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
Dec. 17, 1997	Calman H. Rifkin and Eva-Health, USA, Inc. Release No. LR-15594
Dec. 17, 1997	Holly Holdings, Inc. Release No. LR-15593
Dec. 15, 1997	John Gardner Black, Devon Capital Management, Inc., and Financial Management Sciences, Inc. Release No. LR-15591
Dec. 12, 1997	Uniglobe Trading Company, Inc., et.al. Release No. LR-15592
Dec. 11, 1997	Joseph P. Medsker, Unified Financial Services Agency Corp., and Unified Financial Services Advisory Corp. Release No. LR-15590
Dec. 11, 1997	Raejean S. Bonham, World Plus, Inc., and Atlantic Pacific Funding Corporation Release No. LR-15589
Dec. 10, 1997	Trinity Gas Corporation and Sidney W. Sers Release No. LR-15588
Dec. 9, 1997	Karl L. Dahlstrom, et al. Release No. LR-15587
Dec. 9, 1997	Roger D. Wyatt and David L. Holewinski Release No. LR-15586
Dec. 9, 1997	Southwest Income Trust, et al. Release No. LR-15585
Dec. 9, 1997	Viking Resources International, Inc. Release No. LR-15584
Dec. 8, 1997	Millennium Software Solutions, Inc. and Mark Shkolir Release No. LR-15583
Dec. 8, 1997	Trinity Gas Corporation and Sidney W. Sers Release No. LR-15582
Dec. 8, 1997	James R. Frith, Jr. Chicago Partnership Board, Inc., Defendants, and Adbot, Inc Release No. LR-15581
Dec. 4, 1997	Steven R. Jakubowski Release No. LR-15580
Dec. 4, 1997	Joseph A. Bremont, Jimmy B. Sanchez, Comcar International, Ltd., Commercial Capital Resources, Inc., Loomis Ltd., Michael R. Spector, and R.P.S. Financial Group, Inc. Release No. LR-15579
Dec. 4, 1997	Peter T. Caserta, Salvatore T. Marino, and Dana C. Verrill Release No. LR-15578
Dec. 1, 1997	Harold E. Tobin Release No. LR-15577
Dec. 1, 1997	Robert Hunter, Edward R. Dudlik, Jr., Thomas F. Goldman, W. Kenneth Greenwood, Joseph McKeon, Kathy Naumann, Benjamin Paul, Thomas B. Pileggi, John Rose, John Rose, Jr., Raymond F. White, and H. Constance Neff Release No. LR-15576
Nov. 26, 1997	KS Resources et al. Release No. LR-15574
Nov. 26, 1997	Seahawk Deep Ocean Technology, Inc., John C. Morris, Gregory H. Stemm and Daniel S. Bagley Release No. LR-15573
Nov. 25, 1997	HealthTech International, Inc. Release No. LR-15572
Nov. 25, 1997	Charles O. Huttoe et al. Release No. LR-15571
Nov. 24, 1997	Integrated Waste Services, Inc. Release No. LR-15570
Nov. 24, 1997	Steven Strauss Release No. LR-15569
Nov. 21, 1997	Uniglobe Trading Company, Inc., et.al. Release No. LR-15568
Nov. 20, 1997	KS Resources, et al. Release No. LR-15567
Nov. 20, 1997	Richard P. Poirier, Jr., James E. Eaton and Michael S. Devegter Release No. LR-15565 See Also: Complaint in this matter
Nov. 19, 1997	Paramount Capital Management, Inc. and "John Doe" a/k/a "Kenneth Bridget" Release No. LR-15566
Nov. 18, 1997	CNC Trading Company, et al. Release No. LR-15564
Nov. 18, 1997	John S. Nadolski Release No. LR-15563
Nov. 17, 1997	John Logan Release No. LR-15562
Nov. 14, 1997	Vincent Setteducate Release No. LR-15561
Nov. 14, 1997	Charles Brumfield, Joseph Brumfield, Robert Allen, William Mylett, Joseph Penna, and Joseph Kenton Capital, Ltd Release No. LR-15560
Nov. 13, 1997	Charles Brumfield, Joseph Brumfield, Robert Allen, William Mylett, Joseph Penna, Joseph Cusimano, Alfred Volpe, James Galante, Thomas Alger, John O'Brien, Lawrence Friedman, Robert Flanagan, Thomas Flanagan, Sharon Seiden, Warren Smith, John Lynch, and Albert Brody Release No. LR-15559
Nov. 13, 1997	David W. Laing and PCO, Inc., D/B/A Personal Choice Opportunities Release No. LR-15558
Nov. 12, 1997	Jerome C. Pinckney, Richard L. Arnold, Donald E. Elder, Fernando Cruz, Shaun K. R. Maxwell, Anthony Bukovich, and Six Capital Corporation Release No. LR-15557
Nov. 12, 1997	Peter R. DeGeorge Release No. LR-15556
Nov. 10, 1997	Teddy Wayne Solomon, Lisa Stevens, Platinum International, and Quantum Corp. a/k/a Quantum Trading Release No. LR-15555
Nov. 7, 1997	Financial Advisers, Inc., American Capital Funding, Inc., and FW Advisers Release No. LR-15554
Nov. 5, 1997	Shahryar Soroosh Release No. LR-15553
Nov. 5, 1997	Vladislav Steven Zubkis, et al. Release No. LR-15552
Nov. 5, 1997	Alan M. Stricoff Release No. LR-15551
Nov. 4, 1997	Robert D. Gersh Release No. LR-15550
Nov. 4, 1997	andrew S. Lane, Jack Lane, Jack O. Scher, Deborah S. Games, Craig L. Sampson, Bruce Sampson, and Tracy Ann Stoddart Release No. LR-15549
Oct. 31, 1997	Bond D. Fletcher and Mediajet, Inc. Release No. LR-15548
Oct. 30, 1997	Randall Smith Kuhlmann and David Sydney Darling Release No. LR-15547
Oct. 30, 1997	Mitchell A. Hammer and Joseph Letzelter, Jr. Release No. LR-15546
Oct. 29, 1997	Ronald J. Mitchellette and Robert Hardy Release No. LR-15545
Oct. 28, 1997	Hernan Jose Perez Release No. LR-15544
Oct. 27, 1997	Randall E. Bradbury, The Bradbury Financial Group, Inc., and T.B.F.G. International, Ltd. Release No. LR-15543
Oct. 24, 1997	Roy Handojo Release No. LR-15540
Oct. 24, 1997	Medco, Inc., et al. Release No. LR-15539
Oct. 24, 1997	David Scott Heredia Release No. LR-15542
Oct. 24, 1997	William D. Brosseau, et al. Release No. LR-15541
Oct. 21, 1997	offshore Financial Corporation, et al. Release No. LR-15538
Oct. 20, 1997	Bruce Van Wagner, et al. Release No. LR-15537
Oct. 20, 1997	Gary W. Berus, Patricia S. Gale, Robert W. Harper and Nancy A. Swoffer Release No. LR-15536
Oct. 20, 1997	Jerald Beagelman, Fred Lyman, Joseph Sanfellipo, and Elliot Stumacher Release No. LR-15535
Oct. 16, 1997	Whitworth Energy Resources, Ltd., et al. Release No. LR-15534
Oct. 16, 1997	Hernan Jose Perez Release No. LR-15533
Oct. 9, 1997	Atlantic Capital Corporation, Wall Street Marketing, Inc., Pullman Publications, Inc., Stephen DeCesare, Mark Missler, Patrick Kephart, Howard Jenkins, Scott Mijares, Robert Thomas Beatty, Vincent St. Clair Beatty, Michael Cardascia, David Scott Rossman, Adrian Wilson, Timothy B. Daley, and David M. Connochie Release No. LR-15532
Oct. 8, 1997	Cihaco International, Inc., Hartmut Haussecker, Bartley Carson Healy, and Tanya Llanes-Tarver Release No. LR-15531
Oct. 7, 1997	Atratech, Inc., Anthony Gurino, Vincent Sorena, Patrick Borello, Aug.o Aufiero, Stanley Kaplan, Francis J. O'Reilly, and Raymond Stankey Release No. LR-15529
Oct. 7, 1997	Mark E. Gatch and Henry Benjamin Schmidt Release No. LR-15530
Oct. 6, 1997	Continental Wireless Cable Television, Inc., Robin J. Mcpherson, Jay R. Bishop and Gene R. Cardenaz Release No. LR-15528
Oct. 6, 1997	James G. Hanley Release No. LR-15527
Oct. 2, 1997	John Patrick Brink Release No. LR-15526
Oct. 2, 1997	Gerard Burns, et al. Release No. LR-15524
Oct. 1, 1997	KS Resources, et al. Release No. LR-15525
Oct. 1, 1997	Russell S. Smith, et al. Release No. LR-15523
Oct. 1, 1997	Jeffrey P. Sudikoff, Edward Cheramy and Rudy Wann Release No. LR-15522
Sept. 30, 1997	Brian E. Willis and William Sanchez Release No. LR-15517
Sept. 30, 1997	Leonard Greer and Judah Wernick Release No. LR-15516
Sept. 30, 1997	Sam Moore Release No. LR-15515
Sept. 30, 1997	Francis X. Wazeter, III, et al. Release No. LR-15521
Sept. 30, 1997	Robert Hunter, Edward R. Dudlik, Jr., Thomas F. Goldman, W. Kenneth Greenwood, Joseph Mckeon, Kathy Naumann, Benjamin Paul, Thomas B. Pileggi, John Rose, John Rose, Jr., Raymond F. White, and H. Constance Neff Release No. LR-15520
Sept. 30, 1997	David R. Pfister, Richard G. Pfister, Ty Bartel, Nick A. Skansi, Nick L. Skansi, George S. Pharis, Chok-tat Tan, Jody L. Lafont, Jeffrey J. Jandegian, and Randolph R. Blackburn Release No. LR-15519
Sept. 29, 1997	Phoenix Metals U.S.A. II, Inc., and Robert F. Flaherty Release No. LR-15514
Sept. 26, 1997	Carlo D'Alelio Release No. LR-15513
Sept. 26, 1997	Sage Technology, Inc., Jamie Edelkind, and William R. Thiele Release No. LR-15512
Sept. 26, 1997	John Gardner Black, Devon Capital Management, Inc., and Financial Management Sciences, Inc. Release No. LR-15511
Sept. 25, 1997	Michael Borlinghaus, Joseph Latona, Leonard Bellezza, Jeffrey F. Green, Joseph P. Greenwald, and Heinz Grein Release No. LR-15507
Sept. 25, 1997	Harold J. Lee and Alfred Almeder Release No. LR-15510
Sept. 25, 1997	Dale J. Lange, et al. Release No. LR-15509
Sept. 25, 1997	Herbert Moskowitz; Carol Fox Foelak, Administrative Law Judge Release No. LR-15508 File Number: 3-9435
Sept. 24, 1997	William H. Malek, Dean C. Turner and Michael L. Cooperstock Release No. LR-15506
Sept. 24, 1997	Whitworth Energy Resources, Ltd.; Williston Basin Holding Corp.; Amerivest Financial Group, Inc.; Peter Sacker; Jerry W. anderson; and Robert M. Kerns Release No. LR-15505
Sept. 22, 1997	Barnard Sackett, John H. Schriek and Enviroland, Ltd. Release No. LR-15504
Sept. 19, 1997	Terry Oneil Clifford, D/b/a Datasource Consulting Group Release No. LR-15503
Sept. 18, 1997	Sept. 24, 1998 Release No. LR-15900
Sept. 18, 1997	International Breeders, Inc., First Western Ostrich Corp., Ostrich Breeders of America, Inc., Nsa, Inc., Capital Management and Development Corp., Jeffrey Davis, Bob Stewart, Freddie Don Stewart, Steven Stewart, Homer Rios, Clifford Stahl and Rik Foxx Release No. LR-15501
Sept. 18, 1997	Club Atlanta Travel, Inc., David L. Straub, Frank Garner, and Fred Garner Release No. LR-15500
Sept. 17, 1997	The Geneva Group and Nicholas Garcia Release No. LR-15496
Sept. 17, 1997	Charles Anthony Ferracone, James W. Farrell, James L. Ericksteen, Gary L. Moore, Jill Hall, and Guido Bensberg Release No. LR-15499
Sept. 17, 1997	MicroWest Industries, Inc. et al. Release No. LR-15498
Sept. 17, 1997	Paul H. Borg Release No. LR-15497
Sept. 16, 1997	Telecom Marketing, Inc.; Telecom Industries, Inc.; Barry Smith; Midas Media, Inc.; Jeffrey Jolcover; Century Wireless Communications Corp.; Ron Schroeder; Tri-star Communications, Inc.; Paul Iwankowski; Brixel, Inc.; and John Field IV Release No. LR-15495
Sept. 15, 1997	Walter Clarence Busby, Jr. Release No. LR-15494
Sept. 15, 1997	Alpha Diversified Industries, Inc., Ralph W. Leblanc, and Robert M. Bingham Release No. LR-15493

Rules & Regulations

Enforcement & Litigation

Compliance

Litigation Releases

More in this Section

Litigation Releases