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
March 28, 2011	John Scott Clark, Impact Cash, LLC and Impact Payment Systems, LLC Release No. LR-21903 See Also: SEC Complaint
March 28, 2011	Joseph Catapano and Michael Piervinanzi Release No. LR-21902 See Also: SEC Complaint
March 25, 2011	Daniel Sholom Frishberg Release No. LR-21901
March 24, 2011	HomePals, LLC, HomePals Investment Club, LLC, Ronnie Eugene Bass, Jr., Abner Alabre and Brian J. Taglieri Release No. LR-21900
March 24, 2011	Mark A. Duffell Release No. LR-21899 See Also: SEC Complaint
March 24, 2011	Mike Watson Capital, LLC, Michael P. Watson and Joshua F. Escobedo Release No. LR-21898
March 23, 2011	James J. Konaxis Release No. LR-21897 See Also: SEC Complaint
March 23, 2011	Daniel F. Wiener II Release No. LR-21896 See Also: SEC Complaint
March 23, 2011	Timothy J. Roth, et al. Release No. LR-21895
March 22, 2011	Michael Rivers and ARKR Trust, LLC Release No. LR-21894
March 22, 2011	JSW Financial Inc., James S. Ward, David S. Lee, Edward G. Locker, Richard F. Tipton and David C. Lin Release No. LR-21893 See Also: SEC Complaint
March 22, 2011	Spyglass Equity Systems, Inc., Richard L. Carter, Preston L. Sjoblom, Tyson D. Elliott, Flatiron Capital Partners, LLC, Flatiron Systems, LLC and David E. Howard II Release No. LR-21892 See Also: SEC Complaint
March 18, 2011	Anselm Exploration Co. et al. Release No. LR-21891 See Also: SEC Complaint
March 18, 2011	Kim Ann Deskovick and Brian S. Haig Release No. LR-21890 See Also: SEC Complaint
March 18, 2011	International Business Machines Corporation Release No. LR-21889, AAER-3254 See Also: SEC Complaint
March 16, 2011	Juno Mother Earth Asset Management, LLC, Eugenio Verzili and Arturo Allan Rodriguez Lopez a/k/a Arturo Rodriguez, Defendants Release No. LR-21886 See Also: SEC Complaint
March 16, 2011	Timothy S. Durham, et al. Release No. LR-21888
March 16, 2011	Jason Bo-Alan Beckman and the Oxford Private Client Group, LLC, et al. Release No. LR-21887
March 15, 2011	Charles William Petty, II, et al. Release No. LR-21885
March 14, 2011	Frank J. Custable, Jr., et al. Release No. LR-21884
March 14, 2011	Robert L. Hollier and Wayne A. Dupuis Release No. LR-21883
March 10, 2011	Frederick O'Meally, et. al. Release No. LR-21882
March 9, 2011	Larry Michael Parrish Release No. LR-21881 See Also: SEC Complaint
March 9, 2011	Fernando J. Espuelas et al. Release No. LR-21880, AAER-3252
March 9, 2011	Jason Bo-Alan Beckman and Oxford Private Client Group, LLC, et al. Release No. LR-21879 See Also: SEC Complaint
March 8, 2011	Joseph A. Dawson Release No. LR-21878 See Also: SEC Complaint
March 7, 2011	Todd Leslie Treadway Release No. LR-21877 See Also: SEC Complaint
March 7, 2011	Francisco Illarramendi and Michael Kenwood Capital Management, LLC, as Defendants, and Michael Kenwood Asset Management, LLC, Michael Kenwood Energy and Infrastructure LLC, and MKEI Solar, LP, as Relief Defendants Release No. LR-21875 See Also: SEC Complaint
March 7, 2011	Anthony Fareri, Fareri Financial Services, Inc. d/b/a Amerifinancial, and Anthony Fareri & Associates, Inc. Release No. LR-21874
March 7, 2011	Radius Capital Corporation and Robert A. DiGiorgio Release No. LR-21876 See Also: SEC Complaint
March 4, 2011	Ian J. McCarthy Release No. LR-21873, AAER-3250
March 3, 2011	Steven T. Kobayashi Release No. LR-21872 See Also: SEC Complaint
March 3, 2011	Gregory A. Seib Release No. LR-21871
March 1, 2011	Lawrence R. Goldfarb et al. Release No. LR-21870 See Also: SEC Complaint
March 1, 2011	Finbar Securities Corp., et al. Release No. LR-21869
March 1, 2011	Douglas F. Vaughan, The Vaughan Company, Realtors, Inc., and Vaughan Capital, LLC Release No. LR-21868
Feb. 28, 2011	DHB Industries, Inc. n/k/a Point Blank Solutions, Inc.; Jerome Krantz, Cary Chasin, and Gary Nadelman Release No. LR-21867, AAER-3247
Feb. 28, 2011	Francis E. Wilde, Steven E. Woods, Mark A. Gelazela, Bruce H. Haglund, Matrix Holdings LLC, BMW Majestic LLC, IDLYC Holdings Trust LLC, and IDLYC Holdings Trust, et al. Release No. LR-21866 See Also: SEC Complaint
Feb. 25, 2011	Todd M. Ficeto, Florian Homm, Colin Heatherington, Hunter World Markets, Inc., and Hunter Advisors, LLC, et al. Release No. LR-21865 See Also: SEC Complaint
Feb. 22, 2011	Secure Capital Funding Corporation, Bertram A. Hill, PP&M Trade Partners, and Kiavanni Pringle Release No. LR-21864 See Also: SEC Complaint
Feb. 22, 2011	Greenstone Holdings, Inc. et al. Release No. LR-21863 See Also: SEC Complaint
Feb. 18, 2011	Jonathan R. Curshen, et al. Release No. LR-21862 See Also: SEC Complaint
Feb. 17, 2011	Sakwinder Singh Narwal, Justin Beck, Brian Hill, and Larry Downs Release No. LR-21861 See Also: SEC Complaint
Feb. 16, 2011	Lorenz Kohler and Swiss Real Estate International Holding AG, Defendants, and Sacho Todorov Dermendjiev, Relief Defendant Release No. LR-21860
Feb. 16, 2011	Zhenyu Ni Release No. LR-21859 See Also: SEC Complaint
Feb. 16, 2011	Brett A. Cohen; David V. Myers; Aaron J. Scalia; and Stephen J. Scalia Release No. LR-21858 See Also: SEC Complaint
Feb. 16, 2011	Winning Kids, Inc., et al. Release No. LR-21857
Feb. 15, 2011	Monroe L. Beachy Release No. LR-21856 See Also: SEC Complaint
Feb. 14, 2011	Jeffrey R. Glover Release No. LR-21854 File Number: 3-14255
Feb. 14, 2011	Alternate Energy Holdings, Inc., et al. Release No. LR-21855
Feb. 11, 2011	Michael W. Perry and A. Scott Keys; and S. Blair Abernathy Release No. LR-21853, AAER-3277 See Also: SEC Complaint vs. Perry and Keys , SEC Complaint vs. Abernathy
Feb. 11, 2011	Neal R. Greenberg Release No. LR-21852
Feb. 10, 2011	Tyson Foods, Inc. Release No. LR-21851
Feb. 10, 2011	Algird M. Norkus and Financial Update, Inc. Release No. LR-21850
Feb. 10, 2011	James N. Turek, et al. Release No. LR-21849
Feb. 10, 2011	David E. Watson, et al. Release No. LR-21848
Feb. 8, 2011	Curtis Peterson, Eric Maher, Ronald White, and Express International, LLC, et al. Release No. LR-21843 See Also: SEC Complaint
Feb. 8, 2011	Carol McKeown, et al. Release No. LR-21847
Feb. 8, 2011	John W. Lawton, Paramount Partners LP, and Crossroad Capital Management, LLC Release No. LR-21846
Feb. 8, 2011	Robert Olins, et al. Release No. LR-21845
Feb. 8, 2011	Mark Anthony Longoria, Daniel L. DeVore, James Fleishman, Bob Nguyen, Winifred Jiau, Walter Shimoon, Samir Barai, Jason Pflaum, Barai Capital Management, Noah Freeman, and Donald Longueuil Release No. LR-21844 See Also: SEC Complaint
Feb. 7, 2011	Gustav George Bujkovsky, et al. Release No. LR-21842
Feb. 7, 2011	Wall Street Capital Funding LLC, Philip Cardwell, Roy Campbell, and Aaron Hume Release No. LR-21841 See Also: SEC Complaint
Feb. 7, 2011	William J. Reid, Algorithmic Trading Advisors, LLC and World Stock Fund, L.P. Release No. LR-21840 See Also: SEC Complaint
Feb. 4, 2011	Galleon Management, LP, et al. Release No. LR-21839
Feb. 4, 2011	Vinayak S. Gowrish Release No. LR-21838
Feb. 4, 2011	Scott D. Farah, Donald E. Dodge, Financial Resources Mortgage, Inc., and C L and M, Inc., as Defendants, and Center Harbor Christian Church, as Relief Defendant Release No. LR-21837
Feb. 3, 2011	Mark Anthony Longoria, Daniel L. DeVore, James Fleishman, Bob Nguyen, Winifred Jiau, and Walter Shimoon Release No. LR-21836 See Also: SEC Complaint
Feb. 2, 2011	Louis E. Rivelli, et al. Release No. LR-21835, AAER-3238
Feb. 1, 2011	Gregg M.S. Berger, et al. Release No. LR-21833 See Also: SEC Complaint
Feb. 1, 2011	Galleon Management, LP, et al. Release No. LR-21834
Jan. 31, 2011	Maxwell Technologies Inc. Release No. LR-21832, AAER-3236 See Also: SEC Complaint
Jan. 31, 2011	Eugene C. Geiger; AbsoluteFuture.com, et al.; Wamex Holdings, Inc., et al. Release No. LR-21831
Jan. 31, 2011	David J. Hernandez et al. Release No. LR-21830
Jan. 31, 2011	William Landberg, Kevin Kramer, Steven Gould, Janis Barsuk, West End Financial Advisors LLC, West End Capital Management LLC, and Sentinel Investment Management Corporation, Defendants, and Louise Crandall and L/C Family Limited Partnership, Relief Defendants Release No. LR-21829
Jan. 28, 2011	Francisco Illarramendi and Michael Kenwood Capital Management, LLC, as Defendants, and Michael Kenwood Asset Management, LLC, Michael Kenwood Energy and Infrastructure LLC, and MKEI Solar, LP, as Relief Defendants Release No. LR-21828 See Also: SEC Complaint
Jan. 26, 2011	Adam Smith Release No. LR-21827
Jan. 26, 2011	Michael Cardillo Release No. LR-21826 See Also: SEC Complaint
Jan. 25, 2011	Joseph P. Nacchio, et al. Release No. LR-21825 See Also: SEC Complaint
Jan. 25, 2011	Christopher S. Metcalf, Bozidar "Bob" Vukovich, and Pantera Petroleum, Inc. Release No. LR-21824
Jan. 24, 2011	Paul W. Jennings Release No. LR-21822, AAER-3235 See Also: SEC Complaint
Jan. 24, 2011	Smart Online, Inc., et al. Release No. LR-21823
Jan. 21, 2011	Wall Street Communications, Inc., et al. Release No. LR-21821
Jan. 21, 2011	Zizhong Fan and Zishen Fan, Defendants and Junhua Fan, Relief Defendant Release No. LR-21820 See Also: SEC Complaint
Jan. 20, 2011	NutraCea, et al. Release No. LR-21819, AAER-3234 See Also: SEC Complaint
Jan. 19, 2011	Provident Capital Indemnity, Ltd.,Minor Vargas Calvo, Jorge L. Castillo, and Relief Defendant Desarrollos Comerciales Ronim, S.A. Release No. LR-21818
Jan. 14, 2011	Christopher Wheeler, et al. Release No. LR-21817 See Also: SEC Complaint
Jan. 14, 2011	Theodore R. Maloney; Donald K. McGhan and Jimmy J. McGhan Release No. LR-21816
Jan. 14, 2011	George H. Holley, Steven V. Dudas, and Phairot Iamnaita Release No. LR-21815
Jan. 14, 2011	Joseph D. Radcliffe and Michael J. Radcliffe Release No. LR-21814, AAER-3231
Jan. 14, 2011	Lowell Gene “Bob” Hancher, Commerce Street Venture Group, Inc., Edward T. Whelan and Grace Holdings, Inc. Release No. LR-21813 See Also: SEC Complaint
Jan. 13, 2011	CytoCore, Inc., et al. Release No. LR-21811 See Also: SEC Complaint
Jan. 13, 2011	Sujata Sachdeva, et. al. Release No. LR-21810, AAER-3230
Jan. 13, 2011	Warren D, Nadel, Warren D. Nadel & Co. and Registered Investment Advisers, LLC Release No. LR-21812 See Also: SEC Complaint
Jan. 12, 2011	NIC, Inc., Jeffrey S. Fraser, Harry H. Herington, and Eric J. Bur; Stephen M. Kovzan Release No. LR-21809, AAER-3229 See Also: and Bur , SEC Complaint vs. Kovzan
Jan. 12, 2011	Petroleum Unlimited, LLC, Petroleum Unlimited II, LLC, Roger A. Kimmel, Jr., Harry Nyce, Michel-Jean Geraud, Robert Rossi, Joseph Valko, and Morgan Kimmel, n/k/a Morgan Petitti Release No. LR-21808 See Also: SEC Complaint
Jan. 12, 2011	Phillip Macdonald, Martin Gollan, and Michael Goodman Release No. LR-21807
Jan. 11, 2011	Charles Schwab Investment Management, Charles Schwab & Co., Inc., and Schwab Investments Release No. LR-21806 See Also: SEC Complaint
Jan. 11, 2011	Kimon P. Daifotis and Randall Merk Release No. LR-21805 See Also: SEC Complaint
Jan. 11, 2011	Michael R. Drogin Release No. LR-21804, AAER-3228 See Also: SEC Complaint

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