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-23544 May 24, 2016 Michael J. Kipp and Joanne K. Viard
See also: SEC Complaint (Kipp and Viard), SEC Complaint (Pierrard)
LR-23543 May 19, 2016 Eric J. Kellogg
LR-23542 May 18, 2016 Gregg D. Caplitz
LR-23541 May 16, 2016 Richard Weed, et al.
LR-23540 May 13, 2016 Ross McLellan
See also: SEC Complaint
LR-23539 May 13, 2016 John Patrick O'Neill
LR-23537 May 12, 2016 Imran Husain, et al.
See also: SEC Complaint
LR-23536 May 11, 2016 Charles O. Couch and Couch Oil & Gas Inc.
See also: SEC Complaint
LR-23535 May 11, 2016 Devon Archer, et. al.
See also: SEC Complaint
LR-23534 May 6, 2016 Louis Martin Blazer III
LR-23533 May 5, 2016 Marquis Properties LLC, Chad Deucher and Richard Clatfelter
LR-23532 May 5, 2016 James R. Trolice, Lee P. Vaccaro, and Patrick G. Mackaronis
LR-23531 May 5, 2016 Joseph F. Apuzzo
LR-23530 May 4, 2016 Dubovoy, et al.
LR-23529 May 3, 2016 Richard St. Julien, Jared Mitchell, Christopher F. Castaldo, Louis F. Petrossi, Herschel C. (a/k/a Tres) Knippa, Richard L. Brown, Gerald J. (a/k/a Gerry) Cocuzzo, Naveed A. (a/k/a Nick) Khan, Maroof Miyana, and Pranav V. Patel
See also: SEC Complaint
LR-23528 May 3, 2016 Stephen D. Ferrone, et al.
LR-23527 May 3, 2016 George A. Moore III, et al.
See also: SEC Complaint and Trading Suspension Order
LR-23526 Apr. 26, 2016 Asher Z. Zwebner; Luke C. Zouvas, et al.
See also: SEC Complaints: Asher Z. Zwebner; Luke C. Zouvas, et al.
LR-23525 Apr. 22, 2016 Sky Capital LLC (aka Granta Capital LLC), Ross Mandell, Steven Shea, Adam Harrington Ruckdeschel, Arn Wilson, Michael Passaro and Robert Grabowski
LR-23524 Apr. 22, 2016 Roger S. Bliss, et al.
LR-23523 Apr. 20, 2016 Bardman, et al.
LR-23522 Apr. 15, 2016 Heart Tronics, Inc., et al.
See also: Final Judgement
LR-23521 Apr. 14, 2016 Town of Ramapo, et al.
See also: SEC Complaint
LR-23520 Apr. 14, 2016 Ariel Quiros, et al.
LR-23519 Apr. 14, 2016 John Afriyie
See also: SEC Complaint
LR-23518 Apr. 13, 2016 Sky Capital LLC (aka Granta Capital LLC), Ross Mandell, Steven Shea, Adam Harrington Ruckdeschel, Arn Wilson, Michael Passaro and Robert Grabowski
LR-23517 Apr. 13, 2016 Michael Donnelly
LR-23516 Apr. 12, 2016 Khaled "Kal" Bassily
See also: SEC Complaint
LR-23515 Apr. 11, 2016 William E. Mapp, III, et al.
See also: SEC Complaint
LR-23514 Apr. 11, 2016 Gregg D. Caplitz, et al.
LR-23513 Apr. 8, 2016 Clarke Bethancourt, et al.
LR-23512 Apr. 7, 2016 Edward Laborio, et al.
LR-23511 Apr. 7, 2016 David Aubel and Robert Raffa
See also: SEC Complaint
LR-23510 Apr. 4, 2016 Joseph Andrew Paul, et al.
See also: SEC Complaint

First Quarter

LR-23509 Mar. 31, 2016 John Scott Clark
LR-23508 Mar. 31, 2016 Nathanial D. Ponn
See also: SEC Complaint
LR-23507 Mar. 31, 2016 Daniel Ustian
See also: SEC Complaint
LR-23506 Mar. 30, 2016 Daniel Rivera, et al.
See also: SEC Complaint
LR-23505 Mar. 29, 2016 Andrew W.W. Caspersen, et al.
See also: SEC Complaint
LR-23504 Mar. 29, 2016 Tobin Smith, et al.
See also: SEC Complaint
LR-23503 Mar. 29, 2016 AVEO Pharmaceuticals, Inc., et al.
LR-23502 Mar. 29, 2016 Stanley J. Kowalewski et al.
LR-23501 Mar. 25, 2016 John V. Bivona, et al.
See also: SEC Complaint
LR-23500 Mar. 25, 2016 James M. Louks and FiberPoP Solutions, Inc.
LR-23499 Mar. 25, 2016 Gilbert G. Lundstrom, et al.
LR-23498 Mar. 24, 2016 Dubovoy, et al.
LR-23497 Mar. 24, 2016 Arcturus Corporation, et al.
LR-23496 Mar. 23, 2016 Guy Gentile
See also: SEC Complaint
LR-23495 Mar. 23, 2016 Michael Affa, Andrew Affa, Mitchell Brown, Christopher Putnam, and Christopher Nix
LR-23494 Mar. 23, 2016 Gregory G. Jones.
LR-23493 Mar. 21, 2016 Bruce D. Strebinger, et al.
LR-23492 Mar. 18, 2016 John E. Hardy III
See also: SEC Complaint
LR-23491 Mar. 16, 2016 Yue Han, et al.
LR-23490 Mar. 16, 2016 Mark A. Jones
LR-23489 Mar. 16, 2016 Cary Lee Peterson, et al.
LR-23488 Mar. 14, 2016 Daniel Thibeault
LR-23487 Mar. 11, 2016 BIC Real Estate Development Corp. et al.
LR-23486 Mar. 11, 2016 PTG Capital Partners LTD, et al.
LR-23485 Mar. 11, 2016 Aequitas Management, LLC, et al.
See also: SEC Complaint
LR-23484 Mar. 10, 2016 Reed J. Killion, et al.
LR-23483 Mar. 9, 2016 Jay Y. Fung and Kevin L. Dowd
LR-23482 Mar. 9, 2016 Edwin Yoshihiro Fujinaga and MRI International, Inc., et al.
LR-23481 Mar. 9, 2016 Banc de Binary Ltd., et al.
LR-23480 Mar. 7, 2016 Rhode Island Commerce Corporation (f/k/a Rhode Island Economic Development Corporation), Wells Fargo Securities, LLC, Peter M. Cannava, Keith W. Stokes, and James Michael Saul
See also: SEC Complaint
LR-23479 Mar. 3, 2016 Fortitude Group, Inc., et al.
See also: SEC Complaints: Fortitude Group and Strategic Global Investments
LR-23478 Mar. 2, 2016 Daryl M. Payton, et al.
LR-23477 Mar. 1, 2016 Zachary Zwerko and David L. Post
LR-23476 Feb. 26, 2016 Bonan Huang, et al.
LR-23475 Feb. 26, 2016 Steven H. Davis, et. al
LR-23474 Feb. 24, 2016 Steven Fishoff, et al.
LR-23473 Feb. 19, 2016 Nathan Halsey and TexStar Oil Co., Ltd.
See also: SEC Complaint
LR-23472 Feb. 18, 2016 Scott Valente and The ELIV Group, LLC
LR-23471 Feb. 18, 2016 Zavodchiko, et al.
See also: SEC Complaint
LR-23470 Feb. 17, 2016 Randy A. Hamdan and Oracle Consultants, LLC
LR-23469 Feb. 17, 2016 Michael Affa, Andrew Affa, Mitchell Brown, Christopher Putnam, and Christopher Nix
LR-23468 Feb. 16, 2016 PV Enterprises, Inc., Panagiotis Villiotis, Virtual Sourcing, Inc., Norman Birmingham, Mario Faraone and Sweet Challenge, LLC (a/k/a Sweet Challenge, Inc.)
See also: SEC Complaint
LR-23467 Feb. 16, 2016 Wade James Lawrence
See also: SEC Complaint
LR-23466 Feb. 12, 2016 Gregory Ruehle
See also: SEC Complaint
LR-23465 Feb. 11, 2016 Jilbert Tahmazian
See also: SEC Complaint
LR-23464 Feb. 11, 2016 Optimum Income Property, LLC, Optimum Property Investments, LLC, and Frank E. Lleras
See also: SEC Complaint
LR-23463 Feb. 10, 2016 Moazzam "Mark" Malik and American Bridge Investment Group, LLC, d/b/a Wolf Hedge LLC
LR-23462 Feb. 8, 2016 Zev Saltsman, et al.
LR-23461 Feb. 8, 2016 Herbert K. Sudfeld
LR-23460 Feb. 8, 2016 Robert M. Munakash, Carlos A. Rodriguez, and Marc Winters
See also: SEC Complaint
LR-23459 Feb. 3, 2016 American Growth Funding II, LLC, Portfolio Advisors Alliance, Inc., Ralph C. Johnson, Howard J. Allen III, and Kerri L. Wasserman
See also: SEC Complaint
LR-23458 Feb. 2, 2016 Dubovoy, et al.
LR-23457 Feb. 1, 2016 eAdGear, Inc., et al.
LR-23456 Jan. 29, 2016 J. Patrick O'Neill and Robert H. Bray
LR-23455 Jan. 27, 2016 Vlad B. Spivak, et al.
LR-23454 Jan. 27, 2016 Andrew M. Miller
Other Release No.: AAER-3734
LR-23453 Jan. 27, 2016 Kenneth W. Crumbley
See also: SEC Complaint
LR-23452 Jan. 22, 2016 OTC Capital Partners, LLC et al
LR-23451 Jan. 21, 2016 Marquis Properties, LLC
See also: SEC Complaint
LR-23449 Jan. 20, 2016 Stewart A. Merkin
LR-23450 Jan. 20, 2016 TelexFree, Inc. et al., Carlos Nataniel Wanzeler, and James Matthew Merrill
LR-23448 Jan. 20, 2016 Nicholas Toms
LR-23447 Jan. 20, 2016 Anthony Andrade, et al.
LR-23446 Jan. 14, 2016 Robert B. Crowe
LR-23445 Jan. 14, 2016 Bonan Huang, et al.
LR-23444 Jan. 11, 2016 Roger S. Bliss
LR-23443 Jan. 11, 2016 Steven H. Davis, et. al
LR-23442 Jan. 7, 2016 Edward Durante, a.k.a. Ted Wise, et al.
See also: SEC Complaint
LR-23441 Jan. 6, 2016 Ronald Lawrence Schuman