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
Feb. 13, 2007	Aragon Capital Management LLC, Aragon Partners LP, Zvi Rosenthal, Amir Rosenthal, Ayal Rosenthal, Oren Rosenthal, David Heyman, Heyman & Son Investment Partnership LP, Young Kim, and Bahram Delshad Release No. LR-19995A See Also: Complaint in this matter
Feb. 12, 2007	Kirk S. Wright, International Management Associates, LLC; International Management Associates Advisory Group, LLC; International Management Associates Platinum Group, LLC; International Management Associates Emerald Fund, LLC; International Management Associates Taurus Fund, LLC; International Management Associates Growth & Income Fund, LLC; International Management Associates Sunset Fund, LLC; Platinum II Fund, LP; and Emerald II Fund, LP Release No. LR-19999
Feb. 12, 2007	Gayle Spence Luacaw Release No. LR-19998 See Also: Complaint in this matter
Feb. 12, 2007	Enrique (Henry) Fiallo Release No. LR-19997, AAER-2553 See Also: Complaint in this matter
Feb. 9, 2007	Richard A. Causey Release No. LR-19996, AAER-2552
Feb. 8, 2007	Daniel Fongnien Chiang and Eva Yi-Fen Chen Release No. LR-19994 See Also: Complaint in this matter
Feb. 7, 2007	Gary M. Workman Release No. LR-19993 See Also: Complaint in this matter
Feb. 7, 2007	Donald A. Erickson Release No. LR-19992
Feb. 7, 2007	El Paso Corporation Release No. LR-19991 See Also: Complaint in this matter
Feb. 6, 2007	Steven J. Landmann and Gary C. Gerhardt Release No. LR-19990, AAER-2551 See Also: Complaint: Gary C. Gerhardt , Complaint: Steven J. Landmann
Feb. 6, 2007	RenaissanceRe Holdings Ltd. Release No. LR-19989, AAER-2550 See Also: Complaint in this matter
Feb. 2, 2007	Scott R. Sacane, et al. Release No. LR-19988
Feb. 1, 2007	Allixon International Corp., et al. Release No. LR-19987
Feb. 1, 2007	Anthony L. Hurley Release No. LR-19986 See Also: Complaint in this matter
Jan. 31, 2007	Sharon E. Vaughn and Directors Financial Group, Ltd. Release No. LR-19985
Jan. 29, 2007	Guillaume Pollet Release No. LR-19984 See Also: Complaint in this matter File Number: 3-12503
Jan. 29, 2007	Concetta A. Donovan and David K. Donovan, Sr. Release No. LR-19983
Jan. 29, 2007	MBIA Inc. Release No. LR-19982, AAER-2547 See Also: Complaint in this matter , Administrative Proceedings Release
Jan. 25, 2007	Aleksey Kamardin Release No. LR-19981 See Also: Complaint in this matter
Jan. 24, 2007	LeeRoy Allen, Jr. Release No. LR-19980
Jan. 24, 2007	HMC International, LLC., et al. Release No. LR-19979 See Also: Administrative Proceedings Release , Administrative Proceedings Release
Jan. 24, 2007	Peter Lombardi Release No. LR-19978
Jan. 23, 2007	Edward A. Kiley, et al. Release No. LR-19977, AAER-2546
Jan. 23, 2007	International Fiduciary Corp., S.A., et al. Release No. LR-19976
Jan. 22, 2007	Gary Bell, Joseph Grendys, Anthony Holohan, and Michael Smith; Carl A. Allen; Donald Childers; John Crowder; Chris Jakubek; John King; Steve LeBarron; Patrick Penderghast; Frank Riggio; and Richard Vecchia Release No. LR-19975, AAER-2544 See Also: and Michael Smith , Complaint: Carl A. Allen , Complaint: Donald Childers , Complaint: John Crowder , Complaint: Chris Jakubek , Complaint: John King , Complaint: Steve LeBarron , Complaint: Patrick Penderghast , Complaint: Frank Riggio , Complaint: Richard Vecchia
Jan. 19, 2007	Jack Calvin, et al. Release No. LR-19974
Jan. 19, 2007	Angelo Haligiannis, et al. Release No. LR-19973
Jan. 19, 2007	John M. Fife and Clarion Management Release No. LR-19972 See Also: Complaint in this matter
Jan. 19, 2007	OSF, Inc. et al. Release No. LR-19971
Jan. 17, 2007	John R. Shrewder, The Franklin Group, Inc., Ashley Miron Leshem, and Ananda Capital Partners, Inc. Release No. LR-19970
Jan. 17, 2007	James Charles Blue, Randy Cook and Victor Campbell Release No. LR-19969, AAER-2542 See Also: Complaint in this matter
Jan. 12, 2007	Roanoke Technology Corp., et al. Release No. LR-19968
Jan. 12, 2007	Jung Bae Kim, a.k.a. "John Kim," Won Sok Lee, Yung Bae Kim, KL Group, LLC, KL Florida, LLC, KL Triangulum Management, LLC, and Shoreland Trading, LLC Release No. LR-19967
Jan. 12, 2007	Sonja Anticevic et al. Release No. LR-19966 See Also: Complaint in this matter
Jan. 11, 2007	Paul R. Johnson, et al. Release No. LR-19965
Jan. 10, 2007	Jacob (“Kobi”) Alexander, David Kreinberg, and William F. Sorin Release No. LR-19964, AAER-2537
Jan. 9, 2007	Jackie Gross, et al. Release No. LR-19963
Jan. 9, 2007	James Tambone and Robert Hussey Release No. LR-19962
Jan. 8, 2007	Suzanne Brown Release No. LR-19961, AAER-2536 See Also: Complaint in this matter
Jan. 8, 2007	Lawrence B. Evans, David L. McQuillin, and Lisa W. Zappala Release No. LR-19960, AAER-2532 See Also: Complaint in this matter
Jan. 4, 2007	U.S. Wind Farming, Inc., et al. Release No. LR-19959
Jan. 4, 2007	U.S. Wind Farming, Inc., et al. Release No. LR-19958
Jan. 4, 2007	Exotics.com, Inc., et al. Release No. LR-19957
Jan. 4, 2007	Joseph J. Spiegel Release No. LR-19956 See Also: Complaint in this matter
Dec. 28, 2006	John F. Mangan, Jr. Release No. LR-19955 See Also: Complaint in this matter
Dec. 21, 2006	Richard D. Power, Edward Federman, and Richard J. "Skip" Heger Release No. LR-19953, AAER-2527 See Also: Complaint in this matter
Dec. 21, 2006	Michael G. Velasco Release No. LR-19954 See Also: Complaint in this matter , Administrative Proceedings Release
Dec. 20, 2006	Credit First Fund, LP, et al. Release No. LR-19952 See Also: Administrative Proceedings Release
Dec. 20, 2006	Paul E. Yarick Release No. LR-19951, AAER-2526 See Also: Complaint in this matter
Dec. 20, 2006	Friedman, Billings, Ramsey & Co., Inc., Emanuel J. Friedman and Nicholas J. Nichols Release No. LR-19950 See Also: Administrative Proceedings Release , Complaint
Dec. 19, 2006	Grand Logistic, S.A., et al. Release No. LR-19949 See Also: Complaint in this matter
Dec. 18, 2006	Concorde America, Inc., et al. Release No. LR-19948
Dec. 18, 2006	James E. Franklin Carol Fox Foelak, Administrative Law Judge Release No. LR-19947 File Number: 3-12228
Dec. 18, 2006	James Barlow Smith, et al. Release No. LR-19946 See Also: Administrative Proceedings Release
Dec. 14, 2006	Uncommon Media Group, Inc., et al. Release No. LR-19945
Dec. 12, 2006	Edwin Buchanan Lyon, IV, Gryphon Master Fund, L.P., Gryphon Partners, L.P., Gryphon Partners (QP), L.P., Gryphon Offshore Fund, Ltd., Gryphon Management Partners, L.P., Gryphon Management Partners III, L.P., and Gryphon Advisors, L.L.C Release No. LR-19942 See Also: Complaint in this matter
Dec. 12, 2006	Adam M. Lloyd, Carl D. Udler, and Howard J. Miller Release No. LR-19944 See Also: Complaint in this matter
Dec. 12, 2006	Bennett Environmental, Inc., John A. Bennett, Robert P.G. Griffiths and Richard L. Stern Release No. LR-19943
Dec. 11, 2006	U.S. Gas & Electric, Inc., et al. Release No. LR-19941
Dec. 11, 2006	Dorothy L. Mahler, John W. Bracewell, III, and Patricia L. Jones Release No. LR-19940
Dec. 8, 2006	Alfred S. Teo, Sr., et al. Release No. LR-19939
Dec. 7, 2006	International Energy and Resources, Inc. Release No. LR-19938
Dec. 6, 2006	Lindsey P. Vinson and Clyde R. Parks Release No. LR-19937 See Also: Administrative Proceedings Release
Dec. 6, 2006	Howard R. Baer and Kevin C. Baer Release No. LR-19936 See Also: Complaint in this matter
Dec. 5, 2006	John Giesecke, Jr., Joseph J. Shew, and John R. DeSimone Release No. LR-19935, AAER-2521
Dec. 5, 2006	International Fiduciary Corp., S.A., et al. Release No. LR-19934 See Also: Complaint in this matter
Dec. 4, 2006	Bart A. Thielbar, David A. Monaghan, Keith W. Beachler, Jana L. Quam And Cary B. Griswold Release No. LR-19932, AAER-2520
Dec. 4, 2006	Andrew J. Zahn, Philip J. Sexauer, and Cynthia K. Berryman Release No. LR-19931, AAER-2519
Dec. 4, 2006	China Energy Savings Technology, Inc., et al. Release No. LR-19933 See Also: Complaint in this matter
Dec. 1, 2006	David K. Donovan, Sr. Release No. LR-19930
Nov. 30, 2006	Robert J. Gallivan Release No. LR-19929 See Also: Complaint in this matter
Nov. 30, 2006	Jonathan Curtis Papa Release No. LR-19928
Nov. 30, 2006	Peter J. Dawson, et al. Release No. LR-19927 See Also: Complaint in this matter
Nov. 28, 2006	Millennium Financial, Ltd. Release No. LR-19926
Nov. 28, 2006	John S. Kramer, et al. Release No. LR-19925
Nov. 22, 2006	Mercer Capital, Inc, et al. Release No. LR-19924 See Also: Complaint in this matter
Nov. 22, 2006	U.S. Gas & Electric, Inc., et al. Release No. LR-19923
Nov. 21, 2006	Gary L. McNaughton, Individually and d/b/a The Haven Equity Company, and Andrew K. Lech Release No. LR-19922
Nov. 21, 2006	Spiegel, Inc. Release No. LR-19921
Nov. 21, 2006	Spiro Germenis, et al. Release No. LR-19920 See Also: Complaint in this matter
Nov. 20, 2006	Didier Waroquiers Release No. LR-19919
Nov. 20, 2006	David M. Willey and Joy S. Willey Release No. LR-19918
Nov. 16, 2006	David N. Anderson and Nancy C. Dipietro Release No. LR-19917
Nov. 15, 2006	World Information Technology, Inc., et al. Release No. LR-19910
Nov. 15, 2006	Robert A. Magnan, et al. Release No. LR-19909
Nov. 15, 2006	Focus Financial Associates, Inc., et al. Release No. LR-19916
Nov. 15, 2006	Focus Financial Associates, Inc., et al. Release No. LR-19915
Nov. 15, 2006	Min T. Ma and Joyce Manni Ng Release No. LR-19914
Nov. 15, 2006	Rhino Ecosystems, Inc., et al. Release No. LR-19913
Nov. 15, 2006	Stephen Richards Release No. LR-19912, AAER-2515
Nov. 15, 2006	Glenn E. Glasshagel Release No. LR-19911, AAER-2514
Nov. 14, 2006	Kelsey L. Garman, Koinonia Investment Club II, Koinonia Income Account, Koinonia 100/200 and Koinonia Kingdom Club Release No. LR-19908
Nov. 14, 2006	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-19907 See Also: Order of Contempt , Amended Order of Contempt
Nov. 9, 2006	Jamie L. Solow Release No. LR-19906 See Also: Complaint in this matter
Nov. 8, 2006	Viper Capital Management, LLC, et al. Release No. LR-19905 See Also: Complaint in this matter
Nov. 8, 2006	Stuart Wolff and Peter Tafeen Release No. LR-19904, AAER-2512
Nov. 8, 2006	Jeremy R. Lent et al. Release No. LR-19903
Nov. 8, 2006	Mervin George Fiessel and Robert Michael Doherty Release No. LR-19902 See Also: Complaint in this matter
Nov. 7, 2006	Dennis S. Herula et al. Release No. LR-19900
Nov. 7, 2006	Stansbury Holdings, et al. Release No. LR-19901, AAER-2511

Rules & Regulations

Enforcement & Litigation

Compliance

Litigation Releases

More in this Section

Litigation Releases