Litigation Releases

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

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Date Sort descending	Respondents
Dec. 28, 2016	AJN Investments, LLC et al. Release No. LR-23714 See Also: SEC Complaint
Dec. 28, 2016	Interinvest Corporation, Inc. et al. Release No. LR-23713
Dec. 27, 2016	Emilio Francisco, et al. Release No. LR-23712 See Also: SEC Complaint
Dec. 27, 2016	Iat Hong, et al. Release No. LR-23711 See Also: SEC Complaint
Dec. 22, 2016	Richard G. Cody, et al. Release No. LR-23710 See Also: SEC Complaint
Dec. 22, 2016	Chamroonrat, et al. Release No. LR-23709 See Also: SEC Complaint
Dec. 22, 2016	Teva Pharmaceutical Industries Limited Release No. LR-23708 See Also: SEC Complaint
Dec. 21, 2016	John L. Threshie, Jr. Release No. LR-23707 See Also: SEC Complaint
Dec. 21, 2016	Charles J. Dushek, et al. Release No. LR-23706
Dec. 21, 2016	Braskem, S.A. Release No. LR-23705 See Also: SEC Complaint
Dec. 20, 2016	Platinum Management (NY) LLC et al. Release No. LR-23704 See Also: SEC Complaint
Dec. 20, 2016	Edward F. Panos, et al. Release No. LR-23703 See Also: SEC Complaint
Dec. 13, 2016	Richard G. Cody, et al. Release No. LR-23702 See Also: SEC Complaint
Dec. 8, 2016	Nathanial D. Ponn Release No. LR-23701
Dec. 7, 2016	Stifel, Nicolaus & Co., Inc., et al. Release No. LR-23700 See Also: Final Judgment
Dec. 5, 2016	Levi Lindemann Release No. LR-23699
Dec. 2, 2016	Rafael Antonio Calleja, Jr. Release No. LR-23698 See Also: SEC Complaint
Dec. 1, 2016	Onix Capital LLC and Alberto Chang-Rajii, et al. Release No. LR-23697 See Also: SEC Complaint
Nov. 30, 2016	Harrison Katzen Release No. LR-23696 See Also: SEC Complaint
Nov. 30, 2016	Blackbird Capital Partners, LLC, et al. Release No. LR-23695 See Also: SEC Complaint
Nov. 23, 2016	Jason Kumpf Release No. LR-23693
Nov. 23, 2016	Matthew Carl Griffin and William Daniel Griffin Release No. LR-23694
Nov. 22, 2016	Capital Financial Partners, LLC et al.; Will D. Allen and Susan C. Daub Release No. LR-23692
Nov. 22, 2016	Stanley Jonathan Fortenberry (a/k/a S.J. Fortenberry, Jon Fortenberry, and Johnny Fortenberry) Release No. LR-23691
Nov. 18, 2016	Gavin Campion Release No. LR-23690 See Also: SEC Complaint
Nov. 16, 2016	Devon Archer, et al. Release No. LR-23689 See Also: SEC Complaint
Nov. 14, 2016	Sanjay Valvani and Gordon Johnston Release No. LR-23688
Nov. 9, 2016	Herbert K. Sudfeld Release No. LR-23687
Nov. 9, 2016	Eric McPhail and Douglas Parigian Release No. LR-23686
Nov. 8, 2016	Jeffrey D. Smith d/b/a Atlanta Capital LLC a/d/b/a Capital Funding, Inc., Joseph Carswell d/b/a Atlanta Capital LLC a/d/b/a Capital Funding, Inc., and Michael W. Fullard Release No. LR-23685 See Also: SEC Complaint
Nov. 7, 2016	Christopher K. Schrichte, Howard C. Hill, NewMarket Global Management I, LLC, and NewMarket Technology Fund I, LLC Release No. LR-23683 See Also: SEC Complaint
Nov. 2, 2016	Dubovoy, et al. Release No. LR-23682
Nov. 1, 2016	Anthony Andrade, et al. Release No. LR-23681
Nov. 1, 2016	Nicholas H. Shermeta and Napa Properties, LLC Release No. LR-23680 See Also: et al. , Administrative Proceedings Release , Administrative Proceedings Release File Number: 3-17652
Oct. 27, 2016	Marc D. Broidy and Broidy Wealth Advisors, LLC Release No. LR-23679 See Also: SEC Complaint
Oct. 25, 2016	Carlos Nataniel Wanzeler and James Matthew Merrill Release No. LR-23678
Oct. 25, 2016	Southlake Resources Group, LLC, et al. Release No. LR-23677 See Also: SEC Complaint
Oct. 24, 2016	Embraer S.A. Release No. LR-23676
Oct. 21, 2016	James C. Cope, Esq. Release No. LR-23675 See Also: SEC Complaint
Oct. 21, 2016	Christopher Salis, et al. Release No. LR-23674
Oct. 17, 2016	Lime Energy Co. et al. Release No. LR-23673 See Also: SEC Complaint
Oct. 7, 2016	James T. Bramlette and The Pelorus Group, LLC Release No. LR-23672
Oct. 4, 2016	Richard Weed et al. Release No. LR-23671
Sept. 30, 2016	Ikenna Ikokwu, et al. Release No. LR-23670 See Also: SEC Complaint
Sept. 30, 2016	Paul R. Downey, et al. Release No. LR-23669
Sept. 30, 2016	Louis T. Buonocore, Jeremy R. Draper, Frank J. Morelli, III, Berardino "Dino" Paolucci, Jr. and Don L. Rose Release No. LR-23668 See Also: SEC Complaint
Sept. 30, 2016	Vladimir Eydelman and Steven Metro Release No. LR-23667
Sept. 30, 2016	Marcus A. Luna, et al. Release No. LR-23666
Sept. 30, 2016	Infinex Ventures, Inc., and Ronald H. Salem Release No. LR-23665 See Also: SEC Complaint
Sept. 30, 2016	Jason W. Galanis, et al. Release No. LR-23664
Sept. 30, 2016	Aegis Oil, LLC and Patrick Reagan Beason Release No. LR-23663
Sept. 29, 2016	Nino Coppero del Valle et al. Release No. LR-23660 See Also: SEC Complaint
Sept. 29, 2016	Robert Gadimian Release No. LR-23662 See Also: SEC Complaint
Sept. 29, 2016	Nicholas S. Savva Release No. LR-23661 See Also: SEC Complaint
Sept. 28, 2016	Peter R. Kohli, DMS Advisors, Inc., Marshad Capital Group, Inc., and The DMS Funds Release No. LR-23659 See Also: SEC Complaint
Sept. 28, 2016	Craig V. Sizer, and Miguel Mesa Release No. LR-23658 See Also: SEC Complaint
Sept. 27, 2016	Keith Hunter Release No. LR-23657 See Also: SEC Complaint
Sept. 27, 2016	Jason A. Wallace Release No. LR-23656 See Also: SEC Complaint
Sept. 27, 2016	Mard, Inc. f/k/a KiOR, Inc, et al. Release No. LR-23655
Sept. 26, 2016	Daniel Thibeault, et al. Release No. LR-23654
Sept. 23, 2016	North Star Finance LLC, et al. Release No. LR-23653
Sept. 22, 2016	Colin Whelehan and Sheren Tsai Release No. LR-23652 See Also: SEC Complaint
Sept. 22, 2016	James R. Trolice, et al. Release No. LR-23651
Sept. 21, 2016	Saleem Khan et al. Release No. LR-23649
Sept. 21, 2016	Frank Tamayo Release No. LR-23650
Sept. 20, 2016	Mark A. Jones Release No. LR-23648
Sept. 19, 2016	Tropikgadget FZE, et al. Release No. LR-23647
Sept. 14, 2016	Steven Metro Release No. LR-23646
Sept. 13, 2016	Manuel E. Jesus aka Manny Backus, et al. Release No. LR-23645 See Also: SEC Complaint
Sept. 12, 2016	Thomas J. Connerton, et al. Release No. LR-23644
Sept. 12, 2016	Tycoon Energy, Inc., et al. Release No. LR-23643 See Also: SEC Complaint
Sept. 12, 2016	Charles A. Banks, IV Release No. LR-23642 See Also: SEC Complaint
Sept. 12, 2016	North Hills Management, LLC, and Mark Evan Bloom Release No. LR-23641
Sept. 12, 2016	Marrien Neilson Release No. LR-23640 See Also: SEC Complaint
Sept. 9, 2016	RPM International Inc., et al. Release No. LR-23639 See Also: SEC Complaint
Sept. 7, 2016	Gordon W. Jenkins, Theodore P. Sweeten, Francis W. Kreais and Craig L. Parkinson Release No. LR-23638 See Also: SEC Complaint
Sept. 7, 2016	Dennis W. Hamilton Release No. LR-23637
Sept. 6, 2016	Contrarian Press, LLC, Scott S. Fraser, and Nathan Yeung Release No. LR-23636 See Also: SEC Complaint
Sept. 1, 2016	Providence Financial Investments, Inc., Providence Fixed Income Fund, LLC, Jeffory Churchfield, Jack Jarrell, and Anthony Buzaneli Release No. LR-23635 See Also: SEC Complaint
Sept. 1, 2016	Donald V. Watkins Sr., Esq., Watkins Pencor, LLC and Masada Resource Group, LLC Release No. LR-23634 See Also: SEC Complaint
Sept. 1, 2016	Jilbert Tahmazian, Esq. Release No. LR-23633
Sept. 1, 2016	Tropikgadget FZE, et al. Release No. LR-23632
Aug. 30, 2016	Dennis Wayne Hamilton Release No. LR-23631 See Also: SEC Complaint
Aug. 30, 2016	Daniel H. Mudd Release No. LR-23630
Aug. 26, 2016	Enviro Board Corporation, et al. Release No. LR-23628 See Also: SEC Complaint
Aug. 25, 2016	Edward F. Panos, et al. Release No. LR-23627
Aug. 24, 2016	Secured Income Reserve, Inc. et al. Release No. LR-23626 See Also: SEC Complaint
Aug. 24, 2016	Cedric Cañas Maillard Release No. LR-23625
Aug. 23, 2016	Richard Weed et al. Release No. LR-23624
Aug. 22, 2016	John M. Ragsdale Release No. LR-23623 See Also: SEC Complaint
Aug. 22, 2016	Michael Andre Jones Release No. LR-23622 See Also: SEC Complaint
Aug. 18, 2016	J. Patrick O'Neill and Robert H. Bray Release No. LR-23621
Aug. 18, 2016	Sean Stewart Release No. LR-23620
Aug. 12, 2016	Paul T. Rampoldi , et al. Release No. LR-23619 See Also: SEC Complaint
Aug. 12, 2016	Global Digital Solutions, Inc. et al. Release No. LR-23618 See Also: SEC Complaint
Aug. 10, 2016	Merrill Robertson, Jr., et al. Release No. LR-23616 See Also: SEC Complaint
Aug. 10, 2016	Benjamin Sydney Staples, et al. Release No. LR-23617
Aug. 10, 2016	Sethi Petroleum, LLC and Sameer P. Sethi Release No. LR-23615
Aug. 10, 2016	Edwin Ruh Jr. and Pan Asia China Commerce Corp. Inc. Release No. LR-23614 See Also: SEC Complaint
Aug. 8, 2016	John T. Place, et al. Release No. LR-23613 See Also: SEC Complaint

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