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
Oct. 11, 2018	Merrill, et al. Release No. LR-24313
Oct. 10, 2018	Ross B. Shapiro, Michael A. Gramins and Tyler G. Peters Release No. LR-24312 See Also: SEC Complaint , Administrative Proceedings Release
Oct. 10, 2018	Dennis Wayne Hamilton Release No. LR-24311
Oct. 9, 2018	FX & Beyond Corporation et al. Release No. LR-24310
Oct. 9, 2018	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-24309
Oct. 9, 2018	Jeffre James and Saint James Holding and Investment Company Trust Release No. LR-24308
Oct. 5, 2018	Todd Elliott Hitt, Kiddar Capital LLC, Kiddar Group Holdings, Inc., as Defendants, and Kiddar Herndon Station LLC, Kiddar Homebuilding Fund I LLC, Melbourne Retreat LLC, Kiddar Mass Ave LLC, Kiddar Ridgeview LLC, ESA Emerson LLC, ESA Highwood LLC, and Kiddar AQ LLC a/k/a Kiddar Aquicore LLC, as Relief Defendants Release No. LR-24307 See Also: SEC Complaint
Oct. 5, 2018	Robert O. Carr and Katherine M. Hanratty Release No. LR-24306
Oct. 3, 2018	Ifitikar Ahmed, et al. Release No. LR-24305
Oct. 3, 2018	Roger Knox et al. Release No. LR-24304 See Also: SEC Complaint
Oct. 3, 2018	Russell Craig and OneStep Financial Services, LLC Release No. LR-24303 See Also: SEC Complaint
Oct. 1, 2018	Salix Pharmaceuticals, Ltd., Adam C. Derbyshire Release No. LR-24302 See Also: Ltd. Complaint , Adam C. Derbyshire Complaint
Sept. 28, 2018	Michael A. Bressman Release No. LR-24300 See Also: SEC Complaint
Sept. 28, 2018	Jehu Hand and Antonio Katz Release No. LR-24299
Sept. 28, 2018	Bryan R. Ziegenfuse Release No. LR-24298 See Also: SEC Complaint
Sept. 28, 2018	Thomas Carter Ronk Release No. LR-24297 See Also: SEC Complaint
Sept. 28, 2018	Carlos I. Uresti and Stanley P. Bates Release No. LR-24296 See Also: SEC Complaint
Sept. 28, 2018	Nutra Pharma Corp. et al Release No. LR-24295 See Also: SEC Complaint
Sept. 28, 2018	Edward J. Kosinski Release No. LR-24294
Sept. 28, 2018	NL Technology, LLC et al. Release No. LR-24293 See Also: SEC Complaint
Sept. 28, 2018	Thomas J. Connerton and Safety Technologies LLC Release No. LR-24292
Sept. 28, 2018	Goldsky Asset Management, LLC and Kenneth Grace Release No. LR-24291 See Also: SEC Complaint
Sept. 28, 2018	TelexFree, Inc. et al. Release No. LR-24301
Sept. 27, 2018	Andrew J. Kandelapas Release No. LR-24290
Sept. 27, 2018	James Thomas Bramlette, the Pelorus Group, LLC, Anthony Mark Hartman, Private Placement Capital Notes II, LLC, Stone Mountain Equities, LLC, Travis Kozlowski, Entelecus Fund, LLC, Aaron John Wernli Release No. LR-24289 See Also: SEC Complaint
Sept. 26, 2018	William C. Skelley and Sohin S. Shah Release No. LR-24288 See Also: SEC Complaint
Sept. 25, 2018	John Gregory Schmidt Release No. LR-24287 See Also: SEC Complaint
Sept. 24, 2018	Adam Rentzer Release No. LR-24286 See Also: SEC Complaint
Sept. 21, 2018	Hope Advisors, LLC, et al. Release No. LR-24285
Sept. 21, 2018	Tarek D. Bahgat, Lauramarie Colangelo, and WealthCFO, LLC Release No. LR-24284 See Also: SEC Complaint
Sept. 21, 2018	Jason W. Galanis, et al. Release No. LR-24283
Sept. 21, 2018	James Douglas Miller Release No. LR-24282, AAER-3986 See Also: SEC Complaint
Sept. 20, 2018	World Tree Financial, LLC, et al. Release No. LR-24278 See Also: SEC Complaint
Sept. 20, 2018	Homero Joshua Garza, GAW Miners, LLC, and ZenMiner, LLC Release No. LR-24281
Sept. 20, 2018	CSIR Group, LLC, et al. Release No. LR-24280
Sept. 20, 2018	Michael L. LaPenna Release No. LR-24279 See Also: SEC Complaint File Number: 3-18787
Sept. 19, 2018	Tamara Steele and Steele Financial, Inc. Release No. LR-24276 See Also: SEC Complaint
Sept. 19, 2018	Hani Zeini and Sientra, Inc. Release No. LR-24275 See Also: SEC Complaint
Sept. 18, 2018	Emil Botvinnik and Jovannie Aquino Release No. LR-24277 See Also: SEC Complaint - Jovannie Aquino , SEC Complaint - Emil Botvinnik
Sept. 18, 2018	Ernest J. Romer, III Release No. LR-24274 See Also: SEC Complaint
Sept. 18, 2018	Clovis Oncology, Inc., Patrick J. Mahaffy, and Erle T. Mast Release No. LR-24273 See Also: SEC Complaint
Sept. 18, 2018	SeaWorld Entertainment, Inc. and James Atchison, Frederick D. Jacobs Release No. LR-24272 See Also: SeaWorld Complaint , Jacobs Complaint
Sept. 18, 2018	John Paul Waymack Release No. LR-24271 See Also: Application , Memo
Sept. 17, 2018	Thomas J. Caufield Release No. LR-24270 See Also: SEC Complaint
Sept. 14, 2018	Arista Power, Inc., et al. Release No. LR-24268
Sept. 14, 2018	Rong Chen, et al. Release No. LR-24269 See Also: SEC Complaint
Sept. 13, 2018	Gregory Lemelson, Lemelson Capital Management, LLC, and The Amvona Fund Release No. LR-24267 See Also: SEC Complaint
Sept. 12, 2018	Laura, et al. Release No. LR-24266 See Also: SEC Complaint
Sept. 12, 2018	Adam C. Wasserman Release No. LR-24265, AAER-3971 See Also: SEC Complaint
Sept. 10, 2018	Nevada Sports Investment Group, LP Release No. LR-24264 See Also: SEC Complaint
Sept. 10, 2018	Contrarian Investments, LLC Release No. LR-24263 See Also: SEC Complaint
Sept. 7, 2018	Barry C. Honig, et al. Release No. LR-24262 See Also: SEC Complaint
Sept. 7, 2018	Christopher Davies, et al. Release No. LR-24261 See Also: SEC Complaint
Sept. 6, 2018	In Ovations Holdings, Inc. and Mark Goldberg Release No. LR-24260 See Also: SEC Complaint
Sept. 6, 2018	Joel N. Burstein Release No. LR-24259 See Also: SEC Complaint
Sept. 6, 2018	Steven H. Davis, et al. Release No. LR-24258
Sept. 5, 2018	Jeffrey Goldman and Christopher Eikenberry Release No. LR-24257 See Also: SEC Complaint
Sept. 5, 2018	Robert William Dorrance Release No. LR-24256 See Also: SEC Complaint
Sept. 4, 2018	Tangoe, Inc. et. al. Release No. LR-24255 See Also: SEC Complaint
Aug. 31, 2018	Scott Stacy Phelps and James Michael Harper Release No. LR-24254 See Also: SEC Complaint
Aug. 30, 2018	Grenda Group, LLC, et al. Release No. LR-24253 See Also: SEC Complaint
Aug. 30, 2018	Kendricks, et al. Release No. LR-24252 See Also: SEC Complaint
Aug. 30, 2018	Amer Deeba Release No. LR-24251 See Also: SEC Complaint
Aug. 29, 2018	John A. Henderson and Global Resources Leadership, LLC Release No. LR-24250 See Also: Application
Aug. 29, 2018	1 Global Capital, LLC, Carl Ruderman, et al. Release No. LR-24249 See Also: SEC Complaint
Aug. 28, 2018	Richard J. Greenlaw et al. Release No. LR-24246 See Also: SEC Complaint
Aug. 28, 2018	Sandy J. Masselli, Jr. et al. Release No. LR-24248 See Also: SEC Complaint
Aug. 28, 2018	Equitybuild, Inc. et al. Release No. LR-24247
Aug. 23, 2018	Fishoff, et al. Release No. LR-24245 See Also: SEC Complaint
Aug. 23, 2018	Gary S. Williky Release No. LR-24244 See Also: s Remedies Motion
Aug. 22, 2018	Barry M. Kornfeld, et al., Lynette M. Robbins and Knowles Systems, Inc. Release No. LR-24243
Aug. 21, 2018	Harpreet Grewal Release No. LR-24242 See Also: SEC Complaint
Aug. 21, 2018	Intertech Solutions, Inc., William Scott Marshall, David Michael Naylor, and West Port Energy LLC Release No. LR-24241 See Also: SEC Complaint
Aug. 21, 2018	A. Catlin Cade, IV Release No. LR-24240 See Also: SEC Complaint
Aug. 21, 2018	Eric P. Lesak, Global Research, LLC (PA), Global Research, LLC (NY) Release No. LR-24239 See Also: SEC Complaint
Aug. 20, 2018	Medient Studios, Inc. et al. Release No. LR-24238 See Also: SEC Complaint - Medient , SEC Complaint - Shapiro
Aug. 20, 2018	Equitybuild, Inc. et al. Release No. LR-24237 See Also: SEC Complaint
Aug. 16, 2018	Lauren Zarksy, Dorothy Zarsky Release No. LR-24236
Aug. 14, 2018	TelexFree, Inc. et al. Release No. LR-24235
Aug. 13, 2018	Alexander Charles White and Paul Douglas Vandivier Release No. LR-24234 See Also: SEC Complaint
Aug. 13, 2018	Chad Anthony Lewis Release No. LR-24233 See Also: SEC Complaint
Aug. 10, 2018	Roger Duffield and Plandai Biotechnology, Inc. Release No. LR-24232 See Also: SEC Complaint
Aug. 10, 2018	Christopher Collins, et al., Lauren Zarksy, Dorothy Zarsky Release No. LR-24231 See Also: et al. Complaint , Lauren Zarsky Complaint , Dorothy Zarsky Complaint
Aug. 9, 2018	John C. Maccoll Release No. LR-24230 See Also: SEC Complaint
Aug. 8, 2018	Salvadore D. Palermo Release No. LR-24229 See Also: SEC Complaint
Aug. 8, 2018	Arthur Lamar Adams and Madison Timber Properties, LLC Release No. LR-24228 See Also: Receivership Order
Aug. 7, 2018	City of Victorville, et al. Release No. LR-24227
Aug. 6, 2018	Murakami, et al. Release No. LR-24226
Aug. 3, 2018	Fei Yan, et al. Release No. LR-24225
Aug. 3, 2018	Palm House Hotel LLLP, et al. Release No. LR-24224 See Also: SEC Complaint
Aug. 3, 2018	Moddha Interactive, Inc., Marianne Veronika Sandor, Edward Michael Porrazzo, and Spar Street Release No. LR-24223
Aug. 1, 2018	Lozuk Release No. LR-24222 See Also: SEC Complaint , Deferred Prosecution Agreement
Aug. 1, 2018	Madan Release No. LR-24221 See Also: SEC Complaint
July 31, 2018	David A. Harbour Release No. LR-24220 See Also: SEC Complaint
July 30, 2018	Howard M. Appel Release No. LR-24219 See Also: SEC Complaint
July 26, 2018	John A. Paulsen Release No. LR-24218 See Also: SEC Complaint
July 26, 2018	Robert Gadimian Release No. LR-24217
July 26, 2018	Rudden, et al. Release No. LR-24216 See Also: SEC Complaint
July 25, 2018	Christopher A. Faulkner, et. al. Release No. LR-24214
July 25, 2018	Richard T. Cunniffe Release No. LR-24215 See Also: SEC Complaint

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