Litigation Releases
The list below provides links to litigation releases concerning civil lawsuits brought by the Commission in federal court.
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SEC Litigation Releases RSS Feed
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| 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 |