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Litigation Releases - Fourth Quarter 2003

Current Litigation Releases

Archives: 1995-2004

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


Modified: 02/14/2005