Litigation Releases

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

Fourth Quarter |  Third Quarter | Second Quarter |  First Quarter

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Release No. Date Respondents

Fourth Quarter

LR-24348 Nov. 9, 2018 Joseph Meli, et al.
LR-24347 Nov. 9, 2018 Arthur Lamar Adams et al.
LR-24346 Nov. 9, 2018 Kevin B. Merrill, et al.
LR-24345 Nov. 8, 2018 Eric J. "EJ" Dalius et al.
See also: SEC Complaint
LR-24344 Nov. 8, 2018 Ricardo H. Goldman
See also: SEC Complaint
LR-24343 Nov. 8, 2018 Craig H. Carton, et al.
LR-24342 Nov. 8, 2018 Michael E. Cone, et al
See also: SEC Complaint
LR-24341 Nov. 8, 2018 SeeThruEquity, LLC et al.
See also: SEC Complaint
LR-24340 Nov. 8, 2018 James E. Hengen
See also: SEC Complaint
LR-24339 Nov. 8, 2018 Eric P. Lesak, et al.
LR-24338 Nov. 8, 2018 Slobodan Dragojlovic
See also: SEC Complaint
LR-24337 Nov. 7, 2018 Core Performance Management, LLC, et al., RMR Asset Management Company, et al.
LR-24336 Nov. 6, 2018 Robert A. Ferrante and Marilyn R. Thomassen, et al.
See also: SEC Complaint
LR-24335 Nov. 6, 2018 TelexFree, Inc. et al.
LR-24334 Nov. 2, 2018 Douglas P. Simanski
See also: SEC Complaint
LR-24333 Nov. 2, 2018 Timothy J. Atkinson, et al., Ronald C. Montano, et al., Justin Blake Barrett and Grayson Brookshire
See also: SEC Complaints for Timothy J. Atkinson, et al., Ronald C. Montano, et al., and Justin Blake Barrett and Grayson Brookshire
LR-24332 Nov. 2, 2018 Brian Pappas, et al.
LR-24331 Nov. 2, 2018 Charles A. Banks, IV
LR-24330 Nov. 1, 2018 1Pool Ltd. a.k.a. 1Broker and Patrick Brunner
See also: SEC Complaint
LR-24329 Oct. 31, 2018 Brian Weber and Bebida Beverage Co.
See also: SEC Complaint
LR-24328 Oct. 30, 2018 Sean Kelly et al.
See also: SEC Complaint
LR-24327 Oct. 30, 2018 Roger Knox et al.
LR-24326 Oct. 29, 2018 Yorkville Advisors, LLC, Mark Angelo and Edward Schinik
LR-24325 Oct. 26, 2018 Philip Thomas Kueber
LR-24324 Oct. 23, 2018 Alexander C. Burns, et al.
See also: SEC Complaint
LR-24323 Oct. 23, 2018 John Madsen, Andalusian Resorts and Spas, Inc., and Bernard Fried
LR-24322 Oct. 22, 2018 Mark E. Fisher and Joseph F. Capuozzo
See also: SEC Complaint
LR-24321 Oct. 22, 2018 Bruce J. Fixelle, Genesis Advisory Services Corp., and Aurora Capital Management, LLC
See also: SEC Complaint
LR-24320 Oct. 18, 2018 Ross McLellan
LR-24319 Oct. 18, 2018 Jean Danhong Chen, Tony Jianyun Ye, Kai Hao Robinson, Kuansheng Chen, Law Offices of Jean D. Chen, A Professional Corporation, Tree Lined Holdings, LLC, And Golden State Regional Center, LLC
See also: SEC Complaint
LR-24318 Oct. 18, 2018 Richard J. Greenlaw et al.
LR-24317 Oct. 16, 2018 Bryan B. Long
See also: SEC Complaint
LR-24316 Oct. 12, 2018 Susan Werth, a.k.a. Susan Worth, Corporate Mystic, LLC, Commercial Exchange Solutions, Incorporated, and Exchange Solutions Company
See also: SEC Complaint
LR-24315 Oct. 11, 2018 Harold L. Altvater
LR-24314 Oct. 11, 2018 Blockvest, LLC and Reginald Buddy Ringgold, III a/k/a Rasool Abdul Rahim El
See also: SEC Complaint
LR-24313 Oct. 11, 2018 Merrill, et al.
LR-24312 Oct. 10, 2018 Ross B. Shapiro, Michael A. Gramins and Tyler G. Peters
See also: SEC Complaint; Order
LR-24311 Oct. 10, 2018 Dennis Wayne Hamilton
LR-24310 Oct. 9, 2018 FX & Beyond Corporation et al.
LR-24309 Oct. 9, 2018 Lawrence P. Schmidt, Commercial Equity Partners, Ltd, FutureGen Company (d/b/a FutureGen Capital), FGC Distressed Assets Investment #1, LLC; FutureGen Capital DDA CG Fund LLC; FGC Tax Lien Fund #2, LLC; FGC Trading Fund #1 LLC; FGC SPE NO 1 LLC; FGC SPE NO 2 LLC; and FGC CM Note Fund LLC
LR-24308 Oct. 9, 2018 Jeffre James and Saint James Holding and Investment Company Trust
LR-24307 Oct. 5, 2018 Todd Elliott Hitt, Kiddar Capital LLC, Kiddar Group Holdings, Inc., as Defendants, and Kiddar Herndon Station LLC, Kiddar Homebuilding Fund I LLC, Melbourne Retreat LLC, Kiddar Mass Ave LLC, Kiddar Ridgeview LLC, ESA Emerson LLC, ESA Highwood LLC, and Kiddar AQ LLC a/k/a Kiddar Aquicore LLC, as Relief Defendants
See also: SEC Complaint
LR-24306 Oct. 5, 2018 Robert O. Carr and Katherine M. Hanratty
LR-24305 Oct. 3, 2018 Ifitikar Ahmed, et al.
LR-24304 Oct. 3, 2018 Roger Knox et al.
See also: SEC Complaint
LR-24303 Oct. 3, 2018 Russell Craig and OneStep Financial Services, LLC
See also: SEC Complaint
LR-24302 Oct. 1, 2018 Salix Pharmaceuticals, Ltd., Adam C. Derbyshire
See also: Salix Pharmaceuticals, Ltd. Complaint; Adam C. Derbyshire Complaint

Third Quarter

LR-24301 Sep. 28, 2018 TelexFree, Inc. et al.
LR-24300 Sep. 28, 2018 Michael A. Bressman
See also: SEC Complaint
LR-24299 Sep. 28, 2018 Jehu Hand and Antonio Katz
LR-24298 Sep. 28, 2018 Bryan R. Ziegenfuse
See also: SEC Complaint
LR-24297 Sep. 28, 2018 Thomas Carter Ronk
See also: SEC Complaint
LR-24296 Sep. 28, 2018 Carlos I. Uresti and Stanley P. Bates
See also: SEC Complaint
LR-24295 Sep. 28, 2018 Nutra Pharma Corp. et al
See also: SEC Complaint
LR-24294 Sep. 28, 2018 Edward J. Kosinski
LR-24293 Sep. 28, 2018 NL Technology, LLC et al.
See also: SEC Complaint
LR-24292 Sep. 28, 2018 Thomas J. Connerton and Safety Technologies LLC
LR-24291 Sep. 28, 2018 Goldsky Asset Management, LLC and Kenneth Grace
See also: SEC Complaint
LR-24290 Sep. 27, 2018 Andrew J. Kandelapas
LR-24289 Sep. 27, 2018 James Thomas Bramlette, the Pelorus Group, LLC, Anthony Mark Hartman, Private Placement Capital Notes II, LLC, Stone Mountain Equities, LLC, Travis Kozlowski, Entelecus Fund, LLC, Aaron John Wernli
See also: SEC Complaint
LR-24288 Sep. 26, 2018 William C. Skelley and Sohin S. Shah
See also: SEC Complaint
LR-24287 Sep. 25, 2018 John Gregory Schmidt
See also: SEC Complaint
LR-24286 Sep. 24, 2018 Adam Rentzer
See also: SEC Complaint
LR-24285 Sep. 21, 2018 Hope Advisors, LLC, et al.
LR-24284 Sep. 21, 2018 Tarek D. Bahgat, Lauramarie Colangelo, and WealthCFO, LLC
See also: SEC Complaint
LR-24283 Sep. 21, 2018 Jason W. Galanis, et al.
LR-24282 Sep. 21, 2018 James Douglas Miller
Other Release No.: AAER-3986
See also: SEC Complaint
LR-24281 Sep. 20, 2018 Homero Joshua Garza, GAW Miners, LLC, and ZenMiner, LLC
LR-24280 Sep. 20, 2018 CSIR Group, LLC, et al.
LR-24279 Sep. 20, 2018 Leroy "Lee" Young and Young Capital Management LLC
See also: SEC Complaint
LR-24278 Sep. 20, 2018 World Tree Financial, LLC, et al.
See also: SEC Complaint
LR-24277 Sep. 18, 2018 Emil Botvinnik and Jovannie Aquino
See also: SEC Complaint - Jovannie Aquino; SEC Complaint - Emil Botvinnik
LR-24276 Sep. 19, 2018 Tamara Steele and Steele Financial, Inc.
See also: SEC Complaint
LR-24275 Sep. 19, 2018 Hani Zeini and Sientra, Inc.
See also: SEC Complaint
LR-24274 Sep. 18, 2018 Ernest J. Romer, III
See also: SEC Complaint
LR-24273 Sep. 18, 2018 Clovis Oncology, Inc., Patrick J. Mahaffy, and Erle T. Mast
See also: SEC Complaint
LR-24272 Sep. 18, 2018 SeaWorld Entertainment, Inc. and James Atchison, Frederick D. Jacobs
See also: SeaWorld Complaint; Jacobs Complaint
LR-24271 Sep. 18, 2018 John Paul Waymack
See also: Application; Memo
LR-24270 Sep. 17, 2018 Thomas J. Caufield
See also: SEC Complaint
LR-24269 Sep. 14, 2018 Rong Chen, et al.
See also: SEC Complaint
LR-24268 Sep. 14, 2018 Arista Power, Inc., et al.
LR-24267 Sep. 13, 2018 Gregory Lemelson, Lemelson Capital Management, LLC, and The Amvona Fund
See also: SEC Complaint
LR-24266 Sep. 12, 2018 Laura, et al.
See also: SEC Complaint
LR-24265 Sep. 12, 2018 Adam C. Wasserman
Other Release No.: AAER-3971
See also: SEC Complaint
LR-24264 Sep. 10, 2018 Nevada Sports Investment Group, LP
See also: SEC Complaint
LR-24263 Sep. 10, 2018 Contrarian Investments, LLC
See also: SEC Complaint
LR-24262 Sep. 7, 2018 Barry C. Honig, et al.
See also: SEC Complaint
LR-24261 Sep. 7, 2018 Christopher Davies, et al.
See also: SEC Complaint
LR-24260 Sep. 6, 2018 In Ovations Holdings, Inc. and Mark Goldberg
See also: SEC Complaint
LR-24259 Sep. 6, 2018 Joel N. Burstein
See also: SEC Complaint
LR-24258 Sep. 6, 2018 Steven H. Davis, et al.
LR-24257 Sep. 5, 2018 Jeffrey Goldman and Christopher Eikenberry
See also: SEC Complaint
LR-24256 Sep. 5, 2018 Robert William Dorrance
See also: SEC Complaint
LR-24255 Sep. 4, 2018 Tangoe, Inc. et. al.
See also: SEC Complaint
LR-24254 Aug. 31, 2018 Scott Stacy Phelps and James Michael Harper
See also: SEC Complaint
LR-24253 Aug. 30, 2018 Grenda Group, LLC, et al.
See also: SEC Complaint
LR-24252 Aug. 30, 2018 Kendricks, et al.
See also: SEC Complaint
LR-24251 Aug. 30, 2018 Amer Deeba
See also: SEC Complaint
LR-24250 Aug. 29, 2018 John A. Henderson and Global Resources Leadership, LLC
See also: Application
LR-24249 Aug. 29, 2018 1 Global Capital, LLC, Carl Ruderman, et al.
See also: SEC Complaint
LR-24248 Aug. 28, 2018 Sandy J. Masselli, Jr. et al.
See also: SEC Complaint
LR-24247 Aug. 28, 2018 Equitybuild, Inc. et al.
LR-24246 Aug. 28, 2018 Richard J. Greenlaw et al.
See also: SEC Complaint
LR-24245 Aug. 23, 2018 Fishoff, et al.
See also: SEC Complaint
LR-24244 Aug. 23, 2018 Gary S. Williky
See also: Opinion Granting SEC's Remedies Motion
LR-24243 Aug. 22, 2018 Barry M. Kornfeld, et al., Lynette M. Robbins and Knowles Systems, Inc.
LR-24242 Aug. 21, 2018 Harpreet Grewal
See also: SEC Complaint
LR-24241 Aug. 21, 2018 Intertech Solutions, Inc., William Scott Marshall, David Michael Naylor, and West Port Energy LLC
See also: SEC Complaint
LR-24240 Aug. 21, 2018 A. Catlin Cade, IV
See also: SEC Complaint
LR-24239 Aug. 21, 2018 Eric P. Lesak, Global Research, LLC (PA), Global Research, LLC (NY)
See also: SEC Complaint
LR-24238 Aug. 20, 2018 Medient Studios, Inc. et al.
See also: SEC Complaint - Medient; SEC Complaint - Shapiro
LR-24237 Aug. 20, 2018 Equitybuild, Inc. et al.
See also: SEC Complaint
LR-24236 Aug. 16, 2018 Lauren Zarksy, Dorothy Zarsky
LR-24235 Aug. 14, 2018 TelexFree, Inc. et al.
LR-24234 Aug. 13, 2018 Alexander Charles White and Paul Douglas Vandivier
See also: SEC Complaint
LR-24233 Aug. 13, 2018 Chad Anthony Lewis
See also: SEC Complaint
LR-24232 Aug. 10, 2018 Roger Duffield and Plandai Biotechnology, Inc.
See also: SEC Complaint
LR-24231 Aug. 10, 2018 Christopher Collins, et al., Lauren Zarksy, Dorothy Zarsky
See also: Christopher Collins, et al. Complaint, Lauren Zarsky Complaint, Dorothy Zarsky Complaint
LR-24230 Aug. 9, 2018 John C. Maccoll
See also: SEC Complaint
LR-24229 Aug. 8, 2018 Salvadore D. Palermo
See also: SEC Complaint
LR-24228 Aug. 8, 2018 Arthur Lamar Adams and Madison Timber Properties, LLC
See also: Receivership Order
LR-24227 Aug. 7, 2018 City of Victorville, et al.
LR-24226 Aug. 6, 2018 Murakami, et al.
LR-24225 Aug. 3, 2018 Fei Yan, et al.
LR-24224 Aug. 3, 2018 Palm House Hotel LLLP, et al.
See also: SEC Complaint
LR-24223 Aug. 3, 2018 Moddha Interactive, Inc., Marianne Veronika Sandor, Edward Michael Porrazzo, and Spar Street
LR-24222 Aug. 1, 2018 Lozuk
See also: SEC Complaint, Deferred Prosecution Agreement
LR-24221 Aug. 1, 2018 Madan
See also: SEC Complaint
LR-24220 Jul. 31, 2018 David A. Harbour
See also: SEC Complaint
LR-24219 Jul. 30, 2018 Howard M. Appel
See also: SEC Complaint
LR-24218 Jul. 26, 2018 John A. Paulsen
See also: SEC Complaint
LR-24217 Jul. 26, 2018 Robert Gadimian
LR-24216 Jul. 26, 2018 Rudden, et al.
See also: SEC Complaint
LR-24215 Jul. 25, 2018 Richard T. Cunniffe
See also: SEC Complaint
LR-24214 Jul. 25, 2018 Christopher A. Faulkner, et. al.
LR-24213 Jul. 24, 2018 William Z. ("Billy") McFarland et al.
See also: SEC Complaint
LR-24212 Jul. 24, 2018 Matthew Brunstrum and Susan Brunstrum
See also: SEC Complaint
LR-24211 Jul. 19, 2018 Edward A. Young and Guardians Trustee, LLC
See also: SEC Complaint
LR-24210 Jul. 19, 2018 Bhushan Dandawate
See also: SEC Complaint
LR-24209 Jul. 19, 2018 Centor Energy Inc. and Frederick DaSilva
See also: SEC Complaint
LR-24208 Jul. 19, 2018 Kimberly Pine Kitts
See also: SEC Complaint
LR-24207 Jul. 19, 2018 Steven J. Barber and Larry Lee Arrowood
See also: SEC Complaint
LR-24206 Jul. 18, 2018 Temenos Advisory, Inc., and George L. Taylor
See also: SEC Complaint
LR-24205 Jul. 17, 2018 John Geraci
See also: SEC Complaint
LR-24204 Jul. 17, 2018 Mark E. Burns, Robert W. Murray
See also: SEC Complaint
LR-24203 Jul. 16, 2018 Joseph Meli, et al.
LR-24202 Jul. 16, 2018 John D. Schiller, Jr.
See also: SEC Complaint, Order
LR-24201 Jul. 16, 2018 Gannon Giguiere et al.
See also: SEC Complaint
LR-24200 Jul. 16, 2018 Ross McLellan
LR-24199 Jul. 16, 2018 Moddha Interactive, Inc., Marianne Veronika Sandor, Edward Michael Porrazzo, and Spar Street
See also: SEC Complaint
LR-24198 Jul. 12, 2018 Ryan Gilbertson, et al.
LR-24197 Jul. 12, 2018 Pawel P. Dynkowski, et al.
LR-24196 Jul. 12, 2018 Donald V. Watkins, Sr., et al.
LR-24195 Jul. 11, 2018 Penn West Petroleum Ltd., d/b/a Obsidian Energy Ltd., Todd H. Takeyasu, Jeffery A. Curran, and Waldemar Grab
LR-24194 Jul. 10, 2018 Gene Shen
See also: SEC Complaint
LR-24193 Jul. 10, 2018 Dubovoy, et al.
LR-24192 Jul. 10, 2018 Tarek D. Bahgat, Lauramarie Colangelo, and WealthCFO LLC
See also: SEC Complaint
LR-24191 Jul. 10, 2018 Robert O. Carr and Katherine M. Hanratty
See also: SEC Complaint
LR-24190 Jul. 9, 2018 T.J. Jesky, Esq. and Mark F. DeStefano
LR-24189 Jul. 9, 2018 Charles Schwab & Co., Inc.
See also: SEC Complaint
LR-24188 Jul. 9, 2018 ITT Educational Services, Inc. et al
LR-24187 Jul. 6, 2018 The Owings Group, LLC, et al.
See also: SEC Complaint
LR-24186 Jul. 5, 2018 Molina
See also: SEC Complaint
LR-24185 Jul. 3, 2018 United Development Funding III, LP, United Development Funding IV, Hollis M. Greenlaw, Benjamin L. Wissink, Theodore F. Etter, Cara D. Obert, and David A. Hanson
See also: SEC Complaint
LR-24184 Jul. 3, 2018 Edward Lee Moody Jr., et. al.
LR-24183 Jul. 2, 2018 Sudhakar Reddy Bonthu
See also: SEC Complaint
LR-24182 Jul. 2, 2018 Malachi Financial Products, Inc., et al.
LR-24181 Jul. 2, 2018 Axesstel, Inc., et al.
Other Release No.: AAER-3945
See also: SEC Complaint

Second Quarter

LR-24180 Jun. 29, 2018 Curative Biosciences, Inc. f/k/a Healthient, Inc., William M. Alverson, Katherine West Alverson, and Steven G. Patton
See also: SEC Complaint
LR-24179 Jun. 29, 2018 Adam Mattessich and Joseph (a/k/a Jay) Ludovico
See also: SEC Complaint
LR-24178 Jun. 29, 2018 Pinto-Thomaz, et al.
See also: SEC Complaint
LR-24177 Jun. 29, 2018 Donato J. Dandreo III
See also: SEC Complaint
LR-24176 Jun. 26, 2018 James VanBlaricum, et al.
See also: SEC Complaint
LR-24175 Jun. 26, 2018 Richard Weed et al.
LR-24174 Jun. 22, 2018 Stephen Pence
LR-24173 Jun. 21, 2018 James E. Hocker
See also: SEC Complaint
LR-24172 Jun. 20, 2018 Santillo, et al.
See also: SEC Complaint
LR-24171 Jun. 20, 2018 Joseph A. Fiore, Berkshire Capital Management Company, Inc., and Eat at Joe's, Ltd. (n/k/a SPYR, Inc.)
See also: SEC Complaint
LR-24170 Jun. 20, 2018 PlexCorps, et al.
LR-24169 Jun. 19, 2018 Texas Coastal Energy Company, LLC, et. al.
See also: SEC Complaint
LR-24168 Jun. 18, 2018 Larry A. Holley, et al.
LR-24167 Jun. 18, 2018 Pawel P. Dynkowski, et al.
LR-24166 Jun. 15, 2018 Ronald A. Fossum, Jr. and Alonzo R. Cahoon
LR-24165 Jun. 13, 2018 Yin Nan "Michael" Wang; Wendy Ko; Velocity Investment Group, Inc.; Bio Profit Series I, LLC; Bio Profit Series II, LLC; Bio Profit Series III, LLC; Bio Profit Series V, LLC; and Rockwell Realty Management, Inc.
LR-24164 Jun. 12, 2018 Kurt J. Bordian
See also: SEC Complaint
LR-24163 Jun. 11, 2018 Robert M. Morano
LR-24162 Jun. 11, 2018 Isaac Grossman, Adriana Grossman, Dragon-Click Corp., and Dragon Management, LLC
See also: SEC Complaint
LR-24161 Jun. 8, 2018 Town of Ramapo, et al.
LR-24160 Jun. 7, 2018 Titanium Blockchain Infrastructure Services, Inc., EHI Internetwork and Systems Management, Inc. aka EHI-INSM, Inc., and Michael Alan Stollery aka Michael Stollaire
LR-24159 Jun. 6, 2018 Jehu Hand, et al.
LR-24158 Jun. 6, 2018 Ralph T. Iannelli et al.
See also: SEC Complaint
LR-24157 Jun. 5, 2018 Alderson, et al.
See also: SEC Complaint
LR-24156 Jun. 5, 2018 Paul Gilman
See also: SEC Complaint
LR-24155 Jun. 4, 2018 Edward Withrow, et al.
LR-24154 Jun. 4, 2018 Gustavo A. Guzman
LR-24153 May 31, 2018 Woojae (Steve) Jung
See also: SEC Complaint
LR-24152 May 30, 2018 Steven Pagartanis
See also: SEC Complaint
LR-24151 May 25, 2018 Niel Martin Nielson and Carolyne Susan Johnson
See also SEC Complaints: Carolyne Susan Johnson; Niel Martin Nielson
LR-24150 May 24, 2018 Perry A. Gruss
LR-24149 May 24, 2018 Gregory M. Bercowy
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