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

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Release No. Date Respondents

Second Quarter

LR-24480 May 24, 2019 David Sims, et al.
See also: SEC Complaint
LR-24479 May 23, 2019 Savraj Gata-Aura (a/k/a Samuel Aura a/k/a Sam Aura) and Core Agents, Ltd. (d/b/a Core Agents International, Ltd.)
See also: SEC Complaint
LR-24478 May 23, 2019 Daniel Pacheco, et al.
See also: SEC Complaint
LR-24477 May 23, 2019 Morgan
See also: SEC Complaint
LR-24476 May 22, 2019 Davis, Jr., et al.
See also: SEC Complaint
LR-24475 May 22, 2019 Howard M. Appel
LR-24474 May 21, 2019 Ramsey
LR-24473 May 21, 2019 Natural Diamonds Investment Co., Eagle Financial Diamond Group Inc A/K/A Diamante Atelier, Argyle Coin, LLC, Jose Angel Aman, Harold Seigel, and Jonathan H. Seigel, et al.
See also: SEC Complaint
LR-24472 May 20, 2019 David N. Osegueda, Ishmail Calvin Ross, aka Calvin Ross, Zachary R. Logan, and Jessica Snyder, fka Jessica Gutierrez
See also: SEC Complaint
LR-24471 May 20, 2019 Tracson McLeod
LR-24470 May 17, 2019 Andrew I. Farmer, Scott R. Sieck, Eddie D. Austin, Jr., Carolyn P. Austin, and John D. Brotherton
See also: SEC Complaint
LR-24469 May 15, 2019 Collector's Coffee (d/b/a Collectors Café), and Mykalai Kontilai
See also: SEC Complaint
LR-24468 May 14, 2019 Brian Fettner, et al.
See also: SEC Complaint
LR-24467 May 13, 2019 Robert M. Morano
LR-24466 May 9, 2019 Danny R. Williams
See also: SEC Complaint
LR-24465 May 9, 2019 Lloyd Schuman and Dane Janes
See also: SEC Complaint
LR-24464 May 6, 2019 Rocco Roveccio
See also: Order
LR-24463 Apr. 29, 2019 James Siniscalchi
See also: SEC Complaint
LR-24462 Apr. 29, 2019 One or More Unknown Traders in the Securities of Anadarko Petroleum Corp.
See also: SEC Complaint
LR-24461 Apr. 26, 2019 Christopher D. Dougherty, et al.
See also: SEC Complaint
LR-24460 Apr. 25, 2019 Zachary S. Berkey, et al.
LR-24459 Apr. 25, 2019 Celadon Group, Inc.
See also: SEC Complaint
LR-24458 Apr. 23, 2019 Eric D. Lyons, et al.
See also: SEC Complaint
LR-24457 Apr. 22, 2019 David M. Loflin
See also: SEC Complaint
LR-24456 Apr. 19, 2019 Kimberly Sredich
See also: SEC Complaint
LR-24455 Apr. 18, 2019 Motty Mizrahi et al.
LR-24454 Apr. 18, 2019 Yuh-Yue Chen
See also: SEC Complaint
LR-24453 Apr. 16, 2019 Quentin Louis Wilcox
See also: SEC Complaint
LR-24452 Apr. 15, 2019 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-24451 Apr. 12, 2019 Joseph Meli, et al., Craig H. Carton, et al.
See also: Final Judgment as to Defendants Joseph Meli, et al.; Final Judgment as to Relief Defendant Anna Meli; Final Judgment as to Defendants Joseph G. Meli and Advance Entertainment, LLC
LR-24450 Apr. 12, 2019 Ivan Acevedo & Dane R. Roseman
See also: SEC Complaint
LR-24449 Apr. 11, 2019 Arif M. Naqvi and Abraaj Investment Management Limited
See also: SEC Complaint
LR-24448 Apr. 10, 2019 Paul Bannon Powers
See also: SEC Complaint
LR-24447 Apr. 10, 2019 Gonzalo Ortiz
See also: SEC Complaint
LR-24446 Apr. 9, 2019 Bevil et al., Duke et al., Duncan, Saccomanno et al.
See also: Saccomanno, et al. Complaint; Duncan Complaint; Duke, et al. Complaint; Bevil, et al. Complaint
LR-24445 Apr. 8, 2019 Craig H. Carton, et al.
LR-24444 Apr. 5, 2019 Scott Newsholme
LR-24443 Apr. 4, 2019 Jeffrey E. Wall and The Lighthouse Events, LLC
See also: SEC Complaint
LR-24442 Apr. 4, 2019 AVEO Pharmaceuticals, Inc., et al.
LR-24441 Apr. 4, 2019 Evan R. Kita, et al.
Other Release No.: AAER-4038
LR-24440 Apr. 3, 2019 Daniel Mattes
See also: SEC Complaint
LR-24439 Apr. 3, 2019 Jeffrey C. Mack and Lawrence C. Blaney
See also: SEC Complaint
LR-24438 Apr. 2, 2019 Kimberly Pine Kitts
LR-24437 Apr. 2, 2019 Robert P. DePalo, et al.
LR-24436 Apr. 2, 2019 Keith Borge
See also: SEC Complaint
LR-24435 Apr. 1, 2019 Motty Mizrahi and MBIG Company
See also: SEC Complaint

First Quarter

LR-24434 Mar. 28, 2019 Richard T. Diver
See also: SEC Complaint
LR-24433 Mar. 26, 2019 James K. McKillop
See also: SEC Complaint, Application, Order
LR-24432 Mar. 25, 2019 Direct Lending Investments, LLC
See also: SEC Complaint
LR-24431 Mar. 22, 2019 Barry Honig, et al.
See also: SEC Amended Complaint
LR-24430 Mar. 20, 2019 Carol Ann Pedersen
See also: SEC Complaint
LR-24429 Mar. 20, 2019 Frank Morelli III and Louis Buonocore
LR-24428 Mar. 20, 2019 Rhode Island Commerce Corporation (f/k/a Rhode Island Economic Development Corporation), et al.
LR-24427 Mar. 19, 2019 Timothy W. Crawford, et al
See also: SEC Complaint
LR-24426 Mar. 18, 2019 Kent R.E. Whitney, David Lee Parrish, The Church for the Healthy Self a/k/a CHS Trust, and CHS Asset Management Inc.
See also: SEC Complaint
LR-24425 Mar. 15, 2019 Edward Withrow, et al.
LR-24424 Mar. 15, 2019 Dale M. Walker
See also: SEC Complaint
LR-24423 Mar. 15, 2019 Christina Marie Daniels, et al.
LR-24422 Mar. 15, 2019 Volkswagen Aktiengesellschaft, et al.
See also: SEC Complaint
LR-24421 Mar. 13, 2019 Diane D. Dalmy
See also: SEC Complaint
LR-24420 Mar. 12, 2019 William Neil "Doc" Gallagher, Gallagher Financial Group, Inc., and W. Neil Gallagher, Ph.D. Agency, Inc.
See also: SEC Complaint
LR-24419 Mar. 12, 2019 River North Equity LLC, Edward M. Liceaga, Michael A. Chavez, NanoTech Entertainment, Inc., NanoTech Gaming, Inc., David R. Foley, Lisa L. Foley, Jeffrey A. Foley, and Bennie L. Blankenship
See also: SEC Complaint
LR-24418 Mar. 6, 2019 Goldsky Asset Management, LLC and Kenneth Grace
LR-24417 Mar. 4, 2019 Rong Chen, et al.
LR-24416 Mar. 4, 2019 William C. Gennity
See also: Order
LR-24415 Mar. 4, 2019 MinTrade Technologies, LLC, Carla Marin
LR-24414 Mar. 1, 2019 John Gregory Schmidt
LR-24413 Feb. 27, 2019 Elon Musk
LR-24412 Feb. 27, 2019 Castleberry Financial Services Group, LLC, et al.
See also: SEC Complaint
LR-24411 Feb. 26, 2019 Daniel Adams, Michael Flanders, Spiderworx Media LLC, and An L.A. Minute LLC
See also: SEC Complaint
LR-24410 Feb. 25, 2019 Jack D. Massimino and Robert C. Owen
See also: SEC Complaint
LR-24409 Feb. 22, 2019 Walter C. Little and Andrew M. Berke
LR-24408 Feb. 22, 2019 James S. Polese, et al.
LR-24407 Feb. 21, 2019 Mathias Francisco Sandoval Herrera and Maria D. Cidre
LR-24406 Feb. 21, 2019 Joseph Frank Vacante
See also: SEC Complaint
LR-24405 Feb. 21, 2019 Spartan Securities Group, Ltd., Island Capital Management LLC, Carl E. Dilley, Micah J. Eldred and David D. Lopez
See also: SEC Complaint
LR-24404 Feb. 15, 2019 Brian Hirsch et al.
See also: Order
LR-24403 Feb. 15, 2019 Joshua Sason, et al.
See also: SEC Complaint
LR-24402 Feb. 15, 2019 Gordon J. Coburn and Steven E. Schwartz
See also: SEC Complaint
LR-24401 Feb. 15, 2019 Inteligentry, Ltd., PlasmERG, Inc., PTP Licensing, Ltd. and John P. Rohner
LR-24400 Feb. 14, 2019 Blockvest, LLC, et al.
See also: Order
LR-24399 Feb. 13, 2019 Gene Daniel Levoff
See also: SEC Complaint
LR-24398 Feb. 12, 2019 Jason McDiarmid, et al.
LR-24397 Feb. 12, 2019 Kevin R. Kuhnash and Jason P. Jimerson
See also: SEC Complaint
LR-24396 Feb. 12, 2019 Michael J. Kipp, et al.
LR-24395 Feb. 11, 2019 PixarBio Corp. et al.
LR-24394 Feb. 11, 2019 NL Technology, LLC et al.
LR-24393 Feb. 8, 2019 Spark Trading Group, LLC and Niket Shah
LR-24392 Feb. 7, 2019 Robert Alexander and Kizzang LLC
See also: SEC Complaint
LR-24391 Feb. 5, 2019 Edward Withrow, et al.
LR-24390 Feb. 4, 2019 Thomas Conrad, Jr. et al.
LR-24389 Feb. 1, 2019 Anthony J. Thompson, Jr., et al.
LR-24388 Feb. 1, 2019 Alexander C. Burns, et al.
See also: SEC Complaint
LR-24387 Jan. 31, 2019 David Aubel and Robert Raffa
LR-24386 Jan. 29, 2019 Daniel H. Glick, et al.
LR-24385 Jan. 29, 2019 Phillip Michael Carter, et al.
See also: SEC Complaint
LR-24384 Jan. 28, 2019 Howard B. Present
LR-24383 Jan. 28, 2019 Joseph A. Meyer, Jr. and Statim Holdings, Inc.
See also: SEC Complaint
LR-24382 Jan. 25, 2019 American Growth Funding II, LLC, et al.
See also: Final Judgment - AGF II; Judgment - Johnson
LR-24381 Jan. 17, 2019 Oleksandr Ieremenko, Sungjin Cho, David Kwon, Igor Sabodakha, Victoria Vorochek, Ivan Olefir, Andrey Sarafanov, Capyield Systems Ltd., Spirit Trade Ltd.
See also: SEC Complaint