Litigation Releases

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

Litigation Releases RSS Feed


Date Sort descending	Respondents
Dec. 29, 2011	Magyar Telekom Plc. and Deutsche Telekom AG and Straub, et al. Release No. LR-22213 See Also: SEC complaint v. the companies , and SEC Complaint v. the executives
Dec. 29, 2011	Shawn R. Merriman et al. Release No. LR-22212
Dec. 28, 2011	Evolution Capital Advisors, et al. Release No. LR-22211
Dec. 23, 2011	GE Funding Capital Market Services, Inc. Release No. LR-22210
Dec. 22, 2011	Alfred S. Teo, Sr., et al. Release No. LR-22209
Dec. 22, 2011	David Ronald Allen, et al. Release No. LR-22208
Dec. 21, 2011	Robert A. Walker, et al; Gary A. Collyard, et al Release No. LR-22207
Dec. 21, 2011	Myron Weiner Release No. LR-22206
Dec. 21, 2011	John R. Easom, et al. Release No. LR-22205 See Also: SEC Complaint
Dec. 20, 2011	Heart Tronics, Inc., et al. Release No. LR-22204 See Also: SEC Complaint
Dec. 20, 2011	Aon Corporation Release No. LR-22203, AAER-3348
Dec. 20, 2011	Enrica Cotellessa-Pitz Release No. LR-22202 See Also: SEC Complaint
Dec. 20, 2011	Mudd, Syron et. al., Release No. LR-22201
Dec. 16, 2011	Stuart W. Fuhlendorf Release No. LR-22199, AAER-3346
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 Release No. LR-22198 See Also: SEC Complaint
Dec. 16, 2011	FTN Financial Securities Corp. Release No. LR-22197 See Also: SEC Complaint File Number: 3-14632
Dec. 16, 2011	Frederick J. O'Meally et al. Release No. LR-22196
Dec. 16, 2011	OCC Holdings, Ltd., et al. Release No. LR-22200
Dec. 15, 2011	Management Solutions, Inc, Wendell A. Jacobson and Allen R. Jacobson Release No. LR-22195 See Also: SEC Complaint
Dec. 15, 2011	All Know Holdings Ltd, et al. Release No. LR-22194 See Also: SEC Complaint
Dec. 15, 2011	Securities Investor Protection Corporation Release No. LR-22193 See Also: Application , and Memorandum
Dec. 13, 2011	Michael Resnick et al. Release No. LR-22192, AAER-3343
Dec. 13, 2011	Marcin Malarz et al. Release No. LR-22191
Dec. 13, 2011	Uriel Sharef, Ulrich Bock, Carlos Sergi, Stephan Signer, Herbert Steffen, Andres Truppel and Bernd Regendantz Release No. LR-22190, AAER-3342 See Also: SEC Complaint
Dec. 12, 2011	Geoffrey J. Eiten and National Financial Communications Corp. Release No. LR-22188 See Also: SEC Complaint
Dec. 12, 2011	Stiefel Laboratories Inc. and Charles W. Stiefel Release No. LR-22187 See Also: SEC Complaint
Dec. 12, 2011	Alternative Green Technologies, Inc. Release No. LR-22189 See Also: SEC Complaint
Dec. 9, 2011	Cutillo et al. Release No. LR-22186
Dec. 9, 2011	Galleon Management, LP, et al. Release No. LR-22185
Dec. 9, 2011	Glenn Grossman, Lawrence Steven Cohen, Shay Keren, And John Zanic Release No. LR-22184
Dec. 8, 2011	Wachovia Bank, N.A., now known as Wells Fargo Bank, N.A., successor by merger Release No. LR-22183 See Also: SEC Complaint
Dec. 7, 2011	Giuseppe Pino Baldassarre, Robert Mouallem, and Malcolm Stockdale Release No. LR-22182
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 Release No. LR-22181
Dec. 6, 2011	All Know Holdings Ltd, et al. Release No. LR-22180 See Also: SEC Complaint
Dec. 5, 2011	Integrity Financial AZ, LLC, Steven R. Long, Stanley M. Paulic, Walter W. Knitter, and Robert C. Koeller Release No. LR-22179
Dec. 5, 2011	David Ronald Allen, et al. Release No. LR-22178
Dec. 2, 2011	Michael Lee and ZipGlobal Holdings, Inc.; James Wheeler and Microholdings US, Inc.; and Edward Henderson and Paul Desjourdy Release No. LR-22177 See Also: Inc. , Inc. , SEC Complaint vs. Edward Henderson and Paul Desjourdy
Dec. 2, 2011	Michael R. Balboa and Gilles T. De Charsonville Release No. LR-22176 See Also: SEC Complaint
Dec. 2, 2011	Richard Dalton and Universal Consulting Resources LLC, Defendants, and Marie Dalton, Relief Defendant Release No. LR-22175
Dec. 2, 2011	Nancy S.W. Chu et al. Release No. LR-22174, AAER-3341
Dec. 1, 2011	William J. Reilly Release No. LR-22173
Nov. 30, 2011	Jeffrey R. Neufeld and Paridon Capital Management LLC f/k/a Tritone Capital Management, LLC Release No. LR-22172
Nov. 30, 2011	Cheng Yi Liang, et al. Release No. LR-22171
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 Release No. LR-22170
Nov. 25, 2011	Jeffrey S. Richardson Release No. LR-22169 See Also: SEC Complaint
Nov. 23, 2011	Myron Weiner Release No. LR-22168 See Also: SEC Complaint
Nov. 22, 2011	Patrick G. Rooney and Solaris Management, LLC Release No. LR-22167 See Also: SEC Complaint
Nov. 22, 2011	David Kugel Release No. LR-22166 See Also: SEC Complaint
Nov. 22, 2011	David Ronald Allen, et al. Release No. LR-22165
Nov. 21, 2011	Brian Hollnagel and BCI Aircraft leasing, Inc. Release No. LR-22164
Nov. 21, 2011	Randall Merk, et al. Release No. LR-22163
Nov. 18, 2011	Garfield Taylor, Inc., et al. Release No. LR-22162 See Also: SEC Complaint
Nov. 18, 2011	Mark A. Konyndyk Release No. LR-22161 See Also: SEC Complaint
Nov. 17, 2011	John A. Mattera, Bradford Van Siclen, The Praetorian Global Fund, et al. Release No. LR-22160 See Also: SEC Complaint
Nov. 17, 2011	New Futures Trading International Corporation and Henry Roche Release No. LR-22159 See Also: SEC Complaint
Nov. 17, 2011	Joseph F. “Chip” Skowron III, et al. Release No. LR-22158
Nov. 17, 2011	Frank C. Calmes, Lynn D. Rowntree, James E. Pratt, and Manny J. Shulman Release No. LR-22157
Nov. 16, 2011	J.T. Battenberg, III and Paul Free Release No. LR-22156, AAER-3340
Nov. 15, 2011	ConnectAJet.com, Inc., et al. Release No. LR-22155
Nov. 15, 2011	Jerome Krantz, Cary Chasin, and Gary Nadelman Release No. LR-22154
Nov. 15, 2011	Mark Anthony Longoria, et al. Release No. LR-22153
Nov. 14, 2011	Tyrone L. Gilliams, Jr. and TL Gilliams, LLC Release No. LR-22152 See Also: SEC Complaint
Nov. 10, 2011	Chetan Kapur; Lilaboc, LLC d/b/a ThinkStrategy Capital Management, LLC Release No. LR-22151 See Also: SEC Complaint
Nov. 10, 2011	Joseph S. Amundsen Release No. LR-22150
Nov. 9, 2011	James N. Fry, Michelle W. Palm, and Arrowhead Capital Management LLC Release No. LR-22149 See Also: SEC Complaint
Nov. 8, 2011	Trade-LLC, et al. Release No. LR-22148
Nov. 7, 2011	Fernando J. Espuelas et al. Release No. LR-22147, AAER-3335
Nov. 4, 2011	Atlantis Technology Group and Christopher M. Dubeau Release No. LR-22146A
Oct. 31, 2011	Drake Asset Management, LLC and Oliver R. Grace, Jr. Release No. LR-22145 See Also: SEC Complaint
Oct. 31, 2011	Andrey C. Hicks and Locust Offshore Management, LLC, as Defendants, and Locust Offshore Fund, Ltd., as Relief Defendant Release No. LR-22144
Oct. 28, 2011	Mark Leslie, Kenneth E. Lonchar, Paul A. Sallaberry, Michael M. Cully, and Douglas S. Newton Release No. LR-22143
Oct. 28, 2011	Scott I. Kupersmith and Frederick C. Chelly Release No. LR-22142 See Also: SEC Complaint
Oct. 26, 2011	Andrey C. Hicks and Locust Offshore Management, LLC, as Defendants, and Locust Offshore Fund, Ltd., as Relief Defendant Release No. LR-22141 See Also: SEC Complaint
Oct. 26, 2011	Rajat Gupta and Raj Rajaratnam Release No. LR-22140 See Also: SEC Complaint
Oct. 25, 2011	Arnold McClellan and Annabel McClellan Release No. LR-22139
Oct. 24, 2011	Koss Corporation and Michael J. Koss Release No. LR-22138, AAER-3330 See Also: SEC Complaint
Oct. 24, 2011	H. Clayton Peterson, Drew Clayton Peterson, Drew K. Brownstein, and Big 5 Asset Management, LLC Release No. LR-22137
Oct. 20, 2011	Cutillo et al. Release No. LR-22135
Oct. 20, 2011	Charles P. Copeland, Copeland Wealth Management, A Financial Advisory Corporation, and Copeland Wealth Management, A Real Estate Corporation Release No. LR-22136 See Also: SEC Complaint
Oct. 19, 2011	Citigroup Global Markets Inc.; Brian H. Stoker Release No. LR-22134
Oct. 19, 2011	Long Term-Short Term, Inc. and Freddie Rick Release No. LR-22133
Oct. 19, 2011	Lisa C. Berry Release No. LR-22132
Oct. 18, 2011	David B. Welliver and Dblaine Capital, LLC Release No. LR-22131 See Also: SEC Complaint
Oct. 18, 2011	James G. Temme and Stewardship Fund LP Release No. LR-22130 See Also: SEC Complaint
Oct. 18, 2011	Thomas L. Kivisto Release No. LR-22129 See Also: SEC Complaint
Oct. 18, 2011	Ryan M. Reynolds, et al. Release No. LR-22128
Oct. 17, 2011	Daniel W. Nodurft Release No. LR-22127A
Oct. 14, 2011	Joseph P. Cillo Release No. LR-22126
Oct. 14, 2011	Wall Street Capital Funding LLC, Philip Cardwell, Roy Campbell, and Aaron Hume Release No. LR-22125 See Also: SEC Complaint , Final Judgment as to WSCF , Final Judgment as to Cardwell , Final Judgment as to Campbell , Final Judgment as to Hume
Oct. 12, 2011	Jerry L. Aubrey, Timothy J. Aubrey, Brian S. Cherry, and Aaron M. Glasser Release No. LR-22124 See Also: SEC Complaint
Oct. 12, 2011	Koji Goto et al. Release No. LR-22123
Oct. 11, 2011	Gregory E. Webb and InfrAegis, Inc. Release No. LR-22122 See Also: SEC Complaint
Oct. 11, 2011	Thomas S. Wu, Ebrahim Shabudin, Thomas T. Yu, and Craig S. On Release No. LR-22121, AAER-3327 See Also: SEC Complaint
Oct. 11, 2011	Murdoch Security and Investigations, Inc., Robert Goldstein, and William Vassell Release No. LR-22120 See Also: SEC Complaint
Oct. 11, 2011	Gregory L. Reyes, et al. Release No. LR-22119
Oct. 11, 2011	M. Jason Hanold Release No. LR-22118 See Also: SEC Complaint
Oct. 6, 2011	Eric Aronson, et al. Release No. LR-22117 See Also: SEC Complaint
Oct. 6, 2011	Christopher Sells and Timothy Murawski Release No. LR-22116, AAER-3326 See Also: SEC Complaint
Oct. 6, 2011	StratoComm Corporation., et al. Release No. LR-22115
Oct. 5, 2011	Galleon Management, LP, et al. Release No. LR-22114

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