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
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	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 14, 2019	Alton Perkins, et al. Release No. LR-24502 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	Einstein Investments LLC Release No. LR-24490
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 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	Mark "Christian" Ramsey Release No. LR-24474
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 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
May 6, 2019	Rocco Roveccio Release No. LR-24464 See Also: Administrative Proceedings Release
April 29, 2019	James Siniscalchi Release No. LR-24463 See Also: SEC Complaint
April 29, 2019	One or More Unknown Traders in the Securities of Anadarko Petroleum Corp. Release No. LR-24462 See Also: SEC Complaint
April 26, 2019	Christopher D. Dougherty, et al. Release No. LR-24461 See Also: SEC Complaint
April 25, 2019	Zachary S. Berkey, et al. Release No. LR-24460
April 25, 2019	Celadon Group, Inc. Release No. LR-24459 See Also: SEC Complaint
April 23, 2019	Eric D. Lyons, et al. Release No. LR-24458 See Also: SEC Complaint
April 22, 2019	David M. Loflin Release No. LR-24457 See Also: SEC Complaint
April 19, 2019	Kimberly Sredich Release No. LR-24456 See Also: SEC Complaint
April 18, 2019	Motty Mizrahi et al. Release No. LR-24455
April 18, 2019	Yuh-Yue Chen Release No. LR-24454 See Also: SEC Complaint
April 16, 2019	Quentin Louis Wilcox Release No. LR-24453 See Also: SEC Complaint
April 15, 2019	Lawrence P. Schmidt, Commercial Equity Partners, Ltd, FutureGen Company (d/b/a FutureGen Capital), FGC Distressed Assets Investment #1, LLC; FutureGen Capital DDA CG Fund LLC; FGC Tax Lien Fund #2, LLC; FGC Trading Fund #1 LLC; FGC SPE NO 1 LLC; FGC SPE NO 2 LLC; and FGC CM Note Fund LLC Release No. LR-24452
April 12, 2019	Joseph Meli, et al., Craig H. Carton, et al. Release No. LR-24451 See Also: et al. , Final Judgment as to Relief Defendant Anna Meli , LLC
April 12, 2019	Ivan Acevedo & Dane R. Roseman Release No. LR-24450 See Also: SEC Complaint
April 11, 2019	Arif M. Naqvi and Abraaj Investment Management Limited Release No. LR-24449 See Also: SEC Complaint , and Amended Complaint
April 10, 2019	Paul Bannon Powers Release No. LR-24448 See Also: SEC Complaint
April 10, 2019	Gonzalo Ortiz Release No. LR-24447 See Also: SEC Complaint
April 9, 2019	Bevil et al., Duke et al., Duncan, Saccomanno et al. Release No. LR-24446 See Also: et al. Complaint , Duncan Complaint , et al. Complaint , et al. Complaint
April 8, 2019	Craig H. Carton, et al. Release No. LR-24445
April 5, 2019	Scott Newsholme Release No. LR-24444
April 4, 2019	Jeffrey E. Wall and The Lighthouse Events, LLC Release No. LR-24443 See Also: SEC Complaint
April 4, 2019	AVEO Pharmaceuticals, Inc., et al. Release No. LR-24442
April 4, 2019	Evan R. Kita, et al. Release No. LR-24441, AAER-4038
April 3, 2019	Daniel Mattes Release No. LR-24440 See Also: SEC Complaint
April 3, 2019	Jeffrey C. Mack and Lawrence C. Blaney Release No. LR-24439 See Also: SEC Complaint
April 2, 2019	Robert P. DePalo, et al. Release No. LR-24437
April 2, 2019	Keith Borge Release No. LR-24436 See Also: SEC Complaint
April 2, 2019	Kimberly Pine Kitts Release No. LR-24438
April 1, 2019	Motty Mizrahi and MBIG Company Release No. LR-24435 See Also: SEC Complaint
March 28, 2019	Richard T. Diver Release No. LR-24434 See Also: SEC Complaint
March 26, 2019	James K. McKillop Release No. LR-24433 See Also: SEC Complaint , Application , Administrative Proceedings Release
March 25, 2019	Direct Lending Investments, LLC Release No. LR-24432 See Also: SEC Complaint
March 22, 2019	Barry Honig, et al. Release No. LR-24431 See Also: SEC Amended Complaint
March 20, 2019	Carol Ann Pedersen Release No. LR-24430 See Also: SEC Complaint
March 20, 2019	Frank Morelli III and Louis Buonocore Release No. LR-24429
March 20, 2019	Rhode Island Commerce Corporation (f/k/a Rhode Island Economic Development Corporation), et al. Release No. LR-24428
March 19, 2019	Timothy W. Crawford, et al Release No. LR-24427 See Also: SEC Complaint
March 18, 2019	Kent R.E. Whitney, David Lee Parrish, The Church for the Healthy Self a/k/a CHS Trust, and CHS Asset Management Inc. Release No. LR-24426 See Also: SEC Complaint
March 15, 2019	Edward Withrow, et al. Release No. LR-24425
March 15, 2019	Dale M. Walker Release No. LR-24424 See Also: SEC Complaint
March 15, 2019	Christina Marie Daniels, et al. Release No. LR-24423
March 15, 2019	Volkswagen Aktiengesellschaft, et al. Release No. LR-24422 See Also: SEC Complaint
March 13, 2019	Diane D. Dalmy Release No. LR-24421 See Also: SEC Complaint
March 12, 2019	William Neil "Doc" Gallagher, Gallagher Financial Group, Inc., and W. Neil Gallagher, Ph.D. Agency, Inc. Release No. LR-24420 See Also: SEC Complaint
March 12, 2019	River North Equity LLC, Edward M. Liceaga, Michael A. Chavez, NanoTech Entertainment, Inc., NanoTech Gaming, Inc., David R. Foley, Lisa L. Foley, Jeffrey A. Foley, and Bennie L. Blankenship Release No. LR-24419 See Also: SEC Complaint
March 6, 2019	Goldsky Asset Management, LLC and Kenneth Grace Release No. LR-24418
March 4, 2019	William C. Gennity Release No. LR-24416 See Also: Administrative Proceedings Release
March 4, 2019	MinTrade Technologies, LLC, Carla Marin Release No. LR-24415
March 4, 2019	Rong Chen, et al. Release No. LR-24417
March 1, 2019	John Gregory Schmidt Release No. LR-24414

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