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. 18, 2019	Robert A. Karmann Release No. LR-24692 See Also: SEC Complaint
Dec. 16, 2019	Suneet Singal, First Capital Real Estate Investments LLC, First Capital Real Estate Advisors LP, and First Capital Real Estate Trust Inc. Release No. LR-24691 See Also: SEC Complaint
Dec. 12, 2019	John Special, Defendant, and Michael Murphy, Relief Defendant, John Kenneth Davidson Release No. LR-24690 See Also: SEC Complaint - Special , SEC Complaint - Davidson
Dec. 11, 2019	Palm Beach Atlantic Financial Group, LLC and William A. Smith Release No. LR-24689 See Also: SEC Complaint
Dec. 11, 2019	Nanotech Engineering, Inc., Michael James Sweaney (also known as Michael Hatton), David Sweaney, and Jeffery Gange Release No. LR-24688 See Also: SEC Complaint
Dec. 10, 2019	Christopher Collins, et al. Release No. LR-24687
Dec. 10, 2019	Harpreet Grewal Release No. LR-24686
Dec. 9, 2019	Diane D. Dalmy et al. Release No. LR-24685 See Also: Amended Litigation Release and Judgment
Dec. 9, 2019	Jeffrey O. Friedland, Global Corporate Strategies LLC., and Intiva Pharma, LLC Release No. LR-24684 See Also: SEC Complaint
Dec. 9, 2019	William Eric Meek and Bobby Peavler Release No. LR-24683 See Also: SEC Complaint
Dec. 5, 2019	Iconix Brand Group, Inc., Neil R. Cole and Seth Horowitz Release No. LR-24682 See Also: SEC Complaint as to Iconix , SEC Complaint as to Cole and Horowitz , Administrative Proceedings Release
Dec. 5, 2019	Lester Burroughs Release No. LR-24681 See Also: SEC Complaint
Dec. 4, 2019	SBB Research Group LLC, et al. Release No. LR-24680 See Also: SEC Complaint
Nov. 29, 2019	NIT Enterprises, Inc., et al. Release No. LR-24679 See Also: SEC Complaint
Nov. 26, 2019	MiMedx Group, Inc., Parker H. Petit, William C. Taylor, and Michael J. Senken Release No. LR-24678 See Also: SEC Complaint
Nov. 26, 2019	The Nutmeg Group LLC and Randall Goulding Release No. LR-24677
Nov. 25, 2019	Brett Pittsenbargar, et al. Release No. LR-24676 See Also: SEC Complaint
Nov. 25, 2019	Rishi Shah, Shradha Agarwal, Brad Purdy and Ashik Desai Release No. LR-24675 See Also: SEC Complaint
Nov. 25, 2019	Kevin B. Merrill, et al. Release No. LR-24674
Nov. 25, 2019	Conrad A. Coggeshall, Defendant, and Business Owners Tax Relief, LLC, Relief Defendant Release No. LR-24673 See Also: SEC Complaint
Nov. 21, 2019	Ruless Pierre a/k/a Rules Pierre Release No. LR-24670 See Also: SEC Complaint
Nov. 21, 2019	Samuel DelPresto, et al. Release No. LR-24672
Nov. 21, 2019	Richard Lee, et al. Release No. LR-24671 See Also: SEC Complaint
Nov. 20, 2019	Burkholz, et al. Release No. LR-24669 See Also: SEC Complaint
Nov. 19, 2019	James S. Kimmel Release No. LR-24668
Nov. 15, 2019	Merrill Robertson, Jr., et al. Release No. LR-24667
Nov. 15, 2019	Jerry Li Release No. LR-24666 See Also: SEC Complaint
Nov. 14, 2019	Reginald Middleton, et al. Release No. LR-24665
Nov. 12, 2019	Gregory M. Bercowy Release No. LR-24664
Nov. 12, 2019	American Growth Funding II, LLC, et al. Release No. LR-24663
Nov. 8, 2019	KRM Services, LLC and Roberto J. Clark, Jr. Release No. LR-24662 See Also: SEC Complaint
Nov. 7, 2019	Michael A. Gramins, et al. Release No. LR-24661
Nov. 6, 2019	David N. Osegueda, et al. Release No. LR-24659
Nov. 6, 2019	Bolton Securities Corporation d/b/a Bolton Global Asset Management Release No. LR-24660 See Also: SEC Complaint
Nov. 4, 2019	Collector's Coffee (d/b/a Collectors Café), and Mykalai Kontilai Release No. LR-24658 See Also: SEC Complaint
Nov. 4, 2019	Richard Eden, et al. and Dale Pearlman Release No. LR-24657 See Also: SEC Complaint - Richard Eden and Christopher Neumann , SEC Complaint - Dale Pearlman
Nov. 1, 2019	North Star Finance LLC et al. Release No. LR-24656
Oct. 31, 2019	Kevin B. Merrill, et al. Release No. LR-24655 See Also: SEC Complaint
Oct. 31, 2019	Bovorn Rungruangnavarat Release No. LR-24654
Oct. 31, 2019	PixarBio Corp. et al. Release No. LR-24653
Oct. 29, 2019	DFRF Enterprises LLC, et al. Release No. LR-24652
Oct. 22, 2019	Joseph Bayliss and Ronald Roach Release No. LR-24651 See Also: SEC Complaint
Oct. 22, 2019	Benjamin Taylor, Darina Windsor and Joseph Abdul Noor El-Khouri Release No. LR-24650 See Also: SEC Complaint
Oct. 22, 2019	Bryan Cohen and George Nikas Release No. LR-24649 See Also: SEC Complaint
Oct. 21, 2019	Shuang Chen, et al. Release No. LR-24648 See Also: SEC Complaint
Oct. 17, 2019	Philip R. Jacoby, et al. Release No. LR-24647
Oct. 17, 2019	Michael J. Starkweather and Andiamo Corporation, William White Release No. LR-24646 See Also: White Complaint , Starkweather Complaint
Oct. 16, 2019	Kevin B. Merrill, et al. Release No. LR-24645
Oct. 15, 2019	Eric J. "EJ" Dalius et al. Release No. LR-24644 See Also: SEC Complaint
Oct. 15, 2019	Cetera Advisors, LLC and Cetera Advisor Networks LLC Release No. LR-24643 See Also: SEC Complaint
Oct. 11, 2019	Richard Andrew Mallion Release No. LR-24642 See Also: SEC Complaint
Oct. 10, 2019	Daniel Rivas, et al. Release No. LR-24638
Oct. 10, 2019	Anton Senderov, et al. Release No. LR-24641 See Also: SEC Complaint
Oct. 10, 2019	Thomas Conrad, Jr. et al. Release No. LR-24640
Oct. 10, 2019	Lek Securities Corp., et al. Release No. LR-24639
Oct. 7, 2019	Gino M. Pereira, Jeffrey Auerbach, Jared Mitchell, and Richard Brown Release No. LR-24637 See Also: Auerback , Pereira
Oct. 4, 2019	Christopher J. Spencer and John Busshaus Release No. LR-24636 See Also: SEC Complaint
Oct. 2, 2019	PlexCorps, Dominic Lacroix, and Sabrina Paradis-Royer Release No. LR-24635
Oct. 2, 2019	Woojae ("Steve") Jung, et al. Release No. LR-24634
Oct. 2, 2019	Westport Capital Markets, LLC and Christopher E. McClure Release No. LR-24633
Sept. 30, 2019	Mark Ray, et al. Release No. LR-24627 See Also: SEC Complaint
Sept. 30, 2019	Yellowstone Partners, LLC, David H. Hansen, and Cameron G. High Release No. LR-24626 See Also: SEC Complaint
Sept. 30, 2019	Longfin Corp. and Venkata S. Meenavalli Release No. LR-24625
Sept. 30, 2019	Dana J. Bradley; Marlin S. Hershey; D. Bradley Inc.; Bryant Boys, LLC; Distressed Lending Fund, LLC; Erndit LLC; Hershey Enterprises, Inc.; MW Enterprises, LLC; Performance Holdings, Inc.; Performance Retire on Rentals, LLC Release No. LR-24624 See Also: SEC Complaint
Sept. 30, 2019	Michael Ajzenman and Cutting Edge Business Services, Inc. Release No. LR-24623 See Also: SEC Complaint
Sept. 30, 2019	Bluepoint Investment Counsel, et al. Release No. LR-24632 See Also: SEC Complaint
Sept. 30, 2019	David Sechovicz and Peter Szatmari Release No. LR-24631 See Also: SEC Complaint-Sechovicz , SEC Complaint-Szatmari
Sept. 30, 2019	Gil Beserglik, et al. Release No. LR-24630 See Also: SEC Complaint
Sept. 30, 2019	James T. Booth Release No. LR-24629 See Also: SEC Complaint
Sept. 30, 2019	Marcus Beam Release No. LR-24628 See Also: SEC Complaint
Sept. 27, 2019	Hologram USA Networks Inc. and Alkiviades ("Alki") David Release No. LR-24622 See Also: SEC Complaint
Sept. 27, 2019	Mylan N.V. Release No. LR-24621, AAER-4096 See Also: SEC Complaint
Sept. 26, 2019	Sean Stewart, et al. Release No. LR-24620
Sept. 25, 2019	Andres Fernandez and Edison Denizard Release No. LR-24619 See Also: SEC Complaint
Sept. 25, 2019	David R. Gibson, et al. Release No. LR-24616 See Also: SEC Complaint
Sept. 25, 2019	Strong Investment Management, et al. Release No. LR-24615 See Also: SEC Complaint
Sept. 25, 2019	James Alex Irvin Release No. LR-24618 See Also: SEC Complaint
Sept. 25, 2019	William M. Apostelos, et al. Release No. LR-24617
Sept. 24, 2019	Robert Hillis Miller Release No. LR-24614 See Also: SEC Complaint
Sept. 24, 2019	James Wallace Nall, III, et al. Release No. LR-24613 See Also: SEC Complaint
Sept. 24, 2019	Gerald C. Parker Release No. LR-24612 See Also: SEC Complaint
Sept. 24, 2019	Brian D. Barrilleaux Release No. LR-24611 See Also: SEC Complaint
Sept. 24, 2019	Efuel EFN Corp., et al. Release No. LR-24610 See Also: SEC Complaint
Sept. 23, 2019	Carlos Ghosn and Gregory L. Kelly Release No. LR-24606, AAER-4088 See Also: SEC Complaint
Sept. 23, 2019	Benjamin Conde, Defendant, and Essex Global Investment Corp., and Facultas Capital Management, Inc., Relief Defendants Release No. LR-24609 See Also: SEC Complaint
Sept. 23, 2019	Christopher Fulco (a/k/a Christian Anthony, Johnathan Stewart, and Michael Barron), and JM Capital Holdings LLC, as Defendants, and Jamie Milione, as Relief Defendant Release No. LR-24608 See Also: SEC Complaint
Sept. 23, 2019	Jonathan C. Lucas Release No. LR-24607 See Also: SEC Complaint
Sept. 20, 2019	Zvi Feiner, et al. Release No. LR-24605 See Also: SEC Complaint
Sept. 20, 2019	Earl D. Miller, et al. Release No. LR-24604 See Also: SEC Complaint , SEC Amended Judgment , SEC Final Judgment
Sept. 19, 2019	Brian Robert Sodi, et al. Release No. LR-24603
Sept. 19, 2019	Ruben James Rojas Release No. LR-24602 See Also: SEC Complaint , Administrative Proceedings Release
Sept. 19, 2019	ICOBox and Nikolay Evdokimov Release No. LR-24601 See Also: SEC Complaint
Sept. 18, 2019	Mediatrix Capital Inc., et al. Release No. LR-24600 See Also: SEC Complaint
Sept. 17, 2019	Tom Simeo Release No. LR-24599, AAER-4077 See Also: SEC Complaint
Sept. 17, 2019	Jan Atlas Release No. LR-24598 See Also: SEC Complaint
Sept. 17, 2019	John Henderson and Global Resources Leadership LLC Release No. LR-24597 See Also: SEC Complaint
Sept. 17, 2019	Jay Daniel Seinfeld, Sara Beth Postma, Traditions Capital Management LLC, and Hospice Patient Aid Program, Inc. Release No. LR-24596A See Also: SEC Complaint
Sept. 13, 2019	Dean Patrick McDermott, McDermott Investment Advisors, LLC and McDermott Investment Services, LLC Release No. LR-24595 See Also: SEC Complaint
Sept. 13, 2019	Northridge Holdings, Ltd. et al. Release No. LR-24594 See Also: SEC Complaint
Sept. 13, 2019	Kevin B. Merrill, et al. Release No. LR-24593

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