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
Nov. 15, 2011	ConnectAJet.com, Inc., et al. Release No. LR-22155
Nov. 14, 2011	Tyrone L. Gilliams, Jr. and TL Gilliams, LLC Release No. LR-22152 See Also: SEC Complaint
Nov. 10, 2011	Chetan Kapur; Lilaboc, LLC d/b/a ThinkStrategy Capital Management, LLC Release No. LR-22151 See Also: SEC Complaint
Nov. 10, 2011	Joseph S. Amundsen Release No. LR-22150
Nov. 9, 2011	James N. Fry, Michelle W. Palm, and Arrowhead Capital Management LLC Release No. LR-22149 See Also: SEC Complaint
Nov. 8, 2011	Trade-LLC, et al. Release No. LR-22148
Nov. 7, 2011	Fernando J. Espuelas et al. Release No. LR-22147, AAER-3335
Nov. 4, 2011	Atlantis Technology Group and Christopher M. Dubeau Release No. LR-22146A
Oct. 31, 2011	Drake Asset Management, LLC and Oliver R. Grace, Jr. Release No. LR-22145 See Also: SEC Complaint
Oct. 31, 2011	Andrey C. Hicks and Locust Offshore Management, LLC, as Defendants, and Locust Offshore Fund, Ltd., as Relief Defendant Release No. LR-22144
Oct. 28, 2011	Mark Leslie, Kenneth E. Lonchar, Paul A. Sallaberry, Michael M. Cully, and Douglas S. Newton Release No. LR-22143
Oct. 28, 2011	Scott I. Kupersmith and Frederick C. Chelly Release No. LR-22142 See Also: SEC Complaint
Oct. 26, 2011	Andrey C. Hicks and Locust Offshore Management, LLC, as Defendants, and Locust Offshore Fund, Ltd., as Relief Defendant Release No. LR-22141 See Also: SEC Complaint
Oct. 26, 2011	Rajat Gupta and Raj Rajaratnam Release No. LR-22140 See Also: SEC Complaint
Oct. 25, 2011	Arnold McClellan and Annabel McClellan Release No. LR-22139
Oct. 24, 2011	Koss Corporation and Michael J. Koss Release No. LR-22138, AAER-3330 See Also: SEC Complaint
Oct. 24, 2011	H. Clayton Peterson, Drew Clayton Peterson, Drew K. Brownstein, and Big 5 Asset Management, LLC Release No. LR-22137
Oct. 20, 2011	Charles P. Copeland, Copeland Wealth Management, A Financial Advisory Corporation, and Copeland Wealth Management, A Real Estate Corporation Release No. LR-22136 See Also: SEC Complaint
Oct. 20, 2011	Cutillo et al. Release No. LR-22135
Oct. 19, 2011	Citigroup Global Markets Inc.; Brian H. Stoker Release No. LR-22134
Oct. 19, 2011	Long Term-Short Term, Inc. and Freddie Rick Release No. LR-22133
Oct. 19, 2011	Lisa C. Berry Release No. LR-22132
Oct. 18, 2011	David B. Welliver and Dblaine Capital, LLC Release No. LR-22131 See Also: SEC Complaint
Oct. 18, 2011	James G. Temme and Stewardship Fund LP Release No. LR-22130 See Also: SEC Complaint
Oct. 18, 2011	Thomas L. Kivisto Release No. LR-22129 See Also: SEC Complaint
Oct. 18, 2011	Ryan M. Reynolds, et al. Release No. LR-22128
Oct. 17, 2011	Daniel W. Nodurft Release No. LR-22127A
Oct. 14, 2011	Joseph P. Cillo Release No. LR-22126
Oct. 14, 2011	Wall Street Capital Funding LLC, Philip Cardwell, Roy Campbell, and Aaron Hume Release No. LR-22125 See Also: SEC Complaint , Final Judgment as to WSCF , Final Judgment as to Cardwell , Final Judgment as to Campbell , Final Judgment as to Hume
Oct. 12, 2011	Jerry L. Aubrey, Timothy J. Aubrey, Brian S. Cherry, and Aaron M. Glasser Release No. LR-22124 See Also: SEC Complaint
Oct. 12, 2011	Koji Goto et al. Release No. LR-22123
Oct. 11, 2011	Gregory E. Webb and InfrAegis, Inc. Release No. LR-22122 See Also: SEC Complaint
Oct. 11, 2011	Thomas S. Wu, Ebrahim Shabudin, Thomas T. Yu, and Craig S. On Release No. LR-22121, AAER-3327 See Also: SEC Complaint
Oct. 11, 2011	Murdoch Security and Investigations, Inc., Robert Goldstein, and William Vassell Release No. LR-22120 See Also: SEC Complaint
Oct. 11, 2011	Gregory L. Reyes, et al. Release No. LR-22119
Oct. 11, 2011	M. Jason Hanold Release No. LR-22118 See Also: SEC Complaint
Oct. 6, 2011	Eric Aronson, et al. Release No. LR-22117 See Also: SEC Complaint
Oct. 6, 2011	Christopher Sells and Timothy Murawski Release No. LR-22116, AAER-3326 See Also: SEC Complaint
Oct. 6, 2011	StratoComm Corporation., et al. Release No. LR-22115
Oct. 5, 2011	Galleon Management, LP, et al. Release No. LR-22114
Oct. 4, 2011	David Ronald Allen, et al. Release No. LR-22113
Oct. 3, 2011	Richard A. Hansen, et al. Release No. LR-22112
Sept. 30, 2011	Stephen Amella, et al. Release No. LR-22111 See Also: SEC Complaint
Sept. 29, 2011	Alfred Clay Ludlum, III, et. al. Release No. LR-22110
Sept. 29, 2011	John Michael Kelly, Steven E. Rindner, Joseph A. Ripp, and Mark Wovsaniker Release No. LR-22109, AAER-3324
Sept. 29, 2011	Christopher A. Seeley and Justin G. Dickson Release No. LR-22108 See Also: SEC Complaint
Sept. 29, 2011	Kurt S. Hovan, Lisa B. Hovan, Edward J. Hovan, Jr., and Hovan Capital Management, LLC Release No. LR-22107 See Also: SEC Complaint
Sept. 28, 2011	The NIR Group, LLC, et al. Release No. LR-22106 See Also: SEC Complaint
Sept. 27, 2011	Shreyans Desai, et al. Release No. LR-22105 See Also: SEC Complaint
Sept. 26, 2011	Larry Langford, et al. Release No. LR-22104
Sept. 23, 2011	Jason George Rivera, Jr., Marc Christopher Harmon, The Joseph Rene Corporation, and Executive Members Management Group Release No. LR-22103 See Also: SEC Complaint
Sept. 22, 2011	Doris E. Nelson Release No. LR-22101
Sept. 22, 2011	Thomas Rubin, Christopher Scott, BGLR Enterprises, LLC and E-Info Solutions, LLC; Jeff Greeney and Big Baller Media Group, LLC Release No. LR-22102 See Also: BGLR Enterprises and E-Info Solutions , SEC Complaint vs. Greeney and Big Baller Media Group
Sept. 21, 2011	Feinblatt, et al. Release No. LR-22100
Sept. 19, 2011	One or More Unknown Purchasers of Securities of Global Industries, Ltd. Release No. LR-22099 See Also: SEC Complaint
Sept. 19, 2011	K2 Unlimited, Inc., 211 Ventures, LLC, Diane Glatfelter, Robert Rice, and Robert Anderson Release No. LR-22098 See Also: SEC Complaint
Sept. 19, 2011	Christopher W. Bass,Swiss Capital Harbor-USA, LLC, Swiss Capital Harbor Fund A Partners, L.P., Swiss Capital Harbor Fund B Partners, L.P., and Swiss Capital Harbor Fund C Partners, L.P. Release No. LR-22097
Sept. 16, 2011	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-22096
Sept. 16, 2011	Escala Group, Inc., Gregory Manning, and Larry Lee Crawford, CPA Release No. LR-22095, AAER-3321
Sept. 16, 2011	Doyle Scott Elliott, Scott Elliott, Inc., Michael J. Xirinachs, Emerald Asset Advisors LLC, Robert L. Weidenbaum, and CLX & Associates, Inc. Release No. LR-22094
Sept. 15, 2011	Scott Allen et al. Release No. LR-22093 See Also: SEC Complaint
Sept. 15, 2011	James O’Reilly, James P. McAluney, and Martin Cutler Release No. LR-22092 See Also: SEC Complaint
Sept. 14, 2011	Wall Street Communications, Inc., et al. Release No. LR-22091
Sept. 12, 2011	Jody Dunn Release No. LR-22090 See Also: SEC Complaint
Sept. 8, 2011	Robert D. Orr, Leland G. Orr, Michael S. Lowry, Michael S. Hess, Kyle L. Garst, and Travis W. Vrbas Release No. LR-22089
Sept. 8, 2011	Deloitte Touche Tohmatsu CPA Ltd. Release No. LR-22088, AAER-3319 See Also: SEC court filing , and Application
Sept. 8, 2011	Richard A. Finger, Jr. and Black Diamond Securities LLC Release No. LR-22087 See Also: SEC Complaint
Sept. 8, 2011	EagleEye Asset Management, LLC and Jeffrey A. Liskov Release No. LR-22086 See Also: SEC Complaint
Sept. 7, 2011	Feinblatt, et al. Release No. LR-22085
Sept. 7, 2011	Mutual Benefits Corp., et al Release No. LR-22084
Sept. 2, 2011	National Stock Transfer, Inc., Kay Berenson-Galster and Roger Greer Release No. LR-22083
Sept. 2, 2011	Christian Stanley, Inc. and Daniel C.S. Powell, et al. Release No. LR-22082 See Also: SEC Complaint
Sept. 1, 2011	John A. Grant, Sage Advisory Group, LLC and Benjamin Lee Grant Release No. LR-22081 See Also: SEC Complaint
Aug. 31, 2011	Belal K. Faruki, et al. Release No. LR-22079 See Also: SEC Complaint
Aug. 31, 2011	Clay Capital Management, LLC, James F. Turner II, Scott A. Vollmar, Scott A. Robarge and Mark A. Durbin Release No. LR-22080 See Also: SEC Complaint
Aug. 31, 2011	Anthony Scolaro Release No. LR-22078 See Also: SEC Complaint
Aug. 31, 2011	James Davis Risher and Daniel Joseph Sebastian Release No. LR-22077 See Also: SEC Complaint
Aug. 31, 2011	Pharma Holdings, Inc., Edward Klapp IV and Edward Klapp Jr. Release No. LR-22076
Aug. 31, 2011	James Li, Thomas Chow, Roger Kao, and Wayne A. Pratt Release No. LR-22075, AAER-3315 See Also: SEC Complaint
Aug. 30, 2011	James O'Leary Release No. LR-22074, AAER-3314 See Also: SEC Complaint
Aug. 29, 2011	Stanley J. Kowalewski, et al Release No. LR-22073
Aug. 25, 2011	Peter W. Fisher, et al. Release No. LR-22072
Aug. 24, 2011	Galleon Management, LP, et al. Release No. LR-22071
Aug. 19, 2011	Mottes Drillman Release No. LR-22070 File Number: 3-14511
Aug. 18, 2011	Westmoore Management, LLC, Westmoore Investment, L.P., Westmoore Capital Management, Inc., Westmoore Capital, LLC, and Matthew Jennings Release No. LR-22069
Aug. 16, 2011	Larry Langford, et al. Release No. LR-22068
Aug. 15, 2011	Michael Strauss, Stephen Hozie and Robert Bernstein Release No. LR-22067, AAER-3313
Aug. 11, 2011	Toby G. Scammell Release No. LR-22066
Aug. 11, 2011	Evolution Capital Advisors, et al. Release No. LR-22065
Aug. 10, 2011	Stifel, Nicolaus & Co., Inc. and David W. Noack Release No. LR-22064
Aug. 5, 2011	Clayton Peterson et al. Release No. LR-22063
Aug. 4, 2011	Douglas V. DeCinces, Joseph J. Donohue, Fred Scott Jackson and Roger A. Wittenbach Release No. LR-22062
Aug. 4, 2011	Gary Richetelli Release No. LR-22061
Aug. 4, 2011	Karlheinz Redekopp Release No. LR-22060, AAER-3311
Aug. 3, 2011	William A. Marovitz Release No. LR-22059
Aug. 2, 2011	Brian A. Bjork, et al. Release No. LR-22058
Aug. 2, 2011	Stephen D. Ferrone, et al. Release No. LR-22057
Aug. 2, 2011	Franz Tudor Release No. LR-22056
Aug. 1, 2011	Compania International Financiera S.A., et al. Release No. LR-22055
July 29, 2011	James E. Koenig Release No. LR-22054, AAER-3308

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