Litigation Releases

The list below provides links to litigation releases concerning civil lawsuits brought by the Commission in federal court.

Second Quarter |  First Quarter

Additional Archives

RSS Feed  SEC Litigation Releases RSS Feed

(Search any column)
Release No. Date Respondents
Second Quarter
LR-25399 May 25, 2022 Andrew M, Middlebrooks, et al
See also: SEC Complaint
LR-25398 May 24, 2022 Frank B. Glassner
See also: SEC Complaint
LR-25397 May 19, 2022 Wynn Charlebois et al.
See also: SEC Complaint
LR-25396 May 19, 2022 Sohrab ("Sam") Sharma, et al.
LR-25395 May 17, 2022 Richard T. Diver
LR-25394 May 17, 2022 Jillian Sidoti
LR-25393 May 16, 2022 StraightPath Venture Partners LLC, StraightPath Management LLC, Brian K. Martinsen, Michael A. Castillero, Francine A. Lanaia and Eric D. Lachow
See also: SEC Complaint
LR-25392 May 12, 2022 Frederick L. Sharp et al.
LR-25391 May 11, 2022 Lev Parnas and David Correia
LR-25390 May 11, 2022 Brenda Smith, et al.
LR-25389 May 10, 2022 Manuel A. Romero
See also: SEC Complaint
LR-25388 May 9, 2022 Steven F. Muntin
LR-25387 May 9, 2022 Sepehr Sarshar
See also: Judgment
LR-25386 May 9, 2022 TKO Farms, Inc., et al.
See also: SEC Complaint
LR-25385 May 6, 2022 Shawn F. Hackman
See also: Judgment; Order Granting Application
LR-25384 May 5, 2022 Mark Marchi
See also: SEC Complaint
LR-25383 May 5, 2022 Michael Forster
See also: SEC Complaint
LR-25382 May 5, 2022 Derek J. Slattery and TradeSmart Software RIC Corporation
See also: SEC Complaint
LR-25381 May 4, 2022 David Lee Stone and John Robson, et al.
See also: SEC Complaint
LR-25380 May 3, 2022 BTIG, LLC
See also: Final Judgment
LR-25379 May 2, 2022 Synergy Settlement Services, Inc., Foundation for Those with Special Needs, Special Needs Law Firm PLLC, Jason D. Lazarus, and Anthony F. Prieto, Jr.
See also: SEC Complaint
LR-25378 Apr. 29, 2022 Cattlin et al, Page et al
LR-25377 Apr. 28, 2022 Steven Chiang a/k/a Cyrus Kong, Eric Tippetts, James Hardy, and Maurice "Butch" Chelliah
LR-25376 Apr. 28, 2022 Block Bits Capital, LLC, Block Bits Capital GP I, LLC and Japheth Dillman, Civ. Action, David B. Mata
See also: SEC Complaint - Block Bits; SEC Complaint - Mata
LR-25375 Apr. 27, 2022 American Equities, Inc., American Eagle Mortgage Management, LLC, Ross C. Miles and Maureen T. Wile
See also: SEC Complaint
LR-25374 Apr. 22, 2022 Bernard L. Compton
See also: Judgment
LR-25373 Apr. 20, 2022 Moshe Strugano and Rinat Gazit
See also: SEC Complaint
LR-25372 Apr. 19, 2022 Domenic Calabrigo et al.
See also: SEC Complaint; Order
LR-25371 Apr. 19, 2022 Shawn E. Good
See also: SEC Complaint
LR-25370 Apr. 18, 2022 Fernando Passos, Civ. Action
See also: SEC Complaint
LR-25369 Apr. 15, 2022 Damon Elliott, et al.
LR-25368 Apr. 15, 2022 Carl Iberger and Timothy Iberger
See also: SEC Complaint
LR-25367 Apr. 15, 2022 Dean Shah et al.
See also: SEC Complaint
LR-25366 Apr. 14, 2022 Ronald Bauer et al.
See also: SEC Complaint
LR-25365 Apr. 14, 2022 Benja Inc. and Andrew Chapin
See also: Judgment
LR-25364 Apr. 14, 2022 Mark Loman
Other Release No.: AAER-4293
See also: Order
LR-25363 Apr. 14, 2022 Joseph Salvatore DeVito (a/k/a Salvatore DeVito) and Dean Anthony Esposito (a/k/a Dean Anthony)
See also: SEC Complaint
LR-25362 Apr. 13, 2022 Kay X. Yang
See also: SEC Complaint
LR-25361 Apr. 12, 2022 Justin Wallace Herman, Anthony Michael Baker, Ian Horn, and Island Capital Inc
See also: SEC Complaint
LR-25360 Apr. 11, 2022 Global Investment Strategy UK Ltd. and John William Gunn
See also: SEC Complaint; Order - John William Gunn; Order - Global Investment Strategy UK Ltd
LR-25359 Apr. 11, 2022 Julie Minuskin, Joshua Stoll, Dennis DiRicco, Tom Casey and Golden Genesis, Inc.
See also: SEC Complaint
LR-25358 Apr. 11, 2022 Anthony Salandra
See also: SEC Complaint
LR-25357 Apr. 11, 2022 Eric A. Alexander, Scott A. Merkelson
See also: SEC Complaint - Alexander; SEC Complaint - Merkelson
LR-25356 Apr. 5, 2022 David J. Bunevacz et al.
See also: SEC Complaint
LR-25355 Apr. 5, 2022 Airborne Wireless Network, et al.
LR-25354 Apr. 1, 2022 Dow Rockwell LLC and Richard Dow Rockwell
See also: SEC Complaint
First Quarter
LR-25353 Mar. 31, 2022 Gregory Lemelson, Lemelson Capital Management, LLC, and The Amvona Fund
See also: Judgment
LR-25352 Mar. 31, 2022 Richard G. Duncan
LR-25351 Mar. 31, 2022 Chatfield PCS Ltd. et al.
LR-25350 Mar. 29, 2022 Hari Prasad Sure, et al., Civ. Act.
See also: SEC Complaint
LR-25349 Mar. 24, 2022 Knox et al.
See also: Final Judgment - Michael Gastauer
LR-25348 Mar. 17, 2022 Francis Biller, et al.
See also: SEC Complaint
LR-25347 Mar. 17, 2022 Scott Allen Fries
LR-25346 Mar. 15, 2022 Mario E. Rivero
See also: SEC Complaint
LR-25345 Mar. 15, 2022 Cell>Point, LLC, Terry A. Colip, and Greg R. Colip
LR-25344 Mar. 15, 2022 S-Ray Incorporated and Stephen Alexander Baird
See also: SEC Complaint
LR-25343 Mar. 15, 2022 Eric C. Malley, et al.
See also: Judgment - MG Capital Management LP; Judgment - MG Capital Realty Management LLC Judgment - Eric C. Malley; Judgment - MG GP III LP
LR-25342 Mar. 9, 2022 Stefan H. Qin, et al.
LR-25341 Mar. 8, 2022 John Barksdale, JonAtina Barksdale
See also: SEC Complaint
LR-25340 Mar. 2, 2022 Cambridge Investment Research Advisors, Inc., et al.
See also: SEC Complaint
LR-25339 Mar. 2, 2022 Joseph Orazio DeGregorio
See also: SEC Complaint
LR-25338 Mar. 1, 2022 Andrew T.E. Coldicutt
See also: SEC Complaint
LR-25337 Feb. 28, 2022 Martin Shkreli, et al.
LR-25336 Feb. 28, 2022 Ofer Abarbanel et al.
See also: SEC Complaint; Judgment - Chilelli; Judgment - Income Collecting 1-3 Months T-bills Mutual Fund
LR-25335 Feb. 25, 2022 Marguerite Cassandra Toroian and Bell Rock Capital, LLC
See also: SEC Complaint
LR-25334 Feb. 24, 2022 Arthur S. Hoffman
See also: SEC Complaint
LR-25333 Feb. 22, 2022 John-Michael Havrilla
See also: SEC Complaint
LR-25332 Feb. 17, 2022 Global Wholehealth Partners Corp., Charles Strongo, Brian M. Volmer, Joshua Yafa, Jamie M. Yafa, and Empire Associates, Inc.
See also: SEC Complaint
LR-25331 Feb. 17, 2022 James Velissaris
See also: SEC Complaint
LR-25330 Feb. 11, 2022 Nathaniel Brown, Benjamin Wylam, Naveen Sood, Marcus Bannon, Matthew Rauch, And Naresh Ramaiya
LR-25329 Feb. 11, 2022 Mark J. Boucher and Strategic Wealth Advisor Group Services Inc.
See also: Order
LR-25328 Feb. 11, 2022 Seyed Taher Kameli, et al.
See also: Judgment
LR-25327 Feb. 10, 2022 Edward S. Walczak
See also: Judgment
LR-25326 Feb. 9, 2022 Robert Lenard Booth, Michael D'Urso, Daniel T. Wellcome Jr., Alyssa D'Urso, Antonella Chiaramonte, and Jay Garnock)
See also: SEC Complaint
LR-25325 Feb. 7, 2022 Michael M. Beck, a/k/a @BigMoneyMike6, and Relief Defendant Helen P. Robinson
See also: SEC Complaint
LR-25324 Feb. 8, 2022 George S. Blankenbaker, et al
LR-25323 Feb. 2, 2022 Robert Samuel Shumake, Jr., et al
See also: Judgment - Willard L. Jackson; Judgment - 420 Real Estate, LLC; Judgment - Order Granting Plaintiff SEC’s Motion For Entry Of Judgments By Consent
LR-25322 Feb. 2, 2022 Safeguard Metals LLC and Jeffrey S. Santulan
See also: SEC Complaint
LR-25321 Jan. 28, 2022 SeeThruEquity, LLC, Ajay Tandon, and Amit Tandon
See also: Judgment
LR-25320 Jan. 28, 2022 HeadSpin, Inc.
See also: SEC Complaint
LR-25319 Jan. 26, 2022 Milrud
LR-25318 Jan. 26, 2022 David J.C. Bolton
See also: SEC Complaint
LR-25317 Jan. 26, 2022 Gary Pryor, et al
See also: Consent Judgment as to Rebecca Pryor; Consent Judgment as to Pryor, ZipRemit and Lendaily
LR-25316 Jan. 26, 2022 German Nino
See also: SEC Complaint
LR-25315 Jan. 25, 2022 CKB168 Holdings Ltd., et al.
LR-25314 Jan. 21, 2022 Justin W. Keener d/b/a JMJ Financial
See also: Judgment
LR-25313 Jan. 24, 2022 Viktor Gjonaj
LR-25312 Jan. 21, 2022 Ronald C. Montano, et al.
See also: Judgment
LR-25311 Jan. 19, 2022 David P. Forte, Gregory P. Manning and John D. Younis
See also: SEC Complaint
LR-25310 Jan. 19, 2022 Peter Baker, et al.
See also: Judgment and Order
LR-25309 Jan. 19, 2022 Phillip W. Offill, Jr. and Justin W. Herman
See also: SEC Complaint
LR-25308 Jan. 18, 2022 Paul A. Garcia
See also: SEC Complaint
LR-25307 Jan. 14, 2022 Anthony M. Cottone, et al.
See also: SEC Complaint
LR-25306 Jan. 13, 2022 Douglas A. Roth
See also: Judgment
LR-25305 Jan. 11, 2022 David S. Sargent and Christopher M. Klundt
See also: SEC Complaint
LR-25304 Jan. 10, 2022 Michael F. Shillin
See also: Judgment
LR-25303 Jan. 7, 2022 Crowd Machine, Inc., Metavine, and Craig Derel Sproule, and Metavine Pty. Ltd. (Relief Defendant)
See also: SEC Complaint
LR-25302 Jan. 6, 2022 David Schottenstein, Kris Bortnovsky, Ryan Shapiro, Sakal Capital Management, LLC, and Sakal U.S. Fund
See also: SEC Complaint
LR-25301 Jan. 6, 2022 Tanmaya Kabra et al.
LR-25300 Jan. 6, 2022 Russell Craig and OneStep Financial Services, LLC
See also: Judgment and Order
LR-25299 Jan. 4, 2022 Bóveda Asset Management, Inc. and George Kenneth Witherspoon, Jr.
See also: SEC Complaint
LR-25298 Jan. 3, 2022 Robert Samuel Shumake, Jr., et al
See also: SEC Complaint; Judgment - Nicole Birch; Judgment - Vincent Petrescu; Judgment - TruCrowd, Inc.; Order Instituting Administrative Proceedings- Nicole T. Birch; Order Instituting Administrative Proceedings- Vincent C. Petrescu