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-24682 Dec. 5, 2019 Iconix Brand Group, Inc., Neil R. Cole and Seth Horowitz
See also: SEC Complaint as to Iconix, SEC Complaint as to Cole and Horowitz, Order as to Clamen
LR-24681 Dec. 5, 2019 Lester Burroughs
See also: SEC Complaint
LR-24680 Dec. 4, 2019 SBB Research Group LLC, et al.
See also: SEC Complaint
LR-24679 Nov. 29, 2019 NIT Enterprises, Inc., et al.
See also: SEC Complaint
LR-24678 Nov. 26, 2019 MiMedx Group, Inc., Parker H. Petit, William C. Taylor, and Michael J. Senken
See also: SEC Complaint
LR-24677 Nov. 26, 2019 The Nutmeg Group LLC and Randall Goulding
LR-24676 Nov. 25, 2019 Brett Pittsenbargar, et al.
See also: SEC Complaint
LR-24675 Nov. 25, 2019 Rishi Shah, Shradha Agarwal, Brad Purdy and Ashik Desai
See also: SEC Complaint
LR-24674 Nov. 25, 2019 Kevin B. Merrill, et al.
LR-24673 Nov. 25, 2019 Conrad A. Coggeshall, Defendant, and Business Owners Tax Relief, LLC, Relief Defendant
See also: SEC Complaint
LR-24672 Nov. 21, 2019 Samuel DelPresto, et al.
LR-24671 Nov. 21, 2019 Richard Lee, et al.
See also: SEC Complaint
LR-24670 Nov. 21, 2019 Ruless Pierre a/k/a Rules Pierre
See also: SEC Complaint
LR-24669 Nov. 20, 2019 Burkholz, et al.
See also: SEC Complaint
LR-24668 Nov. 19, 2019 James S. Kimmel
LR-24667 Nov. 15, 2019 Merrill Robertson, Jr., et al.
LR-24666 Nov. 15, 2019 Jerry Li
See also: SEC Complaint
LR-24665 Nov. 14, 2019 Reginald Middleton, et al.
LR-24664 Nov. 12, 2019 Gregory M. Bercowy
LR-24663 Nov. 12, 2019 American Growth Funding II, LLC, et al.
LR-24662 Nov. 8, 2019 KRM Services, LLC and Roberto J. Clark, Jr.
See also: SEC Complaint
LR-24661 Nov. 7, 2019 Michael A. Gramins, et al.
LR-24660 Nov. 6, 2019 Bolton Securities Corporation d/b/a Bolton Global Asset Management
See also: SEC Complaint
LR-24659 Nov. 6, 2019 David N. Osegueda, et al.
LR-24658 Nov. 4, 2019 Collector's Coffee (d/b/a Collectors Café), and Mykalai Kontilai
See also: SEC Complaint
LR-24657 Nov. 4, 2019 Richard Eden, et al. and Dale Pearlman
See also: SEC Complaint - Richard Eden and Christopher Neumann; SEC Complaint - Dale Pearlman
LR-24656 Nov. 1, 2019 North Star Finance LLC et al.
LR-24655 Oct. 31, 2019 Kevin B. Merrill, et al.
See also: SEC Complaint
LR-24654 Oct. 31, 2019 Bovorn Rungruangnavarat
LR-24653 Oct. 31, 2019 PixarBio Corp. et al.
LR-24652 Oct. 29, 2019 DFRF Enterprises LLC, et al.
LR-24651 Oct. 22, 2019 Joseph Bayliss and Ronald Roach
See also: SEC Complaint
LR-24650 Oct. 22, 2019 Benjamin Taylor, Darina Windsor and Joseph Abdul Noor El-Khouri
See also: SEC Complaint
LR-24649 Oct. 22, 2019 Bryan Cohen and George Nikas
See also: SEC Complaint
LR-24648 Oct. 21, 2019 Shuang Chen, et al.
See also: SEC Complaint
LR-24647 Oct. 17, 2019 Philip R. Jacoby, et al.
LR-24646 Oct. 17, 2019 Michael J. Starkweather and Andiamo Corporation, William White
See also: White Complaint; Starkweather Complaint
LR-24645 Oct. 16, 2019 Kevin B. Merrill, et al.
LR-24644 Oct. 15, 2019 Eric J. "EJ" Dalius et al.
See also: SEC Complaint
LR-24643 Oct. 15, 2019 Cetera Advisors, LLC and Cetera Advisor Networks LLC
See also: SEC Complaint
LR-24642 Oct. 11, 2019 Richard Andrew Mallion
See also: SEC Complaint
LR-24641 Oct. 10, 2019 Anton Senderov, et al.
See also: SEC Complaint
LR-24640 Oct. 10, 2019 Thomas Conrad, Jr. et al.
LR-24639 Oct. 10, 2019 Lek Securities Corp., et al.
LR-24638 Oct. 10, 2019 Daniel Rivas, et al.
LR-24637 Oct. 7, 2019 Gino M. Pereira, Jeffrey Auerbach, Jared Mitchell, and Richard Brown
See also SEC Complaints: Auerback; Pereira
LR-24636 Oct. 4, 2019 Christopher J. Spencer and John Busshaus
See also: SEC Complaint
LR-24635 Oct. 2, 2019 PlexCorps, Dominic Lacroix, and Sabrina Paradis-Royer
LR-24634 Oct. 2, 2019 Woojae ("Steve") Jung, et al.
LR-24633 Oct. 2, 2019 Westport Capital Markets, LLC and Christopher E. McClure

Third Quarter

LR-24632 Sep. 30, 2019 Bluepoint Investment Counsel, et al.
See also: SEC Complaint
LR-24631 Sep. 30, 2019 David Sechovicz and Peter Szatmari
See also: SEC Complaint-Sechovicz; SEC Complaint-Szatmari
LR-24630 Sep. 30, 2019 Gil Beserglik, et al.
See also: SEC Complaint
LR-24629 Sep. 30, 2019 James T. Booth
See also: SEC Complaint
LR-24628 Sep. 30, 2019 Marcus Beam
See also: SEC Complaint
LR-24627 Sep. 30, 2019 Mark Ray, et al.
See also: SEC Complaint
LR-24626 Sep. 30, 2019 Yellowstone Partners, LLC, David H. Hansen, and Cameron G. High
See also: SEC Complaint
LR-24625 Sep. 30, 2019 Longfin Corp. and Venkata S. Meenavalli
LR-24624 Sep. 30, 2019 Dana J. Bradley; Marlin S. Hershey; D. Bradley Inc.; Bryant Boys, LLC; Distressed Lending Fund, LLC; Erndit LLC; Hershey Enterprises, Inc.; MW Enterprises, LLC; Performance Holdings, Inc.; Performance Retire on Rentals, LLC
See also: SEC Complaint
LR-24623 Sep. 30, 2019 Michael Ajzenman and Cutting Edge Business Services, Inc.
See also: SEC Complaint
LR-24622 Sep. 27, 2019 Hologram USA Networks Inc. and Alkiviades ("Alki") David
See also: SEC Complaint
LR-24621 Sep. 27, 2019 Mylan N.V.
See also: SEC Complaint
LR-24620 Sep. 26, 2019 Sean Stewart, et al.
LR-24619 Sep. 25, 2019 Andres Fernandez and Edison Denizard
See also: SEC Complaint
LR-24618 Sep. 25, 2019 James Alex Irvin
See also: SEC Complaint
LR-24617 Sep. 25, 2019 William M. Apostelos, et al.
LR-24616 Sep. 25, 2019 David R. Gibson, et al.
See also: SEC Complaint
LR-24615 Sep. 25, 2019 Strong Investment Management, et al.
See also: SEC Complaint
LR-24614 Sep. 24, 2019 Robert Hillis Miller
See also: SEC Complaint
LR-24613 Sep. 24, 2019 James Wallace Nall, III, et al.
See also: SEC Complaint
LR-24612 Sep. 24, 2019 Gerald C. Parker
See also: SEC Complaint
LR-24611 Sep. 24, 2019 Brian D. Barrilleaux
See also: SEC Complaint
LR-24610 Sep. 24, 2019 Efuel EFN Corp., et al.
See also: SEC Complaint
LR-24609 Sep. 23, 2019 Benjamin Conde, Defendant, and Essex Global Investment Corp., and Facultas Capital Management, Inc., Relief Defendants
See also: SEC Complaint
LR-24608 Sep. 23, 2019 Christopher Fulco (a/k/a Christian Anthony, Johnathan Stewart, and Michael Barron), and JM Capital Holdings LLC, as Defendants, and Jamie Milione, as Relief Defendant
See also: SEC Complaint
LR-24607 Sep. 23, 2019 Jonathan C. Lucas
See also: SEC Complaint
LR-24606 Sep. 23, 2019 Carlos Ghosn and Gregory L. Kelly
Other Release No.: AAER-4088
See also: SEC Complaint
LR-24605 Sep. 20, 2019 Zvi Feiner, et al.
See also: SEC Complaint
LR-24604 Sep. 20, 2019 Earl D. Miller, et al.
See also: SEC Complaint, SEC Amended Judgment, SEC Final Judgment
LR-24603 Sep. 19, 2019 Brian Robert Sodi, et al.
LR-24602 Sep. 19, 2019 Ruben James Rojas
See also: SEC Complaint and Order
LR-24601 Sep. 19, 2019 ICOBox and Nikolay Evdokimov
See also: SEC Complaint
LR-24600 Sep. 18, 2019 Mediatrix Capital Inc., et al.
See also: SEC Complaint
LR-24599 Sep. 17, 2019 Tom Simeo
Other Release No.: AAER-4077
See also: SEC Complaint
LR-24598 Sep. 17, 2019 Jan Atlas
See also: SEC Complaint
LR-24597 Sep. 17, 2019 John Henderson and Global Resources Leadership LLC
See also: SEC Complaint
LR-24596A Sep. 17, 2019 Jay Daniel Seinfeld, Sara Beth Postma, Traditions Capital Management LLC, and Hospice Patient Aid Program, Inc.
See also: SEC Complaint
LR-24595 Sep. 13, 2019 Dean Patrick McDermott, McDermott Investment Advisors, LLC and McDermott Investment Services, LLC
See also: SEC Complaint
LR-24594 Sep. 13, 2019 Northridge Holdings, Ltd. et al.
See also: SEC Complaint
LR-24593 Sep. 13, 2019 Kevin B. Merrill, et al.
LR-24592 Sep. 13, 2019 Bio Defense Corporation, et al.
LR-24591 Sep. 13, 2019 Adam Mattessich and Joseph (a/k/a Jay) Ludovico
LR-24590 Sep. 12, 2019 Timothy W. Crawford, et al.
LR-24589 Sep. 10, 2019 Strategic Capital Management, LLC and Michael J. Breton
LR-24588 Sep. 6, 2019 Toon Goggles Inc., et al.
See also: SEC Complaint
LR-24587 Sep. 5, 2019 Keith G. Daubenspeck and Geoffrey L. Homer
See also: SEC Complaint
LR-24586 Sep. 5, 2019 E. Herbert Hafen
See also: SEC Complaint
LR-24585 Sep. 4, 2019 John F. Thomas, Thomas Becker, Douglas Martin, Paul Hanson, Damian Ostertag, Einstein Sports Advisory, LLC, QSA, LLC, Vegas Basketball Club, LLC, Vegas Football Club, LLC, Wellington Sports Club, LLC, Welscorp, Inc. and Executive Financial Services, Inc.
See also: SEC Complaint
LR-24584 Sep. 3, 2019 Jayat P. Kanetkar and Guaranteed Investigations, Inc.
See also: SEC Complaint
LR-24583 Aug. 30, 2019 Morrie Tobin et al.
See also: SEC Complaint
LR-24582 Aug. 29, 2019 Bitqyck, Inc., Bruce E. Bise, and Samuel J. Mendez
See also: SEC Complaint
LR-24581 Aug. 29, 2019 Cetera Advisors, LLC
See also: SEC Complaint
LR-24580 Aug. 29, 2019 Cambridge Capital Group Advisors, LLC (f/k/a Cambridge Capital Advisors, LLC), et al.
See also: SEC Complaint
LR-24579 Aug. 29, 2019 Live Well Financial, Inc., Michael C. Hild, Eric Rohr, and Darren Stumberger
See also: SEC Complaint
LR-24578 Aug. 29, 2019 William Hutchinson a/k/a William Cluxton
See also: SEC Complaint
LR-24577 Aug. 27, 2019 Michael A. Carroll, Michael V. Pappagallo, Steven A. Splain, and Michael Mortimer
See also: SEC Complaint
LR-24576 Aug. 27, 2019 Marcus Boggs
See also: SEC Complaint
LR-24575 Aug. 27, 2019 Hartman Wright Group, LLC and Tytus W. Harkins
See also: SEC Complaint
LR-24574 Aug. 26, 2019 Motty Mizrahi et al.
LR-24573 Aug. 22, 2019 Terry Wayne Kelly and Kelly Management, LLC
See also: SEC Complaint
LR-24572 Aug. 20, 2019 Andrew J. Kandelapas
See also: SEC Complaint
LR-24571 Aug. 19, 2019 Crystal World Holdings, Inc., et al.
See also: SEC Complaint
LR-24570 Aug. 19, 2019 Scott P. Strochak
See also: SEC Complaint
LR-24569 Aug. 16, 2019 Samuel Brown, et al.
LR-24568 Aug. 16, 2019 Bill Tsai
See also: SEC Complaint
LR-24567 Aug. 16, 2019 Hani Zeini
LR-24566 Aug. 16, 2019 Jehu Hand, et al.
LR-24565 Aug. 15, 2019 Alan G. Heide
See also: SEC Complaint
LR-24564 Aug. 15, 2019 Thomas W. Avent, Jr., et al.
LR-24563 Aug. 15, 2019 Craig Rumbaugh, Rumbaugh Financial Inc., and Desert Strategic Equity, LLC
See also: SEC Complaint
LR-24562 Aug. 14, 2019 Harsh Nahata and Ajay S. Bhandari
See also: SEC Complaint
LR-24561 Aug. 14, 2019 Jeffrey C. Mack and Lawrence C. Blaney
LR-24560 Aug. 14, 2019 Stuart Frost and Frost Management Company, LLC
See also: SEC Complaint
LR-24559 Aug. 13, 2019 Antonio Bravata
See also: SEC Complaint
LR-24558 Aug. 12, 2019 Richard G. Duncan
See also: SEC Complaint
LR-24557 Aug. 12, 2019 Mark E. Burns
See also: SEC Complaint
LR-24556 Aug. 8, 2019 Tanmaya Kabra et al.
LR-24555 Aug. 8, 2019 Jerry Lee Farish and New Summit Homes, Inc.
See also: SEC Complaint
LR-24554 Aug. 7, 2019 Thomas W. Avent, Jr., et al.
See also: SEC Complaint; Order Instituting Proceedings
LR-24553 Aug. 6, 2019 Tanmaya Kabra et al.
See also: SEC Complaint
LR-24552 Aug. 6, 2019 Imran Husain, et al.
See also: Order
LR-24551 Aug. 5, 2019 Gerard F. Hug and Kurt W. Streams
See also: SEC Complaint
LR-24550 Aug. 1, 2019 Commonwealth Equity Services, LLC d/b/a Commonwealth Financial Network
See also: SEC Complaint
LR-24549 Jul. 31, 2019 John T. Place, et al.
See also: SEC Complaint
LR-24548 Jul. 29, 2019 Christopher Plaford
LR-24547 Jul. 29, 2019 Bettor Investments, LLC, and Matthew C. Stuart, LLC
LR-24546 Jul. 29, 2019 Beaufort Secs. Ltd. and Kyriacou.
LR-24545 Jun. 24, 2019 Landon M. Smith
See also: SEC Complaint
LR-24544 Jul. 19, 2019 Gary Winemaster, Craig Davis and James Needham
See also: SEC Complaint
LR-24543 Jul. 19, 2019 Garrett M. O'Rourke and Michael J. Black
See also: SEC Complaint
LR-24542 Jul. 19, 2019 Carol J. Wayland, et al.
LR-24541 Jul. 18, 2019 Jun Ying
LR-24540 Jul. 18, 2019 Mark Loman
See also: SEC Complaint
LR-24539 Jul. 18, 2019 Paul Alar and West Mountain, LLC
See also: SEC Complaint
LR-24538 Jul. 18, 2019 William J. Milles, Jr. and Donald J. Lutzko
See also: SEC Complaint
LR-24537 Jul. 17, 2019 AR Capital, LLC, et al.
See also: SEC Complaint
LR-24536 Jul. 17, 2019 William C. Skelley and Sohin S. Shah
See also: SEC Complaint
LR-24535 Jul. 17, 2019 Emmanuel Kouyoumdjian (a/k/a "Manny K")
See also: SEC Complaint
LR-24534 Jul. 17, 2019 Zev Saltsman, et al.
LR-24533 Jul. 15, 2019 Richard Vu Nguyen, et al.
LR-24532 Jul. 15, 2019 Conn's Inc. and Michael J. Poppe
See also: SEC Complaint
LR-24531 Jul. 15, 2019 Henry J. Wieniewitz, III, et al.
See also: SEC Complaint
LR-24530 Jul. 15, 2019 William Scott Lawler and Natalie Bannister
See also: SEC Complaint
LR-24529 Jul. 12, 2019 Barry Honig, et al.
LR-24528 Jul. 8, 2019 Jovannie Aquino
LR-24527 Jul. 2, 2019 Daniel H. Glick, et al.
LR-24526 Jul. 1, 2019 Thomas V. Conwell and Kerry L. Hoffman
See also: SEC Complaint, Order
LR-24525 Jul. 1, 2019 Gregory E. Webb, et al.

Second Quarter

LR-24524 Jun. 28, 2019 Robert F.X. Sillerman
See also: SEC Complaint
LR-24523 Jun. 28, 2019 Diane D. Dalmy
See also: SEC Amended Complaint
LR-24522 Jun. 28, 2019 Johnny R. Thomas, et al.
See also: SEC Complaint
LR-24521 Jun. 28, 2019 Paul Andrews Rinfret, et al.
See also: SEC Complaint
LR-24520 Jun. 27, 2019 Comer Capital Group, LLC and Brandon L. Comer
See also: SEC Complaint
LR-24519 Jun. 27, 2019 Matthew A. Krimm, et al.
LR-24518 Jun. 27, 2019 Jason Sugarman
See also: SEC Complaint
LR-24517 Jun. 27, 2019 Amrit J. S. Chahal
LR-24516 Jun. 27, 2019 Henry Sargent et al.
See also: SEC Complaint
LR-24515 Jun. 27, 2019 Rajeshwar R. Gannamaneni, Deepthi Gandra, and Linga R. Gannamaneni
LR-24514 Jun. 26, 2019 Mark Allen Plummer
See also: SEC Complaint
LR-24513 Jun. 25, 2019 Worldwide Markets, Ltd., TAB Networks, Inc., and Thomas F. Plaut
See also: SEC Complaint
LR-24512 Jun. 25, 2019 Richard Vu Nguyen, et al.
See also: SEC Complaint
LR-24511 Jun. 24, 2019 Donald S. LaGuardia, Jr.
See also: SEC Complaint
LR-24510 Jun. 24, 2019 Avi Chiat
See also: SEC Complaint
LR-24509 Jun. 21, 2019 Andrew J. Kandelapas
LR-24508 Jun. 21, 2019 Edward Lee Moody, Jr., et. al.
LR-24507 Jun. 21, 2019 Gregory T. Dean and Donald J. Fowler
LR-24506 Jun. 21, 2019 Kit Mun Chan, Lau Kean Chong, Chong Poui Fan, Binji Lu, and Youn Chien Wong
See also: SEC Complaint
LR-24505 Jun. 20, 2019 Anatoly Hurgin, Alexander Aurovsky, Ability Computer & Software Industries Ltd., and Ability Inc.
See also: SEC Complaint
LR-24504 Jun. 18, 2019 Equal Earth, Inc., et al.
See also: SEC Complaint
LR-24503 Jun. 18, 2019 Raymond Starker
See also: SEC Complaint
LR-24502 Jun. 14, 2019 Alton Perkins, et al.
See also: SEC Complaint
LR-24501 Jun. 14, 2019 David Wagner, Downing Partners, LLC, Downing Investment Partners, LP, Downing Digital Healthcare Group, LLC, and Mark Lawrence
See also: SEC Complaint
LR-24500 Jun. 13, 2019 Roland M. Mathys
See also: SEC Amended Complaint
LR-24499 Jun. 12, 2019 Christopher Salis, et al.
LR-24498 Jun. 11, 2019 Steven Fishoff, et al.
LR-24497 Jun. 11, 2019 Kimberly Pine Kitts
LR-24496 Jun. 11, 2019 DFRF Enterprises LLC, et al.
LR-24495 Jun. 10, 2019 Leon Vaccarelli, et al.
LR-24494 Jun. 7, 2019 Town of Oyster Bay, et al.
LR-24493 Jun. 6, 2019 Kik Interactive
See also: SEC Complaint
LR-24492 Jun. 5, 2019 Longfin Corp. and Venkata S. Meenavalli, Longfin et. al
See also: SEC Complaint
LR-24491 Jun. 5, 2019 Peter Baker, Prestige Global Trading, Ltd., Elizabeth Oharriz, Diversified Initiatives Consulting & Logistics, Inc., and Sienna Business Group, Inc.
LR-24490 Jun. 5, 2019 Einstein Investments LLC
LR-24489 Jun. 4, 2019 Covalent Collective, Inc.
LR-24488 Jun. 4, 2019 TelexFree, Inc. et al.
LR-24487 Jun. 4, 2019 James E. Hocker
LR-24486 Jun. 3, 2019 Syed Arham Arbab, Artis Proficio Capital Investments, LLC, and Artis Proficio Capital Management, LLC
See also: SEC Complaint
LR-24485 May 31, 2019 Craig H. Carton, et al.
LR-24484 May 30, 2019 Donald A. Milne III, et al.
See also: SEC Complaint
LR-24483 May 29, 2019 George Slowinski
See also: SEC Complaint
LR-24482 May 29, 2019 Henry Ford et al.
See also: SEC Complaint
LR-24481 May 28, 2019 James Alan Craig
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 Robert C. Morgan
See also: SEC Complaint
LR-24476 May 22, 2019 Robert S. Davis, Jr., et al.
See also: SEC Complaint
LR-24475 May 22, 2019 Howard M. Appel
LR-24474 May 21, 2019 Mark "Christian" 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 (Corrected Version)
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 and Amended 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