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Litigation Releases - Fourth Quarter 2003
| Release No. |
Date |
Action |
| LR-18528 |
Dec. 31, 2003 |
Presidents Trust Company, LLC, Jon Patrick Pierce, and David D. Klasna |
| LR-18527 |
Dec. 30, 2003 |
Parmalat Finanziaria S.p.A.
Release No. AAER-1936 |
| LR-18526 |
Dec. 29, 2003 |
Opulentica, LLC., Nasser Dawoud, Zarrar Sheikh, and Saimia Shahzadi (Relief Defendant) |
| LR-18525 |
Dec. 24, 2003 |
James P. Lewis, Jr., Individually and Doing Business as Financial Advisory Consultants, Income Fund, Ltd. and Growth Fund, Ltd. |
| LR-18524 |
Dec. 24, 2003 |
Daniel Calugar and Security Brokerage, Inc. |
| LR-18523 |
Dec. 24, 2003 |
Vivendi Universal, S.A., Jean-Marie Messier, and Guillaume Hannezo
Release No. AAER-1935 |
| LR-18522 |
Dec. 23, 2003 |
Rocky Mountain Energy Corporation, Inc., John N. Ehrman, W. Roderick Johnson, Sr., Michael L. Labertew, and John W. Ehrman, Jr. |
| LR-18521 |
Dec. 23, 2003 |
Rent-Way, Inc., et al., Jeffrey A. Conway, Matthew J. Marini, Jeffrey K. Underwood
Release No.: AAER-1934 |
| LR-18520 |
Dec. 23, 2003 |
Marco G. Fiore, Jr., Benjamin V. Salmonese, Jr., Thomas Deceglie, David C. Lavender, And Peter C. Restivo |
| LR-18519 |
Dec. 22, 2003 |
Eddy Lynn Patterson
Release No.: AAER-1933 |
| LR-18518 |
Dec. 22, 2003 |
Opsis Technologies International, Inc., et al. |
| LR-18517 |
Dec. 19, 2003 |
Canadian Imperial Bank of Commerce, Daniel Ferguson, Ian Schottlaender, and Mark Wolf |
| LR-18516 |
Dec. 22, 2003 |
Delta Rental Systems, Inc., et al. |
| LR-18515 |
Dec. 19, 2003 |
Daniel L. Gordon |
| LR-18514 |
Dec. 18, 2003 |
Charles D. Erwin and Michael J. McGhan; Hanover Compressor Company and William S. Goldberg
Release No.: AAER-1928 |
| LR-18513 |
Dec. 18, 2003 |
Global Express Capital Real Estate Investment Fund I, LLC; Global Express Capital Mortgage Corp.; Global Express Securities, Inc.; Connie S. Farris; and Dawn M. Reese |
| LR-18512 |
Dec. 18, 2003 |
Kevin Lasky et al.
Release No.: AAER-1926 |
| LR-18511 |
Dec. 18, 2003 |
Richard Marks
Release No.: AAER-1925 |
| LR-18510 |
Dec. 18, 2003 |
2DoTrade, Inc., George Russell Taylor, Barry William Gewin aka Barry Peters, Eric T. Landis, Dominic Roelandt, Michael D. Karsch, L. Van Stillman, David A. Wood, Jr., Clinton Walker, Oxford and Hayes, Ltd., FG & P Consulting, Ltd., Hackney Holdings, Ltd., Weston Partners, Inc., Infiniti Corporate Services, Ltd., Argo Financial, Ltd., 21st Equity Partners, Inc., MCG Partners, Inc., and LMR, Ltd. |
| LR-18509 |
Dec. 17, 2003 |
J.T. Wallenbrock & Associates, Larry Toshio Osaki, Van Y. Ichinotsubo and Citadel Capital Management Group, Inc. |
| LR-18508 |
Dec. 17, 2003 |
Dorothy L. Mahler, John W. Bracewell, III, and Patricia L. Jones |
| LR-18507 |
Dec. 16, 2003 |
Donald F. Chamberlin and David N. Chamberlin |
| LR-18506 |
Dec. 15, 2003 |
Pinnacle Business Management, Inc., Vincent A. Lo Castro and Jeffrey G. Turino |
| LR-18505 |
Dec. 12, 2003 |
Heartland Advisors et al. |
| LR-18504 |
Dec. 12, 2003 |
Cumulus Media Inc. et al.
Release No.: AAER-1922 |
| LR-18503 |
Dec. 12, 2003 |
Stoffer et al.
Release No.: AAER-1923 |
| LR-18502 |
Dec. 12, 2003 |
John Freeman, James Cooper, Benton Erskine, Anthony Seminara, Norman Lehrman, Linda Karlsen, Timothy Siemers, Norman Grossman, Lawrence Schwartz, Michael Akva, Robert Fricker, Richard Zelman, Bradley Burke, Benjamin Cooper, Chad L. Conner, Deon Benson, Gordon K. Allen, Jr., Jon Geibel, and William H. Borders II |
| LR-18501 |
Dec. 11, 2003 |
Brian J. Stucke |
| LR-18500 |
Dec. 11, 2003 |
Lianne And Stanley Gulkin |
| LR-18499 |
Dec. 10, 2003 |
Jean Janu |
| LR-18498 |
Dec. 10, 2003 |
Paul Howe Noe, et al. |
| LR-18497 |
Dec. 10, 2003 |
Clearone Communications, Inc, et al. |
| LR-18496 |
Dec. 9, 2003 |
Richard Wilson |
| LR-18495 |
Dec. 9, 2003 |
Big Country Ags, Inc. et al. |
| LR-18494 |
Dec. 8, 2003 |
James L. George, Paul E. Brodhagen, and Michael J. Wright |
| LR-18493 |
Dec. 8, 2003 |
Richard D. McMullin |
| LR-18492 |
Dec. 5, 2003 |
Homer T. Langrill and Thomas W. Becker |
| LR-18491 |
Dec. 5, 2003 |
Global Express Capital Real Estate Investment Fund I, LLC; Global Express Capital Mortgage Corp.; Global Express Securities, Inc. |
| LR-18490 |
Dec. 4, 2003 |
Koji Goto |
| LR-18489 |
Dec. 4, 2003 |
Mutuals.com, Inc., Connely Dowd Management, Inc., MTT Fundcorp, Inc., Richard Sapio, Eric McDonald, and Michele Leftwich |
| LR-18488 |
Dec. 4, 2003 |
R. Christopher Hanna |
| LR-18487 |
Dec. 3, 2003 |
Save the World Air, Inc. et al. |
| LR-18486 |
Dec. 3, 2003 |
Wolfson, et al. |
| LR-18485 |
Dec. 3, 2003 |
Sam Leopold, Richard R. Ross, Phillip D. Teal, James T. Montrose, Norman B. Cowgill, Jay S. Ozer, and Bradley J. Schmidt
Release No.: AAER-1919 |
| LR-18484 |
Dec. 3, 2003 |
Joseph F. Doody IV, Joseph F. Doody, and Diane C. Neiley |
| LR-18483 |
Dec. 3, 2003 |
Kevin L. Lawrence, Steven J. Reimer, Michael J. Culp, Larry L. Beaman, Harvey W. Kuiken, Alex Lacson, and Alfonso Lacson, Jr. |
| LR-18482 |
Dec. 2, 2003 |
Invesco Funds Group, Inc., and Raymond R. Cunningham |
| LR-18481 |
Dec. 2, 2003 |
Millennium Capital Hedge Fund, L.P., Millennium Capital Group, LLC, and Andreas F. Zybell |
| LR-18480 |
Dec. 1, 2003 |
A. B. Financing and Investments, Inc., and Anthony Blissett |
| LR-18479 |
Nov. 25, 2003 |
Security Trust Company, N.A., Grant D. Seeger, William A. Kenyon, and Nicole McDermott |
| LR-18478 |
Nov. 24, 2003 |
Anthony Dong-Yin Shen, Srinivas Anumolu, Ronald W. Pinto, Deborah J. Breckenridge, and Dominick J. Savino |
| LR-18477 |
Nov. 21, 2003 |
Thomas V. Conwell |
| LR-18476 |
Nov. 20, 2003 |
Patrick Ballinger, Dennis R. Weaver, Kosta S. Kovachev, Lee E. Larscheid, Benny G. Morris, Darin W. Roberts, Linda M. Sears, Todd F. Walker, Branson City Limits, Inc., Resort Hotels, Inc., Universal Financial Leasing, Inc., and Ozark Ticket and Travel, Inc.
|
| LR-18475 |
Nov. 20, 2003 |
Bryan James Hawes, Financial Management Advisory Services, Inc., and Financial Management Services, Inc., and Relief Defendant Alpha & Omega Transportation, Inc. |
| LR-18474 |
Nov. 20, 2003 |
Gary L. Pilgrim, Harold J. Baxter and Pilgrim Baxter & Associates, Ltd.
|
| LR-18473 |
Nov. 20, 2003 |
Adam G. Kruger and Kruger, Miller and Tummillo, Inc.
|
| LR-18472 |
Nov. 19, 2003 |
Donne Corporation, Sherman S. Smith, Shawn Smith, and Bruce Anderson |
| LR-18471 |
Nov. 19, 2003 |
United Currency Group, Inc. |
| LR-18470 |
Nov. 18, 2003 |
IPIC International, Inc., et al.
|
| LR-18469 |
Nov. 18, 2003 |
Bernard F. Bradstreet
Release No.: AAER-1918 |
| LR-18468 |
Nov. 17, 2003 |
William J. Burke
Release No.: AAER-1917 |
| LR-18467 |
Nov. 17, 2003 |
Bruce Hill, et al.
Release No.: AAER-1916 |
| LR-18466 |
Nov. 17, 2003 |
Fred Albert Schluep |
| LR-18465 |
Nov. 17, 2003 |
Philip R. Gratz |
| LR-18464 |
Nov. 17, 2003 |
Schick Technologies, Inc., David B. Schick and Fred Levine
Release No.: AAER-1915 |
| LR-18463 |
Nov. 17, 2003 |
Kevin J. Morrison, et al.
Release No.: AAER-1914 |
| LR-18462 |
Nov. 17, 2003 |
Lytle E. Foglesong, Thomas Gregory Cook, James H. Malbaff, and Malbaff & Cook |
| LR-18461 |
Nov. 17, 2003 |
Paul J. Silvester et al. and Triumph Capital Group et al. |
| LR-18460 |
Nov. 17, 2003 |
Paul J. Silvester et al. and Ben F. Andrews |
| LR-18459 |
Nov. 17, 2003 |
David Chang |
| LR-18458 |
Nov. 14, 2003 |
Enrico Cortesano |
| LR-18457 |
Nov. 14, 2003 |
Starcash, Inc., et al.
|
| LR-18456 |
Nov. 14, 2003 |
Koji Goto |
| LR-18455 |
Nov. 14, 2003 |
Jeanette B. Wilcher |
| LR-18454 |
Nov. 13, 2003 |
John J. Todd, Robert D. Manza and Jeffrey Weitzen
Release No. AAER-1912 |
| LR-18453 |
Nov. 12, 2003 |
Peter J. Davis, Jr., John M. Youngdahl and Steven E. Nothern |
| LR-18452 |
Nov. 12, 2003 |
InverWorld, Inc. et al. |
| LR-18451 |
Nov. 10, 2003 |
WorldCom Inc.
Release No. AAER-1909 |
| LR-18450 |
Nov. 10, 2003 |
Patrick Ballinger, Dennis R. Weaver, Kosta S. Kovachev, Lee E. Larscheid, Benny G. Morris, Darin W. Roberts, Linda M. Sears, Todd F. Walker, Branson City Limits, Inc., Resort Hotels, Inc., Universal Financial Leasing, Inc., and Ozark Ticket and Travel, Inc. |
| LR-18449 |
Nov. 7, 2003 |
Kenneth L. Lay |
| LR-18448 |
Nov. 6, 2003 |
Peter C. Lybrand f/k/a Peter C. Tosto, Richard S. Kern, Donald R. Kern, Charles Wilkins, Admiral Investments Ltd., Compulink International Corp., Drawbridge Investments Ltd., Glittergrove Investments Ltd., Grafton Investments Ltd., Greenford Investments Ltd., McDonalds Ltd., Oasis Enterprises Ltd., Investor Relations, Inc., Tellerstock, Inc., Conversant Enterprises, Inc., EFI Corp. a/k/a Electronic Funds, Inc., Barclay Bankcard, Inc., Canyon Vista Corp., and Salteaux Ltd. a/k/a First American Security Corp. a/k/a First American Securities Corp., Defendants, and Hannah G Irrevocable Trust and Hannah R Trust, Relief Defendants, U.S. District Court for the Southern District of New York |
| LR-18447 |
Nov. 6, 2003 |
Steven E. Muth and Door Chair, Ltd. |
| LR-18446 |
Nov. 5, 2003 |
J.T. Wallenbrock & Associates, Larry Toshio Osaki, Van Y. Ichinotsubo and Citadel Capital Management Group, Inc. |
| LR-18445 |
Nov. 5, 2003 |
Diagnostic Professional Imaging Services, Inc.
|
| LR-18444 |
Nov. 4, 2003 |
Martin J. Druffner, et al. |
| LR-18443 |
Nov. 3, 2003 |
David B. Henderson, et al. |
| LR-18442 |
Nov. 3, 2003 |
James M. Adelt, Keith A. Cyr, John R. Gentry III, Thomas M. Laker, and Michael W. Morris and AmeriCredit Corp. |
| LR-18441 |
Nov. 3, 2003 |
Jorge Eduardo Ballesteros Franco, et al. |
| LR-18440 |
Nov. 3, 2003 |
Mohamad Wael Ibrahim Elzein, Individually and D/B/A Focus Mentors Elzein Management; Hussein Hassan El Zein; and Darin Raymond Knee |
| LR-18439 |
Oct. 31, 2003 |
Paul R. Johnson and John Cook |
| LR-18438 |
Oct. 31, 2003 |
Federal Court Approves Global Research Analyst Settlement |
| LR-18437 |
Oct. 30, 2003 |
Sport-Haley, Inc., Robert G. Tomlinson, Steve S. Auger, Kenneth R. LeCrone
Release No.: AAER-1908 |
| LR-18436 |
Oct. 30, 2003 |
Paul J. Silvester et al. |
| LR-18435 |
Oct. 30, 2003 |
David W. Delainey
Release No.: AAER-1907 |
| LR-18434 |
Oct. 29, 2003 |
Dunyasha M. Yetts, et al. |
| LR-18433 |
Oct. 29, 2003 |
Richard A. Svoboda and Michael A. Robles |
| LR-18432 |
Oct. 29, 2003 |
Edward J. Strafaci |
| LR-18431 |
Oct. 29, 2003 |
CDH & Affiliates, Inc. and C. David Hallman |
| LR-18430 |
Oct. 29, 2003 |
Jonathan G. Fink |
| LR-18429 |
Oct. 28, 2003 |
Guillermo Garcia Simon, V. Arana Simon, & A. Garcia Simon |
| LR-18428 |
Oct. 28, 2003 |
Justin M. Scott and Omid Kamshad |
| LR-18427 |
Oct. 27, 2003 |
William A. Wilkerson |
| LR-18426 |
Oct. 24, 2003 |
Burton G. Friedlander, et al. |
| LR-18425 |
Oct. 24, 2003 |
National Financial Systems, Inc. and Terese Herwick |
| LR-18424 |
Oct. 24, 2003 |
Shoreline Development Company, Todd J. Taylor, Derek K. Gradwell, Paul A. Barrios Iii, Dennis P. O'connell, Jr., Epic Consulting Services, Inc., Coastal Resources, Inc., Northstar Acquisitions And Holdings, Inc., Shoreline Holdings And Acquisitions, Inc. And Spartan Consulting, Inc. |
| LR-18423 |
Oct. 23, 2003 |
Health Maintenance Centers, Inc., Znetix, Inc., Cascade Pointe of Arizona, LLC, Cascade Pointe of Nevis, LLC, Kevin L. Lawrence, Donovan C. Claffin, Clifford G.Baird, Bainbridge Human Performance Centers, PLLC, Kimberly Alexander, Bonnie M. Couch, Stacy Gray, and Vicki L. Lawrence |
| LR-18422 |
Oct. 22, 2003 |
Rodney R. Proto and Earl E. DeFrates, Bruce E. Snyder, Jr.
Release No.: AAER-1904 |
| LR-18421 |
Oct. 22, 2003 |
John E. Collins |
| LR-18420 |
Oct. 21, 2003 |
Gerald H. Levine and Marie A. Levine
Release No.: AAER-1903 |
| LR-18419 |
Oct. 17, 2003 |
Steven E. Thorn, et al. |
| LR-18418 |
Oct. 17, 2003 |
Benjiman Franklin Cook, et al. |
| LR-18417 |
Oct. 17, 2003 |
Ronald J. Hottovy |
| LR-18416 |
Oct. 17, 2003 |
Devin A. Danehy |
| LR-18415 |
Oct. 16, 2003 |
The Rose Fund, LLC, The Rose Fund, Inc., TRF Holdings, Inc., Michael Alexander, Paul E. Nelson, William Wright, Rose Collections, Inc., Pacific Video Network, Inc., Resort Management Co., Inc., Web Inventions, Inc., Who Banging, Inc., and YAE, Inc. |
| LR-18414 |
Oct. 16, 2003 |
Eric E. Resteiner, et al. |
| LR-18413 |
Oct. 16, 2003 |
David M. Wolfson et al. |
| LR-18412 |
Oct. 16, 2003 |
Hatem El-Khalidi
Release No.: AAER-1902 |
| LR-18411 |
Oct. 15, 2003 |
John L. Montana, Jr., Melvin R. Lyttle, Paul E. Knight, Worldwide T&P, Inc., First National Equity, LLC, P.K. Trust & Holding, Inc., UTA-BVI, Ltd. and Violet Gail Eldridge and Relief Defendants The United Tribes of the Americas, Inc. and Executive Bureau of Research and Recovery, Inc. |
| LR-18410 |
Oct. 15, 2003 |
Dale Peterson et al.
Release No.: AAER-1896 |
| LR-18409 |
Oct. 14, 2003 |
Andrew S. Marks |
| LR-18408 |
Oct. 10, 2003 |
Samuel D. Waksal and Jack Waksal; Relief Defendant Patti Waksal |
| LR-18407 |
Oct. 9, 2003 |
Stephen A. White, William D. White, III, Ernest J. Bieling and Robert W. Hughes |
| LR-18406 |
Oct. 9, 2003 |
Robert D. Happ |
| LR-18405 |
Oct. 9, 2003 |
John J. Cassese |
| LR-18404 |
Oct. 9, 2003 |
Blake A. Prater and Wellspring Capital Group, Inc. |
| LR-18403 |
Oct. 9, 2003 |
Wesley H. Colwell
AAER-1894 |
| LR-18402 |
Oct. 9, 2003 |
Gregory L. English
AAER-1893 |
| LR-18401 |
Oct. 9, 2003 |
Van T. Dinh |
| LR-18400 |
Oct. 8, 2003 |
American Financial Group of Aventura, Inc., et al. |
| LR-18399 |
Oct. 8, 2003 |
Premier Marketing and Investments and Nicholas Roblee a/k/a Nicholas Richmond |
| LR-18398 |
Oct. 8, 2003 |
Amazon Natural Treasures, Inc., Michael A. Sylver and Domingos Loricchio Jr. |
| LR-18397 |
Oct. 7, 2003 |
K. C. Smith |
| LR-18396 |
Oct. 7, 2003 |
Timothy J. Potter, et al. |
| LR-18395 |
Oct. 7, 2003 |
Jeffrey S. Schneider
Release No. AAER-1890 |
| LR-18394 |
Oct. 6, 2003 |
Richard P. Vatcher
Release No. AAER-1891 |
| LR-18393 |
Oct. 6, 2003 |
Peter J. Zaccagnino, et al. |
| LR-18392 |
Oct. 6, 2003 |
National Financial Systems, Inc. and Terese Herwick |
| LR-18391 |
Oct. 3, 2003 |
B. Roland Frasier, III and Richard A. May |
| LR-18390 |
Oct. 3, 2003 |
Brian Lee, Todd DiRoberto, Lonnie Dragon and Trevor Watson |
| LR-18389 |
Oct. 3, 2003 |
KPMG LLP, Joseph T. Boyle, Michael A. Conway, Anthony P. Dolanski and Ronald A. Safran |
| LR-18388 |
Oct. 2, 2003 |
Dennis A. Bakal, Susan P. Dial and William S. Cole
Release No.: AAER-1887 |
| LR-18387 |
Oct. 2, 2003 |
Sidney V. Corder, Randal J. Sage and Brian J. Yates
Release No. AAER-1886 |
| LR-18386 |
Oct. 2, 2003 |
Paul Joseph Sheehan dba Paul J. Sheehan & Associates |
| LR-18385 |
Oct. 1, 2003 |
J.P. Morgan Securities Inc. |
| LR-18384 |
Oct. 1, 2003 |
Frances J. Burkitt and Paul Burkitt |
| LR-18383 |
Oct. 1, 2003 |
Gerhard Andlinger, Jeanne Andlinger, Sallie Donner, Suzanna Dailey and Louis B. Lloyd |
| LR-18382 |
Oct. 1, 2003 |
Greg Waring and Craig Treloar
Release No. AAER-1883 |
http://www.sec.gov/litigation/litreleases/lit4q03.shtml
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