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
April 29, 2019	James Siniscalchi Release No. LR-24463 See Also: SEC Complaint
April 29, 2019	One or More Unknown Traders in the Securities of Anadarko Petroleum Corp. Release No. LR-24462 See Also: SEC Complaint
April 26, 2019	Christopher D. Dougherty, et al. Release No. LR-24461 See Also: SEC Complaint
April 25, 2019	Zachary S. Berkey, et al. Release No. LR-24460
April 25, 2019	Celadon Group, Inc. Release No. LR-24459 See Also: SEC Complaint
April 23, 2019	Eric D. Lyons, et al. Release No. LR-24458 See Also: SEC Complaint
April 22, 2019	David M. Loflin Release No. LR-24457 See Also: SEC Complaint
April 19, 2019	Kimberly Sredich Release No. LR-24456 See Also: SEC Complaint
April 18, 2019	Motty Mizrahi et al. Release No. LR-24455
April 18, 2019	Yuh-Yue Chen Release No. LR-24454 See Also: SEC Complaint
April 16, 2019	Quentin Louis Wilcox Release No. LR-24453 See Also: SEC Complaint
April 15, 2019	Lawrence P. Schmidt, Commercial Equity Partners, Ltd, FutureGen Company (d/b/a FutureGen Capital), FGC Distressed Assets Investment #1, LLC; FutureGen Capital DDA CG Fund LLC; FGC Tax Lien Fund #2, LLC; FGC Trading Fund #1 LLC; FGC SPE NO 1 LLC; FGC SPE NO 2 LLC; and FGC CM Note Fund LLC Release No. LR-24452
April 12, 2019	Ivan Acevedo & Dane R. Roseman Release No. LR-24450 See Also: SEC Complaint
April 12, 2019	Joseph Meli, et al., Craig H. Carton, et al. Release No. LR-24451 See Also: et al. , Final Judgment as to Relief Defendant Anna Meli , LLC
April 11, 2019	Arif M. Naqvi and Abraaj Investment Management Limited Release No. LR-24449 See Also: SEC Complaint , and Amended Complaint
April 10, 2019	Paul Bannon Powers Release No. LR-24448 See Also: SEC Complaint
April 10, 2019	Gonzalo Ortiz Release No. LR-24447 See Also: SEC Complaint
April 9, 2019	Bevil et al., Duke et al., Duncan, Saccomanno et al. Release No. LR-24446 See Also: et al. Complaint , Duncan Complaint , et al. Complaint , et al. Complaint
April 8, 2019	Craig H. Carton, et al. Release No. LR-24445
April 5, 2019	Scott Newsholme Release No. LR-24444
April 4, 2019	Jeffrey E. Wall and The Lighthouse Events, LLC Release No. LR-24443 See Also: SEC Complaint
April 4, 2019	AVEO Pharmaceuticals, Inc., et al. Release No. LR-24442
April 4, 2019	Evan R. Kita, et al. Release No. LR-24441, AAER-4038
April 3, 2019	Daniel Mattes Release No. LR-24440 See Also: SEC Complaint
April 3, 2019	Jeffrey C. Mack and Lawrence C. Blaney Release No. LR-24439 See Also: SEC Complaint
April 2, 2019	Kimberly Pine Kitts Release No. LR-24438
April 2, 2019	Robert P. DePalo, et al. Release No. LR-24437
April 2, 2019	Keith Borge Release No. LR-24436 See Also: SEC Complaint
April 1, 2019	Motty Mizrahi and MBIG Company Release No. LR-24435 See Also: SEC Complaint
March 28, 2019	Richard T. Diver Release No. LR-24434 See Also: SEC Complaint
March 26, 2019	James K. McKillop Release No. LR-24433 See Also: SEC Complaint , Application , Administrative Proceedings Release
March 25, 2019	Direct Lending Investments, LLC Release No. LR-24432 See Also: SEC Complaint
March 22, 2019	Barry Honig, et al. Release No. LR-24431 See Also: SEC Amended Complaint
March 20, 2019	Frank Morelli III and Louis Buonocore Release No. LR-24429
March 20, 2019	Rhode Island Commerce Corporation (f/k/a Rhode Island Economic Development Corporation), et al. Release No. LR-24428
March 20, 2019	Carol Ann Pedersen Release No. LR-24430 See Also: SEC Complaint
March 19, 2019	Timothy W. Crawford, et al Release No. LR-24427 See Also: SEC Complaint
March 18, 2019	Kent R.E. Whitney, David Lee Parrish, The Church for the Healthy Self a/k/a CHS Trust, and CHS Asset Management Inc. Release No. LR-24426 See Also: SEC Complaint
March 15, 2019	Edward Withrow, et al. Release No. LR-24425
March 15, 2019	Dale M. Walker Release No. LR-24424 See Also: SEC Complaint
March 15, 2019	Christina Marie Daniels, et al. Release No. LR-24423
March 15, 2019	Volkswagen Aktiengesellschaft, et al. Release No. LR-24422 See Also: SEC Complaint
March 13, 2019	Diane D. Dalmy Release No. LR-24421 See Also: SEC Complaint
March 12, 2019	William Neil "Doc" Gallagher, Gallagher Financial Group, Inc., and W. Neil Gallagher, Ph.D. Agency, Inc. Release No. LR-24420 See Also: SEC Complaint
March 12, 2019	River North Equity LLC, Edward M. Liceaga, Michael A. Chavez, NanoTech Entertainment, Inc., NanoTech Gaming, Inc., David R. Foley, Lisa L. Foley, Jeffrey A. Foley, and Bennie L. Blankenship Release No. LR-24419 See Also: SEC Complaint
March 6, 2019	Goldsky Asset Management, LLC and Kenneth Grace Release No. LR-24418
March 4, 2019	Rong Chen, et al. Release No. LR-24417
March 4, 2019	William C. Gennity Release No. LR-24416 See Also: Administrative Proceedings Release
March 4, 2019	MinTrade Technologies, LLC, Carla Marin Release No. LR-24415
March 1, 2019	John Gregory Schmidt Release No. LR-24414
Feb. 27, 2019	Elon Musk Release No. LR-24413
Feb. 27, 2019	Castleberry Financial Services Group, LLC, et al. Release No. LR-24412 See Also: SEC Complaint
Feb. 26, 2019	Daniel Adams, Michael Flanders, Spiderworx Media LLC, and An L.A. Minute LLC Release No. LR-24411 See Also: SEC Complaint
Feb. 25, 2019	Jack D. Massimino and Robert C. Owen Release No. LR-24410 See Also: SEC Complaint
Feb. 22, 2019	James S. Polese, et al. Release No. LR-24408
Feb. 22, 2019	Walter C. Little and Andrew M. Berke Release No. LR-24409
Feb. 21, 2019	Mathias Francisco Sandoval Herrera and Maria D. Cidre Release No. LR-24407
Feb. 21, 2019	Joseph Frank Vacante Release No. LR-24406 See Also: SEC Complaint
Feb. 21, 2019	Spartan Securities Group, Ltd., Island Capital Management LLC, Carl E. Dilley, Micah J. Eldred and David D. Lopez Release No. LR-24405 See Also: SEC Complaint
Feb. 15, 2019	Brian Hirsch et al. Release No. LR-24404 See Also: Administrative Proceedings Release
Feb. 15, 2019	Joshua Sason, et al. (Corrected) Release No. LR-24403 See Also: SEC Complaint
Feb. 15, 2019	Gordon J. Coburn and Steven E. Schwartz Release No. LR-24402 See Also: SEC Complaint
Feb. 15, 2019	Inteligentry, Ltd., PlasmERG, Inc., PTP Licensing, Ltd. and John P. Rohner Release No. LR-24401
Feb. 14, 2019	Blockvest, LLC, et al. Release No. LR-24400 See Also: Order
Feb. 13, 2019	Gene Daniel Levoff Release No. LR-24399 See Also: SEC Complaint
Feb. 12, 2019	Jason McDiarmid, et al. Release No. LR-24398
Feb. 12, 2019	Kevin R. Kuhnash and Jason P. Jimerson Release No. LR-24397 See Also: SEC Complaint
Feb. 12, 2019	Michael J. Kipp, et al. Release No. LR-24396
Feb. 11, 2019	PixarBio Corp. et al. Release No. LR-24395
Feb. 11, 2019	NL Technology, LLC et al. Release No. LR-24394
Feb. 8, 2019	Spark Trading Group, LLC and Niket Shah Release No. LR-24393
Feb. 7, 2019	Robert Alexander and Kizzang LLC Release No. LR-24392 See Also: SEC Complaint
Feb. 5, 2019	Edward Withrow, et al. Release No. LR-24391
Feb. 4, 2019	Thomas Conrad, Jr. et al. Release No. LR-24390
Feb. 1, 2019	Anthony J. Thompson, Jr., et al. Release No. LR-24389
Feb. 1, 2019	Alexander C. Burns, et al. Release No. LR-24388 See Also: SEC Complaint
Jan. 31, 2019	David Aubel and Robert Raffa Release No. LR-24387
Jan. 29, 2019	Daniel H. Glick, et al. Release No. LR-24386
Jan. 29, 2019	Phillip Michael Carter, et al. Release No. LR-24385 See Also: SEC Complaint
Jan. 28, 2019	Howard B. Present Release No. LR-24384
Jan. 28, 2019	Joseph A. Meyer, Jr. and Statim Holdings, Inc. Release No. LR-24383 See Also: SEC Complaint
Jan. 25, 2019	American Growth Funding II, LLC, et al. Release No. LR-24382 See Also: Final Judgment - AGF II , Judgment - Johnson
Jan. 17, 2019	Oleksandr Ieremenko, Sungjin Cho, David Kwon, Igor Sabodakha, Victoria Vorochek, Ivan Olefir, Andrey Sarafanov, Capyield Systems Ltd., Spirit Trade Ltd. Release No. LR-24381 See Also: SEC Complaint
Dec. 26, 2018	Cherubim Interests, Inc., PDX Partners, Inc., Victura Construction Group, Inc., and Patrick Jevon Johnson Release No. LR-24380
Dec. 21, 2018	John T. Place, et al. Release No. LR-24379
Dec. 21, 2018	China United Insurance Service, Inc., et al. Release No. LR-24378 See Also: SEC Complaint
Dec. 20, 2018	Grenda Group, LLC, et al. Release No. LR-24377 See Also: SEC Complaint
Dec. 19, 2018	Robert S. "Lute" Davis, Jr., et al., Jordan E. Goodman., Alan H. New, et al. Release No. LR-24376 See Also: Davis Complaint , Goodman Complaint , New Complaint
Dec. 17, 2018	Peter Cho Release No. LR-24375 See Also: SEC Complaint
Dec. 14, 2018	Craig Arsenault, Atlas Capital Management, Inc., and ACT Global Investments Release No. LR-24374 See Also: SEC Complaint
Dec. 14, 2018	Thomas H. Laws, et al. Release No. LR-24373 See Also: SEC Complaint
Dec. 13, 2018	Gregory E. Webb, et al. Release No. LR-24372
Dec. 10, 2018	Rajeshwar R. Gannamaneni, Deepthi Gandra, and Linga R. Gannamaneni Release No. LR-24371 See Also: SEC Complaint
Dec. 10, 2018	Jared Jeffrey Davis and Dale Burke Pinchot Release No. LR-24370 See Also: SEC Complaint
Dec. 7, 2018	NVC Fund LLC and Frank Ekejija Release No. LR-24369
Dec. 6, 2018	Jesse C. Litvak Release No. LR-24368
Dec. 6, 2018	Michael B. Rothenberg Release No. LR-24367 See Also: SEC Complaint
Dec. 6, 2018	Chen et al. Release No. LR-24366 See Also: SEC Complaint
Dec. 3, 2018	David G. Dreslin, et al. Release No. LR-24365 See Also: SEC Complaint
Dec. 3, 2018	Mark Suleymanov Release No. LR-24364 See Also: SEC Complaint

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