Litigation Releases

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

First Quarter

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Release No. Date Respondents

First Quarter

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