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
Feb. 6, 2012	W. Anthony Huff, Defendant-Appellant, and Sheri Huff and Midwest Merger Management, LLC, Relief Defendants-Appellants Release No. LR-22253
Feb. 6, 2012	Smith & Nephew PLC Release No. LR-22252, AAER-3363 See Also: SEC Complaint
Feb. 3, 2012	Todd Leslie Treadway Release No. LR-22251
Feb. 2, 2012	Cutillo et al. Release No. LR-22250
Feb. 2, 2012	Lloyd V. Barriger Release No. LR-22249
Feb. 2, 2012	Robert J. Therrien Release No. LR-22248
Feb. 1, 2012	Kareem Serageldin et al. Release No. LR-22247
Jan. 31, 2012	Francisco Illarramendi, Highview Point Partners, LLC and Michael Kenwood Capital Management, LLC, as Defendants, and Highview Point Master Fund, Ltd., Highview Point Offshore, Ltd., Highview Point LP, Michael Kenwood Asset Management, LLC, Michael Kenwood Energy and Infrastructure LLC, and MKEI Solar, LP, as Relief Defendants Release No. LR-22245
Jan. 31, 2012	John J. Todd, Robert D. Manza, and Jeffrey Weitzen Release No. LR-22244, AAER-3361
Jan. 31, 2012	Christopher T. Vulliez, et al. Release No. LR-22246
Jan. 30, 2012	Robert Chiu (a/k/a Chi Hung Chiu); James Li (a/k/a Ching Hua Li), Thomas Chow (a/k/a Man Kit Chow), Roger Kao (a/k/a Chao Chun Kao), Christopher Liu (a/k/a Chi Lei Liu), and Wayne A. Pratt Release No. LR-22243, AAER-3360 See Also: SEC Complaint
Jan. 30, 2012	Marcin Malarz et al. Release No. LR-22242
Jan. 30, 2012	Richard J. Senior et al. and Brian S. Moore Release No. LR-22241 See Also: SEC Complaint v. Senior et al. , SEC Complaint v. Moore
Jan. 26, 2012	First Resource Group LLC, and David H. Stern Release No. LR-22240 See Also: SEC Complaint
Jan. 26, 2012	Integrity Financial AZ, LLC, Steven R. Long, Stanley M. Paulic, Walter W. Knitter, and Robert C. Koeller Release No. LR-22239
Jan. 26, 2012	Igors Nagaicevs Release No. LR-22238 See Also: SEC Complaint
Jan. 25, 2012	Len A. Familant and Paul V. Greene Release No. LR-22237, AAER-3356 See Also: SEC Complaint
Jan. 25, 2012	(Intentionally omittted) Release No. LR-22235
Jan. 25, 2012	Mark Anthony Longoria, et al. Release No. LR-22236
Jan. 24, 2012	Robert Ward, Benjamin Lewis, Stanley Lewis, and Jamie Lewis Release No. LR-22234 See Also: SEC Complaint
Jan. 24, 2012	Dale Shafer, Joseph Mroz and Jason Gonski Release No. LR-22233 See Also: SEC Complaint
Jan. 24, 2012	Carlo G. Chiaese, et al. Release No. LR-22232
Jan. 23, 2012	Eric Aronson, Vincent Buonauro, Jr., Robert Kondratick, Fredric Aaron, PermaPave Industries, LLC, PermaPave USA Corp., PermaPave Distributions, Inc., Permeable Solutions, Inc., Verigreen, LLC, and Interlink-US-Network, Ltd., Defendants, and Caroline Aronson, Deborah Buonauro, DASH Development, LLC, Aron Holdings, Inc., PermaPave Construction Corp., Dymoncrete Industries, LLC, Dymon Rock LI, LLC, and Lumi-Coat, Inc., Relief Defendants Release No. LR-22231
Jan. 18, 2012	Spyridon Adondakis, Anthony Chiasson, Sandeep Goyal, Jon Horvath, Danny Kuo, Todd Newman, Jesse Tortora, Diamondback Capital Management, LLC, and Level Global Investors, L.P. Release No. LR-22230 See Also: SEC Complaint
Jan. 18, 2012	BankAtlantic Bancorp., Inc. and Alan Levan Release No. LR-22229 See Also: SEC Complaint
Jan. 18, 2012	Burton Douglas Morriss, et al. Release No. LR-22228 See Also: SEC Complaint
Jan. 17, 2012	Farzin Bazshushtari Release No. LR-22227 See Also: SEC Complaint
Jan. 13, 2012	Compania International Financiera S.A., et al. Release No. LR-22226
Jan. 11, 2012	Imperiali, Inc. Release No. LR-22224, AAER-3355 See Also: SEC Complaint
Jan. 11, 2012	Earl C. Arrowood and Parker H. "Pete" Petit Release No. LR-22223 See Also: SEC Complaint
Jan. 11, 2012	Allen E. Weintraub and AWMS Acquisitions, Inc., d/b/a Sterling Global Holdings Release No. LR-22225
Jan. 10, 2012	Kathleen S. Dobens, Charles T. Dobens, Joseph A. Roche, Silex Group, LLC, Preakness Apartments I & II, LLC, Cherry Hills Apartments of Forth Worth, LLC, and Clear River Partners, LLC, as Defendants, and East Coast Investment Solutions, LLC, The Dobens Company, LLC, Crosscreeks Apartments I and Crosscreeks Apartments II, LLC, as Relief Defendants Release No. LR-22222
Jan. 10, 2012	Todd Farha, et al. Release No. LR-22221, AAER-3353 See Also: SEC Complaint
Jan. 4, 2012	JBI, Inc., John Bordynuik and Ronald Baldwin, Jr. Release No. LR-22220, AAER-3352 See Also: SEC Complaint
Jan. 4, 2012	Life Partners Holdings, Inc., Brian D. Pardo, R. Scott Peden and David M. Martin Release No. LR-22219, AAER-3351
Jan. 4, 2012	Kevin J. Wilcox, Jennifer E. Thoennes, and Eric R. Nelson Release No. LR-22218
Jan. 3, 2012	Edward L. Moskop and Financial Services Moskop & Associates, Inc. Release No. LR-22217
Jan. 3, 2012	Jeffrey L. Mowen, Thomas R. Fry, Bevan J. Wilde, Gary W. Hansen, Michael G. Butcher, James B. Mooring, David G. Bartholomew, and Michael W. Averett, Defendants, and Erin O’Malley, f/k/a Erin O. Mowen, Relief Defendant Release No. LR-22216
Jan. 3, 2012	Chalmer E. Detling, II, Esq. Release No. LR-22215 See Also: SEC Complaint
Jan. 3, 2012	Charles A. Aiken, et al. Release No. LR-22214 See Also: SEC Complaint
Dec. 29, 2011	Magyar Telekom Plc. and Deutsche Telekom AG and Straub, et al. Release No. LR-22213 See Also: SEC complaint v. the companies , and SEC Complaint v. the executives
Dec. 29, 2011	Shawn R. Merriman et al. Release No. LR-22212
Dec. 28, 2011	Evolution Capital Advisors, et al. Release No. LR-22211
Dec. 23, 2011	GE Funding Capital Market Services, Inc. Release No. LR-22210
Dec. 22, 2011	Alfred S. Teo, Sr., et al. Release No. LR-22209
Dec. 22, 2011	David Ronald Allen, et al. Release No. LR-22208
Dec. 21, 2011	Robert A. Walker, et al; Gary A. Collyard, et al Release No. LR-22207
Dec. 21, 2011	Myron Weiner Release No. LR-22206
Dec. 21, 2011	John R. Easom, et al. Release No. LR-22205 See Also: SEC Complaint
Dec. 20, 2011	Heart Tronics, Inc., et al. Release No. LR-22204 See Also: SEC Complaint
Dec. 20, 2011	Aon Corporation Release No. LR-22203, AAER-3348
Dec. 20, 2011	Enrica Cotellessa-Pitz Release No. LR-22202 See Also: SEC Complaint
Dec. 20, 2011	Mudd, Syron et. al., Release No. LR-22201
Dec. 16, 2011	OCC Holdings, Ltd., et al. Release No. LR-22200
Dec. 16, 2011	Stuart W. Fuhlendorf Release No. LR-22199, AAER-3346
Dec. 16, 2011	Daniel E. Ruettiger, Rocco Brandonisio, Stephen DeCesare, Pawel P. Dynkowski, Kevin S. Kaplan, Gregg R. Mulholland, Mehmet Mustafoglu, Joseph A. Padilla, Angelo R. Panetta, Kevin J. Quinn, Andrea M. Ritchie, Chad P. Smanjak, and Gary J. Yocom Release No. LR-22198 See Also: SEC Complaint
Dec. 16, 2011	FTN Financial Securities Corp. Release No. LR-22197 See Also: SEC Complaint File Number: 3-14632
Dec. 16, 2011	Frederick J. O'Meally et al. Release No. LR-22196
Dec. 15, 2011	Management Solutions, Inc, Wendell A. Jacobson and Allen R. Jacobson Release No. LR-22195 See Also: SEC Complaint
Dec. 15, 2011	All Know Holdings Ltd, et al. Release No. LR-22194 See Also: SEC Complaint
Dec. 15, 2011	Securities Investor Protection Corporation Release No. LR-22193 See Also: Application , and Memorandum
Dec. 13, 2011	Michael Resnick et al. Release No. LR-22192, AAER-3343
Dec. 13, 2011	Marcin Malarz et al. Release No. LR-22191
Dec. 13, 2011	Uriel Sharef, Ulrich Bock, Carlos Sergi, Stephan Signer, Herbert Steffen, Andres Truppel and Bernd Regendantz Release No. LR-22190, AAER-3342 See Also: SEC Complaint
Dec. 12, 2011	Alternative Green Technologies, Inc. Release No. LR-22189 See Also: SEC Complaint
Dec. 12, 2011	Geoffrey J. Eiten and National Financial Communications Corp. Release No. LR-22188 See Also: SEC Complaint
Dec. 12, 2011	Stiefel Laboratories Inc. and Charles W. Stiefel Release No. LR-22187 See Also: SEC Complaint
Dec. 9, 2011	Cutillo et al. Release No. LR-22186
Dec. 9, 2011	Galleon Management, LP, et al. Release No. LR-22185
Dec. 9, 2011	Glenn Grossman, Lawrence Steven Cohen, Shay Keren, And John Zanic Release No. LR-22184
Dec. 8, 2011	Wachovia Bank, N.A., now known as Wells Fargo Bank, N.A., successor by merger Release No. LR-22183 See Also: SEC Complaint
Dec. 7, 2011	Giuseppe Pino Baldassarre, Robert Mouallem, and Malcolm Stockdale Release No. LR-22182
Dec. 6, 2011	The Milan Group, Inc., a/k/a The Milan Trading Group, Inc., Frank L. Pavlico III, a/k/a Frank Lorenzo, Brynee K. Baylor, Baylor & Jackson, P.L.L.C., Mia C. Baldassari, Elmo Baldassari, Brett A. Cooper, Global Funding Systems, LLC, GPH Holdings, LLC, Dawn R. Jackson, Patrick T. Lewis, Susan C. Kevra-Shiner, a/k/a Susan C. Kevra, The Law Office of Susan C. Kevra Release No. LR-22181
Dec. 6, 2011	All Know Holdings Ltd, et al. Release No. LR-22180 See Also: SEC Complaint
Dec. 5, 2011	Integrity Financial AZ, LLC, Steven R. Long, Stanley M. Paulic, Walter W. Knitter, and Robert C. Koeller Release No. LR-22179
Dec. 5, 2011	David Ronald Allen, et al. Release No. LR-22178
Dec. 2, 2011	Michael Lee and ZipGlobal Holdings, Inc.; James Wheeler and Microholdings US, Inc.; and Edward Henderson and Paul Desjourdy Release No. LR-22177 See Also: Inc. , Inc. , SEC Complaint vs. Edward Henderson and Paul Desjourdy
Dec. 2, 2011	Michael R. Balboa and Gilles T. De Charsonville Release No. LR-22176 See Also: SEC Complaint
Dec. 2, 2011	Richard Dalton and Universal Consulting Resources LLC, Defendants, and Marie Dalton, Relief Defendant Release No. LR-22175
Dec. 2, 2011	Nancy S.W. Chu et al. Release No. LR-22174, AAER-3341
Dec. 1, 2011	William J. Reilly Release No. LR-22173
Nov. 30, 2011	Cheng Yi Liang, et al. Release No. LR-22171
Nov. 30, 2011	Jeffrey R. Neufeld and Paridon Capital Management LLC f/k/a Tritone Capital Management, LLC Release No. LR-22172
Nov. 28, 2011	The Regency Group, LLC; Scott F. Gelbard; Jeffrey S. Koslosky; Aaron S. Lamkin; John J. Coutris; Michael J. Coutris; J. Coutris Partners, LP; Joseph S. Fernando; Wellington Capital Enterprises, Inc.; James J. Coutris; and Dimitrios I. Gountis Release No. LR-22170
Nov. 25, 2011	Jeffrey S. Richardson Release No. LR-22169 See Also: SEC Complaint
Nov. 23, 2011	Myron Weiner Release No. LR-22168 See Also: SEC Complaint
Nov. 22, 2011	Patrick G. Rooney and Solaris Management, LLC Release No. LR-22167 See Also: SEC Complaint
Nov. 22, 2011	David Kugel Release No. LR-22166 See Also: SEC Complaint
Nov. 22, 2011	David Ronald Allen, et al. Release No. LR-22165
Nov. 21, 2011	Brian Hollnagel and BCI Aircraft leasing, Inc. Release No. LR-22164
Nov. 21, 2011	Randall Merk, et al. Release No. LR-22163
Nov. 18, 2011	Garfield Taylor, Inc., et al. Release No. LR-22162 See Also: SEC Complaint
Nov. 18, 2011	Mark A. Konyndyk Release No. LR-22161 See Also: SEC Complaint
Nov. 17, 2011	John A. Mattera, Bradford Van Siclen, The Praetorian Global Fund, et al. Release No. LR-22160 See Also: SEC Complaint
Nov. 17, 2011	New Futures Trading International Corporation and Henry Roche Release No. LR-22159 See Also: SEC Complaint
Nov. 17, 2011	Joseph F. “Chip” Skowron III, et al. Release No. LR-22158
Nov. 17, 2011	Frank C. Calmes, Lynn D. Rowntree, James E. Pratt, and Manny J. Shulman Release No. LR-22157
Nov. 16, 2011	J.T. Battenberg, III and Paul Free Release No. LR-22156, AAER-3340
Nov. 15, 2011	ConnectAJet.com, Inc., et al. Release No. LR-22155
Nov. 15, 2011	Jerome Krantz, Cary Chasin, and Gary Nadelman Release No. LR-22154

Rules & Regulations

Enforcement & Litigation

Compliance

Litigation Releases

More in this Section

Litigation Releases