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
Sept. 26, 2007	Alexander James Trabulse et al. Release No. LR-20300 See Also: Complaint in this matter
Sept. 25, 2007	Mohamad Zein and Provident Capital Investments Inc. Release No. LR-20298 See Also: Complaint in this matter
Sept. 25, 2007	Joseph P. Keeney Release No. LR-20297 See Also: Complaint in this matter
Sept. 25, 2007	Chandramowli Srinivasan Release No. LR-20296, AAER-2726 See Also: Complaint in this matter , Administrative Proceedings Release
Sept. 25, 2007	Michael B. Upton Release No. LR-20299 See Also: Complaint in this matter
Sept. 24, 2007	Joseph Simone, et al. Release No. LR-20295 See Also: Amended Complaint in this matter
Sept. 24, 2007	Transnational Fund, Inc., a/k/a National Savings, and Michael Luckett Release No. LR-20294 See Also: Complaint in this matter
Sept. 24, 2007	Paul Harary and Douglas Zemsky Release No. LR-20293 See Also: Complaint in this matter
Sept. 24, 2007	Mark Ristow et al. Release No. LR-20292 See Also: Complaint in this matter
Sept. 20, 2007	Darin DeMizio, et al. Release No. LR-20291 See Also: Complaint in this matter
Sept. 20, 2007	Joseph Simone, et al. Release No. LR-20290 See Also: Complaint in this matter
Sept. 18, 2007	Senior Resources of Hawaii, Inc. and Mark K. Teruya Release No. LR-20287
Sept. 18, 2007	Swiss Re Financial Products Corporation Release No. LR-20289 See Also: Complaint in this matter
Sept. 18, 2007	University Lab Technologies, Inc. and George Theodoropoulos, a/k/a George Theodore Release No. LR-20288
Sept. 17, 2007	Carl R. Rose, et al. Release No. LR-20286 See Also: Administrative Proceedings Release
Sept. 17, 2007	Linda Jones and Leslie H. Knox Release No. LR-20285, AAER-2719
Sept. 14, 2007	Martin J. Druffner, et. al. Release No. LR-20284
Sept. 14, 2007	Gary M. Milby and Mid-America Energy, Inc. Release No. LR-20283 See Also: Complaint in this matter
Sept. 13, 2007	Sure Trace Security Corporation et al. Release No. LR-20277 See Also: Complaint in this matter
Sept. 13, 2007	Efoora, Inc., et al. Release No. LR-20282
Sept. 13, 2007	Barry M. Budilov and Raymond J. Green Release No. LR-20281
Sept. 13, 2007	Terax Energy, Inc., et al. Release No. LR-20280
Sept. 13, 2007	Brian E. Haylor Release No. LR-20279
Sept. 13, 2007	Robert A. Berlacher, Lancaster Investment Partners, L.P., Northwood Capital Partners, L.P., Cabernet Partners, L.P., Chardonnay Partners, L.P., Insignia Partners, L.P., VFT Special Ventures, Ltd., LIP Advisors, LLC, NCP Advisors, LLC, and RAB Investment Company, LLC Release No. LR-20278 See Also: Complaint in this matter
Sept. 12, 2007	Smart Online, Inc., et al. Release No. LR-20276 See Also: Complaint in this matter
Sept. 12, 2007	Frank A. Dunn, Douglas C. Beatty, Michael J. Gollogly, MaryAnne E. Pahapill (a.k.a. Mary Anne Poland), Douglas A. Hamilton, Craig A. Johnson, James B. Kinney and Kenneth R.W. Taylor Release No. LR-20275, AAER-2676 See Also: Complaint in this matter
Sept. 12, 2007	Real Estate Partners, Inc. et al. Release No. LR-20274 See Also: Complaint in this matter
Sept. 11, 2007	Orlando Joseph Jett Release No. LR-20273
Sept. 10, 2007	Senior Resources Of Hawaii, Inc. and Mark K. Teruya Release No. LR-20272 See Also: Complaint in this matter
Sept. 6, 2007	Homeland Communications Corporation, et al. Release No. LR-20271 See Also: Complaint in this matter
Sept. 6, 2007	Chauncey Shey Release No. LR-20270 See Also: Complaint in this matter
Sept. 6, 2007	Michael Saquella, a.k.a. Michael Paloma, and Lawrence Kaplan Release No. LR-20269 See Also: Complaint in this matter
Sept. 5, 2007	Saks Incorporated Release No. LR-20266, AAER-2674 See Also: Complaint in this matter
Sept. 5, 2007	James B. Crofwell Release No. LR-20265 See Also: Complaint in this matter , Administrative Proceedings Release
Sept. 5, 2007	Patricia B. Rocklage, William M. Beaver and David G. Jones Release No. LR-20268
Sept. 5, 2007	Michael E. Kelly, et al. Release No. LR-20267 See Also: Complaint in this matter
Aug. 31, 2007	James B. Roberts, FOMAC International, Inc., and Consultores Las Tres Americas S.A. Release No. LR-20264
Aug. 31, 2007	Leonard L. Zanello, Sr., Ihor A. "Gary" Humesky, Steven B. Rodd, and Robert F. Broege, Jr. Release No. LR-20263
Aug. 31, 2007	Thomas J. Bucknum Release No. LR-20262
Aug. 30, 2007	Integrated Electrical Services, Inc., Herbert R. Allen, Richard L. China, Thomas E. Stalvey, Ernest P. Breaux, James M. Calcote, and J. Carl Cannon Release No. LR-20261, AAER-2673 See Also: Administrative Proceedings Release File Number: 3-12741
Aug. 30, 2007	FacePrint Global Solutions, Inc. and Pierre Cote Release No. LR-20260 See Also: Complaint in this matter
Aug. 29, 2007	Roger D. Blackwell et al Release No. LR-20259
Aug. 29, 2007	Scott R. Sacane, et al. Release No. LR-20258
Aug. 28, 2007	Lisa C. Berry and Juniper Networks, Inc. Release No. LR-20257 See Also: Complaint: Lisa C. Berry , Inc.
Aug. 27, 2007	Pittsford Capital Income Partners, L.L.C., et al. Release No. LR-20256
Aug. 24, 2007	Secure Investment Services, Inc., American Financial Services, Inc., Lyndon Group, Tnc., Donald F. Neuhaus, and Kimberly A. Snowden Release No. LR-20255 See Also: Temporary Restraining Order , Order Appointing Temporary Receiver
Aug. 24, 2007	Brian N. Hollnagel and BCI Aircraft Leasing, Inc. Release No. LR-20254 See Also: Complaint in this matter , Memorandum Opinion and Order
Aug. 24, 2007	Charles O. Morgan, Jr., as Personal Representative of the Estate of Frederick J. Kunen, et al. Release No. LR-20253 See Also: Complaint in this matter
Aug. 23, 2007	Secure Investment Services, Inc., American Financial Services, Inc., Lyndon Group, Inc., Donald F. Neuhaus, and Kimberly A. Snowden Release No. LR-20252 See Also: Complaint in this matter
Aug. 23, 2007	Textron Inc. Release No. LR-20251 See Also: Complaint in this matter
Aug. 21, 2007	John M. Fife and Clarion Management, LLC Release No. LR-20250 See Also: Administrative Proceedings Release
Aug. 21, 2007	Sentinel Management Group, Inc. Release No. LR-20249 See Also: Complaint , Declaration in Support of Emergency Motion , Memorandum in Support of Emergency Motion
Aug. 21, 2007	2DoTrade, Inc. et al. Release No. LR-20248
Aug. 17, 2007	Michael J. Byrd Release No. LR-20247 See Also: Complaint in this matter
Aug. 16, 2007	Roger D. Blackwell et al Release No. LR-20245
Aug. 16, 2007	Inter Global Technologies, Inc. and Michael E. Tomayko Release No. LR-20244 See Also: Complaint in this matter
Aug. 16, 2007	Marc T. Duchesne, Jeffrey A. Hayden, Gregory A. Moffitt, Robert S. Parsley, and Nationwide Capital Corporation Release No. LR-20246
Aug. 15, 2007	Michael G. Smeraski, et al. Release No. LR-20243
Aug. 14, 2007	Brian Lee and Todd DiRoberto, et al. Release No. LR-20242
Aug. 14, 2007	AOB Commerce, Inc., AOB Asia Fund I, LLC, and Terchi Liao a/k/a Nelson Liao, et al. Release No. LR-20241
Aug. 14, 2007	Anthony P. Postiglione, Jr. and William J. Lennon Release No. LR-20240
Aug. 13, 2007	Tri Energy, Inc., H & J Energy Company, Inc., Marina Investors Group, Inc., Lowell Decker, Robert Jennings, Henry Jones, Arthur Simburg, Mildred Stultz, DJM, LLC, Financial MD, Inc., Financial MD and Associates, Inc., Daniel J. Merriman, Global Village Records, and La Vie D'Argent, as defendants, and R.P.J. Investment Group, Inc., T.M.A. Investment Enterprises, Thomas Avery, and Wing NGA Lau, a/k/a Adrienne Lau, as relief defendants Release No. LR-20239
Aug. 13, 2007	Eric Turner and Kenneth May Release No. LR-20238
Aug. 10, 2007	Earthly Mineral Solutions, Inc., Natural Minerals Processing Company, Roy D. Higgs, Frank L. Schwartz, and Rick Lawton Release No. LR-20237 See Also: Complaint in this matter
Aug. 9, 2007	Wood River Capital Management, LLC, et al. Release No. LR-20234
Aug. 9, 2007	Thomas Fisher, Kathleen Halloran, and George Behrens Release No. LR-20233, AAER-2666 See Also: Complaint in this matter
Aug. 9, 2007	Kenneth Roy Weare, a/k/a Roy Weaver, J&K Global Marketing Corporation, and AAA-Auction.com, Inc. Release No. LR-20232
Aug. 9, 2007	Amerifirst Funding, Inc., Amerifirst Acceptance Corporation, Jeffery C. Bruteyn and Dennis W. Bowden Release No. LR-20236
Aug. 9, 2007	Premium Income Corp., InForex Ltd., Tri-Forex International Ltd., also known as Tri-Forex, Ltd. and International Forex Company, Gerald Leo Rogers, also known as Jay Rogers and Jay Rodgers, and Alexander Igor Shevchenko Release No. LR-20235
Aug. 8, 2007	Michael, Adest & Blumenkrantz, P.C., David Michael, CPA, and Paul Adest, CPA; Release No. LR-20231, AAER-2665 File Number: 3-9873
Aug. 8, 2007	Platforms Wireless International Corp., William C. Martin, Charles B. Nelson, Robert D. Perry, Francois M. Draper, and Victor L. Ziller Release No. LR-20230
Aug. 7, 2007	Steven E. Muth, Richard J. Rouse, and Bruce J. Bates Brenda P. Murray, Chief Administrative Law Judge Release No. LR-20229 See Also: Complaint in this matter File Number: 3-11346
Aug. 7, 2007	Sierra Brokerage Services, Inc. Release No. LR-20228
Aug. 7, 2007	First BanCorp Release No. LR-20227, AAER-2664 See Also: Complaint in this matter
Aug. 6, 2007	David E. Tether Release No. LR-20226 See Also: Complaint in this matter
Aug. 6, 2007	Jerry K. Castleman and Kathleen M. Lynn Release No. LR-20225, AAER-2663
Aug. 3, 2007	Michael J. Pietrzak, Maurice W. Furlong and Donald E. Jordan Release No. LR-20223
Aug. 3, 2007	One or More Unknown Purchasers of Call Options for the Common Stock of Petco Animal Supplies, Inc. and Taher Suterwalla Release No. LR-20224 See Also: Complaint in this matter
Aug. 2, 2007	Joseph A. Frohna Release No. LR-20222 See Also: Complaint in this matter
Aug. 1, 2007	Carole D. Argo Release No. LR-20221, AAER-2662 See Also: Complaint in this matter
Aug. 1, 2007	Global Asset Partners, LLC, et al. Release No. LR-20220 See Also: Complaint in this matter
Aug. 1, 2007	Integrated Silicon Solution, Inc. and Gary L. Fischer Release No. LR-20219, AAER-2661 See Also: Complaint in this matter
July 31, 2007	Vencent A. Donlan, Defendant, and Robin D. Colls Donlan, Relief Defendant Release No. LR-20218 See Also: Complaint in this matter
July 30, 2007	Dean A. Nichols Release No. LR-20217, AAER-2659
July 27, 2007	International Energy and Resources, Inc. Release No. LR-20216
July 26, 2007	KPMG, LLP, et al., and Paul A. Allaire, G. Richard Thoman, Barry D. Romeril, Philip D. Fishback, Daniel S. Marchibroda, and Gregory B. Tayler Release No. LR-20213 See Also: Order to Appoint Distribution Agent
July 26, 2007	Cardinal Health, Inc. Release No. LR-20212, AAER-2654 See Also: Complaint in this matter
July 26, 2007	Euro Security Fund, et al. Release No. LR-20211 See Also: Complaint in this matter
July 26, 2007	Ragone and New York Partnership Exchange, Inc. Release No. LR-20215
July 26, 2007	Delta & Pine Land Company and Turk Deltapine, Inc. Release No. LR-20214, AAER-2657 See Also: Complaint in this matter , Administrative Proceedings Release
July 25, 2007	Robert J. Therrien Release No. LR-20210, AAER-2653 See Also: Complaint in this matter
July 25, 2007	Patrollers Capital Fund and Franklin S. Marone, Jr. and Relief Defendant Marita D. Marone Release No. LR-20209
July 25, 2007	International Fiduciary Corp., S.A., et al. Release No. LR-20208
July 25, 2007	Kenneth L. Schroeder and KLA-Tencor Corp. Release No. LR-20207 See Also: Complaints in this matter Schroeder , KLA-Tencor
July 25, 2007	ConAgra Foods, Inc. Release No. LR-20206, AAER-2652 See Also: Complaint in this matter
July 24, 2007	Phoenixsurf.com, New Millenium Enterpreneurs, LLC, Jonathan W. Mikula, and Gabriel J. Frankewich Release No. LR-20205 See Also: Complaint in this matter
July 24, 2007	John C. Charters and Richard E. Fresia Release No. LR-20204, AAER-2650 See Also: Fresia
July 24, 2007	Shane Bashir Suman and Monie Rahman (Corrected Copy) Release No. LR-20203 See Also: Complaint in this matter
July 19, 2007	David C. Drummond, John P. Hayes, and Patrick E. Murphy, and Patrick T. Chew Release No. LR-20202, AAER-2649
July 18, 2007	Alan D. Libman, a/k/a Damian Vanderhaus Release No. LR-20201 See Also: Complaint in this matter File Number: 3-7803

Rules & Regulations

Enforcement & Litigation

Compliance

Litigation Releases

More in this Section

Litigation Releases