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
July 27, 2010	General Electric Company; Ionics, Inc.; and Amersham plc Release No. LR-21602, AAER-3159 See Also: SEC Complaint
July 23, 2010	Pequot Capital Management, Inc., et al. Release No. LR-21601
July 23, 2010	Sunrise Senior Living, Inc., et al. Release No. LR-21600, AAER-3157 See Also: SEC Complaint
July 22, 2010	Dell Inc., Michael S. Dell, Kevin B. Rollins, James M. Schneider, Leslie L. Jackson, Nicholas A.R. Dunning Release No. LR-21599, AAER-3156 See Also: SEC Complaint
July 22, 2010	Carl W. Jasper Release No. LR-21598
July 22, 2010	Laurence M. Brown, et al. Release No. LR-21597
July 22, 2010	Maxo Francois, a/k/a "Max Francois", et al. Release No. LR-21596
July 20, 2010	Larry P. Langford, et al. Release No. LR-21595
July 19, 2010	Gary S. Becker, Gregory S. Schaefer, and Dillon Scott Securities, Inc. Release No. LR-21594
July 16, 2010	Trident Microsystems, Inc., Frank C. Lin, and Peter Y. Jen Release No. LR-21593, AAER-3154 See Also: SEC Complaint
July 15, 2010	Goldman, Sachs & Co. and Fabrice Tourre Release No. LR-21592
July 9, 2010	InvestSource, Inc. and Songkram Roy Sahachaisere Release No. LR-21591 See Also: SEC Complaint
July 8, 2010	Prime Time Group, Inc., et al. Release No. LR-21590
July 8, 2010	Winning Kids, Inc., et al. Release No. LR-21589
July 7, 2010	ENI, S.p.A. and Snamprogetti Netherlands, B.V. Release No. LR-21588, AAER-3149
July 7, 2010	Brien Santarlas Release No. LR-21587
July 2, 2010	Travis L. Wright Release No. LR-21586
June 30, 2010	Citigroup Global Markets, Inc.; RBC Capital Markets Corporation; and Wachovia Securities, LLC Release No. LR-21585
June 29, 2010	Veraz Networks, Inc. Release No. LR-21581 See Also: SEC Complaint
June 29, 2010	Carol McKeown, Daniel F. Ryan, Meadow Vista Financial Corp., and Downshire Capital, Inc. Release No. LR-21580 See Also: SEC Complaint
June 29, 2010	Robert Stinson, Jr., et al. Release No. LR-21584 See Also: SEC Complaint
June 29, 2010	Michael E. Kelly, et al. Release No. LR-21583
June 29, 2010	Life Wealth Management, Inc. and Jeffery S. Preston Release No. LR-21582
June 28, 2010	Daniel Spitzer et al. Release No. LR-21579 See Also: SEC Complaint
June 28, 2010	Technip Release No. LR-21578, AAER-3147 See Also: SEC Complaint
June 28, 2010	Brian N. Lines, et al. Release No. LR-21577
June 26, 2010	One or More Unknown Traders in the Common Stock of Certain Issuers (a/k/a AWE Trading, Inc. and Andrew Andersen) Release No. LR-21572
June 25, 2010	Anthony C. Zufelt, Joseph A. Nelson, David M. Decker, Jr., Cache D. Decker, Zufelt Business Services, Inc. (d.b.a. Zufelt, Inc.), Silver Leaf Investments, Inc., JCN, Inc., JCN Capital, LLC, and JCN International, LLC, Defendants, and Jennifer M. Zufelt, Shae L. Morgan, Garth W. Jarman, Jr., Eric R. Nelson, and Kevin J. Wilcox Release No. LR-21570 See Also: SEC Complaint
June 25, 2010	Estate of Kenneth Wayne McLeod, Federal Employee Benefits Group, Inc., and F&S Asset Management Group, Inc. Release No. LR-21569 See Also: SEC Complaint
June 25, 2010	Aamer Abdullah Release No. LR-21576 See Also: SEC Complaint
June 25, 2010	Ricardo H. Goldman Release No. LR-21575
June 25, 2010	North American Clearing, Inc., et al. Release No. LR-21574
June 25, 2010	Southwestern Medical Solutions, Inc., John R. Hedges, Richard R. Powell, and Basil J. Meecham Release No. LR-21573
June 25, 2010	BroCo Investments and Valery Maltsev Release No. LR-21571
June 24, 2010	Aura Financial Services, Inc. et al. Release No. LR-21568
June 23, 2010	Advanced Technologies Group, Ltd., Alexander Stelmak and Abelis Raskas Release No. LR-21567 See Also: SEC Complaint
June 22, 2010	Anthony T. Banas Release No. LR-21566
June 22, 2010	Mobile Ready Entertainment Corp., Michael H. Magolnick, and Craig A. Mora Release No. LR-21565
June 22, 2010	Trade-LLC, et. al Release No. LR-21564
June 22, 2010	ICP Asset Management, LLC, ICP Securities, LLC, Institutional Credit Partners, LLC, and Thomas C. Priore Release No. LR-21563 See Also: SEC Complaint
June 18, 2010	Seisma Oil Research, LLC (a/k/a Seisma Energy Research, LLC), Seisma Energy Research, AVV (a/k/a Seisma Oil Research, AVV), Permian Asset Management, AVV and Justin Solomon Release No. LR-21562
June 17, 2010	Martin T. Wegener et al. Release No. LR-21560 See Also: SEC Complaint
June 17, 2010	Andres Leyva Release No. LR-21559
June 17, 2010	Matthew Jennings, Westmoore Management, LLC, Westmoore Investment, L.P., Westmoore Capital Management, Inc., Westmoore Capital, LLC Release No. LR-21561
June 16, 2010	Gregg Thomas Rennie Release No. LR-21558
June 16, 2010	Aaron Donald Vallett and A.D. Vallett & Co. LLC Release No. LR-21557
June 14, 2010	United American Ventures, LLC, Philip Lee David Jack Thomas, Eric J. Hollowell, Matthew A. Dies, Integra Investment Group, LLC, and Anthony J. Oliva Release No. LR-21556 See Also: SEC Complaint
June 14, 2010	Joseph P. Collins Release No. LR-21555, AAER-3145
June 11, 2010	Chimay Capital Management Inc. and Guy Albert de Chimay Release No. LR-21554 See Also: SEC Complaint
June 11, 2010	Richard Elkinson Release No. LR-21553
June 10, 2010	Merendon Mining (Nevada) Inc., Larry Lee Adair, Milowe Allen Brost a/k/a Milo Brost, M.B. Gonne or Phillip K. Collins, Ward K. Capstick, Bradley Dean Regier, Gary Allen Sorenson a/k/a Don Grey Fox, Martin M. Werner, Syndicated Gold Depository Inc., now known as Bahama Resources Alliance Ltd., Merendon Mining Corp. Ltd., Institute For Financial Learning Group of Companies, Inc. Release No. LR-21552 See Also: SEC Complaint
June 9, 2010	Lucent Technologies, Inc., et al. Release No. LR-21551, AAER-3142
June 9, 2010	William G. Mortensen and Feng Zheng Release No. LR-21550, AAER-3141
June 8, 2010	Petrogas Overseas Trading, LP and Samuel O. LeMaire, Defendants, and Petroenergy, Inc., Relief Defendant Release No. LR-21549
June 3, 2010	Walter A. Forbes and E. Kirk Shelton Release No. LR-21548, AAER-3138
June 3, 2010	Anthony A. James and James Asset Advisory, L.L.C. Release No. LR-21547
June 3, 2010	Aaron Donald Vallett and A.D. Vallett & Co. LLC Release No. LR-21546 See Also: SEC Complaint
June 2, 2010	Elizabeth A. Dragon Release No. LR-21545 See Also: SEC Complaint
June 2, 2010	Luis Felipe Perez Release No. LR-21544 See Also: SEC Complaint
June 2, 2010	Diebold, Inc.; Walden O'Dell; and Gregory Geswein, Kevin Krakora, and Sandra Miller Release No. LR-21543, AAER-3137 See Also: SEC Complaint v. Diebold , Dell , and Miller
June 1, 2010	Anthony Bonica Release No. LR-21542
June 1, 2010	Kenneth Ira Starr, Starr Investment Advisors, LLC, and Starr & Company, LLC Release No. LR-21541
May 28, 2010	Pequot Capital Management, Inc. and Arthur J. Samberg Release No. LR-21540 See Also: SEC Complaint
May 27, 2010	John M. Donnelly, et al. Release No. LR-21538
May 27, 2010	GTF Enterprises, Inc., Gedrey Thompson, Dean Lewis, and Sezzie Goodluck Release No. LR-21537
May 27, 2010	Blake G. Williams, TBeck Capital, Inc., Warren Street Investments, Inc., Victoria Financial Consultants, LLC, BGW Enterprises, Inc., Emerging Resources, Inc., Valek Investments, Inc., Derek Lopez, and Da Big Kahuna, LLC Release No. LR-21539 See Also: SEC Complaint
May 27, 2010	Yonni Sebbag and Bonnie Jean Hoxie Release No. LR-21536
May 26, 2010	Mitchell, Porter & Williams, Inc., The Adivanala AA Investment Trust, AB3, Inc., Thomas L. Mitchell Release No. LR-21535
May 26, 2010	Gene T. Mancinelli Release No. LR-21534 File Number: 3-13911
May 25, 2010	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-21533 See Also: SEC Complaint
May 25, 2010	Matthew J. Gagnon Release No. LR-21532 See Also: SEC Complaint
May 25, 2010	Forest Resources Management Corp., et al. Release No. LR-21531
May 21, 2010	Lydia Capital, LLC et al. Release No. LR-21528
May 21, 2010	Brian Hollnagel and BCI Aircraft leasing, Inc. Release No. LR-21530
May 21, 2010	Edward A. Allen, David L. Olson, and A and O Investments, LLC Release No. LR-21529 See Also: SEC Complaint
May 20, 2010	Charles McCall Release No. LR-21527, AAER-3136
May 17, 2010	Galleon Management, LP, et al. Release No. LR-21526
May 12, 2010	David F. Merrick, Traders International Return Network, MS, Inc., GTT Services, Inc., MDD Consulting, Inc., and Go ! Tourism, Inc. Release No. LR-21525
May 11, 2010	Diatect International Corp., et al. Release No. LR-21524, AAER-3134
May 11, 2010	Robert S. Furst, et al. Release No. LR-21523, AAER-3133
May 11, 2010	Peter G. Grabler Release No. LR-21522 See Also: SEC Complaint
May 11, 2010	Leonard J. Adams Release No. LR-21521 See Also: SEC Complaint
May 6, 2010	Dennis Lee Keating II Release No. LR-21520 See Also: SEC Complaint
May 6, 2010	Exotics.com, Inc., et al. Release No. LR-21519, AAER-3132
May 6, 2010	Stephen Clifford and Stephen F. Clifford d/b/a Clifford Financial Assocs. Release No. LR-21518
May 5, 2010	William A. DiBella Release No. LR-21517
May 5, 2010	CFO-5, LLC, Trinity International Enterprises, Inc., Stanley W. Anderson, Edwin A. Smith, Charles L. Kennedy, Michael D. Norton, individually and d/b/a Global Asset Services, and Nicholas R. Fair Release No. LR-21516 See Also: SEC Complaint
May 5, 2010	Spongetech Delivery Systems, Inc., RM Enterprises International, Inc., Steven Y. Moskowitz, Michael E. Metter, George Speranza, Joel Pensley and Jack Halperin Release No. LR-21515, AAER-3131 See Also: SEC Complaint
May 4, 2010	Michael Graf and Larry E. Pust Release No. LR-21514
May 4, 2010	Seven Palm Investments, LLC, et al. Release No. LR-21513 See Also: SEC Complaint
May 4, 2010	New Day Atlanta, LLC d/b/a NDA Financial, LLC, Andrew L. Avery and Lee E. Marks Release No. LR-21512 See Also: SEC Complaint
May 4, 2010	Matthew John Ryan and Prime Rate and Return, LLC, individually and doing business as American Integrity Financial Co. Release No. LR-21511 See Also: SEC Complaint
April 30, 2010	TierOne Converged Networks, Inc., Kevin Mark Weaver, and Ronald Celmer Release No. LR-21510 See Also: SEC Complaint
April 29, 2010	Bobby J. Elkin, Jr., Baxter J. Myers, Thomas G. Reynolds, and Tommy L. Williams Release No. LR-21509 See Also: SEC Complaint
April 28, 2010	Peter W. Fisher, et al.; Phillip W. Offill, Jr., et al.; and David B. Stocker, et al. Release No. LR-21508
April 26, 2010	Neil V. Moody and Christopher D. Moody Release No. LR-21506
April 26, 2010	Gary J. Gross Release No. LR-21505
April 26, 2010	Darrel West and Own My Travel, LLC, and Professionally Assisted Marketing, Inc. Release No. LR-21504
April 26, 2010	BarrierMed, Inc., BarrierMed Glove Co. and Victor J. Ragucci Release No. LR-21503
April 26, 2010	Carl W. Jasper Release No. LR-21507

Rules & Regulations

Enforcement & Litigation

Compliance

Litigation Releases

More in this Section

Litigation Releases