Litigation Releases

The list below provides links to litigation releases concerning civil actions brought by the Commission in federal court.

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Date Sort descending	Respondents
April 13, 2018	William Betta, Jr., Travis A. Branch, James J. Caprio, Troy L. Gagliardi, Russell M. Kautz, Barry M. Kornfeld, Shane A. McCann, Clifford A. Popper, Alfred B. Rubin, and Steven I. Shrago Release No. LR-24112
April 13, 2018	Andrew J. Kandelapas Release No. LR-24111
April 12, 2018	Iftikar Ahmed, et al. Release No. LR-24110
April 11, 2018	Capital Cove Bancorp LLC and Christopher M. Lee aka Rashid K. Khalfani Release No. LR-24109
April 11, 2018	William C. Gennity and Rocco Roveccio Release No. LR-24108 See Also: SEC Complaint
April 10, 2018	The Lifepay Group, LLC, et. al. Release No. LR-24107 See Also: SEC Complaint
April 9, 2018	Longfin Corp., et al. Release No. LR-24106
April 9, 2018	Benjamin Wey, et al. Release No. LR-24105
April 5, 2018	Saverio J. Barbera Release No. LR-24104 See Also: SEC Complaint
April 5, 2018	Ikenna Ikokwu, et al. Release No. LR-24103
April 5, 2018	CSIR Group, LLC, et al. Release No. LR-24102
April 5, 2018	Merrill Robertson, Jr., et al. Release No. LR-24101
April 5, 2018	William R. Schantz III and Verto Capital Management LLC Release No. LR-24100
April 5, 2018	Joseph Meli, et al., Craig H. Carton, et al. Release No. LR-24099
April 5, 2018	Peter H. Pocklington, Lantson E. Eldred, Terrence J. Walton, Yolanda C. Velazquez a/k/a Lana Velazquez a/k/a Lana Puleo, Vanessa Puleo, Robert A. Vanetten, Nova Oculus Partners, LLC f/k/a The Eye Machine, LLC, and AMC Holdings, LLC Release No. LR-24098 See Also: SEC Complaint
April 5, 2018	Charlie Jinan Chen and Shui Foon Mok Release No. LR-24097 See Also: SEC Complaint
April 4, 2018	Christopher James Lollar Release No. LR-24096 See Also: SEC Complaint
April 4, 2018	Shane P. Fleming, et al. Release No. LR-24095 See Also: SEC Complaint
April 4, 2018	Michael Scronic Release No. LR-24094 See Also: SEC Complaint
April 4, 2018	Mohammed Ali Rashid Release No. LR-24093 See Also: SEC Complaint
April 4, 2018	Michael A. Liberty, et al. Release No. LR-24092 See Also: SEC Complaint
April 4, 2018	Gregory M. Bercowy Release No. LR-24091 See Also: SEC Complaint
April 2, 2018	Sohrab ("Sam") Sharma and Robert Farkas Release No. LR-24090 See Also: SEC Complaint
March 30, 2018	Kirbyjon Hines Caldwell et al., Shae Yatta Harper Release No. LR-24089 See Also: Caldwell and Smith , Harper
March 29, 2018	AriseBank, Jared Rice Sr., and Stanley Ford Release No. LR-24088 See Also: SEC Complaint , SEC Amended Complaint
March 28, 2018	DaRayl D. Davis and Affluent Advisory Group, LLC Release No. LR-24087 See Also: SEC Complaint
March 28, 2018	Nauman A. Aly Release No. LR-24086 See Also: Order
March 27, 2018	Rio Tinto plc, Rio Tinto Limited, Thomas Albanese and Guy Robert Elliott Release No. LR-24085
March 26, 2018	Joseph Spera, et al. Release No. LR-24084
March 26, 2018	Brian Hirsch, et al. Release No. LR-24083
March 26, 2018	Akorn, Inc., Timothy Dick, and David Hebeda Release No. LR-24082, AAER-3931 See Also: SEC Complaint
March 26, 2018	REcoin Group Foundation, et al. Release No. LR-24081
March 23, 2018	Spark Trading Group LLC and Niket Shah Release No. LR-24080 See Also: SEC Complaint
March 23, 2018	PlexCorps, et al. Release No. LR-24079 See Also: SEC Complaint
March 23, 2018	Jon E. Montroll and Bitfunder Release No. LR-24078 See Also: SEC Complaint
March 22, 2018	Robert W. Murray Release No. LR-24075 See Also: SEC Complaint
March 22, 2018	American Bondholders Foundation, LLC Release No. LR-24074 See Also: SEC Complaint
March 22, 2018	Jun Ying Release No. LR-24073 See Also: SEC Complaint
March 22, 2018	Howard B. Present Release No. LR-24077 See Also: SEC Complaint
March 22, 2018	McKinley Mortgage Co. LLC, et al. Release No. LR-24076 See Also: SEC Complaint
March 21, 2018	Revolutions Medical Corp., et al. Release No. LR-24072 See Also: Final Judgment
March 21, 2018	Nicholas J. Genovese, Willow Creek Investments, LP, and Willow Creek Advisors, LLC Release No. LR-24071
March 19, 2018	Steven Metro Release No. LR-24070
March 19, 2018	Elizabeth Holmes, et al. and Ramesh "Sunny" Balwani Release No. LR-24069
March 19, 2018	Americrude, et. al. Release No. LR-24068 See Also: SEC Complaint
March 16, 2018	Beaufort Securities Ltd. and Panayiotis Kyriacou a/k/a Peter Kyriacou; Dennis J. Mancino, William T. Hirschy, DJK Investments 10 Inc., TJM Investments Inc., and WT Consulting Group, LLC Release No. LR-24067 See Also: Beaufort Securities Ltd. and Panayiotis Kyriacou , LLC
March 8, 2018	Jeffrey O. Friedland, Global Corporate Strategies LLC, and Intiva Pharma LLC, Defendants, and Lane 6552 LLC, Kathy B. Friedland, Aspen Upper Ranch LLC, Assurance Management, LLC, and The Jeffrey and Kathy Friedland Irrevocable Trust, Relief Defendants , Case. Release No. LR-24066 See Also: SEC Complaint
March 8, 2018	Robert M. Morano Release No. LR-24065
March 5, 2018	Jersey Consulting LLC Release No. LR-24064 See Also: SEC Complaint
March 5, 2018	Edward Henderson Release No. LR-24063
March 5, 2018	AVEO Pharmaceuticals, Inc., et al. Release No. LR-24062
March 5, 2018	Stefan Lumiere Release No. LR-24061
March 1, 2018	Steven J. Muehler, Claudia M. Muehler, Koorosh "Danny" Rahimi, AltaVista Capital Markets, LLC, AltaVista Private Client, LLC, and AltaVista Securities, LLC Release No. LR-24060 See Also: SEC Complaint
March 1, 2018	Leonard Genova Release No. LR-24059 See Also: SEC Complaint
Feb. 28, 2018	Analytica Bio-Energy Corp., et al., Marvin Winick Release No. LR-24058 See Also: SEC Complaint
Feb. 28, 2018	AmeraTex Energy, Inc., et al Release No. LR-24057 See Also: SEC Complaint
Feb. 28, 2018	Yang Xie Release No. LR-24056 See Also: SEC Complaint
Feb. 26, 2018	Dedicated Sound and Audio, Inc., et al. Release No. LR-24055 See Also: SEC Complaint
Feb. 21, 2018	Strong Investment Management, Joseph B. Bronson (f/k/a Joseph B. Engebretson), and John B. Engebretson Release No. LR-24054 See Also: SEC Complaint
Feb. 20, 2018	Eric McPhail, et al. Release No. LR-24053
Feb. 16, 2018	Daniel Thibeault, et al. Release No. LR-24052
Feb. 16, 2018	Sharone Perlstein, et al., Jonathan Strum, Alan Weinberg, et al. Release No. LR-24051, AAER-3923 See Also: Sharone Perlstein et al. , Jonathan Strum , Baer LLC
Feb. 15, 2018	Commonwealth Advisors, Inc. and Walter A. Morales Release No. LR-24050
Feb. 15, 2018	Southridge Capital Management LLC, et al. Release No. LR-24049
Feb. 14, 2018	Kevin J. Amell Release No. LR-24048
Feb. 14, 2018	Terrence LeGall Release No. LR-24047
Feb. 14, 2018	Brian S. Block, et al. Release No. LR-24046, AAER-3921
Feb. 13, 2018	Timothy S. Batchelor Release No. LR-24045 See Also: SEC Complaint
Feb. 12, 2018	Geoffrey H. Lunn, et al. Release No. LR-24043
Feb. 12, 2018	Todd M. LaVelle Release No. LR-24044 See Also: SEC Complaint
Feb. 8, 2018	American Bondholders Foundation, LLC Release No. LR-24042
Feb. 2, 2018	Hadsell Chemical Processing, LLC and Robert Walton, Jr. Release No. LR-24041
Feb. 2, 2018	Tom Simeo Release No. LR-24040
Feb. 2, 2018	Boston Trading and Research, LLC, et al. Release No. LR-24039
Feb. 2, 2018	Nicholas J. Genovese, Willow Creek Investments, LP, and Willow Creek Advisors, LLC Release No. LR-24038 See Also: SEC Complaint
Jan. 31, 2018	James S. Polese, et al. Release No. LR-24037 See Also: SEC Complaint
Jan. 30, 2018	Pawel P. Dynkowski, et al. Release No. LR-24036
Jan. 26, 2018	One or More Unknown Traders in the Securities of Bioverativ, Inc. Release No. LR-24035 See Also: SEC Complaint
Jan. 25, 2018	Robert L. Sonfield, Jason Landess, et al. Release No. LR-24034
Jan. 24, 2018	Robert H. Shapiro, Woodbridge Group of Companies, LLC, et al. Release No. LR-24032 See Also: SEC Order
Jan. 24, 2018	Quicksilver Stock Transfer and Alan Shinderman Release No. LR-24033 See Also: SEC Complaint
Jan. 22, 2018	Hoplon Financial Group et al. Release No. LR-24031 See Also: SEC Complaint
Jan. 22, 2018	Ash Narayan, The Ticket Reserve Inc. a/k/a Forward Market Media, Inc., Richard M. Harmon, and John A. Kaptrosky Release No. LR-24030 See Also: SEC Complaint
Jan. 22, 2018	Daniel H. Glick, et al Release No. LR-24029
Jan. 11, 2018	David S. Haddad, et al. Release No. LR-24028 See Also: SEC Complaint
Jan. 9, 2018	David B. Kaplan, Esq., et al. Release No. LR-24027
Jan. 8, 2018	Joseph A. Rubbo, et al. Release No. LR-24026
Jan. 5, 2018	Malachi Financial Products, Inc., et al. Release No. LR-24025 See Also: SEC Complaint
Jan. 5, 2018	Owen H. Naccarato Release No. LR-24024 See Also: SEC Complaint
Jan. 3, 2018	Khaled "Kal" Bassily Release No. LR-24023
Dec. 26, 2017	Anvil Partners, Inc. Release No. LR-24021 See Also: Contempt Order
Dec. 26, 2017	Gaughran, et al. Release No. LR-24022 See Also: Complaint
Dec. 21, 2017	Robert H. Shapiro, Woodbridge Group of Companies, LLC, et al. Release No. LR-24020 See Also: SEC Complaint
Dec. 21, 2017	Stephen C. Peters, VisionQuest Wealth Management, LLC, VisionQuest Capital, LLC, and VQ Wealth, LLC Release No. LR-24019 See Also: SEC Complaint
Dec. 20, 2017	Matrix Capital Markets, LLC, Nicholas M. Mitsakos and Courtlin L. Holt-Nguyen Release No. LR-24018
Dec. 20, 2017	Ronald A. Fossum, Jr. and Alonzo R. Cahoon Release No. LR-24017 See Also: SEC Complaint
Dec. 18, 2017	Jason A. Wallace Release No. LR-24016
Dec. 14, 2017	Lanny Brown, et al. Release No. LR-24015 See Also: SEC Complaint
Dec. 14, 2017	Justin D. Meadlin and Hyaline Capital Management, LLC Release No. LR-24014
Dec. 14, 2017	Louis G. Mohlman, Jr., Mohlman Asset Management, LLC, and Mohlman Asset Management Fund, LLC Release No. LR-24011 See Also: SEC Complaint

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