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. 15, 2020	Karina Chairez Release No. LR-24986 See Also: SEC Complaint
Dec. 15, 2020	CapWealth Advisors, LLC, Timothy J. Pagliara, and Timothy R. Murphy Release No. LR-24985 See Also: SEC Complaint
Dec. 14, 2020	Roger E. Dobrovodsky, Robert Todd Seth, Matthew L. Walker Release No. LR-24983 See Also: Roger Dobrovodsky , Robert Seth , Matthew Walker
Dec. 11, 2020	Christopher Clark and William Wright Release No. LR-24982 See Also: SEC Complaint
Dec. 11, 2020	Sequential Brands Group, Inc. Release No. LR-24981 See Also: SEC Complaint
Dec. 9, 2020	Amir Bruno Elmaani Release No. LR-24980 See Also: SEC Complaint
Dec. 9, 2020	Gomes et al. Release No. LR-24979
Dec. 9, 2020	J. Jeremy Barbera, Carl Smith, and Nanobeak Biotech Inc. Release No. LR-24978 See Also: SEC Complaint
Dec. 7, 2020	Applied BioSciences Corp. Release No. LR-24977 See Also: SEC Complaint
Dec. 3, 2020	SCANA Corporation, et al. Release No. LR-24976
Dec. 2, 2020	Richard J. Rubin and Thomas J. Craft, Jr. Release No. LR-24973 See Also: SEC Complaint
Dec. 2, 2020	Eugenio Garcia Jimenez, Jr. Release No. LR-24975 See Also: SEC Complaint
Dec. 2, 2020	Bajic et al. Release No. LR-24974
Dec. 1, 2020	Mark Alan Lisser a/k/a Mark Alan a/k/a Mark Allen Release No. LR-24972 See Also: SEC Complaint
Nov. 30, 2020	Garrett M. O'Rourke and Michael J. Black Release No. LR-24971
Nov. 30, 2020	Brothers Investment Group International, Inc. N/K/A Brothers International Group Inc., et al. Release No. LR-24970 See Also: SEC Complaint
Nov. 24, 2020	Rumbaugh et al Release No. LR-24969 See Also: SEC Complaint
Nov. 23, 2020	Benja Inc., et al. Release No. LR-24968 See Also: SEC Complaint
Nov. 23, 2020	Michael R. Sullivan Release No. LR-24967 See Also: SEC Complaint
Nov. 20, 2020	Winston Reed Investments LLC Release No. LR-24966
Nov. 19, 2020	Richard W. Davis, Jr., et al. Release No. LR-24965
Nov. 13, 2020	Christopher W. Burns, Investus Advisers LLC d/b/a Dynamic Money LLC, Investus Financial LLC, Peer Connect LLC, and Meredith L. Burns (Relief Defendant) Release No. LR-24963 See Also: SEC Complaint , Order
Nov. 13, 2020	Carrie L. Tolstedt Release No. LR-24964 See Also: SEC Complaint
Nov. 9, 2020	Douglas A. Roth Release No. LR-24961 See Also: SEC Complaint
Nov. 9, 2020	Robert C. Morgan Release No. LR-24960
Nov. 9, 2020	David C. Coggins, et al. Release No. LR-24959
Nov. 9, 2020	Hughe Duwayne Graham, Donald Lee Howard, Larry Louis Matyas Release No. LR-24958 See Also: SEC Complaint
Nov. 9, 2020	Mohammed Ali Rashid Release No. LR-24957
Nov. 5, 2020	Ieremenko et al. Release No. LR-24956
Nov. 4, 2020	Curative Biosciences, Inc. f/k/a Healthient, Inc., William M. Alverson, Katherine West Alverson, and Steven G. Patton Release No. LR-24955
Nov. 3, 2020	Terrence Chalk, et al. Release No. LR-24954 See Also: SEC Complaint
Oct. 27, 2020	John A. Paulsen Release No. LR-24953 See Also: SEC Complaint
Oct. 27, 2020	Alex Forester, Michael Hicks, Yarden Krampf, Christopher Lee, Sean O'Neal, Michael Raynor, and Lee Sobel Release No. LR-24952 See Also: SEC Complaint
Oct. 23, 2020	Joseph Taub, et al. Release No. LR-24951
Oct. 22, 2020	Paul Horton Smith, Sr.; Northstar Communications, LLC; Planning Services, Inc.; and eGate, LLC Release No. LR-24950
Oct. 19, 2020	Jillian Sidoti Release No. LR-24949 See Also: SEC Complaint
Oct. 19, 2020	Motty Mizrahi et al. Release No. LR-24948
Oct. 19, 2020	Joseph P. Willner Release No. LR-24947
Oct. 16, 2020	Rudden, et al. Release No. LR-24946 See Also: Final Judgment
Oct. 14, 2020	Dana J. Bradley, Marlin S. Hershey, D. Bradley, Inc., Bryant Boys, LLC, Distressed Lending Fund, Erndit LLC, Hershey Enterprises, MW Enterprises, Performance Holdings, Performance Retire on Rentals Release No. LR-24945 See Also: Final Judgment
Oct. 13, 2020	Alexander Rowland Release No. LR-24944 See Also: SEC Complaint
Oct. 9, 2020	SAExploration Holdings, Inc., et al. Release No. LR-24943 See Also: SEC Complaint
Oct. 8, 2020	Nanotech Engineering, Inc., Michael James Sweaney (also known as Michael Hatton), David Sweaney, and Jeffery Gange Release No. LR-24942 See Also: SEC Complaint , Final Judgment - David Sweaney
Oct. 6, 2020	McAfee et al. Release No. LR-24941
Oct. 5, 2020	Hill International, Inc. et al. Release No. LR-24939, AAER-4185
Sept. 30, 2020	Thomas J. Gity, et al. Release No. LR-24930 See Also: SEC Complaint
Sept. 30, 2020	Sebastian Silea, Christian Kranenberg, and KS Cartel LLC Release No. LR-24929 See Also: SEC Complaint
Sept. 30, 2020	Drew Morgan Ciccarelli Release No. LR-24940 See Also: SEC Complaint
Sept. 30, 2020	Rand Heckler and Rand Heckler, Inc. Release No. LR-24938 See Also: SEC Complaint
Sept. 30, 2020	Johnson, Everett, Ekejija, and NVC Fund, LLC Release No. LR-24937 See Also: SEC Complaint
Sept. 30, 2020	Mason D. Newman, Christian J. Baquerizo and Kevin Cardenas Release No. LR-24936 See Also: SEC Complaint - Baquerizo and Cardenas , SEC Complaint - Newman
Sept. 30, 2020	Joel Stohlman, et al. Release No. LR-24935 See Also: SEC Complaint
Sept. 30, 2020	Robert McCabe et al. Release No. LR-24934 See Also: SEC Complaint
Sept. 30, 2020	Michael Staisil Release No. LR-24933 See Also: SEC Complaint
Sept. 30, 2020	Roger Nils-Jonas Karlsson Release No. LR-24932 See Also: SEC Complaint
Sept. 30, 2020	Todd W. Mixon Release No. LR-24931 See Also: SEC Complaint
Sept. 29, 2020	Lewis I. Wallach Release No. LR-24928 See Also: SEC Complaint
Sept. 29, 2020	Stebbins & Jones Release No. LR-24927 See Also: SEC Complaint , Final Judgment - Stebbins , Final Judgment - Jones
Sept. 29, 2020	Andrew Dale Ledbetter, Esq. Release No. LR-24926 See Also: SEC Complaint
Sept. 29, 2020	Corbin L. Lambert Release No. LR-24925 See Also: SEC Complaint
Sept. 28, 2020	Clifton Curtis Sneed, Jr. Release No. LR-24924 See Also: SEC Complaint
Sept. 28, 2020	Laksha Bohra, Viky Bohra, and Gotham Bohra Release No. LR-24923 See Also: SEC Complaint
Sept. 28, 2020	Lindner Capital Advisors, Inc. and Robert J. Lindner Release No. LR-24922 See Also: SEC Complaint
Sept. 28, 2020	Marcus Beam Release No. LR-24921
Sept. 28, 2020	Todd Zinkwich Release No. LR-24920 See Also: SEC Complaint
Sept. 25, 2020	Eric M. Hill Release No. LR-24919 See Also: SEC Complaint
Sept. 25, 2020	Zvi Feiner, et al. Release No. LR-24918
Sept. 25, 2020	Frank G. Mueller Release No. LR-24917 See Also: SEC Complaint
Sept. 24, 2020	Oscar Haynes Morris, Jr. and Lakeside Capital Partners, LP Release No. LR-24916 See Also: SEC Complaint
Sept. 24, 2020	Revolution Lighting Technologies, Inc., et al. Release No. LR-24915, AAER-4170 See Also: SEC Complaint
Sept. 24, 2020	James M. Rudnick Release No. LR-24914 See Also: SEC Complaint
Sept. 24, 2020	Craig A. Zabala Release No. LR-24913 See Also: SEC Complaint
Sept. 23, 2020	Edward T. Kelly Release No. LR-24912 See Also: SEC Complaint
Sept. 23, 2020	Roger Duffield, et al. Release No. LR-24911 See Also: SEC Complaint , Final Judgment - Duffield , Final Judgment - Plandai
Sept. 22, 2020	Verley Lee Sembritzky, Jr., Bounty of the Ocean Inc., and Ocean Harvest LLC Release No. LR-24910 See Also: SEC Complaint
Sept. 22, 2020	Yinghang "James" Yang and Yuanbiao Chen Release No. LR-24909 See Also: SEC Complaint
Sept. 21, 2020	Robert Hoddes Jacobs Release No. LR-24908 See Also: SEC Complaint
Sept. 21, 2020	Milton J. Dosal, Jr. Release No. LR-24907 See Also: SEC Complaint
Sept. 21, 2020	PowerTradersPress.com, Inc., et al. Release No. LR-24906 See Also: Final Judgment - Dennis J. Verderosa , Final Judgment - Emin Cohen
Sept. 18, 2020	Adam Rogas, et. al Release No. LR-24905 See Also: SEC Complaint
Sept. 17, 2020	John Geraci Release No. LR-24904
Sept. 17, 2020	Steven J. Sheinfeld Release No. LR-24903 See Also: SEC Complaint
Sept. 17, 2020	Scott Allen Fries Release No. LR-24902 See Also: SEC Complaint
Sept. 16, 2020	Estate of Richard Ventrilla and Cygnus Capital Management, LLC Release No. LR-24901 See Also: SEC Complaint
Sept. 16, 2020	Henry Sargent et al. Release No. LR-24900 See Also: SEC Complaint , Final Judgment - Frederick Mintz and Alan Fraade
Sept. 15, 2020	Gary Pryor, et al Release No. LR-24898 See Also: SEC Complaint
Sept. 15, 2020	PixarBio Corp. et al. Release No. LR-24897
Sept. 15, 2020	FLiK, CoinSpark, Ryan S. Felton, William Q. Sparks, Jr., Owen B. Smith, and Chance B. White, and Relief Defendants Hyperion Holdings LLC, Stephanie L. Brown, Dale W. Felton, and Jennifer Felton Release No. LR-24899 See Also: SEC Complaint
Sept. 14, 2020	Francisco Abellan Villena, Guillermo Ciupiak, James B. Panther, Jr., and Faiyaz Dean Release No. LR-24896
Sept. 14, 2020	Remington Chase a/k/a William Westwood a/k/a William Elliott Release No. LR-24895 See Also: SEC Complaint
Sept. 10, 2020	RRBB Asset Management, LLC, et al. Release No. LR-24894 See Also: SEC Complaint
Sept. 10, 2020	Tangoe, Inc. et. al. Release No. LR-24893 See Also: SEC Complaint , Final Judgment - Donald Farias
Sept. 10, 2020	Richard M. Kirsch and Adam Terris Release No. LR-24892 See Also: SEC Complaint
Sept. 10, 2020	Steven D. Rodemer Release No. LR-24891 See Also: SEC Complaint
Sept. 10, 2020	Hai Khoa Dang Release No. LR-24890 See Also: SEC Complaint
Sept. 9, 2020	Kirk Sperry and Sperry and Sons Capital Investments, LLC Release No. LR-24889 See Also: SEC Complaint
Sept. 3, 2020	Geoffrey Thompson Release No. LR-24887 See Also: SEC Complaint
Sept. 3, 2020	John M. Fife, Chicago Venture Partners, L.P., Iliad Research and Trading, St. George Investments LLC, Tonaquint, Inc., and Typenex Co-Investment, LLC Release No. LR-24886 See Also: SEC Complaint
Sept. 3, 2020	Phillip W. Conley Release No. LR-24885
Sept. 3, 2020	Peter DiChiara Release No. LR-24884 See Also: SEC Complaint

Rules & Regulations

Enforcement & Litigation

Compliance

Litigation Releases

More in this Section

Litigation Releases