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
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	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. 23, 2019	Carlos Ghosn and Gregory L. Kelly Release No. LR-24606, AAER-4088 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	Bio Defense Corporation, et al. Release No. LR-24592
Sept. 13, 2019	Adam Mattessich and Joseph (a/k/a Jay) Ludovico Release No. LR-24591
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
Sept. 12, 2019	Timothy W. Crawford, et al. Release No. LR-24590
Sept. 10, 2019	Strategic Capital Management, LLC and Michael J. Breton Release No. LR-24589
Sept. 6, 2019	Toon Goggles Inc., et al. Release No. LR-24588 See Also: SEC Complaint
Sept. 5, 2019	Keith G. Daubenspeck and Geoffrey L. Homer Release No. LR-24587 See Also: SEC Complaint
Sept. 5, 2019	E. Herbert Hafen Release No. LR-24586 See Also: SEC Complaint
Sept. 4, 2019	John F. Thomas, Thomas Becker, Douglas Martin, Paul Hanson, Damian Ostertag, Einstein Sports Advisory, LLC, QSA, LLC, Vegas Basketball Club, LLC, Vegas Football Club, LLC, Wellington Sports Club, LLC, Welscorp, Inc. and Executive Financial Services, Inc. Release No. LR-24585 See Also: SEC Complaint
Sept. 3, 2019	Jayat P. Kanetkar and Guaranteed Investigations, Inc. Release No. LR-24584 See Also: SEC Complaint
Aug. 30, 2019	Morrie Tobin et al. Release No. LR-24583 See Also: SEC Complaint
Aug. 29, 2019	Bitqyck, Inc., Bruce E. Bise, and Samuel J. Mendez Release No. LR-24582 See Also: SEC Complaint
Aug. 29, 2019	Cetera Advisors, LLC Release No. LR-24581 See Also: SEC Complaint
Aug. 29, 2019	Cambridge Capital Group Advisors, LLC (f/k/a Cambridge Capital Advisors, LLC), et al. Release No. LR-24580 See Also: SEC Complaint
Aug. 29, 2019	Live Well Financial, Inc., Michael C. Hild, Eric Rohr, and Darren Stumberger Release No. LR-24579 See Also: SEC Complaint
Aug. 29, 2019	William Hutchinson a/k/a William Cluxton Release No. LR-24578 See Also: SEC Complaint
Aug. 27, 2019	Michael A. Carroll, Michael V. Pappagallo, Steven A. Splain, and Michael Mortimer Release No. LR-24577 See Also: SEC Complaint
Aug. 27, 2019	Marcus Boggs Release No. LR-24576 See Also: SEC Complaint
Aug. 27, 2019	Hartman Wright Group, LLC and Tytus W. Harkins Release No. LR-24575 See Also: SEC Complaint
Aug. 26, 2019	Motty Mizrahi et al. Release No. LR-24574
Aug. 22, 2019	Terry Wayne Kelly and Kelly Management, LLC Release No. LR-24573 See Also: SEC Complaint
Aug. 20, 2019	Andrew J. Kandelapas Release No. LR-24572 See Also: SEC Complaint
Aug. 19, 2019	Crystal World Holdings, Inc., et al. Release No. LR-24571 See Also: SEC Complaint
Aug. 19, 2019	Scott P. Strochak Release No. LR-24570 See Also: SEC Complaint
Aug. 16, 2019	Samuel Brown, et al. Release No. LR-24569
Aug. 16, 2019	Bill Tsai Release No. LR-24568 See Also: SEC Complaint
Aug. 16, 2019	Hani Zeini Release No. LR-24567
Aug. 16, 2019	Jehu Hand, et al. Release No. LR-24566
Aug. 15, 2019	Alan G. Heide Release No. LR-24565 See Also: SEC Complaint
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	Stuart Frost and Frost Management Company, LLC Release No. LR-24560 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. 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	William J. Milles, Jr. and Donald J. Lutzko Release No. LR-24538 See Also: SEC Complaint
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 17, 2019	AR Capital, LLC, et al. Release No. LR-24537 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 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	Amrit J. S. Chahal Release No. LR-24517
June 27, 2019	Henry Sargent et al. Release No. LR-24516 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 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

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