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
July 23, 2009	Hazem Khalid Al-Braikan Release No. LR-21152
July 23, 2009	Philip E. Lowery Release No. LR-21151
July 23, 2009	Maynard L. Jenkins Release No. LR-21149A, AAER-3025 See Also: SEC Complaint
July 23, 2009	Joel M. Arnold, Grant P. Graham, John M. Walker, and Richard L. Weston Release No. LR-21148, AAER-3018
July 23, 2009	Michael K.C. Tom, et al. Release No. LR-21147
July 23, 2009	West Marine, Inc. Release No. LR-21150, AAER-3019 See Also: SEC Complaint
July 22, 2009	Christopher Castaldo, et al. Release No. LR-21146
July 22, 2009	Jeffrey A. Hayden and Barry S. Griffin, et al. Release No. LR-21145
July 21, 2009	Deborah Duffy Release No. LR-21144 See Also: SEC Complaint
July 21, 2009	Morgan Keegan & Company, Inc. Release No. LR-21143
July 21, 2009	The Formula, Inc., The Formula, LLC, and Brian A. Neiman Release No. LR-21142
July 20, 2009	Medical Capital Holdings, Inc.; Medical Capital Corporation; Medical Provider Funding Corporation VI; Sidney M. Field; and Joseph J. Lampariello Release No. LR-21141
July 20, 2009	Andres Leyva Release No. LR-21140
July 17, 2009	Excellency Investment Realty Trust, Inc. and David Mladen Release No. LR-21138 See Also: SEC Complaint
July 17, 2009	Blue Bottle Limited and Matthew C. Stokes Release No. LR-21139
July 16, 2009	Matthew W. Hardey, L. Cyrus DeBlanc, and Joe E. Penland Release No. LR-21137, AAER-3012 See Also: SEC Complaint
July 16, 2009	Mark T. Turkcan Release No. LR-21136, AAER-3011
July 15, 2009	John W. Lawton, Paramount Partners, LP, and Crossroad Capital Management, LLC Release No. LR-21135
July 15, 2009	Anthony Perez and Ian C. Perez; Math J. Hipp Jr.; Carl E. Binette and Peter E. Talbot Release No. LR-21133 See Also: SEC Complaint v. Perez and Perez , SEC Complaint v. Hipp , SEC Complaint v. Binette and Talbot
July 15, 2009	Kevan D. Acord et al. Release No. LR-21132 See Also: SEC Complaint
July 15, 2009	Angel Acquisition Corp., et al Release No. LR-21131
July 15, 2009	Dmitriy Butko Release No. LR-21130
July 14, 2009	L. Dennis Kozlowski, Mark H. Swartz, and Mark A. Belnick Release No. LR-21129, AAER-3010
July 14, 2009	Richard D. Power, Edward Federman, and Richard J. "Skip" Heger Release No. LR-21128, AAER-3009
July 14, 2009	Sean Nathan Healy, Defendant, and Shalese Rania Healy and Sand Dollar Investing Partners, LLC, Relief Defendants Release No. LR-21127 See Also: SEC Complaint
July 13, 2009	David M. Otto, Todd Van Siclen, MitoPharm Corporation, Pak Peter Cheung, Wall Street PR, Inc., Charles Bingham Release No. LR-21126 See Also: SEC Complaint
July 10, 2009	Alanar, Inc., et al. Release No. LR-21125
July 10, 2009	Thomas J. Petters, Gregory M. Bell and Lancelot Investment Management LLC, Defendants, and Inna Goldman, Inna Goldman Revocable Trust, Asia Trust Ltd., Blue Sky Trust, and Gregory Bell Revocable Trust, Relief Defendants Release No. LR-21124 See Also: SEC Complaint
July 10, 2009	Colonial Investment Management LLC, Colonial Fund LLC and Cary G. Brody Release No. LR-21123 See Also: Findings of Fact and Conclusions of Law
July 9, 2009	Pointer Worldwide, Ltd et al. Release No. LR-21122 See Also: SEC Complaint
July 9, 2009	James B. Duncan; Hendrix M. Montecastro; Maurice E. McLeod; Pacific Wealth Management, LLC; Stonewood Consulting, Inc.; and Total Return Fund, LLC Release No. LR-21121
July 8, 2009	Sky Capital LLC a/k/a Granta Capital LLC, Ross Mandell, Stephen Shea, Adam Harrington Ruckdeschel, Arn Wilson, Michael Passaro and Robert Grabowski Release No. LR-21120 See Also: SEC Complaint
July 8, 2009	Jerry F. Wells, Jr. Release No. LR-21119, AAER-3008 See Also: SEC Complaint
July 7, 2009	Provident Royalties, LLC et al. Release No. LR-21118 See Also: SEC Complaint
July 6, 2009	Doral Financial Corporation and First BanCorp Release No. LR-21117, AAER-3007
July 2, 2009	Geotec, Inc. a/k/a Geotec Thermal Generators, Inc., Bradley T. Ray, William Richard Lueck, and Stephen D. Chanslor Release No. LR-21116 See Also: SEC Complaint
July 1, 2009	James H. Park Release No. LR-21115 See Also: SEC Complaint
July 1, 2009	Michael T. Rand Release No. LR-21114, AAER-3003 See Also: SEC Complaint
July 1, 2009	Ryan M. Jindra and Envision Investment Advisors, LLC, defendants, and Envision Financial Group, Inc., relief defendant Release No. LR-21113 See Also: SEC Complaint
June 30, 2009	Don Warner Reinhard Release No. LR-21112
June 30, 2009	Ricardo H. Goldman Release No. LR-21111
June 29, 2009	Karnig H. Durgarian, Jr., et al. Release No. LR-21110
June 29, 2009	Finbar Securities Corp., et al. Release No. LR-21109
June 29, 2009	Headstart Advisers Limited, et al. Release No. LR-21108
June 25, 2009	Prime Time Group, Inc. Release No. LR-21105 See Also: SEC Complaint
June 25, 2009	Mark Cocchiola and Steven Venechanos; Jack Gaglio; and Robert Quattrone, et al. Release No. LR-21107, AAER-3001
June 25, 2009	Steven R. Garfinkel and Michael O'Hanlon Release No. LR-21106, AAER-3000, AAER-2999
June 24, 2009	Michael J. Muzio Release No. LR-21104 See Also: SEC Complaint
June 24, 2009	Richard F. Selden Release No. LR-21103
June 24, 2009	Regan & Company and Michael C. Regan Release No. LR-21102 See Also: SEC Complaint
June 24, 2009	Moises Pacheco, Advanced Money Management, Inc., and Business Development & Consulting Co., et al. Release No. LR-21101 See Also: SEC Complaint
June 23, 2009	Gary S. Becker, Gregory S. Schaefer, and Dillon Scott Securities, Inc. Release No. LR-21100 See Also: SEC Complaint
June 22, 2009	Steven E. Nothern Release No. LR-21099
June 22, 2009	Horst W. Schroeder Release No. LR-21098, AAER-2998
June 22, 2009	Warren B. Schmidgall and David E. Watson Release No. LR-21097, AAER-2997
June 22, 2009	Stanley Chais Release No. LR-21096 See Also: SEC Complaint
June 22, 2009	Cohmad Securities Corporation, Maurice J. Cohn, Marcia B. Cohn, and Robert M. Jaffe Release No. LR-21095 See Also: SEC Complaint
June 22, 2009	Pinnacle Business Management, Jeffrey G. Turino, et al. Release No. LR-21094
June 22, 2009	FTC Capital Markets, Inc., FTC Emerging Markets, Inc. also d/b/a FTC Group, Guillermo David Clamens and Lina Lopez a/k/a Nazly Cucunuba Lopez Release No. LR-21093
June 19, 2009	Stanford International Bank, Ltd., et al. Release No. LR-21092 See Also: SEC Second Amended Complaint
June 18, 2009	Ulticom, Inc. and Lisa M. Roberts Release No. LR-21091, AAER-2995 See Also: SEC Complaint v. Ulticom , SEC Complaint v. Roberts
June 18, 2009	Comverse Technology, Inc. Release No. LR-21090, AAER-2994 See Also: SEC Complaint
June 18, 2009	Joseph Hirko, et al. Release No. LR-21089, AAER-2993
June 17, 2009	Horizon Property Holdings, L.C. and Cydney Sanchez Release No. LR-21088
June 17, 2009	Jerry D. Cash and David E. Grose Release No. LR-21087, AAER-2991 See Also: SEC Complaint
June 16, 2009	Mitchel S. Guttenberg, Erik R. Franklin, David M. Tavdy, Mark E. Lenowitz, Robert D. Babcock, Andrew A. Srebnik, Ken Okada, David A. Glass, Marc R. Jurman, Randi E. Collotta, Christopher K. Collotta, Q Capital Investment Partners, LP, DSJ International Resources Ltd. (d/b/a Chelsey Capital), and Jasper Capital LLC Release No. LR-21086
June 15, 2009	David J. Hernandez, also doing business as “NextStep Financial Services, Inc.” Release No. LR-21085 See Also: SEC Complaint
June 12, 2009	ZNext Mining Corporation, Inc. and Elvira G. Gamboa Release No. LR-21084 See Also: SEC Complaint
June 12, 2009	Blackout Media Corporation and Sandy Winick Release No. LR-21083, AAER-2990 See Also: SEC Complaint
June 12, 2009	John S. Morgan, Marian I. Morgan, Morgan European Holdings ApS a/k/a Money Talks, Inc., ApS, Stephen E. Bowman, Bowman Marketing Group, Inc., and Thomas D. Woodcock, Jr. Release No. LR-21082
June 12, 2009	Aura Financial Services, Inc., Ronald E. Hardy, Jr., Peter C. Dunne, Qais R. Bhavnagari, Dipin Malla, Sandeep Singh, and Raymond Rapaglia Release No. LR-21081 See Also: SEC Complaint
June 11, 2009	Forest Resources Management Corp., et al. Release No. LR-21080
June 10, 2009	Phillip Macdonald, Martin Gollan, and Michael Goodman Release No. LR-21079 See Also: SEC Complaint
June 10, 2009	Matthew D. Weitzman Release No. LR-21078 See Also: SEC Complaint
June 9, 2009	Christopher M. Kunkel Release No. LR-21077 See Also: SEC Complaint
June 9, 2009	Peter C. Son, Jin K. Chung, SNC Asset Management, Inc., and SNC Investments, Inc. Release No. LR-21076 See Also: SEC Complaint
June 9, 2009	John M. Donnelly, et al. Release No. LR-21073
June 9, 2009	Lorenz Kohler and Swiss Real Estate International Holding AG, Defendants, and Sacho Todorov Dermendjiev, Relief Defendant Release No. LR-21075 See Also: SEC Complaint
June 9, 2009	Berkshire Resources, L.L.C., et al. Release No. LR-21074
June 8, 2009	Robert L. Hollier and Wayne A. Dupuis Release No. LR-21072 See Also: SEC Complaint
June 8, 2009	Alexis Ampudia, a/k/a Alexis Geancarlos Ampudia Navalo, a/k/a Alexis Emias, a/k/a Alexis Rojas Release No. LR-21071
June 5, 2009	Wall Street Communications, Inc. et al. Release No. LR-21070
June 4, 2009	Tajyar, et al. Release No. LR-21069 See Also: SEC Complaint
June 4, 2009	Angelo Mozilo, David Sambol, and Eric Sieracki Release No. LR-21068A, AAER-3023 See Also: SEC Complaint
June 4, 2009	Lena Yan Release No. LR-21067
June 3, 2009	Banc of America Investment Services, Inc.; RBC Capital Markets Corporation; and Deutsche Bank Securities Inc. Release No. LR-21066 See Also: Bank of America , RBC , and Deutsche Bank
June 1, 2009	Charles C. Conaway and John T. McDonald, Jr. Release No. LR-21065
May 29, 2009	David E. Ruskjer Release No. LR-21062 See Also: SEC Complaint
May 29, 2009	Mark R. Hamlin, Kingdom First Trading, LLC, and Kingdom First Corp. Release No. LR-21064 See Also: SEC Complaint
May 29, 2009	Thomas Wurzel Release No. LR-21063, AAER-2980 See Also: SEC Complaint
May 28, 2009	William Betta, Jr., et al. Release No. LR-21061 See Also: SEC Complaint
May 27, 2009	Pegasus Wireless Corporation, Jasper Knabb, and Stephen Durland Release No. LR-21060 See Also: SEC Complaint
May 27, 2009	James E. Gansman, et al. Release No. LR-21059
May 27, 2009	Richard J. Miller, Gary S. Jensen, and Michael E. Beaulieu Release No. LR-21058, AAER-2977 See Also: SEC Complaint
May 26, 2009	Gendreau & Associates, Inc., and Jacques R. Gendreau Release No. LR-21057
May 26, 2009	PrivateFX Global One Ltd., SA, 36 Holdings, Ltd., Robert D. Watson, and Daniel J. Petroski Release No. LR-21056
May 21, 2009	Wealth Management LLC, James Putman, and Simone Fevola Release No. LR-21055
May 21, 2009	Richard Karp Release No. LR-21054 See Also: SEC Complaint
May 21, 2009	Pawel P. Dynkowski, Matthew W. Brown, Jacob Canceli, Gerard J. D'Amaro, Joseph Mangiapane Jr., Nathan M. Michaud, Marc J. Riviello and Adam S. Rosengard Release No. LR-21053 See Also: SEC Complaint
May 20, 2009	FTC Capital Markets, Inc., FTC Emerging Markets, Inc. also d/b/a FTC Group, Guillermo David Clamens and Lina Lopez a/k/a Nazly Cucunuba Lopez Release No. LR-21052 See Also: SEC Complaint

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