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Litigation Releases Archives 2011
The list below provides links to litigation releases concerning civil lawsuits brought by the Commission in federal court.
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 SEC Litigation Releases RSS Feed
| Release No. |
Date |
Action |
| Fourth Quarter |
| LR-22213 |
Dec. 29, 2011 |
Magyar Telekom Plc. and Deutsche Telekom AG and Straub, et al.
See also: SEC complaint v. the companies and SEC Complaint v. the executives
|
| LR-22212 |
Dec. 29, 2011 |
Shawn R. Merriman et al.
|
| LR-22211 |
Dec. 28, 2011 |
Evolution Capital Advisors, et al.
|
| LR-22210 |
Dec. 23, 2011 |
GE Funding Capital Market Services, Inc.
|
| LR-22209 |
Dec. 22, 2011 |
Alfred S. Teo, Sr., et al.
|
| LR-22208 |
Dec. 22, 2011 |
David Ronald Allen, et al.
|
| LR-22207 |
Dec. 21, 2011 |
Robert A. Walker, et al; Gary A. Collyard, et al
|
| LR-22206 |
Dec. 21, 2011 |
Myron Weiner
|
| LR-22205 |
Dec. 21, 2011 |
John R. Easom, et al.
See also: SEC Complaint
|
| LR-22204 |
Dec. 20, 2011 |
Heart Tronics, Inc., et al.
See also: SEC Complaint
|
| LR-22203 |
Dec. 20, 2011 |
Aon Corporation
|
| LR-22202 |
Dec. 20, 2011 |
Enrica Cotellessa-Pitz
See also: SEC Complaint
|
| LR-22201 |
Dec. 20, 2011 |
Mudd, Syron et. al.,
|
| LR-22200 |
Dec. 16, 2011 |
OCC Holdings, Ltd., et al.
|
| LR-22199 |
Dec. 16, 2011 |
Stuart W. Fuhlendorf
Other Release No.: AAER-3346
|
| LR-22198 |
Dec. 16, 2011 |
Daniel E. Ruettiger, Rocco Brandonisio, Stephen DeCesare, Pawel P. Dynkowski, Kevin S. Kaplan, Gregg R. Mulholland, Mehmet Mustafoglu, Joseph A. Padilla, Angelo R. Panetta, Kevin J. Quinn, Andrea M. Ritchie, Chad P. Smanjak, and Gary J. Yocom
See also: SEC Complaint
|
| LR-22197 |
Dec. 16, 2011 |
Stephen M. Folan
See also: SEC Complaint
|
| LR-22196 |
Dec. 16, 2011 |
Frederick J. O'Meally et al.
|
| LR-22195 |
Dec. 15, 2011 |
Management Solutions, Inc, Wendell A. Jacobson and Allen R. Jacobson
See also: SEC Complaint
|
| LR-22194 |
Dec. 15, 2011 |
All Know Holdings Ltd, et al.
See also: SEC Complaint
|
| LR-22193 |
Dec. 15, 2011 |
Securities Investor Protection Corporation
See also: Application and Memorandum
|
| LR-22192 |
Dec. 13, 2011 |
Michael Resnick et al.
Other Release No.: AAER-3343
|
| LR-22191 |
Dec. 13, 2011 |
Marcin Malarz et al.
|
| LR-22190 |
Dec. 13, 2011 |
Uriel Sharef, Ulrich Bock, Carlos Sergi, Stephan Signer, Herbert Steffen, Andres Truppel and Bernd Regendantz
Other Release No.: AAER-3342
See also: SEC Complaint
|
| LR-22189 |
Dec. 12, 2011 |
Alternative Green Technologies, Inc.
See also: SEC Complaint
|
| LR-22188 |
Dec. 12, 2011 |
Geoffrey J. Eiten and National Financial Communications Corp.
See also: SEC Complaint
|
| LR-22187 |
Dec. 12, 2011 |
Stiefel Laboratories Inc. and Charles W. Stiefel
See also: SEC Complaint
|
| LR-22186 |
Dec. 9, 2011 |
Cutillo et al.
|
| LR-22185 |
Dec. 9, 2011 |
Galleon Management, LP, et al.
|
| LR-22184 |
Dec. 9, 2011 |
Glenn Grossman, Lawrence Steven Cohen, Shay Keren, And John Zanic
|
| LR-22183 |
Dec. 8, 2011 |
Wachovia Bank, N.A., now known as Wells Fargo Bank, N.A., successor by merger
See also: SEC Complaint
|
| LR-22182 |
Dec. 7, 2011 |
Giuseppe Pino Baldassarre, Robert Mouallem, and Malcolm Stockdale
|
| LR-22181 |
Dec. 6, 2011 |
The Milan Group, Inc., a/k/a The Milan Trading Group, Inc., Frank L. Pavlico III, a/k/a Frank Lorenzo, Brynee K. Baylor, Baylor & Jackson, P.L.L.C., Mia C. Baldassari, Elmo Baldassari, Brett A. Cooper, Global Funding Systems, LLC, GPH Holdings, LLC, Dawn R. Jackson, Patrick T. Lewis, Susan C. Kevra-Shiner, a/k/a Susan C. Kevra, The Law Office of Susan C. Kevra
|
| LR-22180 |
Dec. 6, 2011 |
All Know Holdings Ltd, et al.
See also: SEC Complaint
|
| LR-22179 |
Dec. 5, 2011 |
Integrity Financial AZ, LLC, Steven R. Long, Stanley M. Paulic, Walter W. Knitter, and Robert C. Koeller
|
| LR-22178 |
Dec. 5, 2011 |
David Ronald Allen, et al.
|
| LR-22177 |
Dec. 2, 2011 |
Michael Lee and ZipGlobal Holdings, Inc.; James Wheeler and Microholdings US, Inc.; and Edward Henderson and Paul Desjourdy
See also: SEC Complaint vs. Michael Lee and ZipGlobal Holdings, Inc.
See also: SEC Complaint vs. James Wheeler and Microholdings US, Inc.
See also: SEC Complaint vs. Edward Henderson and Paul Desjourdy
|
| LR-22176 |
Dec. 2, 2011 |
Michael R. Balboa and Gilles T. De Charsonville
See also: SEC Complaint
|
| LR-22175 |
Dec. 2, 2011 |
Richard Dalton and Universal Consulting Resources LLC, Defendants, and Marie Dalton, Relief Defendant
|
| LR-22174 |
Dec. 2, 2011 |
Nancy S.W. Chu et al.
Other Release No.: AAER-3341
|
| LR-22173 |
Dec. 1, 2011 |
William J. Reilly
|
| LR-22172 |
Nov. 30, 2011 |
Jeffrey R. Neufeld and Paridon Capital Management LLC f/k/a Tritone Capital Management, LLC
|
| LR-22171 |
Nov. 30, 2011 |
Cheng Yi Liang, et al.
|
| LR-22170 |
Nov. 28, 2011 |
The Regency Group, LLC; Scott F. Gelbard; Jeffrey S. Koslosky; Aaron S. Lamkin; John J. Coutris; Michael J. Coutris; J. Coutris Partners, LP; Joseph S. Fernando; Wellington Capital Enterprises, Inc.; James J. Coutris; and Dimitrios I. Gountis
|
| LR-22169 |
Nov. 25, 2011 |
Jeffrey S. Richardson
See also: SEC Complaint
|
| LR-22168 |
Nov. 23, 2011 |
Myron Weiner
See also: SEC Complaint
|
| LR-22167 |
Nov. 22, 2011 |
Patrick G. Rooney and Solaris Management, LLC
See also: SEC Complaint
|
| LR-22166 |
Nov. 22, 2011 |
David Kugel
See also: SEC Complaint
|
| LR-22165 |
Nov. 22, 2011 |
David Ronald Allen, et al.
|
| LR-22164 |
Nov. 21, 2011 |
Brian Hollnagel and BCI Aircraft leasing, Inc.
|
| LR-22163 |
Nov. 21, 2011 |
Randall Merk, et al.
|
| LR-22162 |
Nov. 18, 2011 |
Garfield Taylor, Inc., et al.
See also: SEC Complaint
|
| LR-22161 |
Nov. 18, 2011 |
Mark A. Konyndyk
See also: SEC Complaint
|
| LR-22160 |
Nov. 17, 2011 |
John A. Mattera, Bradford Van Siclen, The Praetorian Global Fund, et al.
See also: SEC Complaint
|
| LR-22159 |
Nov. 17, 2011 |
New Futures Trading International Corporation and Henry Roche
See also: SEC Complaint
|
| LR-22158 |
Nov. 17, 2011 |
Joseph F. “Chip” Skowron III, et al.
|
| LR-22157 |
Nov. 17, 2011 |
Frank C. Calmes, Lynn D. Rowntree, James E. Pratt, and Manny J. Shulman
|
| LR-22156 |
Nov. 16, 2011 |
J.T. Battenberg, III and Paul Free
Other Release No.: AAER-3340
|
| LR-22155 |
Nov. 15, 2011 |
ConnectAJet.com, Inc., et al.
|
| LR-22154 |
Nov. 15, 2011 |
Jerome Krantz, Cary Chasin, and Gary Nadelman
|
| LR-22153 |
Nov. 15, 2011 |
Mark Anthony Longoria, et al.
|
| LR-22152 |
Nov. 14, 2011 |
Tyrone L. Gilliams, Jr. and TL Gilliams, LLC
See also: SEC Complaint
|
| LR-22151 |
Nov. 10, 2011 |
Chetan Kapur; Lilaboc, LLC d/b/a ThinkStrategy Capital Management, LLC
See also: SEC Complaint
|
| LR-22150 |
Nov. 10, 2011 |
Joseph S. Amundsen
|
| LR-22149 |
Nov. 9, 2011 |
James N. Fry, Michelle W. Palm, and Arrowhead Capital Management LLC
See also: SEC Complaint
|
| LR-22148 |
Nov. 8, 2011 |
Trade-LLC, et al.
|
| LR-22147 |
Nov. 7, 2011 |
Fernando J. Espuelas et al.
|
| LR-22146A |
Nov. 4, 2011 |
Atlantis Technology Group and Christopher M. Dubeau
|
| LR-22145 |
Oct. 31, 2011 |
Drake Asset Management, LLC and Oliver R. Grace, Jr.
See also: SEC Complaint
|
| LR-22144 |
Oct. 31, 2011 |
Andrey C. Hicks and Locust Offshore Management, LLC, as Defendants, and Locust Offshore Fund, Ltd., as Relief Defendant
|
| LR-22143 |
Oct. 28, 2011 |
Mark Leslie, Kenneth E. Lonchar, Paul A. Sallaberry, Michael M. Cully, and Douglas S. Newton
|
| LR-22142 |
Oct. 28, 2011 |
Scott I. Kupersmith and Frederick C. Chelly
See also: SEC Complaint
|
| LR-22141 |
Oct. 26, 2011 |
Andrey C. Hicks and Locust Offshore Management, LLC, as Defendants, and Locust Offshore Fund, Ltd., as Relief Defendant
See also: SEC Complaint
|
| LR-22140 |
Oct. 26, 2011 |
Rajat Gupta and Raj Rajaratnam
See also: SEC Complaint
|
| LR-22139 |
Oct. 25, 2011 |
Arnold McClellan and Annabel McClellan
|
| LR-22138 |
Oct. 24, 2011 |
Koss Corporation and Michael J. Koss
Other Release No.: AAER-3330
See also: SEC Complaint
|
| LR-22137 |
Oct. 24, 2011 |
H. Clayton Peterson, Drew Clayton Peterson, Drew K. Brownstein, and Big 5 Asset Management, LLC
|
| LR-22136 |
Oct. 20, 2011 |
Charles P. Copeland, Copeland Wealth Management, A Financial Advisory Corporation, and Copeland Wealth Management, A Real Estate Corporation
See also: SEC Complaint
|
| LR-22135 |
Oct. 20, 2011 |
Cutillo et al.
|
| LR-22134 |
Oct. 19, 2011 |
Citigroup Global Markets Inc.; Brian H. Stoker
|
| LR-22133 |
Oct. 19, 2011 |
Long Term-Short Term, Inc. and Freddie Rick
|
| LR-22132 |
Oct. 19, 2011 |
Lisa C. Berry
|
| LR-22131 |
Oct. 18, 2011 |
David B. Welliver and Dblaine Capital, LLC
See also: SEC Complaint
|
| LR-22130 |
Oct. 18, 2011 |
James G. Temme and Stewardship Fund LP
See also: SEC Complaint
|
| LR-22129 |
Oct. 18, 2011 |
Thomas L. Kivisto
See also: SEC Complaint
|
| LR-22128 |
Oct. 18, 2011 |
Ryan M. Reynolds, et al.
|
| LR-22127A |
Oct. 17, 2011 |
Daniel W. Nodurft
|
| LR-22126 |
Oct. 14, 2011 |
Joseph P. Cillo
|
| LR-22125 |
Oct. 14, 2011 |
Wall Street Capital Funding LLC, Philip Cardwell, Roy Campbell, and Aaron Hume
See also:
|
| LR-22124 |
Oct. 12, 2011 |
Jerry L. Aubrey, Timothy J. Aubrey, Brian S. Cherry, and Aaron M. Glasser
See also: SEC Complaint
|
| LR-22123 |
Oct. 12, 2011 |
Koji Goto et al.
|
| LR-22122 |
Oct. 11, 2011 |
Gregory E. Webb and InfrAegis, Inc.
See also: SEC Complaint
|
| LR-22121 |
Oct. 11, 2011 |
Thomas S. Wu, Ebrahim Shabudin, Thomas T. Yu, and Craig S. On
Other Release No.: AAER-3327
See also: SEC Complaint
|
| LR-22120 |
Oct. 11, 2011 |
Murdoch Security and Investigations, Inc., Robert Goldstein, and William Vassell
See also: SEC Complaint
|
| LR-22119 |
Oct. 11, 2011 |
Gregory L. Reyes, et al.
|
| LR-22118 |
Oct. 11, 2011 |
M. Jason Hanold
See also: SEC Complaint
|
| LR-22117 |
Oct. 6, 2011 |
Eric Aronson, et al.
See also: SEC Complaint
|
| LR-22116 |
Oct. 6, 2011 |
Christopher Sells and Timothy Murawski
Other Release No.: AAER-3326
See also: SEC Complaint
|
| LR-22115 |
Oct. 6, 2011 |
StratoComm Corporation., et al.
|
| LR-22114 |
Oct. 5, 2011 |
Galleon Management, LP, et al.
|
| LR-22113 |
Oct. 4, 2011 |
David Ronald Allen, et al.
|
| LR-22112 |
Oct. 3, 2011 |
Richard A. Hansen, et al.
|
| Third Quarter |
| LR-22111 |
Sep. 30, 2011 |
Stephen Amella, et al.
See also: SEC Complaint
|
| LR-22110 |
Sep. 29, 2011 |
Alfred Clay Ludlum, III, et. al.
|
| LR-22109 |
Sep. 29, 2011 |
John Michael Kelly, Steven E. Rindner, Joseph A. Ripp, and Mark Wovsaniker
Other Release No.: AAER-3324
|
| LR-22108 |
Sep. 29, 2011 |
Christopher A. Seeley and Justin G. Dickson
See also: SEC Complaint
|
| LR-22107 |
Sep. 29, 2011 |
Kurt S. Hovan, Lisa B. Hovan, Edward J. Hovan, Jr., and Hovan Capital Management, LLC
See also: SEC Complaint
|
| LR-22106 |
Sep. 28, 2011 |
The NIR Group, LLC, et al.
See also: SEC Complaint
|
| LR-22105 |
Sep. 27, 2011 |
Shreyans Desai, et al.
See also: SEC Complaint
|
| LR-22104 |
Sep. 26, 2011 |
Larry Langford, et al.
|
| LR-22103 |
Sep. 23, 2011 |
Jason George Rivera, Jr., Marc Christopher Harmon, The Joseph Rene Corporation, and Executive Members Management Group
See also: SEC Complaint
|
| LR-22102 |
Sep. 22, 2011 |
Thomas Rubin, Christopher Scott, BGLR Enterprises, LLC and E-Info Solutions, LLC; Jeff Greeney and Big Baller Media Group, LLC
See also:
SEC Complaint vs. Rubin, Scott, BGLR Enterprises and E-Info Solutions
SEC Complaint vs. Greeney and Big Baller Media Group
|
| LR-22101 |
Sep. 22, 2011 |
Doris E. Nelson
|
| LR-22100 |
Sep. 21, 2011 |
Feinblatt, et al.
|
| LR-22099 |
Sep. 19, 2011 |
One or More Unknown Purchasers of Securities of Global Industries, Ltd.
See also: SEC Complaint
|
| LR-22098 |
Sep. 19, 2011 |
K2 Unlimited, Inc., 211 Ventures, LLC, Diane Glatfelter, Robert Rice, and Robert Anderson
See also: SEC Complaint
|
| LR-22097 |
Sep. 19, 2011 |
Christopher W. Bass,Swiss Capital Harbor-USA, LLC, Swiss Capital Harbor Fund A Partners, L.P., Swiss Capital Harbor Fund B Partners, L.P., and Swiss Capital Harbor Fund C Partners, L.P.
|
| LR-22096 |
Sep. 16, 2011 |
Jeffrey L. Mowen, Thomas R. Fry, Bevan J. Wilde, Gary W. Hansen, Michael G. Butcher, James B. Mooring, David G. Bartholomew, and Michael W. Averett, Defendants, and Erin O’Malley, f/k/a Erin O. Mowen, Relief Defendant
|
| LR-22095 |
Sep. 16, 2011 |
Escala Group, Inc., Gregory Manning, and Larry Lee Crawford, CPA
Other Release No.: AAER-3321
|
| LR-22094 |
Sep. 16, 2011 |
Doyle Scott Elliott, Scott Elliott, Inc., Michael J. Xirinachs, Emerald Asset Advisors LLC, Robert L. Weidenbaum, and CLX & Associates, Inc.
|
| LR-22093 |
Sep. 15, 2011 |
Scott Allen et al.
See also: SEC Complaint
|
| LR-22092 |
Sep. 15, 2011 |
James O’Reilly, James P. McAluney, and Martin Cutler
See also: SEC Complaint
|
| LR-22091 |
Sep. 14, 2011 |
Wall Street Communications, Inc., et al.
|
| LR-22090 |
Sep. 12, 2011 |
Jody Dunn
See also: SEC Complaint
|
| LR-22089 |
Sep. 8, 2011 |
Robert D. Orr, Leland G. Orr, Michael S. Lowry, Michael S. Hess, Kyle L. Garst, and Travis W. Vrbas
|
| LR-22088 |
Sep. 8, 2011 |
Deloitte Touche Tohmatsu CPA Ltd.
Other Release No.: AAER-3319
See also: SEC court filing and Application
|
| LR-22087 |
Sep. 8, 2011 |
Richard A. Finger, Jr. and Black Diamond Securities LLC
See also: SEC Complaint
|
| LR-22086 |
Sep. 8, 2011 |
EagleEye Asset Management, LLC and Jeffrey A. Liskov
See also: SEC Complaint
|
| LR-22085 |
Sep. 7, 2011 |
Feinblatt, et al.
|
| LR-22084 |
Sep. 7, 2011 |
Mutual Benefits Corp., et al
|
| LR-22083 |
Sep. 2, 2011 |
National Stock Transfer, Inc., Kay Berenson-Galster and Roger Greer
|
| LR-22082 |
Sep. 2, 2011 |
Christian Stanley, Inc. and Daniel C.S. Powell, et al.
See also: SEC Complaint
|
| LR-22081 |
Sep. 1, 2011 |
John A. Grant, Sage Advisory Group, LLC and Benjamin Lee Grant
See also: SEC Complaint
|
| LR-22080 |
Aug. 31, 2011 |
Clay Capital Management, LLC, James F. Turner II, Scott A. Vollmar, Scott A. Robarge and Mark A. Durbin
See also: SEC Complaint
|
| LR-22079 |
Aug. 31, 2011 |
Belal K. Faruki, et al.
See also: SEC Complaint
|
| LR-22078 |
Aug. 31, 2011 |
Anthony Scolaro
See also: SEC Complaint
|
| LR-22077 |
Aug. 31, 2011 |
James Davis Risher and Daniel Joseph Sebastian
See also: SEC Complaint
|
| LR-22076 |
Aug. 31, 2011 |
Pharma Holdings, Inc., Edward Klapp IV and Edward Klapp Jr.
|
| LR-22075 |
Aug. 31, 2011 |
James Li, Thomas Chow, Roger Kao, and Wayne A. Pratt
Other Release No.: AAER-3315
See also: SEC Complaint
|
| LR-22074 |
Aug. 30, 2011 |
James O'Leary
Other Release No.: AAER-3314
See also: SEC Complaint
|
| LR-22073 |
Aug. 29, 2011 |
Stanley J. Kowalewski, et al
|
| LR-22072 |
Aug. 25, 2011 |
Peter W. Fisher, et al.
|
| LR-22071 |
Aug. 24, 2011 |
Galleon Management, LP, et al.
|
| LR-22070 |
Aug. 19, 2011 |
Andreas Badian, et al.
|
| LR-22069 |
Aug. 18, 2011 |
Westmoore Management, LLC, Westmoore Investment, L.P., Westmoore Capital Management, Inc., Westmoore Capital, LLC, and Matthew Jennings
|
| LR-22068 |
Aug. 16, 2011 |
Larry Langford, et al.
|
| LR-22067 |
Aug. 15, 2011 |
Michael Strauss, Stephen Hozie and Robert Bernstein
Other Release No.: AAER-3313
|
| LR-22066 |
Aug. 11, 2011 |
Toby G. Scammell
|
| LR-22065 |
Aug. 11, 2011 |
Evolution Capital Advisors, et al.
|
| LR-22064 |
Aug. 10, 2011 |
Stifel, Nicolaus & Co., Inc. and David W. Noack
|
| LR-22063 |
Aug. 5, 2011 |
Clayton Peterson et al.
|
| LR-22062 |
Aug. 4, 2011 |
Douglas V. DeCinces, Joseph J. Donohue, Fred Scott Jackson and Roger A. Wittenbach
|
| LR-22061 |
Aug. 4, 2011 |
Gary Richetelli
|
| LR-22060 |
Aug. 4, 2011 |
Karlheinz Redekopp
Other Release No.: AAER-3311
|
| LR-22059 |
Aug. 3, 2011 |
William A. Marovitz
|
| LR-22058 |
Aug. 2, 2011 |
Brian A. Bjork, et al.
|
| LR-22057 |
Aug. 2, 2011 |
Stephen D. Ferrone, et al.
|
| LR-22056 |
Aug. 2, 2011 |
Franz Tudor
|
| LR-22055 |
Aug. 1, 2011 |
Compania International Financiera S.A., et al.
|
| LR-22054 |
Jul. 29, 2011 |
James E. Koenig
Other Release No.: AAER-3308
|
| LR-22053 |
Jul. 22, 2011 |
Trevor G. Cook, Patrick J. Kiley, et al. and Jason Bo-Alan Beckman, et al.
|
| LR-22052 |
Jul. 22, 2011 |
Gerald Harold Levine, et al.
|
| LR-22051 |
Jul. 20, 2011 |
Michael Cardillo
|
| LR-22050 |
Jul. 20, 2011 |
Robert Doyle
See also: SEC Complaint
|
| LR-22049 |
Jul. 20, 2011 |
Compania International Financiera S.A., et al.
|
| LR-22048 |
Jul. 19, 2011 |
Howard B. Wildstein
|
| LR-22047 |
Jul. 18, 2011 |
Martin J. Druffner, et. al.
|
| LR-22046 |
Jul. 18, 2011 |
Robert D. Orr, Leland G. Orr, Michael S. Lowry, Michael S. Hess, Kyle L. Garst, and Travis W. Vrbas
Other Release No.: AAER-3304
|
| LR-22045 |
Jul. 15, 2011 |
Charles C. Slowey, Jr., et al.
|
| LR-22044 |
Jul. 15, 2011 |
Mark Anthony Longoria, et al.
|
| LR-22043 |
Jul. 15, 2011 |
James M. Peister, et al.
See also: SEC Complaint
|
| LR-22042 |
Jul. 15, 2011 |
Galleon Management, LP, et al.
See also: Final Judgment
|
| LR-22041 |
Jul. 15, 2011 |
Darrel West and Own My Travel, LLC, and Professionally Assisted Marketing, Inc.
|
| LR-22040 |
Jul. 15, 2011 |
Jeffery A. Lowrance, et al.
See also: SEC Complaint
|
| LR-22039 |
Jul. 15, 2011 |
Vinayak S. Gowrish
|
| LR-22038 |
Jul. 14, 2011 |
Robert C. Brown, Jr., et al.
|
| LR-22037 |
Jul. 13, 2011 |
Armor Holdings, Inc.
Other Release No.: AAER-3302
See also: SEC Complaint
|
| LR-22036 |
Jul. 12, 2011 |
Sam Otto Folin, Benchmark Asset Managers LLC, and Harvest Managers LLC
See also: SEC Complaint
|
| LR-22035 |
Jul. 12, 2011 |
Retail Pro, Inc. (fka Island Pacific, Inc.), et al.
|
| LR-22034 |
Jul. 12, 2011 |
Ronald F. LeGrand and Frederick E. Wheat, Jr.
See also: SEC Complaint
|
| LR-22033 |
Jul. 11, 2011 |
John N. Irwin and Jacklin Associates, Inc.
See also: SEC Complaint
|
| LR-22032 |
Jul. 11, 2011 |
Presto Telecommunications, Inc. and Alfred Louis Vassallo, Jr.
|
| LR-22031 |
Jul. 7, 2011 |
J.P. Morgan Securities LLC
See also: SEC Complaint; Final Judgment
|
| LR-22030 |
Jul. 7, 2011 |
Joshua Constantin et al.
See also: SEC Complaint
|
| LR-22029 |
Jul. 6, 2011 |
Carl E. Binette and Peter E. Talbot
|
| LR-22028 |
Jul. 6, 2011 |
Navigators International Management Co., Ltd., James R. Spurger and Benjamin W. Young, Jr.
|
| LR-22027 |
Jul. 5, 2011 |
John Raffle, David Applegate and Kathy Raffle
See also: SEC Complaint
|
| LR-22026 |
Jul. 1, 2011 |
Michael L. Rothenberg, et al.
|
| LR-22025 |
Jul. 1, 2011 |
Locke Capital Management, Inc. and Leila C. Jenkins
|
| LR-22024 |
Jul. 1, 2011 |
ICP Asset Management, LLC, ICP Securities, LLC, Institutional Credit Partners, LLC, Thomas C. Priore, Lori A. Priore, and Bertrand H. Smyers
|
| LR-22023 |
Jul. 1, 2011 |
Fernando J. Espuelas et al.
|
| Second Quarter |
| LR-22022 |
Jun. 30, 2011 |
Shawn A. Icely
|
| LR-22021 |
Jun. 30, 2011 |
Galleon Management, LP, et al.
|
| LR-22020 |
Jun. 30, 2011 |
Robert M. Esposito, Gregory A. King, Jack R. Belluscio and Anscott Industries, Inc.
|
| LR-22019 |
Jun. 30, 2011 |
Edward A. Allen, David L. Olson, and A&O Investments, LLC
|
| LR-22018 |
Jun. 30, 2011 |
Brian Gibson, Douglas Newton and Real American Brands, Inc., n/k/a Real American Capital Corp., Donald W. Klein and KCM Holdings Corp., Thomas Schroepfer a/k/a Thomas Schroepfer Baetsen, Charles Fuentes, and Smokefree Innotec, Inc.
See also: SEC Complaint in this matter against Brian Gibson, SEC Complaint in this matter against Douglas Newton and Real American Brands, Inc. n/k/a Real American Capital Corp., SEC Complaint in this matter against Donald W. Klein and KCM Holdings Corp., SEC Complaint in this matter against Thomas Schroepfer
|
| LR-22017 |
Jun. 29, 2011 |
Richard Verdiramo, Vincent L. Verdiramo, Edward Meyer, Jr., and Victoria Chen
|
| LR-22016 |
Jun. 28, 2011 |
Michael E. Kelly, et al.
|
| LR-22015 |
Jun. 28, 2011 |
Francisco Illarramendi et al.
|
| LR-22014 |
Jun. 27, 2011 |
Peter L. Jensen and Thomas C. Tekulve, Jr.
Other Release No.: AAER-3301
See also: SEC Complaint
|
| LR-22013 |
Jun. 27, 2011 |
Elite Resources, et al.
|
| LR-22012 |
Jun. 22, 2011 |
Radical Bunny, LLC, Tom Hirsch, Berta Walder, Howard Walder, and Harish Shah
|
| LR-22011 |
Jun. 21, 2011 |
Cutillo et al.
|
| LR-22010 |
Jun. 21, 2011 |
Galleon Management, LP, et al.
|
| LR-22009 |
Jun. 21, 2011 |
Florin S. Ilovici, et al.
See also: SEC Complaint
|
| LR-22008 |
Jun. 21, 2011 |
J.P.Morgan Securities LLC (f/k/a J.P. Morgan Securities Inc.); Edward S. Steffelin
|
| LR-22007 |
Jun. 21, 2011 |
Paul R. Allen
Other Release No.: AAER-3295
See also: SEC Complaint
|
| LR-22006 |
Jun. 20, 2011 |
David Ronald Allen, et al.
See also: SEC Complaint
|
| LR-22005 |
Jun. 17, 2011 |
Feinblatt, et al.
|
| LR-22004 |
Jun. 17, 2011 |
Adam Smith
|
| LR-22003 |
Jun. 17, 2011 |
Founding Partners Capital Management Co., et al.
|
| LR-22002 |
Jun. 16, 2011 |
Farkas; Brown; Kissick; Kelly
Other Release No.: AAER-3294
|
| LR-22001 |
Jun. 14, 2011 |
Brian J. Smart and Smart Assets, LLC
|
| LR-22000 |
Jun. 14, 2011 |
Thomas C. Hardin
|
| LR-21999 |
Jun. 14, 2011 |
Lanexa Management LLC and Thomas C. Hardin
|
| LR-21998 |
Jun. 14, 2011 |
U.S. Technologies, Inc. and C. Gregory Earls
|
| LR-21997 |
Jun. 13, 2011 |
Norman Forrest Germany, et al.
See also: SEC Complaint
|
| LR-21996 |
Jun. 13, 2011 |
Phillip E. (Rick) Powell
See also: SEC Complaint
|
| LR-21995 |
Jun. 9, 2011 |
Copper King Mining Corp, Alexander Lindale, LLC., Mark D. Dotson, Wilford R. Blum and Stephen G. Bennett
See also: SEC Complaint
|
| LR-21994 |
Jun. 8, 2011 |
Michael E. Kelly, et al.
|
| LR-21993 |
Jun. 8, 2011 |
Onele Trading & Finance Ltd.
|
| LR-21992 |
Jun. 7, 2011 |
David Ronald Allen, et al.
|
| LR-21991 |
Jun. 6, 2011 |
One or More Unknown Purchasers of Securities of Telvent GIT S.A.
|
| LR-21990 |
Jun. 6, 2011 |
Dean A. Goetz
See also: SEC Complaint
|
| LR-21989 |
Jun. 3, 2011 |
Ronald Abernathy, Arthur Weiss and Sovereign International Group, LLC
See also: SEC Complaint
|
| LR-21988 |
Jun. 3, 2011 |
Association for Betterment Through Education and Love, Inc., et al.
|
| LR-21987 |
Jun. 2, 2011 |
Cheng Yi Liang, et al.
See also: SEC Complaint
|
| LR-21986 |
Jun. 2, 2011 |
Carol McKeown, et al.
|
| LR-21985 |
Jun. 2, 2011 |
Michael L. Rothenberg, et al.
See also: SEC Complaint
|
| LR-21984 |
Jun. 2, 2011 |
Bruce E. Snyder, Jr.
|
| LR-21983 |
May 27, 2011 |
Edward L. Moskop and Financial Services Moskop & Associates, Inc.
|
| LR-21982 |
May 26, 2011 |
Alfred S. Teo, Sr. and M.A.A.A. Trust
|
| LR-21981 |
May 26, 2011 |
Donald L. Johnson, Defendant, and Dalila Lopez, Relief Defendant
See also: SEC Complaint
|
| LR-21980 |
May 26, 2011 |
Giuseppe Tullio Abatemarco
|
| LR-21979 |
May 26, 2011 |
PCSEdventures!.com, Inc., Anthony A. Maher, and Shannon M. Stith
|
| LR-21978 |
May 26, 2011 |
Gregory A. Seib
|
| LR-21977 |
May 24, 2011 |
Abraham Haim
See also: SEC Complaint
|
| LR-21976 |
May 24, 2011 |
e-Smart Technologies, Inc., et al.
See also: SEC Complaint
|
| LR-21975 |
May 23, 2011 |
Christopher T. Vulliez, et al.
See also: SEC Complaint
|
| LR-21974 |
May 23, 2011 |
David Wallace and Costa Bajjali
See also: SEC Complaint
|
| LR-21973 |
May 20, 2011 |
Alero Odell Mack, Jr., et al.
|
| LR-21972 |
May 18, 2011 |
Mary Beth Knight and Rebecca Norton
See also: SEC Complaint
|
| LR-21971 |
May 16, 2011 |
John Clement & Edgefund Capital, LLC
|
| LR-21970 |
May 16, 2011 |
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
See also: SEC Complaint
|
| LR-21969 |
May 13, 2011 |
Jay L. LeBoeuf and New Castle Energy
See also: SEC Complaint
|
| LR-21968 |
May 13, 2011 |
Lloyd V. Barriger
See also: SEC Complaint
|
| LR-21967 |
May 13, 2011 |
Advanced Optics Electronics, Inc., Leslie S. Robins, JDC Swan, Inc. and Jason Claffey
See also: SEC Complaint
|
| LR-21966 |
May 13, 2011 |
Thor Industries, Inc., and Mark C. Schwartzhoff
Other Release No.: AAER-3280
See also: SEC Complaint
|
| LR-21965 |
May 12, 2011 |
Luis Felipe Perez
|
| LR-21964 |
May 12, 2011 |
Louis W. Zehil, Strong Branch Ventures IV LP, and Chestnut Capital Partners II, LLC
|
| LR-21963 |
May 11, 2011 |
George Garcy et al.
See also: SEC Complaint
|
| LR-21962 |
May 11, 2011 |
Michael Baker Corporation, John Scullin and Dennis Higgins
Other Release No.: AAER-3279
See also: SEC Complaint
|
| LR-21961 |
May 10, 2011 |
Jupiter Group Capital Advisors, LLC, and Rick Cho
See also: SEC Complaint
|
| LR-21960 |
May 5, 2011 |
North American Clearing, Inc., et al.
|
| LR-21959 |
May 5, 2011 |
Robert C. Butler
See also: SEC Complaint
|
| LR-21958 |
May 5, 2011 |
ICP Asset Management, LLC, ICP Securities, LLC, Institutional Credit Partners, LLC, and Thomas C. Priore
|
| LR-21957 |
May 4, 2011 |
Robert D. Orr, Leland G. Orr, Michael S. Lowry, Michael S. Hess, Kyle L. Garst, and Travis W. Vrbas
Other Release No.: AAER-3276
See also: SEC Complaint
|
| LR-21956 |
May 4, 2011 |
UBS Financial Services Inc.
See also: SEC Complaint; Final Judgment
|
| LR-21955 |
May 4, 2011 |
Allen E. Weintraub and AWMS Acquisitions, Inc., d/b/a Sterling Global Holdings
See also: SEC Complaint
|
| LR-21954 |
May 3, 2011 |
Patrick M. Carroll, James P. Carroll, William T. Carroll, David A. Stitt, John P. Monroe, Stephen Somers, David Mark Calcutt and Christopher T. Calcutt
See also: SEC Complaint
|
| LR-21953 |
May 3, 2011 |
David Ronald Allen, et al.
See also: SEC Complaint
|
| LR-21952 |
May 2, 2011 |
Radical Bunny, LLC, Tom Hirsch, Berta Walder, Howard Walder, and Harish Shah
|
| LR-21951 |
Apr. 29, 2011 |
Magnum d'Or Resources, Inc.,
See also: SEC Complaint
|
| LR-21950 |
Apr. 28, 2011 |
Jonathan Hollander
See also: SEC Complaint
|
| LR-21949 |
Apr. 27, 2011 |
K.W. Brown and Company, et al.
|
| LR-21948 |
Apr. 26, 2011 |
J. Kenneth Stringer III, et al.
|
| LR-21947 |
Apr. 25, 2011 |
IU Group, Inc., Elijah Bang (a/k/a Elijah Bhang), and Daniel Lee
See also: SEC Complaint
|
| LR-21946 |
Apr. 22, 2011 |
Charles C. Slowey, Jr., et al.
|
| LR-21945 |
Apr. 22, 2011 |
David M. Otto, Todd Van Siclen, et al.
|
| LR-21944 |
Apr. 21, 2011 |
mUrgent Corporation, et al.
See also: SEC Complaint
|
| LR-21943 |
Apr. 21, 2011 |
Prevost, Harrold, et al.
|
| LR-21942 |
Apr. 21, 2011 |
WG Trading Investors, L.P., et al.
|
| LR-21941 |
Apr. 21, 2011 |
Terry M. Phillips
Other Release No.: AAER-3273
|
| LR-21940 |
Apr. 21, 2011 |
Commodities Online, LLC and Commodities Online Management, LLC
See also: SEC Complaint
|
| LR-21939 |
Apr. 20, 2011 |
Duane Martin and Gary Trump
Other Release No.: AAER-3272
|
| LR-21938 |
Apr. 19, 2011 |
Biovail Corporation, Eugene Melnyk, Brian Crombie, John Miszuk, and Kenneth G. Howling
|
| LR-21937 |
Apr. 18, 2011 |
Art Intellect, Inc. et al.
See also: SEC Complaint
|
| LR-21936 |
Apr. 18, 2011 |
Robert Glenn Bard, et al.
See also: Stipulated Order of Contempt
|
| LR-21935 |
Apr. 18, 2011 |
Gianluca Di Nardo, et al.
|
| LR-21934 |
Apr. 18, 2011 |
AIC, Inc., et al.
See also: SEC Complaint
|
| LR-21933 |
Apr. 15, 2011 |
William K. Harrison, et al.
|
| LR-21932 |
Apr. 15, 2011 |
William K. Harrison, et al.
|
| LR-21931 |
Apr. 15, 2011 |
Richard Elkinson
|
| LR-21930 |
Apr. 14, 2011 |
Rebecca Lynn Higgins
Other Release No.: AAER-3270
See also: SEC Complaint
|
| LR-21929 |
Apr. 14, 2011 |
Inofin, Inc., Michael J. Cuomo, Kevin J. Mann, Sr., Melissa George, Thomas Kevin Keough, David Affeldt, and Nancy Keough
See also: SEC Complaint
|
| LR-21928 |
Apr. 13, 2011 |
Joseph F. “Chip” Skowron III, et al.
See also: SEC Complaint
|
| LR-21927 |
Apr. 13, 2011 |
East Delta Resources Corp., Victor Sun, David Amsel and Mayer Amsel
|
| LR-21926 |
Apr. 11, 2011 |
Brian D. Fox
Other Release No.: AAER-3284
See also: SEC Complaint
|
| LR-21925 |
Apr. 8, 2011 |
Luis Garg, Jason Zakocs, RealFund Investment Trust, First Atlanta LP, Weatherby LP, and Citiprop Corporation
See also: SEC Complaint
|
| LR-21924 |
Apr. 8, 2011 |
Paul Nicholson and Professional Investment Exchange, Inc.
See also: SEC Complaint
|
| LR-21923 |
Apr. 8, 2011 |
Perry A. Gruss
See also: SEC Complaint
|
| LR-21922 |
Apr. 8, 2011 |
Johnson & Johnson
Other Release No.: AAER-3261
See also: SEC Complaint
|
| LR-21921 |
Apr. 7, 2011 |
MAM Wealth Management, LLC, MAMW Real Estate Fund General Partner, LLC, Alex Martinez, and Raphael R. Sanchez
See also: SEC Complaint
|
| LR-21920 |
Apr. 7, 2011 |
Comverse Technology, Inc.
See also: SEC Complaint
|
| LR-21919 |
Apr. 6, 2011 |
Jason Jadidian
|
| LR-21918 |
Apr. 6, 2011 |
HedgeLender LLC, et al.
|
| LR-21917 |
Apr. 6, 2011 |
Matthew H. Kluger and Garrett D. Bauer
See also: SEC Complaint
|
| LR-21916 |
Apr. 5, 2011 |
Jason K. Fifield
|
| LR-21915 |
Apr. 5, 2011 |
Satyam Computer Services Limited d/b/a Mahindra Satyam
Other Release No.: AAER-3258
See also: SEC Complaint
|
| LR-21914 |
Apr. 4, 2011 |
Douglas A. Glaser
|
| LR-21913 |
Apr. 1, 2011 |
Joseph J. Monterosso, et. al.
Other Release No.: AAER-3256
|
| LR-21912 |
Apr. 1, 2011 |
Neurotech Development Corporation, et al.
|
| First Quarter |
| LR-21911 |
Mar. 30, 2011 |
Aerokinetic Energy Corporation and Randolph E. Bridwell
|
| LR-21910 |
Mar. 30, 2011 |
James Clements and Zeina Smidi
See also: SEC Complaint
|
| LR-21909 |
Mar. 30, 2011 |
LandOak Securities, LLC, et al.
|
| LR-21908 |
Mar. 30, 2011 |
Navigators International Management Co., Ltd., James R. Spurger and Benjamin W. Young, Jr.
|
| LR-21907 |
Mar. 29, 2011 |
Cheng Yi Liang, et al.
See also: SEC Complaint
|
| LR-21906 |
Mar. 28, 2011 |
Marlon Quan, Acorn Capital Group, LLC and Stewardship Investment Advisors, LLC, Defendants and Asset Based Resource Group, LLC and Florene Quan
|
| LR-21905 |
Mar. 28, 2011 |
Jose O. Vianna, Jr. and Creswell Equities, Inc.
|
| LR-21904 |
Mar. 28, 2011 |
Gaston E. Cantens and Teresita Cantens
|
| LR-21903 |
Mar. 28, 2011 |
John Scott Clark, Impact Cash, LLC and Impact Payment Systems, LLC
See also: SEC Complaint
|
| LR-21902 |
Mar. 28, 2011 |
Joseph Catapano and Michael Piervinanzi
See also: SEC Complaint
|
| LR-21901 |
Mar. 25, 2011 |
Daniel Sholom Frishberg |
| LR-21900 |
Mar. 24, 2011 |
HomePals, LLC, HomePals Investment Club, LLC, Ronnie Eugene Bass, Jr., Abner Alabre and Brian J. Taglieri
|
| LR-21899 |
Mar. 24, 2011 |
Mark A. Duffell
See also: SEC Complaint
|
| LR-21898 |
Mar. 24, 2011 |
Mike Watson Capital, LLC, Michael P. Watson and Joshua F. Escobedo
|
| LR-21897 |
Mar. 23, 2011 |
James J. Konaxis
See also: SEC Complaint
|
| LR-21896 |
Mar. 23, 2011 |
Daniel F. Wiener II
See also: SEC Complaint
|
| LR-21895 |
Mar. 23, 2011 |
Timothy J. Roth, et al.
|
| LR-21894 |
Mar. 22, 2011 |
Michael Rivers and ARKR Trust, LLC
|
| LR-21893 |
Mar. 22, 2011 |
JSW Financial Inc., James S. Ward, David S. Lee, Edward G. Locker, Richard F. Tipton and David C. Lin
See also: SEC Complaint
|
| LR-21892 |
Mar. 22, 2011 |
Spyglass Equity Systems, Inc., Richard L. Carter, Preston L. Sjoblom, Tyson D. Elliott, Flatiron Capital Partners, LLC, Flatiron Systems, LLC and David E. Howard II
See also: SEC Complaint
|
| LR-21891 |
Mar. 18, 2011 |
Anselm Exploration Co. et al.
See also: SEC Complaint
|
| LR-21890 |
Mar. 18, 2011 |
Kim Ann Deskovick and Brian S. Haig
See also: SEC Complaint
|
| LR-21889 |
Mar. 18, 2011 |
International Business Machines Corporation
Other Release No.: AAER-3254
See also: SEC Complaint
|
| LR-21888 |
Mar. 16, 2011 |
Timothy S. Durham, et al. |
| LR-21887 |
Mar. 16, 2011 |
Jason Bo-Alan Beckman and the Oxford Private Client Group, LLC, et al.
|
| LR-21886 |
Mar. 16, 2011 |
Juno Mother Earth Asset Management, LLC, Eugenio Verzili and Arturo Allan Rodriguez Lopez a/k/a Arturo Rodriguez, Defendants
See also: SEC Complaint
|
| LR-21885 |
Mar. 15, 2011 |
Charles William Petty, II, et al.
|
| LR-21884 |
Mar. 14, 2011 |
Frank J. Custable, Jr., et al.
|
| LR-21883 |
Mar. 14, 2011 |
Robert L. Hollier and Wayne A. Dupuis
|
| LR-21882 |
Mar. 10, 2011 |
Frederick O'Meally, et. al.
|
| LR-21881 |
Mar. 9, 2011 |
Larry Michael Parrish
See also: SEC Complaint
|
| LR-21880 |
Mar. 9, 2011 |
Fernando J. Espuelas et al.
Other Release No.: AAER-3252
|
| LR-21879 |
Mar. 9, 2011 |
Jason Bo-Alan Beckman and Oxford Private Client Group, LLC, et al.
See also: SEC Complaint
|
| LR-21878 |
Mar. 8, 2011 |
Joseph A. Dawson
See also: SEC Complaint
|
| LR-21877 |
Mar. 7, 2011 |
Todd Leslie Treadway
See also: SEC Complaint
|
| LR-21876 |
Mar. 7, 2011 |
Radius Capital Corporation and Robert A. DiGiorgio
See also: SEC Complaint
|
| LR-21875 |
Mar. 7, 2011 |
Francisco Illarramendi and Michael Kenwood Capital Management, LLC, as Defendants, and Michael Kenwood Asset Management, LLC, Michael Kenwood Energy and Infrastructure LLC, and MKEI Solar, LP, as Relief Defendants
See also: SEC Complaint
|
| LR-21874 |
Mar. 7, 2011 |
Anthony Fareri, Fareri Financial Services, Inc. d/b/a Amerifinancial, and Anthony Fareri & Associates, Inc.
|
| LR-21873 |
Mar. 4, 2011 |
Ian J. McCarthy
Other Release No.: AAER-3250
|
| LR-21872 |
Mar. 3, 2011 |
Steven T. Kobayashi
See also: SEC Complaint
|
| LR-21871 |
Mar. 3, 2011 |
Gregory A. Seib
|
| LR-21870 |
Mar. 1, 2011 |
Lawrence R. Goldfarb et al.
See also: SEC Complaint
|
| LR-21869 |
Mar. 1, 2011 |
Finbar Securities Corp., et al. |
| LR-21868 |
Mar. 1, 2011 |
Douglas F. Vaughan, The Vaughan Company, Realtors, Inc., and Vaughan Capital, LLC |
| LR-21867 |
Feb. 28, 2011 |
DHB Industries, Inc. n/k/a Point Blank Solutions, Inc.; Jerome Krantz, Cary Chasin, and Gary Nadelman
Other Release No.: AAER-3247
|
| LR-21866 |
Feb. 28, 2011 |
Francis E. Wilde, Steven E. Woods, Mark A. Gelazela, Bruce H. Haglund, Matrix Holdings LLC, BMW Majestic LLC, IDLYC Holdings Trust LLC, and IDLYC Holdings Trust, et al.
See also: SEC Complaint
|
| LR-21865 |
Feb. 25, 2011 |
Todd M. Ficeto, Florian Homm, Colin Heatherington, Hunter World Markets, Inc., and Hunter Advisors, LLC, et al.
See also: SEC Complaint
|
| LR-21864 |
Feb. 22, 2011 |
Secure Capital Funding Corporation, Bertram A. Hill, PP&M Trade Partners, and Kiavanni Pringle
See also: SEC Complaint
|
| LR-21863 |
Feb. 22, 2011 |
Greenstone Holdings, Inc. et al.
See also: SEC Complaint
|
| LR-21862 |
Feb. 18, 2011 |
Jonathan R. Curshen, et al.
See also: SEC Complaint
|
| LR-21861 |
Feb. 17, 2011 |
Sakwinder Singh Narwal, Justin Beck, Brian Hill, and Larry Downs
See also: SEC Complaint
|
| LR-21860 |
Feb. 16, 2011 |
Lorenz Kohler and Swiss Real Estate International Holding AG, Defendants, and Sacho Todorov Dermendjiev, Relief Defendant
|
| LR-21859 |
Feb. 16, 2011 |
Zhenyu Ni
See also: SEC Complaint
|
| LR-21858 |
Feb. 16, 2011 |
Brett A. Cohen; David V. Myers; Aaron J. Scalia; and Stephen J. Scalia
See also: SEC Complaint
|
| LR-21857 |
Feb. 16, 2011 |
Winning Kids, Inc., et al.
|
| LR-21856 |
Feb. 15, 2011 |
Monroe L. Beachy
See also: SEC Complaint
|
| LR-21855 |
Feb. 14, 2011 |
Alternate Energy Holdings, Inc., et al.
|
| LR-21854 |
Feb. 14, 2011 |
Matthew C. Devlin, et al.
|
| LR-21853 |
Feb. 11, 2011 |
Michael W. Perry and A. Scott Keys; and S. Blair Abernathy
Other Release No.: AAER-3277
See also: SEC Complaint vs. Perry and Keys; SEC Complaint vs. Abernathy
|
| LR-21852 |
Feb. 11, 2011 |
Neal R. Greenberg
|
| LR-21851 |
Feb. 10, 2011 |
Tyson Foods, Inc.
|
| LR-21850 |
Feb. 10, 2011 |
Algird M. Norkus and Financial Update, Inc.
|
| LR-21849 |
Feb. 10, 2011 |
James N. Turek, et al.
|
| LR-21848 |
Feb. 10, 2011 |
David E. Watson, et al.
|
| LR-21847 |
Feb. 8, 2011 |
Carol McKeown, et al.
|
| LR-21846 |
Feb. 8, 2011 |
John W. Lawton, Paramount Partners LP, and Crossroad Capital Management, LLC
|
| LR-21845 |
Feb. 8, 2011 |
Robert Olins, et al.
|
| LR-21844 |
Feb. 8, 2011 |
Mark Anthony Longoria, Daniel L. DeVore, James Fleishman, Bob Nguyen, Winifred Jiau, Walter Shimoon, Samir Barai, Jason Pflaum, Barai Capital Management, Noah Freeman, and Donald Longueuil
See also: SEC Complaint
|
| LR-21843 |
Feb. 8, 2011 |
Curtis Peterson, Eric Maher, Ronald White, and Express International, LLC, et al.
See also: SEC Complaint
|
| LR-21842 |
Feb. 7, 2011 |
Gustav George Bujkovsky, et al.
|
| LR-21841 |
Feb. 7, 2011 |
Wall Street Capital Funding LLC, Philip Cardwell, Roy Campbell, and Aaron Hume
See also: SEC Complaint
|
| LR-21840 |
Feb. 7, 2011 |
William J. Reid, Algorithmic Trading Advisors, LLC and World Stock Fund, L.P.
See also: SEC Complaint
|
| LR-21839 |
Feb. 4, 2011 |
Galleon Management, LP, et al.
|
| LR-21838 |
Feb. 4, 2011 |
Vinayak S. Gowrish
|
| LR-21837 |
Feb. 4, 2011 |
Scott D. Farah, Donald E. Dodge, Financial Resources Mortgage, Inc., and C L and M, Inc., as Defendants, and Center Harbor Christian Church, as Relief Defendant
|
| LR-21836 |
Feb. 3, 2011 |
Mark Anthony Longoria, Daniel L. DeVore, James Fleishman, Bob Nguyen, Winifred Jiau, and Walter Shimoon
See also: SEC Complaint
|
| LR-21835 |
Feb. 2, 2011 |
Louis E. Rivelli, et al.
Other Release No.: AAER-3238
|
| LR-21834 |
Feb. 1, 2011 |
Galleon Management, LP, et al.
|
| LR-21833 |
Feb. 1, 2011 |
Gregg M.S. Berger, et al.
See also: SEC Complaint
|
| LR-21832 |
Jan. 31, 2011 |
Maxwell Technologies Inc.
Other Release No.: AAER-3236
See also: SEC Complaint
|
| LR-21831 |
Jan. 31, 2011 |
Eugene C. Geiger; AbsoluteFuture.com, et al.; Wamex Holdings, Inc., et al.
|
| LR-21830 |
Jan. 31, 2011 |
David J. Hernandez et al.
|
| LR-21829 |
Jan. 31, 2011 |
William Landberg, Kevin Kramer, Steven Gould, Janis Barsuk, West End Financial Advisors LLC, West End Capital Management LLC, and Sentinel Investment Management Corporation, Defendants, and Louise Crandall and L/C Family Limited Partnership, Relief Defendants
|
| LR-21828 |
Jan. 28, 2011 |
Francisco Illarramendi and Michael Kenwood Capital Management, LLC, as Defendants, and Michael Kenwood Asset Management, LLC, Michael Kenwood Energy and Infrastructure LLC, and MKEI Solar, LP, as Relief Defendants
See also: SEC Complaint
|
| LR-21827 |
Jan. 26, 2011 |
Adam Smith
|
| LR-21826 |
Jan. 26, 2011 |
Michael Cardillo
See also: SEC Complaint
|
| LR-21825 |
Jan. 25, 2011 |
Joseph P. Nacchio, et al.
See also: SEC Complaint
|
| LR-21824 |
Jan. 25, 2011 |
Christopher S. Metcalf, Bozidar "Bob" Vukovich, and Pantera Petroleum, Inc.
|
| LR-21823 |
Jan. 24, 2011 |
Smart Online, Inc., et al.
|
| LR-21822 |
Jan. 24, 2011 |
Paul W. Jennings
Other Release No.: AAER-3235
See also: SEC Complaint
|
| LR-21821 |
Jan. 21, 2011 |
Wall Street Communications, Inc., et al.
|
| LR-21820 |
Jan. 21, 2011 |
Zizhong Fan and Zishen Fan, Defendants and Junhua Fan, Relief Defendant
See also: SEC Complaint
|
| LR-21819 |
Jan. 20, 2011 |
NutraCea, et al.
Other Release No.: AAER-3234
See also: SEC Complaint
|
| LR-21818 |
Jan. 19, 2011 |
Provident Capital Indemnity, Ltd.,Minor Vargas Calvo, Jorge L. Castillo, and Relief Defendant Desarrollos Comerciales Ronim, S.A.
|
| LR-21817 |
Jan. 14, 2011 |
Christopher Wheeler, et al.
See also: SEC Complaint
|
| LR-21816 |
Jan. 14, 2011 |
Theodore R. Maloney; Donald K. McGhan and Jimmy J. McGhan
|
| LR-21815 |
Jan. 14, 2011 |
George H. Holley, Steven V. Dudas, and Phairot Iamnaita
|
| LR-21814 |
Jan. 14, 2011 |
Joseph D. Radcliffe and Michael J. Radcliffe
Other Release No.: AAER-3231
|
| LR-21813 |
Jan. 14, 2011 |
Lowell Gene “Bob” Hancher, Commerce Street Venture Group, Inc., Edward T. Whelan and Grace Holdings, Inc.
See also: SEC Complaint
|
| LR-21812 |
Jan. 13, 2011 |
Warren D, Nadel, Warren D. Nadel & Co. and Registered Investment Advisers, LLC
See also: SEC Complaint
|
| LR-21811 |
Jan. 13, 2011 |
CytoCore, Inc., et al.
See also: SEC Complaint
|
| LR-21810 |
Jan. 13, 2011 |
Sujata Sachdeva, et. al.
|
| LR-21809 |
Jan. 12, 2011 |
NIC, Inc., Jeffrey S. Fraser, Harry H. Herington, and Eric J. Bur; Stephen M. Kovzan
Other Release No.: AAER-3229
See also: SEC Complaint vs. NIC, Fraser, Herington, and Bur; SEC Complaint vs. Kovzan
|
| LR-21808 |
Jan. 12, 2011 |
Petroleum Unlimited, LLC, Petroleum Unlimited II, LLC, Roger A. Kimmel, Jr., Harry Nyce, Michel-Jean Geraud, Robert Rossi, Joseph Valko, and Morgan Kimmel, n/k/a Morgan Petitti
See also: SEC Complaint
|
| LR-21807 |
Jan. 12, 2011 |
Phillip Macdonald, Martin Gollan, and Michael Goodman
|
| LR-21806 |
Jan. 11, 2011 |
Charles Schwab Investment Management, Charles Schwab & Co., Inc., and Schwab Investments
See also: SEC Complaint
|
| LR-21805 |
Jan. 11, 2011 |
Kimon P. Daifotis and Randall Merk
See also: SEC Complaint
|
| LR-21804 |
Jan. 11, 2011 |
Michael R. Drogin
Other Release No.: AAER-3228
See also: SEC Complaint
|
| LR-21803 |
Jan. 11, 2011 |
ConnectAJet.com, Inc., et al.
|
| LR-21802 |
Jan. 10, 2011 |
Robert Feinblatt, Jeffrey Yokuty, Trivium Capital Management LLC, Sunil Bhalla, and Shammara Hussain
See also: SEC Complaint
|
| LR-21801 |
Jan. 7, 2011 |
Raymond P. Morris, E&R Holdings, LLC, Wise Financial Holdings, LLC, Momentum Leasing, LLC, James L. Haley, Cornerstone Capital Fund, LLC, Vantage Point Capital, LLC, Jay J. Linford, Freedom group, LLC, and Luc D. Nguyen
See also: SEC Complaint
|
| LR-21800 |
Jan. 7, 2011 |
Stanley J. Kowalewski and SJK Investment Management, LLC
See also: SEC Complaint
|
| LR-21799 |
Jan. 6, 2010 |
Alfred S. Teo, Sr., et al.
|
| LR-21798 |
Jan. 6, 2011 |
Gendarme Capital Corp., et al.
See also: SEC Complaint
|
| LR-21797 |
Jan. 6, 2011 |
Joseph M. Braas and Michael J. Schlager
See also: SEC Complaint
|
| LR-21796 |
Jan. 3, 2011 |
K&L International Enterprises, Inc., et al.
|
http://www.sec.gov/litigation/litreleases/litrelarchive/litarchive2011.shtml
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