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
Oct. 15, 2010	Jason K. Fifield Release No. LR-21695 See Also: SEC Complaint
Oct. 14, 2010	Bruce F. Prévost, David W. Harrold, Palm Beach Capital Management LP, and Palm Beach Capital Management LLC Release No. LR-21694 See Also: SEC Complaint
Oct. 14, 2010	Algird M. Norkus and Financial Update, Inc. Release No. LR-21693 See Also: SEC Complaint
Oct. 14, 2010	LocatePlus Holdings Corporation Release No. LR-21692, AAER-3197 See Also: SEC Complaint
Oct. 7, 2010	Scott R. Sand and Ingen Technologies, Inc; Jeffrey Galpern; Jean R. Charbit and Tzemach David Netzer Korem; Anthony Mellone, Alex Parsinia, Larry Wilcox, Macada Holding, Inc. f/k/a Tri-Star Holdings, Inc., Zcom Networks, Inc., and The UC HUB Group; Bruce Palmer and AccessKey IP, Inc.; John "Buckeye" Epstein, Steven E. Humphries, Earthworks Entertainment, Inc., and The Fight Zone, Inc. a/k/a Gold Recycle Corp. Release No. LR-21691
Oct. 7, 2010	Barbra Alexander et. al. Release No. LR-21690 See Also: SEC Complaint
Oct. 7, 2010	Archie Paul Reynolds and Success Trust Release No. LR-21689
Oct. 7, 2010	Robert R. Anderson and Rosand Enterprises, Inc. Release No. LR-21688 See Also: SEC Complaint
Oct. 7, 2010	Gianluca Di Nardo, et al. Release No. LR-21687A See Also: SEC Complaint
Oct. 7, 2010	Imperia Invest IBC Release No. LR-21686 See Also: SEC Complaint
Oct. 6, 2010	Marleen Jantzen and John Jantzen Release No. LR-21685 See Also: SEC Complaint
Oct. 5, 2010	Carlo G. Chiaese, et al. Release No. LR-21684 See Also: SEC Complaint
Oct. 4, 2010	Igor Poteroba, Aleksey Koval, Alexander Vorobiev, and Relief Defendants Tatiana Vorobieva and Anjali Walter Release No. LR-21681
Oct. 4, 2010	U.S. Pension Trust Corp., et al. Release No. LR-21680
Oct. 4, 2010	(Intentionally omittted) Release No. LR-21683
Oct. 4, 2010	Regions Bank Release No. LR-21682
Sept. 30, 2010	W. Anthony Huff, et al. Release No. LR-21679A, AAER-3193A
Sept. 30, 2010	Rex C. Steffes, Cliff M. Steffes, Rex R. Steffes, Bret W. Steffes, Robert J. Steffes and W. Gary Griffiths Release No. LR-21678 See Also: SEC Complaint
Sept. 30, 2010	Forman, et al. Release No. LR-21677, AAER-3192
Sept. 30, 2010	Raymond Thomas and Strictly Stocks Investment Company, Inc. Release No. LR-21676
Sept. 30, 2010	Quri Resources, Inc. and Jaime Santiago Gomez Release No. LR-21675 See Also: SEC Complaint
Sept. 30, 2010	Atlantis Technology Group and Christoper Dubeau Release No. LR-21674 See Also: SEC Complaint
Sept. 29, 2010	ABB Ltd Release No. LR-21673, AAER-3191
Sept. 29, 2010	Sage Advisory Group, LLC and Benjamin Lee Grant Release No. LR-21672 See Also: SEC Complaint
Sept. 28, 2010	Brantley Capital Management, LLC, Robert Pinkas, and Tab Keplinger Release No. LR-21670
Sept. 28, 2010	Paul R. Beckwith, et al. Release No. LR-21669 See Also: SEC Complaint
Sept. 28, 2010	Robert L. Duncan Release No. LR-21668 See Also: SEC Complaint
Sept. 28, 2010	Richard Dean Carter Release No. LR-21671
Sept. 27, 2010	Richard A. Hansen, et al. Release No. LR-21667 See Also: SEC Complaint
Sept. 27, 2010	Brian Hollnagel and BCI Aircraft Leasing, Inc. Release No. LR-21666
Sept. 24, 2010	Michael Jobe and Richard Vlasich Release No. LR-21665 See Also: SEC Complaint
Sept. 24, 2010	Mark E. Salyer, et al. Release No. LR-21664 File Number: 3-13330
Sept. 24, 2010	Mark Johnson, et al. Release No. LR-21663
Sept. 24, 2010	Presto Telecommunications, Inc., et al. Release No. LR-21662 See Also: SEC Complaint
Sept. 23, 2010	M. Mark McAdams and R. Dane Freeman Release No. LR-21661
Sept. 22, 2010	Gustav George Bujkovsky, et al. Release No. LR-21659 See Also: SEC Complaint
Sept. 22, 2010	Delphi Corporation, John Blahnik, et al. Release No. LR-21660, AAER-3188
Sept. 21, 2010	UBS Securities LLC and UBS Financial Services, Inc. Release No. LR-21658
Sept. 21, 2010	True North Finance Corporation, f/k/a CS Financing Corporation, et al. Release No. LR-21657, AAER-3187
Sept. 20, 2010	BIH Corporation, et al. Release No. LR-21656 See Also: SEC Complaint
Sept. 16, 2010	LADP Acquisition, Inc., et al. Release No. LR-21655 See Also: SEC Complaint
Sept. 16, 2010	Randy M. Cho Release No. LR-21654
Sept. 16, 2010	David R. Slaine Release No. LR-21653
Sept. 16, 2010	Global Materials & Services, Inc., et al Release No. LR-21652
Sept. 16, 2010	Trade-LLC, et al. Release No. LR-21651
Sept. 15, 2010	Amante Corporation, et al. Release No. LR-21649
Sept. 15, 2010	Biovail Corporation, Eugene Melnyk, Brian Crombie, John Miszuk, and Kenneth G. Howling Release No. LR-21650, AAER-3186
Sept. 14, 2010	Robert A. Berlacher, Lancaster Investment Partners, L.P., Northwood Capital Partners, L.P., Cabernet Partners, L.P., Chardonnay Partners, L.P., Insignia Partners, L.P., VFT Special Ventures, Ltd., LIP Advisors, LLC, NCP Advisors, LLC, and RAB Investment Company, LLC Release No. LR-21648
Sept. 14, 2010	Wall Street Communications, Inc., et al. Release No. LR-21647
Sept. 14, 2010	FTC Capital Markets, Inc., FTC Emerging Markets, Inc. also d/b/a FTC Group, Guillermo David Clamens and Lina Lopez a/k/a Nazly Cucunuba Lopez Release No. LR-21646
Sept. 10, 2010	Thomas J. Dudchik Release No. LR-21645 See Also: SEC Complaint
Sept. 10, 2010	Dr. Bobby V. Khan Release No. LR-21644 See Also: SEC Complaint
Sept. 9, 2010	Affiliated Computer Services, Inc. Release No. LR-21643, AAER-3182 See Also: SEC Complaint
Sept. 3, 2010	Berkshire Resources, L.L.C., et al. Release No. LR-21642
Sept. 2, 2010	Sandra Venetis, Systematic Financial Services, Inc., Systematic Financial Associates, Inc., and Systematic Financial Services, LLC Release No. LR-21641
Sept. 1, 2010	James W. Self Jr. and Stephen R. Goldfield Release No. LR-21638 See Also: SEC Complaint
Sept. 1, 2010	Halek Energy, LLC, CBO Energy, Inc., Jason A. Halek and Christopher Chad Wilbourn Release No. LR-21637 See Also: SEC Complaint
Sept. 1, 2010	Sujata Sachdeva and Julie Mulvaney Release No. LR-21640, AAER-3180 See Also: SEC Complaint
Sept. 1, 2010	Lucent Technologies, Inc., et al. Release No. LR-21639, AAER-3179
Aug. 31, 2010	Urs Kamber Release No. LR-21636, AAER-3178
Aug. 30, 2010	PCS Edventures!.com, Inc. Release No. LR-21635 See Also: SEC Amended Complaint
Aug. 27, 2010	Robert W. Davis and Randall D. Imhoff Release No. LR-21634, AAER-3177 See Also: SEC Complaints SEC v. Davis , and SEC v. Imhoff
Aug. 27, 2010	Trevor G. Cook, et al. Release No. LR-21633
Aug. 25, 2010	K&L International Enterprises, Inc., et al. Release No. LR-21632
Aug. 25, 2010	Juan Jose Fernandez Garcia and Luis Martin Caro Sanchez Release No. LR-21631 See Also: SEC Complaint
Aug. 24, 2010	Escala Group, Inc., Gregory Manning, and Larry Lee Crawford, CPA Release No. LR-21630, AAER-3174
Aug. 18, 2010	Prime Time Group, Inc., et al. Release No. LR-21627
Aug. 18, 2010	James E. Gansman et al. Release No. LR-21629
Aug. 18, 2010	Thompson Consulting, Inc. Release No. LR-21628
Aug. 13, 2010	Amante Corporation, Commonwealth Capital Management, Inc., Edward M. Denigris, and William D. Dyer Release No. LR-21626
Aug. 13, 2010	Kevin J. Schott Release No. LR-21625 See Also: SEC Complaint
Aug. 12, 2010	Jon C. Ginder, Northamerican Energy Group, Inc., and Northamerican Energy Group, Corp. Release No. LR-21624 See Also: SEC Complaint
Aug. 11, 2010	William A. Huber and Hubadex, Inc. Release No. LR-21623 See Also: SEC Complaint
Aug. 9, 2010	Karlheinz Redekopp and International Commercial Television, Inc. Release No. LR-21622 See Also: SEC Complaints v. International Commercial Television , and Karl Redekopp
Aug. 6, 2010	Jason M. Genet Release No. LR-21621
Aug. 6, 2010	Michael E. Kelly, et al. Release No. LR-21620
Aug. 6, 2010	CJ's Financial and Candice D. Campbell Release No. LR-21619 See Also: SEC Complaint
Aug. 6, 2010	Universal Corporation, Inc. and Alliance One International, Inc. Release No. LR-21618, AAER-3170 See Also: SEC Complaints v. Universal Corporation , and Alliance One International
Aug. 5, 2010	Joe Summers Release No. LR-21617, AAER-3169 See Also: SEC Complaint
Aug. 5, 2010	James W. McIntosh, et al., and Mark T. Schwetschenau Release No. LR-21616, AAER-3168 See Also: SEC Complaints v. McIntosh et al. , and Schwetschenau
Aug. 5, 2010	David P. Turner and Ousama M. Naaman Release No. LR-21615, AAER-3167 See Also: SEC Complaint
Aug. 5, 2010	Al-Raya Investment Company and Waleed Khalid Al-Braikan as Representative of the Heirs of Hazem Khalid Al-Braikan, et al. Release No. LR-21613A See Also: Amended SEC Complaint
Aug. 4, 2010	Joseph R. Porche, et al. Release No. LR-21614 See Also: SEC Complaint
Aug. 4, 2010	Thomas P. Flanagan and Patrick T. Flanagan Release No. LR-21612, AAER-3164 See Also: SEC Complaint
Aug. 4, 2010	Randy M. Cho Release No. LR-21611
Aug. 2, 2010	Gregory Todd Froning Release No. LR-21610 See Also: SEC Complaint
July 30, 2010	Brad A. Morrice et al. Release No. LR-21609, AAER-3162
July 30, 2010	Matthew W. Hardey, L. Cyrus DeBlanc, and Joe E. Penland Release No. LR-21608, AAER-3161
July 29, 2010	WG Trading Investors, L.P. Release No. LR-21606
July 29, 2010	Citigroup Inc. Release No. LR-21605 See Also: SEC Complaint
July 29, 2010	Samuel E. Wyly, et al. Release No. LR-21607 See Also: SEC Complaint
July 28, 2010	Geotec, Inc. f/k/a Geotec Thermal Generators, Inc., Bradley T. Ray, William Richard Lueck, and Stephen D. Chanslor Release No. LR-21604
July 28, 2010	Thomas Fisher, et al. Release No. LR-21603
July 27, 2010	General Electric Company; Ionics, Inc.; and Amersham plc Release No. LR-21602, AAER-3159 See Also: SEC Complaint
July 23, 2010	Pequot Capital Management, Inc., et al. Release No. LR-21601
July 23, 2010	Sunrise Senior Living, Inc., et al. Release No. LR-21600, AAER-3157 See Also: SEC Complaint
July 22, 2010	Dell Inc., Michael S. Dell, Kevin B. Rollins, James M. Schneider, Leslie L. Jackson, Nicholas A.R. Dunning Release No. LR-21599, AAER-3156 See Also: SEC Complaint
July 22, 2010	Carl W. Jasper Release No. LR-21598
July 22, 2010	Laurence M. Brown, et al. Release No. LR-21597
July 22, 2010	Maxo Francois, a/k/a "Max Francois", et al. Release No. LR-21596

Rules & Regulations

Enforcement & Litigation

Compliance

Litigation Releases

More in this Section

Litigation Releases