Litigation Releases

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

Second Quarter |  First Quarter

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Release No. Date Respondents

Second Quarter

LR-24148 May 22, 2018 Bud Genius, Inc. and Aaron "Angel" Stanz, Taylor Moffitt, Carlos Febles, and U.S. CoProducts, LLC
See also SEC Complaints: Bud Genius, Inc. and Aaron "Angel" Stanz, Taylor Moffitt, Carlos Febles, and U.S. CoProducts, LLC
LR-24147 May 18, 2018 Brent Borland, et al.
See also: SEC Complaint
LR-24146 May 18, 2018 PixarBio Corp. et al.
LR-24145 May 18, 2018 Todd David Alpert
LR-24144 May 17, 2018 Keenan Gracey
See also: SEC Complaint
LR-24143 (Intentionally omitted)
LR-24142 May 15, 2018 William M. Jordan
See also: SEC Complaint
LR-24141 May 15, 2018 Francisco Abellan Villena, Guillermo Ciupiak, James B. Panther, Jr., and Faiyaz Dean
See also: SEC Complaint
LR-24140 May 14, 2018 Leon Vaccarelli, et al.
LR-24139 May 11, 2018 The Falls Event Center, LLC and Steven L. Down
See also: SEC Complaint
LR-24138 May 9, 2018 Premium Point Investments, LP et al.
See also: SEC Complaint
LR-24137 May 9, 2018 Keith Houlihan
See also: SEC Complaint
LR-24136 May 7, 2018 Bovorn Rungruangnavarat
See also: SEC Complaint
LR-24135 May 7, 2018 Murakami, et al.
LR-24134 May 4, 2018 David A. Zimliki and Russel P. Schiefer
See also: SEC Complaint
LR-24133 May 4, 2018 Paul W. Smith
LR-24132 May 2, 2018 Adam Tracy and Securities Compliance Group, Ltd.
See also: SEC Complaint
LR-24131 May 3, 2018 Shawn Carter
See also: Application for an Order to Show Cause
LR-24130 May 2, 2018 Longfin Corp., et al.
See also: Order and Opinion
LR-24129 May 2, 2018 Arthur Lamar Adams and Madison Timber Properties, LLC
See also: SEC Complaint
LR-24128 May 2, 2018 Small Business Capital Corp.; Mark Feathers; Investors Prime Fund, LLC; and SBC Portfolio Fund, LLC
See also: SEC Complaint
LR-24127 May 2, 2018 Eddy U. Marin and Shane R. Spierdowis
LR-24126 May 2, 2018 Revolutionary Concepts, Inc., Solomon RC Ali (a/k/a Richard M. Carter), Earnest H. DeLong, Jr., Rainco Industries, Inc., and Nicole C. Singletary
See also: SEC Complaint
LR-24125 Apr. 30, 2018 William T. Walters, et al.
LR-24124 Apr. 30, 2018 TelexFree, Inc. et al.
LR-24123 Apr. 30, 2018 Christopher R. Esposito, et al.
LR-24122 Apr. 30, 2018 Diane J. Harrison, et al.
See also: SEC Complaint
LR-24121 Apr. 24, 2018 PixarBio Corp. et al.
See also: SEC Complaint
LR-24120 Apr. 23, 2018 Scott Newsholme
LR-24119 Apr. 23, 2018 Steven H. Davis, et. al
LR-24118 Apr. 23, 2018 Daniel H. Glick, et al.
LR-24117 Apr. 20, 2018 Sohrab ("Sam") Sharma, et al.
See also: SEC Complaint
LR-24116 Apr. 18, 2018 John Jumper (Defendant) and Alluvion Securities, LLC, American Investments Fund II, LLC, Speedee Brakes, LLC, Thousand Hills Capital, LLC and Evertone Records, LLC (Relief Defendants)
See also: SEC Complaint
LR-24115 Apr. 17, 2018 John N. Milne
LR-24114 Apr. 16, 2018 Amrit J. S. Chahal
See also: SEC Complaint
LR-24113 Apr. 16, 2018 Lidingo Holdings, LLC, et al.
LR-24112 Apr. 13, 2018 William Betta, Jr., Travis A. Branch, James J. Caprio, Troy L. Gagliardi, Russell M. Kautz, Barry M. Kornfeld, Shane A. McCann, Clifford A. Popper, Alfred B. Rubin, and Steven I. Shrago
LR-24111 Apr. 13, 2018 Andrew J. Kandelapas
LR-24110 Apr. 12, 2018 Iftikar Ahmed, et al.
LR-24109 Apr. 11, 2018 Capital Cove Bancorp LLC and Christopher M. Lee aka Rashid K. Khalfani
LR-24108 Apr. 11, 2018 William C. Gennity and Rocco Roveccio
See also: SEC Complaint
LR-24107 Apr. 10, 2018 The Lifepay Group, LLC, et. al.
See also: SEC Complaint
LR-24106 Apr. 9, 2018 Longfin Corp., et al.
LR-24105 Apr. 9, 2018 Benjamin Wey, et al.
LR-24104 Apr. 5, 2018 Saverio J. Barbera
See also: SEC Complaint
LR-24103 Apr. 5, 2018 Ikenna Ikokwu, et al.
LR-24102 Apr. 5, 2018 CSIR Group, LLC, et al.
LR-24101 Apr. 5, 2018 Merrill Robertson, Jr., et al.
LR-24100 Apr. 5, 2018 William R. Schantz III and Verto Capital Management LLC
LR-24099 Apr. 5, 2018 Joseph Meli, et al., Craig H. Carton, et al.
LR-24098 Apr. 5, 2018 Peter H. Pocklington, Lantson E. Eldred, Terrence J. Walton, Yolanda C. Velazquez a/k/a Lana Velazquez a/k/a Lana Puleo, Vanessa Puleo, Robert A. Vanetten, Nova Oculus Partners, LLC f/k/a The Eye Machine, LLC, and AMC Holdings, LLC
See also: SEC Complaint
LR-24097 Apr. 5, 2018 Charlie Jinan Chen and Shui Foon Mok
See also: SEC Complaint
LR-24096 Apr. 4, 2018 Christopher James Lollar
See also: SEC Complaint
LR-24095 Apr. 4, 2018 Shane P. Fleming, et al.
See also: SEC Complaint
LR-24094 Apr. 4, 2018 Michael Scronic
See also: SEC Complaint
LR-24093 Apr. 4, 2018 Mohammed Ali Rashid
See also: SEC Complaint
LR-24092 Apr. 4, 2018 Michael A. Liberty, et al.
See also: SEC Complaint
LR-24091 Apr. 4, 2018 Gregory M. Bercowy
See also: SEC Complaint
LR-24090 Apr. 2, 2018 Sohrab ("Sam") Sharma and Robert Farkas
See also: SEC Complaint

First Quarter

LR-24089 Mar. 30, 2018 Kirbyjon Hines Caldwell et al., Shae Yatta Harper
See also Complaints: Caldwell and Smith; Harper
LR-24088 Mar. 29, 2018 AriseBank, Jared Rice Sr., and Stanley Ford
See also: SEC Complaint, SEC Amended Complaint
LR-24087 Mar. 28, 2018 DaRayl D. Davis and Affluent Advisory Group, LLC
See also: SEC Complaint
LR-24086 Mar. 28, 2018 Nauman A. Aly
See also: Memorandum Opinion & Order
LR-24085 Mar. 27, 2018 Rio Tinto plc, Rio Tinto Limited, Thomas Albanese and Guy Robert Elliott
LR-24084 Mar. 26, 2018 Joseph Spera, et al.
LR-24083 Mar. 26, 2018 Brian Hirsch, et al.
LR-24082 Mar. 26, 2018 Akorn, Inc., Timothy Dick, and David Hebeda
Other Release No.: AAER-3931
See also: SEC Complaint
LR-24081 Mar. 26, 2018 REcoin Group Foundation, et al.
LR-24080 Mar. 23, 2018 Spark Trading Group LLC and Niket Shah
See also: SEC Complaint
LR-24079 Mar. 23, 2018 PlexCorps, et al.
See also: SEC Complaint
LR-24078 Mar. 23, 2018 Jon E. Montroll and Bitfunder
See also: SEC Complaint
LR-24077 Mar. 22, 2018 Howard B. Present
See also: SEC Complaint
LR-24076 Mar. 22, 2018 McKinley Mortgage Co. LLC, et al.
See also: SEC Complaint
LR-24075 Mar. 22, 2018 Robert W. Murray
See also: SEC Complaint
LR-24074 Mar. 22, 2018 American Bondholders Foundation, LLC
See also: SEC Complaint
LR-24073 Mar. 22, 2018 Jun Ying
See also: SEC Complaint
LR-24072 Mar. 21, 2018 Revolutions Medical Corp., et al.
See also: Final Judgment
LR-24071 Mar. 21, 2018 Nicholas J. Genovese, Willow Creek Investments, LP, and Willow Creek Advisors, LLC
LR-24070 Mar. 19, 2018 Steven Metro
LR-24069 Mar. 19, 2018 Elizabeth Holmes, et al. and Ramesh "Sunny" Balwani
LR-24068 Mar. 19, 2018 Americrude, et. al.
See also: SEC Complaint
LR-24067 Mar. 16, 2018 Beaufort Securities Ltd. and Panayiotis Kyriacou a/k/a Peter Kyriacou; Dennis J. Mancino, William T. Hirschy, DJK Investments 10 Inc., TJM Investments Inc., and WT Consulting Group, LLC
See also SEC Complaints: Beaufort Securities Ltd. and Panayiotis Kyriacou, Dennis J. Mancino, William T. Hirschy, DJK Investments 10 Inc., TJM Investments Inc., and WT Consulting Group, LLC
LR-24066 Mar. 8, 2018 Jeffrey O. Friedland, Global Corporate Strategies LLC, and Intiva Pharma LLC, Defendants, and Lane 6552 LLC, Kathy B. Friedland, Aspen Upper Ranch LLC, Assurance Management, LLC, and The Jeffrey and Kathy Friedland Irrevocable Trust, Relief Defendants , Case.
See also: SEC Complaint
LR-24065 Mar. 8, 2018 Robert M. Morano
LR-24064 Mar. 5, 2018 Jersey Consulting LLC
See also: SEC Complaint
LR-24063 Mar. 5, 2018 Edward Henderson
LR-24062 Mar. 5, 2018 AVEO Pharmaceuticals, Inc., et al.
LR-24061 Mar. 5, 2018 Stefan Lumiere
LR-24060 Mar. 1, 2018 Steven J. Muehler, Claudia M. Muehler, Koorosh "Danny" Rahimi, AltaVista Capital Markets, LLC, AltaVista Private Client, LLC, and AltaVista Securities, LLC
See also: SEC Complaint
LR-24059 Mar. 1, 2018 Leonard Genova
See also: SEC Complaint
LR-24058 Feb. 28, 2018 Analytica Bio-Energy Corp., et al., Marvin Winick
See also: SEC Complaint
LR-24057 Feb. 28, 2018 AmeraTex Energy, Inc., et al
See also: SEC Complaint
LR-24056 Feb. 28, 2018 Yang Xie
See also: SEC Complaint
LR-24055 Feb. 26, 2018 Dedicated Sound and Audio, Inc., et al.
See also: SEC Complaint
LR-24054 Feb. 21, 2018 Strong Investment Management, Joseph B. Bronson (f/k/a Joseph B. Engebretson), and John B. Engebretson
See also: SEC Complaint
LR-24053 Feb. 20, 2018 Eric McPhail, et al.
LR-24052 Feb. 16, 2018 Daniel Thibeault, et al.
LR-24051 Feb. 16, 2018 Sharone Perlstein, et al., Jonathan Strum, Alan Weinberg, et al.
Other Release No.: AAER-3923
See also SEC Complaints: Sharone Perlstein et al., Jonathan Strum, Alan Weinberg and Weinberg & Baer LLC
LR-24050 Feb. 15, 2018 Commonwealth Advisors, Inc. and Walter A. Morales
LR-24049 Feb. 15, 2018 Southridge Capital Management LLC, et al.
LR-24048 Feb. 14, 2018 Kevin J. Amell
LR-24047 Feb. 14, 2018 Terrence LeGall
LR-24046 Feb. 14, 2018 Brian S. Block, et al.
Other Release No.: AAER-3921
LR-24045 Feb. 13, 2018 Timothy S. Batchelor
See also: SEC Complaint
LR-24044 Feb. 12, 2018 Todd M. LaVelle
See also: SEC Complaint
LR-24043 Feb. 12, 2018 Geoffrey H. Lunn, et al.
LR-24042 Feb. 8, 2018 American Bondholders Foundation, LLC
LR-24041 Feb. 2, 2018 Hadsell Chemical Processing, LLC and Robert Walton, Jr.
LR-24040 Feb. 2, 2018 Tom Simeo
LR-24039 Feb. 2, 2018 Boston Trading and Research, LLC, et al.
LR-24038 Feb. 2, 2018 Nicholas J. Genovese, Willow Creek Investments, LP, and Willow Creek Advisors, LLC
See also: SEC Complaint
LR-24037 Jan. 31, 2018 James S. Polese, et al.
See also: SEC Complaint
LR-24036 Jan. 30, 2018 Pawel P. Dynkowski, et al.
LR-24035 Jan. 26, 2018 One or More Unknown Traders in the Securities of Bioverativ, Inc.
See also: SEC Complaint
LR-24034 Jan. 25, 2018 Robert L. Sonfield, Jason Landess, et al.
LR-24033 Jan. 24, 2018 Quicksilver Stock Transfer and Alan Shinderman
See also: SEC Complaint
LR-24032 Jan. 24, 2018 Robert H. Shapiro, Woodbridge Group of Companies, LLC, et al.
See also: SEC Order
LR-24031 Jan. 22, 2018 Hoplon Financial Group et al.
See also: SEC Complaint
LR-24030 Jan. 22, 2018 Ash Narayan, The Ticket Reserve Inc. a/k/a Forward Market Media, Inc., Richard M. Harmon, and John A. Kaptrosky
See also: SEC Complaint
LR-24029 Jan. 22, 2018 Daniel H. Glick, et al
LR-24028 Jan. 11, 2018 David S. Haddad, et al.
See also: SEC Complaint
LR-24027 Jan. 9, 2018 David B. Kaplan, Esq., et al.
LR-24026 Jan. 8, 2018 Joseph A. Rubbo, et al.
LR-24025 Jan. 5, 2018 Malachi Financial Products, Inc., et al.
See also: SEC Complaint
LR-24024 Jan. 5, 2018 Owen H. Naccarato
See also: SEC Complaint
LR-24023 Jan. 3, 2018 Khaled "Kal" Bassily