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
Aug. 15, 2019	Thomas W. Avent, Jr., et al. Release No. LR-24564
Aug. 15, 2019	Craig Rumbaugh, Rumbaugh Financial Inc., and Desert Strategic Equity, LLC Release No. LR-24563 See Also: SEC Complaint
Aug. 14, 2019	Harsh Nahata and Ajay S. Bhandari Release No. LR-24562 See Also: SEC Complaint
Aug. 14, 2019	Jeffrey C. Mack and Lawrence C. Blaney Release No. LR-24561
Aug. 14, 2019	Stuart Frost and Frost Management Company, LLC Release No. LR-24560 See Also: SEC Complaint
Aug. 13, 2019	Antonio Bravata Release No. LR-24559 See Also: SEC Complaint
Aug. 12, 2019	Richard G. Duncan Release No. LR-24558 See Also: SEC Complaint
Aug. 12, 2019	Mark E. Burns Release No. LR-24557 See Also: SEC Complaint
Aug. 8, 2019	Tanmaya Kabra et al. Release No. LR-24556
Aug. 8, 2019	Jerry Lee Farish and New Summit Homes, Inc. Release No. LR-24555 See Also: SEC Complaint
Aug. 7, 2019	Thomas W. Avent, Jr., et al. Release No. LR-24554 See Also: SEC Complaint , Administrative Proceedings Release
Aug. 6, 2019	Tanmaya Kabra et al. Release No. LR-24553 See Also: SEC Complaint
Aug. 6, 2019	Imran Husain, et al. Release No. LR-24552 See Also: Administrative Proceedings Release
Aug. 5, 2019	Gerard F. Hug and Kurt W. Streams Release No. LR-24551 See Also: SEC Complaint
Aug. 1, 2019	Commonwealth Equity Services, LLC d/b/a Commonwealth Financial Network Release No. LR-24550 See Also: SEC Complaint
July 31, 2019	John T. Place, et al. Release No. LR-24549 See Also: SEC Complaint
July 29, 2019	Christopher Plaford Release No. LR-24548
July 29, 2019	Bettor Investments, LLC, and Matthew C. Stuart, LLC Release No. LR-24547
July 29, 2019	Beaufort Secs. Ltd. and Kyriacou. Release No. LR-24546
July 19, 2019	Gary Winemaster, Craig Davis and James Needham Release No. LR-24544 See Also: SEC Complaint
July 19, 2019	Garrett M. O'Rourke and Michael J. Black Release No. LR-24543 See Also: SEC Complaint
July 19, 2019	Carol J. Wayland, et al. Release No. LR-24542
July 18, 2019	Jun Ying Release No. LR-24541
July 18, 2019	Mark Loman Release No. LR-24540 See Also: SEC Complaint
July 18, 2019	Paul Alar and West Mountain, LLC Release No. LR-24539 See Also: SEC Complaint
July 18, 2019	William J. Milles, Jr. and Donald J. Lutzko Release No. LR-24538 See Also: SEC Complaint
July 17, 2019	William C. Skelley and Sohin S. Shah Release No. LR-24536 See Also: SEC Complaint
July 17, 2019	Emmanuel Kouyoumdjian (a/k/a "Manny K") Release No. LR-24535 See Also: SEC Complaint
July 17, 2019	Zev Saltsman, et al. Release No. LR-24534
July 17, 2019	AR Capital, LLC, et al. Release No. LR-24537 See Also: SEC Complaint
July 15, 2019	Richard Vu Nguyen, et al. Release No. LR-24533
July 15, 2019	Conn's Inc. and Michael J. Poppe Release No. LR-24532 See Also: SEC Complaint
July 15, 2019	Henry J. Wieniewitz, III, et al. Release No. LR-24531 See Also: SEC Complaint
July 15, 2019	William Scott Lawler and Natalie Bannister Release No. LR-24530 See Also: SEC Complaint
July 12, 2019	Barry Honig, et al. Release No. LR-24529
July 8, 2019	Jovannie Aquino Release No. LR-24528 File Number: 3-19199
July 2, 2019	Daniel H. Glick, et al. Release No. LR-24527
July 1, 2019	Thomas V. Conwell and Kerry L. Hoffman Release No. LR-24526 See Also: SEC Complaint , Administrative Proceedings Release
July 1, 2019	Gregory E. Webb, et al. Release No. LR-24525
June 28, 2019	Robert F.X. Sillerman Release No. LR-24524 See Also: SEC Complaint
June 28, 2019	Diane D. Dalmy Release No. LR-24523 See Also: SEC Amended Complaint
June 28, 2019	Johnny R. Thomas, et al. Release No. LR-24522 See Also: SEC Complaint
June 28, 2019	Paul Andrews Rinfret, et al. Release No. LR-24521 See Also: SEC Complaint
June 27, 2019	Rajeshwar R. Gannamaneni, Deepthi Gandra, and Linga R. Gannamaneni Release No. LR-24515
June 27, 2019	Comer Capital Group, LLC and Brandon L. Comer Release No. LR-24520 See Also: SEC Complaint
June 27, 2019	Matthew A. Krimm, et al. Release No. LR-24519
June 27, 2019	Jason Sugarman Release No. LR-24518 See Also: SEC Complaint
June 27, 2019	Amrit J. S. Chahal Release No. LR-24517
June 27, 2019	Henry Sargent et al. Release No. LR-24516 See Also: SEC Complaint
June 26, 2019	Mark Allen Plummer Release No. LR-24514 See Also: SEC Complaint
June 25, 2019	Worldwide Markets, Ltd., TAB Networks, Inc., and Thomas F. Plaut Release No. LR-24513 See Also: SEC Complaint
June 25, 2019	Richard Vu Nguyen, et al. Release No. LR-24512 See Also: SEC Complaint
June 24, 2019	Landon M. Smith Release No. LR-24545 See Also: SEC Complaint
June 24, 2019	Donald S. LaGuardia, Jr. Release No. LR-24511 See Also: SEC Complaint
June 24, 2019	Avi Chiat Release No. LR-24510 See Also: SEC Complaint
June 21, 2019	Andrew J. Kandelapas Release No. LR-24509
June 21, 2019	Edward Lee Moody, Jr. Release No. LR-24508 File Number: 3-19212
June 21, 2019	Gregory T. Dean and Donald J. Fowler Release No. LR-24507
June 21, 2019	Kit Mun Chan, Lau Kean Chong, Chong Poui Fan, Binji Lu, and Youn Chien Wong Release No. LR-24506 See Also: SEC Complaint
June 20, 2019	Anatoly Hurgin, Alexander Aurovsky, Ability Computer & Software Industries Ltd., and Ability Inc. Release No. LR-24505 See Also: SEC Complaint
June 18, 2019	Equal Earth, Inc., et al. Release No. LR-24504 See Also: SEC Complaint
June 18, 2019	Raymond Starker Release No. LR-24503 See Also: SEC Complaint
June 14, 2019	Alton Perkins, et al. Release No. LR-24502 See Also: SEC Complaint
June 14, 2019	David Wagner, Downing Partners, LLC, Downing Investment Partners, LP, Downing Digital Healthcare Group, LLC, and Mark Lawrence Release No. LR-24501 See Also: SEC Complaint
June 13, 2019	Roland M. Mathys Release No. LR-24500 See Also: SEC Amended Complaint
June 12, 2019	Christopher Salis, et al. Release No. LR-24499
June 11, 2019	Steven Fishoff, et al. Release No. LR-24498
June 11, 2019	Kimberly Pine Kitts Release No. LR-24497
June 11, 2019	DFRF Enterprises LLC, et al. Release No. LR-24496
June 10, 2019	Leon Vaccarelli, et al. Release No. LR-24495
June 7, 2019	Town of Oyster Bay, et al. Release No. LR-24494
June 6, 2019	Kik Interactive Release No. LR-24493 See Also: SEC Complaint
June 5, 2019	Longfin Corp. and Venkata S. Meenavalli, Longfin et. al Release No. LR-24492 See Also: SEC Complaint
June 5, 2019	Peter Baker, Prestige Global Trading, Ltd., Elizabeth Oharriz, Diversified Initiatives Consulting & Logistics, Inc., and Sienna Business Group, Inc. Release No. LR-24491
June 5, 2019	Einstein Investments LLC Release No. LR-24490
June 4, 2019	Covalent Collective, Inc. Release No. LR-24489
June 4, 2019	TelexFree, Inc. et al. Release No. LR-24488
June 4, 2019	James E. Hocker Release No. LR-24487
June 3, 2019	Syed Arham Arbab, Artis Proficio Capital Investments, LLC, and Artis Proficio Capital Management, LLC Release No. LR-24486 See Also: SEC Complaint
May 31, 2019	Craig H. Carton, et al. Release No. LR-24485
May 30, 2019	Donald A. Milne III, et al. Release No. LR-24484 See Also: SEC Complaint
May 29, 2019	George Slowinski Release No. LR-24483 See Also: SEC Complaint
May 29, 2019	Henry Ford et al. Release No. LR-24482 See Also: SEC Complaint
May 28, 2019	James Alan Craig Release No. LR-24481
May 24, 2019	David Sims, et al. Release No. LR-24480 See Also: SEC Complaint
May 23, 2019	Savraj Gata-Aura (a/k/a Samuel Aura a/k/a Sam Aura) and Core Agents, Ltd. (d/b/a Core Agents International, Ltd.) Release No. LR-24479 See Also: SEC Complaint
May 23, 2019	Daniel Pacheco, et al. Release No. LR-24478 See Also: SEC Complaint
May 23, 2019	Robert C. Morgan Release No. LR-24477 See Also: SEC Complaint
May 22, 2019	Robert S. Davis, Jr., et al. Release No. LR-24476 See Also: SEC Complaint
May 22, 2019	Howard M. Appel Release No. LR-24475
May 21, 2019	Natural Diamonds Investment Co., Eagle Financial Diamond Group Inc A/K/A Diamante Atelier, Argyle Coin, LLC, Jose Angel Aman, Harold Seigel, and Jonathan H. Seigel, et al. Release No. LR-24473 See Also: SEC Complaint
May 21, 2019	Mark "Christian" Ramsey Release No. LR-24474
May 20, 2019	David N. Osegueda, Ishmail Calvin Ross, aka Calvin Ross, Zachary R. Logan, and Jessica Snyder, fka Jessica Gutierrez Release No. LR-24472 See Also: SEC Complaint
May 20, 2019	Tracson McLeod Release No. LR-24471
May 17, 2019	Andrew I. Farmer, Scott R. Sieck, Eddie D. Austin, Jr., Carolyn P. Austin, and John D. Brotherton Release No. LR-24470 See Also: SEC Complaint
May 15, 2019	Collector's Coffee (d/b/a Collectors Café), and Mykalai Kontilai Release No. LR-24469 See Also: SEC Complaint
May 14, 2019	Brian Fettner, et al. Release No. LR-24468 See Also: SEC Complaint
May 13, 2019	Robert M. Morano Release No. LR-24467
May 9, 2019	Danny R. Williams Release No. LR-24466 See Also: SEC Complaint
May 9, 2019	Lloyd Schuman and Dane Janes (Corrected Version) Release No. LR-24465 See Also: SEC Complaint

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