Litigation Releases

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

Third Quarter |  Second Quarter |  First Quarter

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Release No. Date Respondents

Third Quarter

LR-23912 Aug. 18, 2017 Arista Power, Inc., et al.
LR-23911 Aug. 16, 2017 Daniel Rivas, et al.
See also: SEC Complaint
LR-23910 Aug. 16, 2017 Edward DiMaria and Matthew Gamsey
LR-23909 Aug. 16, 2017 Vergeous LLC, et al.
See also: SEC Complaint
LR-23908 Aug. 16, 2017 Michael Quigley, et al.
See also: SEC Complaint
LR-23907 Aug. 16, 2017 Robert Cortez Marshall
See also: SEC Complaint
LR-23906 Aug. 11, 2017 Jay Belson, et al.
See also: SEC Complaint
LR-23905 Aug. 11, 2017 Southridge Capital Management LLC, et al.
LR-23904 Aug. 11, 2017 Sethi Petroleum, et al.
LR-23903 Aug. 11, 2017 Hidalgo Mining Corp., et al.
See also: SEC Complaint
LR-23902 Aug. 11, 2017 Smith, et al.
LR-23901 Aug. 11, 2017 Damon Hovannisian, et al.
See also: SEC Complaint
LR-23900 Aug. 10, 2017 Louis Martin Blazer III
LR-23899 Aug. 8, 2017 David Blaszczak, et al.
LR-23898 Aug. 8, 2017 Steven V. McClatchey and Gary J. Pusey
LR-23897 Aug. 4, 2017 Michael L. Hudson
LR-23896 Aug. 3, 2017 7S Oil & Gas, LLC, et al.
See also: SEC Complaint
LR-23895 Aug. 2, 2017 Robert D. B. Genovese, et al.
See also: SEC Complaint
LR-23894 Aug. 1, 2017 Donald J. Lester, et al.
LR-23893 Aug. 1, 2017 Patrick Muraca, NanoMolecularDX, LLC (a/k/a NMDX, LLC), and MetaboRX, LLC
See also: SEC Complaint
LR-23892 Aug. 1, 2017 Jeffrey D. Martin, et al.
See also complaints: Jeffrey D. Martin, et al. and Harold J. Swart, Jr., et al.
LR-23891 Jul. 31, 2017 Stephen D. Ferrone, et al.
LR-23890 Jul. 28, 2017 Cash Capital, LLC, America's Strategic Ore Properties, LLC, and Robert W. Wilson
See also: SEC Complaint
LR-23889 Jul. 28, 2017 Harold L. Altvater
LR-23888 Jul. 26, 2017 Joey Stanton Dodson
See also: SEC Complaint
LR-23887 Jul. 26, 2017 John Anthony Giunti and Interactive Media Solutions, LLC
See also: SEC Complaint
LR-23886 Jul. 26, 2017 Anthony Joseph Marino, George Frank Polera, and United Business Alliance, LLC
See also: SEC Complaint
LR-23885 Jul. 25, 2017 Homero Joshua Garza, GAW Miners, LLC, and ZenMiner, LLC
LR-23884 Jul. 25, 2017 Petroforce Energy, LLC, et al.
See also: SEC Complaint
LR-23883 Jul. 24, 2017 Andrew Farmer, et al.
LR-23882 Jul. 21, 2017 Andrew T.E. Coldicutt, et al.
See also: Application
LR-23881 Jul. 19, 2017 Troy Joseph Flowers, et al.
See also: SEC Complaint
LR-23880 Jul. 14, 2017 TelexFree, Inc. et al.
LR-23879 Jul. 13, 2017 Charles A. Banks, IV
LR-23878 Jul. 12, 2017 Powertraderspress.com, Inc., Elite Stock Research, Inc., Erik Matz, Ronald Hardy, Anthony Vassallo, Stephanie Lee, Jeffrey Chartier, Lawrence D. Isen, Robert Gleckman, Brian Heepke, Dennis J. Verderosa, Emin Cohen, Sergio Ramirez, and Ashley Antos, Defendants, and Hermann Matz, Joseph Matz, Brittney Ballestas, Melissa Kurtzke, Janine Acosta, Type A Partners, Inc., Strategic Capital Markets, Inc., Marketbyte LLC, Snap or Tap Productions, LLC, Dacona Financial LLC, TradeMastersPro.com, Inc., MyStreetResearch.com, Inc., Revolving Ventures LLC, TradeMasters Consulting, Inc., Big Little Consulting, Inc., BCBall, Inc., Gabron Transport Corp., PTP Construction Corp., Terryville Systems, Inc., MKKMMKKM, Inc., Trek Partners LLC, RKRG, INC., Price Point Consulting, Inc., DJV Enterprises, Inc., Leecorp, Inc., Soccerserge, Inc., and Antos, Inc.
See also: SEC Complaint
LR-23877 Jul. 12, 2017 Victory Ho
See also: SEC Complaint
LR-23876 Jul. 7, 2017 Carol J. Wayland, John C. Mueller, Kentucky-Tennessee 50 Wells/400 BBLPD Block, Limited Partnership, HP Operations, LLC, C.A.R. Leasing, LLC, Mitchell B. Dow, Barry Liss, and Steve G. Blasko
See also: SEC Complaint
LR-23875 Jul. 7, 2017 Dwayne Edwards, et al.
LR-23874 Jul. 5, 2017 Ryan Petersen
LR-23873 Jul. 5, 2017 LocatePlus Holdings Corp., Jon Latorella and James Fields
LR-23872 Jul. 3, 2017 Cheryl L. Jones
See also: SEC Complaint

Second Quarter

LR-23871 Jun. 30, 2017 Sasan Sabrdaran and Farhang Afsarpour
LR-23870 Jun. 30, 2017 Renwick Haddow, et al.
See also: SEC Complaint
LR-23869 Jun. 28, 2017 Diana P. Lovera
See also: SEC Complaint
LR-23868 Jun. 27, 2017 Harold L. Altvater, Maureen E. Curran, Susan L. Dubuc
See also SEC Complaints: Altvater, Curran, Dubuc
LR-23867 Jun. 23, 2017 Strategic Capital Management, LLC and Michael J. Breton
LR-23866 Jun. 22, 2017 Seyed Taher Kameli, et al.
See also: SEC Complaint
LR-23865 Jun. 21, 2017 Jay Mac Rust and Christopher K. Brenner
LR-23864 Jun. 21, 2017 James M. Farinella, et al.
See also: SEC Complaint
LR-23863 Jun. 20, 2017 Arista Power, Inc., et al.
See also: SEC Complaint
LR-23862 Jun. 19, 2017 Yu-Cheng Lin
LR-23861 Jun. 16, 2017 CannaVEST Corp. a/k/a CV Sciences, Inc. and Michael J. Mona, Jr.
See also: SEC Complaint
LR-23860 Jun. 15, 2017 Edwin Yoshihiro Fujinaga and MRI International, Inc., et al.
LR-23859 Jun. 15, 2017 James R. Trolice, et al.
LR-23858 Jun. 15, 2017 Jehu Hand and Antonio Katz
LR-23857 Jun. 12, 2017 AmeraTex Energy, Inc., et al.
LR-23856 Jun. 12, 2017 Ascenergy LLC et al.
See also: Final Judgement
LR-23855 Jun. 8, 2017 David N. Fuselier, Roy W. Erwin and Integrated Freight Corporation
See also: SEC Complaint
LR-23854 Jun. 7, 2017 Michael Trahan
See also: SEC Complaint
LR-23853 Jun. 5, 2017 Alpine Securities Corporation
LR-23852 Jun. 5, 2017 Homero Joshua Garza, GAW Miners, LLC, and ZenMiner, LLC
LR-23851 Jun. 2, 2017 Marc D. Broidy and Broidy Wealth Advisors, LLC
LR-23850 Jun. 1, 2017 Adesh Kumar Tyagi
See also: SEC Complaint
LR-23849 May 31, 2017 Yu-Cheng Lin
See also: SEC Complaint; Order of Contempt
LR-23848 May 26, 2017 James H. Im and Kee Chan
LR-23847 May 26, 2017 Momentum Investment Partners LLC (D/B/A Avatar Investment Management) and Ronald J. Fernandes
LR-23846 May 25, 2017 TelexFree, Inc. et al.
LR-23845 May 25, 2017 William J. Wells and Promitor Capital Management LLC
LR-23844 May 25, 2017 Mark A. Jones
LR-23843 May 24, 2017 Francisco Illarramendi, Highview Point Partners, LLC and Michael Kenwood Capital Management, LLC, as Defendants, and Highview Point Master Fund, Ltd., Highview Point Offshore, Ltd., Highview Point LP, Michael Kenwood Asset Management, LLC, Michael Kenwood Energy and Infrastructure LLC, and MKEI Solar, LP, as Relief Defendants,
LR-23842 May 24, 2017 Gustavo A. Guzman
See also: SEC Complaint
LR-23841 May 24, 2017 David Blaszczak, et al.
See also: SEC Complaint
LR-23840 May 24, 2017 Nathanial D. Ponn
LR-23839 May 24, 2017 Imran Husain, et al.
See also: SEC Complaint
LR-23838 May 22, 2017 Thurman P. Bryant, III, et al.
See also: SEC Complaint
LR-23837 May 22, 2017 Murakami, et al.
See also: SEC Complaint
LR-23836 May 19, 2017 Robert W. Murray
See also: SEC Complaint
LR-23835 May 18, 2017 Hadsell Chemical Processing, LLC and Robert Walton, Jr.
See also: SEC Complaint
LR-23834 May 12, 2017 Mohamud Abdi Ahmed and 2waytrading, LLC
See also: SEC Complaint
LR-23833 May 11, 2017 Walter C. Little and Andrew M. Berke
See also: SEC Complaint
LR-23832 May 11, 2017 Douglas Roe and Donald Lindo
See also: SEC Complaint
LR-23831 May 11, 2017 Wensheng Lin and Sheng Li Chen
LR-23830 May 11, 2017 Chamroonrat, et al.
See also: SEC Complaint
LR-23829 May 11, 2017 Carl Keith Battie
See also: SEC Complaint
LR-23828 May 9, 2017 Matthew E. White, et al.
LR-23827 May 9, 2017 David R. Humphrey
See also: SEC Complaint
LR-23826 May 9, 2017 Iat Hong, et al.
LR-23825 May 5, 2017 Andrew T.E. Coldicutt, et al.
LR-23824 May 4, 2017 William R. Schantz III and Verto Capital Management LLC
See also: SEC Complaint
LR-23823 May 4, 2017 Robert B. Crowe
LR-23822 May 1, 2017 Mark J. Varacchi, et al.
LR-23821 May 1, 2017 Wensheng Lin and Sheng Li Chen
See also: SEC Complaint
LR-23820 May 1, 2017 Joseph Meli, et al.
See also: SEC Amended Complaint and Preliminary Injunction
LR-23819 Apr. 28, 2017 Kamal Zuhdi Abdallah, a/k/a Kamal Sulleman, et al.
See also: SEC Complaint
LR-23818 Apr. 28, 2017 Serofim Muroff, et al.
See also: SEC Complaint
LR-23817 Apr. 27, 2017 Michael Andre Jones
See also: SEC Complaint
LR-23816 Apr. 26, 2017 Thomas Edward Andrews and Scott Walter Christensen
See also: SEC Complaint
LR-23815 Apr. 26, 2017 John T. Place, et al.
LR-23814 Apr. 26, 2017 Avaneesh Krishnamoorthy and Shreya Achar
See also: SEC Complaint
LR-23813 Apr. 26, 2017 Demitrios Hallas
See also: SEC Complaint
LR-23812 Apr. 25, 2017 Kevin J. Amell
See also: SEC Complaint
LR-23811 Apr. 25, 2017 Matthew A. Krimm, et al.
See also: SEC Complaint
LR-23810 Apr. 21, 2017 Kent P. Watts, et al.
See also: SEC Complaint
LR-23809 Apr. 19, 2017 Matthew W. Fox and Wayne Energy, LLC
See also: SEC Complaint
LR-23808 Apr. 17, 2017 Justin D. Meadlin and Hyaline Capital Management, LLC
See also: SEC Complaint
LR-23807 Apr. 14, 2017 Christopher R. Esposito, et al.
LR-23806 Apr. 14, 2017 4D Circle LLC a/k/a Enoetics, LLC, Mantford C. Hawkins, and David E. Bell
See also: SEC Complaint
LR-23805 Apr. 13, 2017 Mustafa David Sayid
See also: SEC Complaint
LR-23804 Apr. 13, 2017 Ryan Gilbertson, et al.
LR-23803 Apr. 13, 2017 Daniel H. Glick, et al
LR-23802 Apr. 12, 2017 Lidingo Holdings, LLC, et al., CSIR Group, LLC, et al.
See also: SEC Complaint-Lidingo and SEC Complaint-CSIR
LR-23801 Apr. 6, 2017 Lawrence F. Cluff, Jr. and Roger E. Shaoul
LR-23800 Apr. 6, 2017 Michael D. Shumway
See also: SEC Complaint
LR-23799 Apr. 5, 2017 Thomas J. Connerton and Safety Technologies LLC
LR-23798 Apr. 4, 2017 Lucita A. Zamoras
See also: SEC Complaint
LR-23797 Apr. 3, 2017 Vlad B. Spivak, et al.
LR-23796 Apr. 3, 2017 Rhode Island Commerce Corporation (f/k/a Rhode Island Economic Development Corporation), et al.

First Quarter

LR-23795 Mar. 30, 2017 Clayton A. Cohn, et al.
LR-23794 Mar. 29, 2017 Daniel H. Glick, et al
See also: SEC Complaint
LR-23793 Mar. 29, 2017 Mark McKinnies
See also: SEC Complaint and SEC Order
LR-23792 Mar. 28, 2017 Mark A. Jones
LR-23791 Mar. 27, 2017 LottoNet Operating Corp., et al.
LR-23790 Mar. 24, 2017 Nino Coppero del Valle et al.
LR-23789 Mar. 24, 2017 Ariel Darvasi and Amir Waldman
See also: SEC Complaint
LR-23788 Mar. 24, 2017 TelexFree, Inc. et al.
LR-23787 Mar. 23, 2017 Dr. Keith Laggos
LR-23786 Mar. 23, 2017 Steven A. Hartung
See also: SEC Complaint
LR-23785 Mar. 23, 2017 Thomas J. Connerton and Safety Technologies LLC
LR-23784 Mar. 23, 2017 Christopher Ludwig
See also: SEC Complaint
LR-23783 Mar. 20, 2017 Michael J. Maciocio and David P. Hobson
LR-23782 Mar. 20, 2017 Jerry Miller
LR-23781 Mar. 17, 2017 Patrick Churchville, et al.
LR-23780 Mar. 15, 2017 Todd David Alpert
See also: SEC Complaint
LR-23779 Mar. 15, 2017 Strategic Capital Management, LLC and Michael J. Breton
LR-23778 Mar. 15, 2017 Andy Shin Fong Chen, et al.
See also: SEC Complaint
LR-23777 Mar. 13, 2017 Gregory E. Webb, et al.
LR-23776 Mar. 10, 2017 Lek Securities Corporation, et al.
See also: SEC Complaint
LR-23775 Mar. 10, 2017 Nasir N. Shakouri, Robert S. Torino, Bronson L. Quon, John S. Hong and Jonathan K. Skarie
Other Release No.: AAER-3861
See also: SEC Complaint
LR-23774 Mar. 9, 2017 Notis Global, Inc. (f/k/a Medbox, Inc.), et al.
LR-23773 Mar. 9, 2017 VIPWallSt Inc., Michael Todd Osborn, Shenae Catherine Osborn, and Virgil Gene Williams
See also: SEC Complaint
LR-23772 Mar. 7, 2017 Marrien Neilson
LR-23771 Mar. 7, 2017 Joseph Meli, et al.
See also: SEC Complaint and Temporary Restraining Order
LR-23770 Mar. 6, 2017 Nathanial D. Ponn
LR-23769 Mar. 6, 2017 Yu-Cheng Lin
LR-23768 Mar. 3, 2017 Capital Financial Partners, LLC et al.
LR-23767 Mar. 3, 2017 Arcturus Corporation, et al.
LR-23766 Mar. 3, 2017 Thomas D. Melvin, Jr., et al.
LR-23765 Mar. 3, 2017 Desarrolladora Homex S.A.B. de C.V
Other Release No.: AAER-3862
See also: SEC Complaint
LR-23764 Mar. 3, 2017 J. Patrick O'Neill and Robert H. Bray
LR-23763 Mar. 2, 2017 Upstate Law Group, LLC, et al.
LR-23762 Mar. 2, 2017 Renato Rodriguez and Gutemberg Dos Santos
See also: SEC Complaint
LR-23761 Feb. 28, 2017 Tropikgadget FZE, et al.
LR-23760 Feb. 28, 2017 One or More Unknown Traders in the Securities of Fortress Investment Group, LLC
See also: SEC Complaint
LR-23759 Feb. 27, 2017 Christopher J. Hall
LR-23758 Feb. 24, 2017 Harrison Schumacher, et al.
LR-23757 Feb. 22, 2017 Sean Stewart et al.
LR-23756 Feb. 21, 2017 FX & Beyond Corporation et al.
See also: SEC Complaint
LR-23755 Feb. 21, 2017 William P. Carlson, Jr.
See also: SEC Complaint
LR-23754 Feb. 17, 2017 James Y. Lee, et al.
LR-23753 Feb. 17, 2017 Darrell Glenn Hardaway and Hardaway Net-Works, Inc.
See also: SEC Complaint
LR-23752 Feb. 16, 2017 Patrick O. Howard, et al.
LR-23751 Feb. 16, 2017 John Abio and Abio Financial Group, Inc.
See also: SEC Complaint
LR-23750 Feb. 14, 2017 James P. Toner, Jr.
LR-23749 Feb. 14, 2017 Terminus Energy, Inc., et al.
See also: SEC Complaint
LR-23748 Feb. 13, 2017 Yu-Cheng Lin (a.k.a. Believe Lin)
See also: SEC Complaint and Temporary Restraining Order
LR-23747 Feb. 10, 2017 Shaohua (Michael) Yin, et al.
See also: SEC Complaint
LR-23746 Feb. 10, 2017 Alan Barry Staples
See also: SEC Complaint
LR-23745 Feb. 8, 2017 Oxford City Football Club, Inc., et al.
LR-23744 Feb. 7, 2017 Zev Saltsman, et al.
LR-23743 Feb. 7, 2017 Michael Affa, et al.
LR-23742 Feb. 6, 2017 Mark J. Varacchi, et al.
LR-23741 Feb. 3, 2017 Thomas Miller and William Liang
Other Release No.: AAER-3859
See also: SEC Complaint
LR-23740 Feb. 3, 2017 Hold Brothers On-Line Investment Services, LLC, et al.
LR-23739 Feb. 2, 2017 Varacchi, et al.
See also: SEC Complaint
LR-23738 Feb. 2, 2017 Paul A. Garcia, et al.
See also: SEC Complaint
LR-23737 Feb. 1, 2017 Patric Ken Baccam
LR-23736 Feb. 1, 2017 Samuel DelPresto, et al.
LR-23735 Jan. 31, 2017 Joseph Meli et al.
LR-23734 Jan. 30, 2017 Vu H. Le a/k/a Vinh H. Le and TeamVinh.com LLC
LR-23733 Jan. 30, 2017 Clayton A. Cohn
LR-23732 Jan. 27, 2017 Brian S. Hudnall, et al.
See also: SEC Complaint
LR-23731 Jan. 27, 2017 Joseph Meli et al.
See also: SEC Complaint
LR-23730 Jan. 27, 2017 Christopher R. Esposito, et al.
LR-23729 Jan. 27, 2017 Herman Ronnie Young, Jr. d/b/a Race Cycler
See also: SEC Complaint
LR-23728 Jan. 26, 2017 Michael L. Cohen and Vanja Baros
See also: SEC Complaint
LR-23727 Jan. 25, 2017 Strategic Capital Management, LLC et al.
LR-23726 Jan. 25, 2017 Mathias Francisco Sandoval Herrera, Maria D. Cidre, and Jose Antonio Miranda Gonzalez
See also: SEC Complaint
LR-23725 Jan. 24, 2017 Dwayne Edwards, et al.
See also: SEC Complaint
LR-23724 Jan. 23, 2017 George N. Krinos
LR-23723 Jan. 19, 2017 James M. Louks et al.
LR-23722 Jan. 19, 2017 Cort Poyner et al.
LR-23721 Jan. 18, 2017 San Francisco Regional Center, LLC, et al.
See also: SEC Complaint
LR-23720 Jan. 13, 2017 Robin G. Charlet, Steven W. Sparks, Gregory J. Tuthill and Kirk D. Porter
See also: SEC Complaint
LR-23719 Jan. 13, 2017 Gregg R. Mulholland
LR-23718 Jan. 12, 2017 Daniel Thibeault, et al.
LR-23717 Jan. 12, 2017 Gregory W. Gray, Jr., et al.
LR-23716 Jan. 10, 2017 Douglas Furth
LR-23715 Jan. 10, 2017 Gregory T. Dean and Donald J. Fowler
See also: SEC Complaint