
See also: SEC Complaint
LR-22643 Mar. 13, 2013 Securities and Exchange Commission v. Frederick J. O’Meally et al.
LR-22642 Mar. 12, 2013 Alvin R. Brown, First Choice Investment, Inc. and Advanced Corporate Enterprises, Inc. d/b/a A-Corp Enterprises a/k/a ACorp Development a/k/a A-Corp Investment
See also: SEC Complaint
LR-22641 Mar. 12, 2013 Alexander John Hunter and Thomas Edward Hunter
LR-22640 Mar. 11, 2013 Michael Dale Lackey
See also: SEC Complaint
LR-22639 Mar. 8, 2013 Inteligentry, Ltd., PlasmERG, Inc., PTP Licensing, Ltd. and John P. Rohner
See also: SEC Complaint
LR-22638 Mar. 8, 2013 Brian R. Reiss
LR-22637 Mar. 7, 2013 Scott I. Kupersmith, et al.
LR-22636 Mar. 7, 2013 Robert Crane
See also: SEC Complaint
LR-22635 Mar. 7, 2013 M. Mark McAdams and R. Dane Freeman
LR-22634 Mar. 7, 2013 Gerald D. Kegley, et al.
LR-22633 Mar. 7, 2013 J.C. Reed & Company, Inc., J.C. Reed Advisory Group, LLC, Barron A. Mathis, and Estate of John C. Reed, Lana L. Reed, Executor
LR-22632 Mar. 5, 2013 Colin McCabe (D/B/A Elite Stock Report, The Stock Profiteer, and Resource Stock Advisor)
See also: SEC Complaint
LR-22631 Mar. 4, 2013 Randal Kent Hansen, et al.
See also: SEC Complaint
LR-22630 Mar. 1, 2013 Falcon Ridge Development, Inc., et al.
See also: SEC Complaint
LR-22629 Mar. 1, 2013 LocatePlus Holdings Corporation, Jon Latorella and James Fields
LR-22628 Feb. 28, 2013 Walter Ng, Kelly Ng, Bruce Horwitz, and The Mortgage Fund, LLC
LR-22627 Feb. 28, 2013 Keyuan Petrochemicals, Inc. and Aichun Li
Other Release No.: AAER-3447
See also: SEC Complaint
LR-22626 Feb. 27, 2013 Dynkowski, et al.
LR-22625 Feb. 26, 2013 New Stream Capital, LLC, New Stream Capital (Cayman), Ltd., David A. Bryson, Bart C. Gutekunst, Richard Pereira, and Tara Bryson, et al.
See also: SEC Complaint
LR-22624 Feb. 26, 2013 Fernando J. Espuelas et al.
Other Release No.: AAER-3446
LR-22623 Feb. 21, 2013 Mercury Interactive, LLC (f/k/a Mercury Interactive Corporation), Amnon Landan, Sharlene Abrams, Douglas Smith, and Susan Skaer
LR-22622 Feb. 20, 2013 ABS Manager, LLC et. al.
See also: SEC Complaint
LR-22621 Feb. 20, 2013 Douglas F. Vaughan
LR-22620 Feb. 19, 2013 One or More Unknown Traders in the Securities of H.J. Heinz Company
See also: SEC Complaint
LR-22619 Feb. 15, 2013 Sean David Morton, Vajra Productions, LLC, 27 Investments, LLC, and Magic Eight Ball Distributing, Inc., defendants, and Melissa Morton and Prophecy Research Institute, relief defendants
LR-22618 Feb. 15, 2013 Delsa U. Thomas, et al.
LR-22617 Feb. 13, 2013 Igor Poteroba, Aleksey Koval, Alexander Vorobiev, and Relief Defendants Tatiana Vorobieva and Anjali Walter
LR-22616 Feb. 12, 2013 Howard Brett Berger and Michelle Berger
LR-22615 Feb. 8, 2013 A Chicago Convention Center, LLC, Anshoo Sethi, and Intercontinental Regional Center Trust of Chicago, LLC
See also: SEC Complaint
LR-22614 Feb. 7, 2013 Michael W. Perry et al.
LR-22613 Feb. 6, 2013 Harrold
LR-22612 Feb. 6, 2013 James Balchan
See also: SEC Complaint
LR-22611 Feb. 5, 2013 Garfield Taylor, Inc., et al.
LR-22610 Feb. 5, 2013 Patrick M. Carroll, James P. Carroll, William T. Carroll, David Mark Calcutt, Christopher Calcutt, David Stitt, John Monroe and Stephen Somers
LR-22609 Feb. 5, 2013 Timothy J. Roth, et al.
LR-22608 Feb. 4, 2013 We The People, Inc., of The United States; Richard K. Olive and Susan L. Olive; William G. Reeves, Esq.
See also Complaints: Olives; We The People; Reeves
LR-22607 Jan. 30, 2013 Barry J. Graham, Fred Davis Clark, Jr., a/k/a Dave Clark, Cristal R. Coleman, a/k/a Cristal Clark, David W. Schwarz, Ricky Lynn Stokes
See also: SEC Complaint
LR-22606 Jan. 30, 2013 Blake R. Wellington and Daniel J. Vance
LR-22605 Jan. 30, 2013 Kurt S. Hovan, et al.
LR-22604 Jan. 29, 2013 Jonathan R. Curshen, et al.
LR-22603 Jan. 29, 2013 Firas A. Hamdan, individually and doing business as FAH Capital Partners
See also: SEC Complaint
LR-22602 Jan. 29, 2013 Jesse C. Litvak
See also: SEC Complaint
LR-22601 Jan. 24, 2013 Randy M. Cho
LR-22600 Jan. 24, 2013 AutoChina International Limited, Hui Kai Yan, Rui Ge Dong, Victory First Limited, Rainbow Yield Limited, Yong Qi Li, Ai Xi Ji, Ye Wang, Zhong Wen Zhang, Li Xin Ma, Yong Li Li, and Shu Ling Li
LR-22599 Jan. 23, 2013 Jonathan C. Gilchrist
See also: SEC Complaint
LR-22598 Jan. 23, 2013 Christopher Castaldo, et al.
LR-22597 Jan. 22, 2013 Kenneth A. Dachman, et al.
LR-22596 Jan. 17, 2013 John M. Darden III
See also: SEC Complaint
LR-22595 Jan. 17, 2013 Eric D. Rogers
See also: SEC Complaint
LR-22594 Jan. 15, 2013 Francis E. Wilde, Steven E. Woods, Mark A. Gelazela, Bruce H. Haglund, Matrix Holdings LLC, BMW Majestic LLC, IDLYC Holdings Trust LLC, and IDLYC Holdings Trust, et al.
LR-22593 Jan. 15, 2013 Andreas Badian, et al.
LR-22592 Jan. 14, 2013 Christel S. Scucci, et al.
LR-22591 Jan. 11, 2013 Gary J. Martel, D/B/A Martel Financial Group and MFG Funding
LR-22590 Jan. 11, 2013 Exotics.com, Inc., et al.
LR-22589 Jan. 11, 2013 Volt Information Sciences, Inc. and Debra L. Hobbs and Jack J. Egan, Jr.
Other Release No.: AAER-3439
LR-22588 Jan. 9, 2013 Chetan Kapur; Lilaboc, LLC d/b/a ThinkStrategy Capital Management, LLC
LR-22587 Jan. 9, 2013 Edward J. Woodard, Jr., Cynthia A. Sabol, CPA and Stephen G. Fields
Other Release No.: AAER-3437
See also: SEC Complaint
LR-22586 Jan. 4, 2013 Spongetech Delivery Systems, Inc., RM Enterprises International, Inc., Steven Y. Moskowitz, Michael E. Metter, George Speranza, Joel Pensley and Jack Halperin
LR-22585 Jan. 3, 2013 Nekekim Corp. and Kenneth W. Carlton
See also: SEC Complaint
LR-22584 Jan. 3, 2013 Yan K. Skwara et al.
LR-22583 Jan. 2, 2013 Online-Registries, Inc. and David Stern

 

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

Modified: 10/01/2014