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
Nov. 19, 2021	James David O'Brien Release No. LR-25266 See Also: SEC Complaint
Nov. 15, 2021	Ramiro Jose Sugranes, et al. Release No. LR-25265 See Also: SEC Complaint
Nov. 15, 2021	Joshua Burrell and Activated Capital, LLC Release No. LR-25263 See Also: SEC Complaint
Nov. 12, 2021	Terraform Labs PTE, Ltd. and Do Kwon Release No. LR-25262
Nov. 10, 2021	Gerald Fauth Release No. LR-25261
Nov. 9, 2021	CF3 Enterprises, LLC, et al. Release No. LR-25260 See Also: SEC Complaint
Nov. 8, 2021	Swapnil J. Rege and SwapStar Capital, LLC Release No. LR-25259
Nov. 8, 2021	Gregory Lemelson, Lemelson Capital Management, LLC, and The Amvona Fund Release No. LR-25258
Nov. 5, 2021	Joseph A. Cammarata, et al. Release No. LR-25257 See Also: SEC Complaint
Nov. 5, 2021	Steven F. Muntin Release No. LR-25255 See Also: SEC Complaint
Nov. 4, 2021	David P. Godwin, et al. Release No. LR-25254 See Also: SEC Complaint
Nov. 1, 2021	Mark A. Miller, Saeid Jaberian and Christopher J. Rajkaran Release No. LR-25253 See Also: SEC Complaint
Nov. 1, 2021	Howard S. Kleyman Release No. LR-25252 See Also: SEC Complaint , Administrative Proceedings Release
Nov. 1, 2021	Kenneth A. Welsh Release No. LR-25251 See Also: SEC Complaint
Oct. 29, 2021	BNZ One Capital, LLC, et al. Release No. LR-25250 See Also: SEC Complaint
Oct. 27, 2021	Swapnil J. Rege and SwapStar Capital, LLC Release No. LR-25249 See Also: SEC Complaint
Oct. 26, 2021	Steven M. Gallagher, a/k/a "Alexander Delarge" Release No. LR-25248 See Also: SEC Complaint
Oct. 26, 2021	Denis Georgiyevich Sotnikov, et al. Release No. LR-25247 See Also: Judgment
Oct. 26, 2021	Ann M. Vick Release No. LR-25246 See Also: SEC Complaint
Oct. 25, 2021	Marcus Boggs Release No. LR-25245 See Also: SEC Complaint
Oct. 20, 2021	Robert Bernardi, Nihat Cardak, and Sunil Chandra, Defendants, and Daniel Bernardi, Diane Olsen, and Jenifer Bernardi, Relief Defendants, Civ. Action Release No. LR-25244 See Also: SEC Complaint
Oct. 15, 2021	Vassilios Trikantzopoulos, et al. Release No. LR-25243
Oct. 7, 2021	Steven Pagartanis Release No. LR-25242
Oct. 6, 2021	Ron K. Harrison., et al. Release No. LR-25241 See Also: SEC Complaint
Oct. 6, 2021	CanaFarma Hemp Products Corp., et al. Release No. LR-25240 See Also: SEC Complaint
Oct. 1, 2021	Keith A. Wakefield Release No. LR-25239 See Also: SEC Complaint
Oct. 1, 2021	TCFG Investment Advisor, LLC, TCFG Wealth Management, LLC and Richard James Roberts Release No. LR-25238 See Also: SEC Complaint
Sept. 30, 2021	Punch TV Studios. Inc., et al. Release No. LR-25237 See Also: SEC Complaint
Sept. 30, 2021	Mark Allan Plummer, et al. Release No. LR-25235 See Also: SEC Complaint
Sept. 29, 2021	Gregory L. Ciccone, et al. Release No. LR-25236 See Also: SEC Complaint
Sept. 29, 2021	Sky Group, et al. Release No. LR-25234 See Also: SEC Complaint
Sept. 28, 2021	Naseem Mohammed Salamah. Release No. LR-25233 See Also: SEC Complaint
Sept. 28, 2021	Jaeson Birnbaum Release No. LR-25232 See Also: SEC Complaint
Sept. 28, 2021	C3 International, Inc., Steele Clarke Smith III and Theresa Smith Release No. LR-25231 See Also: SEC Complaint
Sept. 28, 2021	Richard Xia, a/k/a Yi Xia and Fleet New York Metropolitan Regional Center, LLC, f/k/a Federal New York Metropolitan Regional Center, and Relief Defendant Julia Yue, a/k/a JiQing Yue Release No. LR-25230 See Also: SEC Complaint
Sept. 28, 2021	Michael James Ferguson Jr. Foreign Private Trust and Noble Mikhail Jabal Mohommet Firdaus El Release No. LR-25229 See Also: SEC Complaint
Sept. 27, 2021	VerdeGroup Investment Partners, Inc., Thomas Gaffney, and Lisa Gordon Release No. LR-25228 See Also: SEC Complaint
Sept. 27, 2021	Timothy Page et al., Daniel Cattlin and William R. Shupe Release No. LR-25227 See Also: SEC Complaint
Sept. 27, 2021	Nicholas J. Genovese, Willow Creek Investments, LP, and Willow Creek Advisors, LLC Release No. LR-25226
Sept. 27, 2021	Star Chain, Inc. and Timur Efe aka Omer Casurluk, Civ. Action Release No. LR-25225 See Also: SEC Complaint
Sept. 27, 2021	Suyun Gu, et al. Release No. LR-25224 See Also: SEC Complaint
Sept. 27, 2021	Carebourn Capital, L.P., et al. Release No. LR-25223 See Also: SEC Complaint
Sept. 24, 2021	Buttonwood Financial Group, LLC and Jon Michael McGraw Release No. LR-25222 See Also: SEC Complaint
Sept. 24, 2021	Engler, et al. Release No. LR-25221
Sept. 23, 2021	Choice Advisors, LLC and Matthias O'Meara Release No. LR-25220 See Also: SEC Complaint
Sept. 23, 2021	James R. Collins and Robert F. DiMeo Release No. LR-25219 See Also: SEC Complaint
Sept. 23, 2021	Michael F. Shillin Release No. LR-25218 See Also: SEC Complaint
Sept. 23, 2021	Biogenic, Inc., Diagnostic Link Ltd, LLC, Vital Systems Ltd LLC, BioTek Holdings LLC, Tek Wellness Inc., Capital Care Management LLC, Susann Ashley Cargnino a/k/a Susann Ashley Walker a/k/a Ashley Walker, Zachari Alan Cargnino a/k/a Zach Alan, Julie Ann Youssef a/k/a Julie Ann a/k/a Julie Joseph, and Gary Youssef a/k/a Gary Joseph Release No. LR-25217 See Also: SEC Complaint
Sept. 23, 2021	Frantz Simeon and First Black Enterprises, Inc. Release No. LR-25216 See Also: SEC Complaint
Sept. 22, 2021	Karen Marie Michel Release No. LR-25215 See Also: SEC Complaint
Sept. 21, 2021	Daniel B. Kamensky Release No. LR-25212
Sept. 21, 2021	Back to Green Mining, LLC, José Jiménez Cruz, and Manuel Portalatin Release No. LR-25214 See Also: SEC Complaint
Sept. 21, 2021	James Wallace Nall, III, Michael Hale Smith, Michael Dwaine Smith, Robert Walter Smith and Walter Vice Tutt Release No. LR-25213 See Also: Judgment
Sept. 20, 2021	Leena Jaitley, d/b/a Managed Option Trading and Options By Pros, Defendant, and Taraben Patel and OTA LLC, Relief Defendants Release No. LR-25211 See Also: SEC Complaint
Sept. 20, 2021	Robert Samuel Shumake, Jr., Willard L. Jackson, Nicole T. Birch, 420 Real Estate, LLC, Vicent Petrescu aka Vincent Petrescu, and TruCrowd, Inc. dba Fundanna Release No. LR-25210 See Also: SEC Complaint
Sept. 16, 2021	Raquel Moura Borges, et al. Release No. LR-25209 See Also: SEC Complaint
Sept. 16, 2021	Jason Dodd Bullard, Angela Romero-Bullard, and Bullard Enterprises LLC Release No. LR-25208 See Also: Order
Sept. 15, 2021	Simon Piers Thurlow, et al. Release No. LR-25207 See Also: SEC Complaint
Sept. 15, 2021	SHE Beverage Company, Inc. Lupe L. Rose, Sonja F. Shelby and Katherine E. Dirden Release No. LR-25206 See Also: SEC Complaint
Sept. 15, 2021	Eliseo Acosta Release No. LR-25205 See Also: SEC Complaint
Sept. 14, 2021	Paul Gilman, et al. Release No. LR-25204 See Also: Judgment , Opinion and Order
Sept. 14, 2021	ProSky, Inc., et al.; Release No. LR-25203 See Also: SEC Complaint
Sept. 10, 2021	Todd Elliott Hitt et al. Release No. LR-25201
Sept. 10, 2021	Gomes et al.; Release No. LR-25200
Sept. 10, 2021	Mark Ahn Release No. LR-25202 See Also: Judgment
Sept. 8, 2021	Frederick Bauman Release No. LR-25199 See Also: SEC Complaint
Sept. 8, 2021	Rivetz Corp., Rivetz International SEZC, and Steven K. Sprague Release No. LR-25198 See Also: SEC Complaint
Sept. 7, 2021	Johnny R. Thomas, et al. Release No. LR-25197
Sept. 3, 2021	Cavco Industries, Inc., Joseph Stegmayer, and Daniel Urness, Robert Scott Parkhurst Release No. LR-25196 See Also: et al. , SEC Complaint - Robert Scott Parkhurst
Sept. 3, 2021	Klaus Hofmann Release No. LR-25195 See Also: SEC Complaint
Sept. 2, 2021	Jason Dodd Bullard, Angela Romero-Bullard, and Bullard Enterprises LLC Release No. LR-25194 See Also: SEC Complaint
Sept. 1, 2021	Dawson L. Davenport, Elite Aerospace Group, Inc., Robert A. Gunton, Andrea J. Lindstrom, Michael P. Owens, Dustin B. Tillman, Julie A. Yale, and Zeeshawn S. Zia Release No. LR-25193 See Also: SEC Complaint
Sept. 1, 2021	Alexander Kon Release No. LR-25192
Sept. 1, 2021	Douglas E. Elstun Release No. LR-25191 See Also: Judgment
Aug. 31, 2021	Steven Fitzgerald Brown Release No. LR-25190 See Also: Judgment
Aug. 31, 2021	Tellone Management Group, Inc., et al. Release No. LR-25189 See Also: SEC Complaint
Aug. 30, 2021	Michael A. Bressman Release No. LR-25188 See Also: SEC Complaint
Aug. 30, 2021	Guillaume David Boccara Release No. LR-25187 See Also: SEC Complaint
Aug. 30, 2021	Donald G. Blakstad, et al. Release No. LR-25186 See Also: SEC Complaint
Aug. 27, 2021	Andrew L. Fassari Release No. LR-25185 See Also: SEC Complaint
Aug. 27, 2021	William B. McHenry Jr. and First South Investments, LLC Release No. LR-25184 See Also: SEC Complaint
Aug. 25, 2021	Sung Mo Jun, Joon Jun, Junwoo Chon, Ayden Lee, and Jae Hyeon Bae Release No. LR-25180 See Also: SEC Complaint
Aug. 25, 2021	Carl Jensen and Stephen W. Gold, Defendants, and Kerry Margolis and Michael Hock, Relief Defendants Release No. LR-25183 See Also: SEC Complaint
Aug. 25, 2021	Manish Lachwani Release No. LR-25182 See Also: SEC Complaint
Aug. 25, 2021	John J. Woods, Livingston Group Asset Management Company d/b/a Southport Capital, and Horizon Private Equity, III, LLC Release No. LR-25181 See Also: SEC Complaint
Aug. 20, 2021	Robert J. Mueller, et al. Release No. LR-25179 See Also: SEC Complaint
Aug. 20, 2021	Marcus Boggs Release No. LR-25178 See Also: SEC Complaint
Aug. 19, 2021	Brown et al. Release No. LR-25177
Aug. 19, 2021	Medsis International, Inc. et al. Release No. LR-25176 See Also: SEC Complaint
Aug. 19, 2021	William Scott Lawler and Natalie Bannister Release No. LR-25175 See Also: SEC Complaint
Aug. 18, 2021	Denise Grevas Release No. LR-25174 See Also: SEC Complaint
Aug. 17, 2021	Fusion Analytics Investment Partners, LLC, et al. Release No. LR-25173 See Also: SEC Complaint
Aug. 17, 2021	Arthur Hall and Rising Biosciences, Inc. Release No. LR-25172 See Also: SEC Complaint
Aug. 17, 2021	Jeffrey Slothower and Battery Private, Inc. Release No. LR-25171 See Also: SEC Complaint
Aug. 17, 2021	Matthew Panuwat Release No. LR-25170 See Also: SEC Complaint
Aug. 16, 2021	GPL Ventures LLC, GPL Management LLC, Alexander J. Dillon, Cosmin I. Panait, HempAmericana, Inc., Salvador E. Rosillo, Seaside Advisors, LLC, and Lawrence B. Adams Release No. LR-25169 See Also: SEC Complaint
Aug. 13, 2021	MJ Capital Funding, LLC, et al, Release No. LR-25168 See Also: SEC Complaint
Aug. 13, 2021	Ahmad Haris Tajyar and Eric Leo Marsoubian Release No. LR-25167 See Also: SEC Complaint
Aug. 13, 2021	The Movie Studio, Inc., et al. Release No. LR-25166 See Also: SEC Complaint
Aug. 13, 2021	Martin Adrian Ruiz et al. Release No. LR-25165 See Also: SEC Complaint

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