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
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	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. 22, 2011	Doris E. Nelson Release No. LR-22101
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	Stephen D. Ferrone, et al. Release No. LR-22057
Aug. 2, 2011	Franz Tudor Release No. LR-22056
Aug. 2, 2011	Brian A. Bjork, et al. Release No. LR-22058
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
July 22, 2011	Trevor G. Cook, Patrick J. Kiley, et al. and Jason Bo-Alan Beckman, et al. Release No. LR-22053
July 22, 2011	Gerald Harold Levine, et al. Release No. LR-22052
July 20, 2011	Michael Cardillo Release No. LR-22051
July 20, 2011	Robert Doyle Release No. LR-22050 See Also: SEC Complaint
July 20, 2011	Compania International Financiera S.A., et al. Release No. LR-22049
July 19, 2011	Howard B. Wildstein Release No. LR-22048
July 18, 2011	Martin J. Druffner, et. al. Release No. LR-22047
July 18, 2011	Robert D. Orr, Leland G. Orr, Michael S. Lowry, Michael S. Hess, Kyle L. Garst, and Travis W. Vrbas Release No. LR-22046, AAER-3304
July 15, 2011	Charles C. Slowey, Jr., et al. Release No. LR-22045
July 15, 2011	Mark Anthony Longoria, et al. Release No. LR-22044
July 15, 2011	James M. Peister, et al. Release No. LR-22043 See Also: SEC Complaint
July 15, 2011	Galleon Management, LP, et al. Release No. LR-22042 See Also: Final Judgment
July 15, 2011	Darrel West and Own My Travel, LLC, and Professionally Assisted Marketing, Inc. Release No. LR-22041
July 15, 2011	Jeffery A. Lowrance, et al. Release No. LR-22040 See Also: SEC Complaint
July 15, 2011	Vinayak S. Gowrish Release No. LR-22039
July 14, 2011	Robert C. Brown, Jr., et al. Release No. LR-22038
July 13, 2011	Armor Holdings, Inc. Release No. LR-22037, AAER-3302 See Also: SEC Complaint
July 12, 2011	Sam Otto Folin, Benchmark Asset Managers LLC, and Harvest Managers LLC Release No. LR-22036 See Also: SEC Complaint
July 12, 2011	Retail Pro, Inc. (fka Island Pacific, Inc.), et al. Release No. LR-22035
July 12, 2011	Ronald F. LeGrand and Frederick E. Wheat, Jr. Release No. LR-22034 See Also: SEC Complaint
July 11, 2011	John N. Irwin and Jacklin Associates, Inc. Release No. LR-22033 See Also: SEC Complaint
July 11, 2011	Presto Telecommunications, Inc. and Alfred Louis Vassallo, Jr. Release No. LR-22032
July 7, 2011	J.P. Morgan Securities LLC Release No. LR-22031 See Also: SEC Complaint , Final Judgment
July 7, 2011	Joshua Constantin et al. Release No. LR-22030 See Also: SEC Complaint
July 6, 2011	Carl E. Binette and Peter E. Talbot Release No. LR-22029
July 6, 2011	Navigators International Management Co., Ltd., James R. Spurger and Benjamin W. Young, Jr. Release No. LR-22028
July 5, 2011	John Raffle, David Applegate and Kathy Raffle Release No. LR-22027, AAER-3299 See Also: SEC Complaint
July 1, 2011	Locke Capital Management, Inc. and Leila C. Jenkins Release No. LR-22025
July 1, 2011	ICP Asset Management, LLC, ICP Securities, LLC, Institutional Credit Partners, LLC, Thomas C. Priore, Lori A. Priore, and Bertrand H. Smyers Release No. LR-22024
July 1, 2011	Michael L. Rothenberg, et al. Release No. LR-22026
July 1, 2011	Fernando J. Espuelas et al. Release No. LR-22023, AAER-3298
June 30, 2011	Shawn A. Icely Release No. LR-22022
June 30, 2011	Galleon Management, LP, et al. Release No. LR-22021
June 30, 2011	Robert M. Esposito, Gregory A. King, Jack R. Belluscio and Anscott Industries, Inc. Release No. LR-22020
June 30, 2011	Edward A. Allen, David L. Olson, and A&O Investments, LLC Release No. LR-22019
June 30, 2011	Brian Gibson, Douglas Newton and Real American Brands, Inc., n/k/a Real American Capital Corp., Donald W. Klein and KCM Holdings Corp., Thomas Schroepfer a/k/a Thomas Schroepfer Baetsen, Charles Fuentes, and Smokefree Innotec, Inc. Release No. LR-22018 See Also: SEC Complaint in this matter against Brian Gibson , a Real American Capital Corp. , SEC Complaint in this matter against Donald W. Klein and KCM Holdings Corp. , SEC Complaint in this matter against Thomas Schroepfer
June 29, 2011	Richard Verdiramo, Vincent L. Verdiramo, Edward Meyer, Jr., and Victoria Chen Release No. LR-22017
June 28, 2011	Francisco Illarramendi et al. Release No. LR-22015
June 28, 2011	Michael E. Kelly, et al. Release No. LR-22016
June 27, 2011	Peter L. Jensen and Thomas C. Tekulve, Jr. Release No. LR-22014, AAER-3301 See Also: SEC Complaint
June 27, 2011	Elite Resources, et al. Release No. LR-22013
June 22, 2011	Radical Bunny, LLC, Tom Hirsch, Berta Walder, Howard Walder, and Harish Shah Release No. LR-22012
June 21, 2011	Cutillo et al. Release No. LR-22011
June 21, 2011	Galleon Management, LP, et al. Release No. LR-22010
June 21, 2011	Florin S. Ilovici, et al. Release No. LR-22009 See Also: SEC Complaint
June 21, 2011	J.P.Morgan Securities LLC (f/k/a J.P. Morgan Securities Inc.); Edward S. Steffelin Release No. LR-22008
June 21, 2011	Paul R. Allen Release No. LR-22007, AAER-3295 See Also: SEC Complaint
June 20, 2011	David Ronald Allen, et al. Release No. LR-22006 See Also: SEC Complaint
June 17, 2011	Adam Smith Release No. LR-22004
June 17, 2011	Founding Partners Capital Management Co., et al. Release No. LR-22003

Rules & Regulations

Enforcement & Litigation

Compliance

Litigation Releases

More in this Section

Litigation Releases