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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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 SEC Litigation Releases RSS Feed
| Release No. |
Date |
Action |
| Fourth Quarter |
| LR-22900 |
Dec. 24, 2013 |
Archer-Daniels-Midland Company
See also: SEC Complaint
|
| LR-22899 |
Dec. 23, 2013 |
David F. Marchand
See also: SEC Complaint |
| LR-22898 |
Dec. 23, 2013 |
Dawn Wright-Olivares and Daniel Olivares
See also: SEC Complaint
|
| LR-22897 |
Dec. 23, 2013 |
All Know Holdings Ltd., et al.
|
| LR-22896 |
Dec. 23, 2013 |
Mark A. Lefkowitz, et al.
|
| LR-22895 |
Dec. 23, 2013 |
Patrick G. Rooney and Solaris Management, LLC
|
| LR-22894 |
Dec. 20, 2013 |
E-Monee.com, Inc. et al.
|
| LR-22893 |
Dec. 20, 2013 |
Brian D. Jorgenson, et al.
See also: SEC Complaint
|
| LR-22892 |
Dec. 18, 2013 |
Randy A. Hamdan and Oracle Consultants, LLC
See also: SEC Complaint
|
| LR-22891 |
Dec. 16, 2013 |
Arcturus Corporation, et al.
See also: SEC Complaint
|
| LR-22890 |
Dec. 16, 2013 |
Malom Group AG, Martin U. Schläpfer, Hans-Jürg Lips, et al.
See also: SEC Complaint
|
| LR-22889 |
Dec. 13, 2013 |
Daniel Dirk Coddington, et al.
See also: SEC Complaint
|
| LR-22888 |
Dec. 13, 2013 |
EagleEye Asset Management, LLC and Jeffrey A. Liskov
|
| LR-22887 |
Dec. 12, 2013 |
Michael H. Taber, CPA
Other Release No.: AAER-3517
|
| LR-22886 |
Dec. 6, 2013 |
Robert A. Helms, et al.
See also: SEC Complaint
|
| LR-22885 |
Dec. 5, 2013 |
A.L. Waters Capital, LLC, et al.
|
| LR-22884 |
Dec. 4, 2013 |
Edward M. Daspin, a/k/a "Edward Michael", a/k/a "Ed Michael"
|
| LR-22883 |
Dec. 3, 2013 |
Thomas Gaffney et al.
|
| LR-22882 |
Dec. 3, 2013 |
Charles Raymond Langston III, CRL Management, LLC, and Guarantee Reinsurance, Ltd
See also: SEC Complaint
|
| LR-22881 |
Dec. 2, 2013 |
Edward M. Laborio, Jonathan Fraiman, Matthew K. Lazar, Envit Capital, LLC, Envit Capital Group, Inc., Envit Capital Holdings, Inc., Envit Capital Private Wealth Management, LLC, Envit Capital Multi Strategy Mixed Investment Fund I LP, Aetius Group PLC, and Aetius Group LLC
|
| LR-22880 |
Nov. 26, 2013 |
Weatherford International Ltd.
See also: SEC Complaint
|
| LR-22879 |
Nov. 25, 2013 |
MedLink International, Inc., Aurelio Vuono, and James Rose
|
| LR-22878 |
Nov. 25, 2013 |
Charles H. Merchant, Sr. and Southern USA Resources, Inc.
See also: SEC Complaint
|
| LR-22877 |
Nov. 25, 2013 |
Steven Palladino, et al.
|
| LR-22876 |
Nov. 21, 2013 |
Gary C. Snisky
See also: SEC Complaint
|
| LR-22875 |
Nov. 21, 2013 |
R. Gordon Jones, CPA
Other Release No.: AAER-3513
See also: SEC Complaint
|
| LR-22874 |
Nov. 21, 2013 |
Sam Miri
|
| LR-22873 |
Nov. 21, 2013 |
The NIR Group, LLC, et al.
|
| LR-22872 |
Nov. 21, 2013 |
David Miller
|
| LR-22871 |
Nov. 18, 2013 |
Edward M. Daspin, a/k/a “Edward Michael,” a/k/a “Ed Michael,”
|
| LR-22870 |
Nov. 14, 2013 |
Mark Megalli
See also: SEC Complaint |
| LR-22869 |
Nov. 13, 2013 |
Charles T. Lawrence
|
| LR-22868 |
Nov. 13, 2013 |
Bobby Jones, Raymon Chadwick, Terry Johnson, Innovative Group, Redwater Funding Group, LLC and Expectrum, LLC
|
| LR-22867 |
Nov. 12, 2013 |
Charles T. Lawrence
See also: Order to Show Cause, Application
|
| LR-22866 |
Nov. 7, 2013 |
RBS Securities Inc.
See also: SEC Complaint
|
| LR-22865 |
Nov. 7, 2013 |
Nicholas Louis Geranio, et al.
|
| LR-22864 |
Nov. 7, 2013 |
Charles O. Morgan, Jr., as Personal Representative of the Estate of Frederick J. Kunen; Terry E. Provence and DT Capital LLC
|
| LR-22863 |
Nov. 5, 2013 |
Anthony Coronati
See also: Order to Show Cause, Application |
| LR-22862 |
Nov. 5, 2013 |
Christopher A.T. Pedras, et al.
See also: SEC Complaint
|
| LR-22861 |
Oct. 30, 2013 |
The Milan Group, Inc., a/k/a The Milan Trading Group, Inc., et al.
|
| LR-22860 |
Oct. 30, 2013 |
Andrew J. Franz
|
| LR-22859 |
Oct. 30, 2013 |
Steven W. Salutric
|
| LR-22858 |
Oct. 29, 2013 |
Dennis Rosenberg
See also: SEC Complaint
|
| LR-22857 |
Oct. 29, 2013 |
Joseph M. Mancuso
|
| LR-22856 |
Oct. 28, 2013 |
Paul V. Greene
Other Release No.: AAER-3510
|
| LR-22855 |
Oct. 23, 2013 |
Mark Cuban
|
| LR-22854 |
Oct. 23, 2013 |
Zhou
|
| LR-22853 |
Oct. 23, 2013 |
True North Finance Corporation, f/k/a CS Financing Corporation, et al.
|
| LR-22852 |
Oct. 23, 2013 |
Michael Grosso
|
| LR-22851 |
Oct. 22, 2013 |
Igor Poteroba, Aleksey Koval, Alexander Vorobiev, and Relief Defendants Tatiana Vorobieva and Anjali Walter
|
| LR-22850 |
Oct. 22, 2013 |
AIC, Inc., et al.
|
| LR-22849 |
Oct. 22, 2013 |
Diebold, Inc.
Other Release No.: AAER-3509
See also: SEC Complaint
|
| LR-22848 |
Oct. 18, 2013 |
Yuhe International, Inc., and Gao Zhentao
See also: SEC Complaint
|
| LR-22847 |
Oct. 17, 2013 |
JBI, Inc., John Bordynuik and Ronald Baldwin, Jr.
Other Release No.: AAER-3508
|
| LR-22846 |
Oct. 17, 2013 |
CKB168 Holdings Ltd., et al. (Corrected)
|
| LR-22845 |
Oct. 15, 2013 |
Peter Madoff
|
| LR-22844 |
Oct. 15, 2013 |
Kilpatrick et al.
|
| LR-22843 |
Oct. 11, 2013 |
Hochfeld et al.
|
| LR-22842 |
Oct. 11, 2013 |
Michael R. Enea
See also: SEC Complaint
|
| LR-22841 |
Oct. 10, 2013 |
Michel Terpins, et al.
See also: SEC Complaint
|
| LR-22840 |
Oct. 10, 2013 |
Charles J. Dushek, et al.
|
| LR-22839 |
Oct. 10, 2013 |
Jason Wynn and Martin Cantu
|
| LR-22838 |
Oct. 9, 2013 |
Toby G. Scammell
|
| LR-22837 |
Oct. 9, 2013 |
Lee Chi Ling, et al.
|
| LR-22836 |
Oct. 8, 2013 |
Edward M. Laborio, Jonathan Fraiman, Matthew K. Lazar, Envit Capital, LLC, Envit Capital Group, Inc., Envit Capital Holdings, Inc., Envit Capital Private Wealth Management, LLC, Envit Capital Multi Strategy Mixed Investment Fund I LP, Aetius Group PLC, and Aetius Group LLC
|
| LR-22835 |
Oct. 7, 2013 |
James C. Mulholland, Jr. and Thomas S. Mulholland
|
| LR-22834 |
Oct. 7, 2013 |
Nguyen et al.
|
| LR-22833 |
Oct. 4, 2013 |
China MediaExpress Holdings, Inc. and Zheng Cheng
|
| LR-22832 |
Oct. 3, 2013 |
Edwin Yoshihiro Fujinaga, MRI International, Inc., and CSA Service Center, LLC
|
| LR-22831a |
Oct. 2, 2013 |
Philip A. Falcone, Harbinger Capital Partners Offshore Manager, L.L.C. and Harbinger Capital Partners Special Situations GP, L.L.C. and Harbinger Capital Partners LLC, Philip A. Falcone and Peter A. Jenson |
| LR-22830 |
Oct. 2, 2013 |
Brett A. Cooper, Global Funding Systems LLC, Dream Holdings, LLC, Fortitude Investing, LLC, Peninsula Waterfront Development, LP, and REOP Group Inc. and David H. Frederickson and The Law Offices of David H. Frederickson
See also SEC Complaints: Brett A. Cooper, et al. and David H. Frederickson, et al.
|
| LR-22829 |
Oct. 2, 2013 |
Petro-Suisse Ltd. and Mark Gasarch
|
| LR-22828 |
Oct. 2, 2013 |
Jeremy Fisher, The Good Life Financial Group, Inc., and The Good Life Global, LLC
See also: SEC Complaint
|
| Third Quarter |
| LR-22827 |
Sep. 30, 2013 |
Jenny E. Coplan
See also: SEC Complaint
|
| LR-22826 |
Sep. 27, 2013 |
Frank Dappah and Yatalie Capital Management, et al.
|
| LR-22825 |
Sep. 27, 2013 |
Vitesse Semiconductor Corporation, Louis R. Tomasetta, Eugene F. Hovanec, Yatin D. Mody, and Nicole R. Kaplan
Other Release No.: AAER-3495
|
| LR-22824 |
Sep. 27, 2013 |
Irwin Boock, et al.
|
| LR-22823 |
Sep. 27, 2013 |
Universal Travel Group, Jiangping Jiang and Jing Xie
Other Release No.: AAER-3494
|
| LR-22822 |
Sep. 27, 2013 |
OM Investment Management LLC, Gignesh Movalia, and Edwin V. Gaw
See also: SEC Complaint
|
| LR-22821 |
Sep. 27, 2013 |
Brian K. Velten
|
| LR-22820 |
Sep. 27, 2013 |
William Dean Chapman, Jr., Alexander Capital Markets, LLC, and Alexander Financial LLC
|
| LR-22819 |
Sep. 26, 2013 |
Chan Tze Ngon and Jiang Xiangyuan
See also: SEC Complaint
|
| LR-22818 |
Sep. 26, 2013 |
Ronald E. Walblay, Energy Securities, Inc., and RyHolland Fielder, Inc.
See also: SEC Complaint
|
| LR-22817 |
Sep. 26, 2013 |
Mercantile Bancorp, Inc.
Other Release No.: AAER-3493
See also: SEC Complaint
|
| LR-22816 |
Sep. 26, 2013 |
ImageXpres Corporation, et al.
|
| LR-22815 |
Sep. 26, 2013 |
Thought Development, Inc. and Alan Amron
See also: SEC Complaint
|
| LR-22814 |
Sep. 26, 2013 |
Advanced Equity Partners, LLC, Premiere Consulting, LLC, Peter Kirschner and Stuart Rubens
See also: SEC Complaint
|
| LR-22813 |
Sep. 25, 2013 |
Troy Lyndon and Ronald Zaucha
Other Release No.: AAER-3492
See also: SEC Complaint
|
| LR-22812 |
Sep. 25, 2013 |
Yusaf Jawed, Grifphon Asset Management, LLC, and Grifphon Holdings, LLC
|
| LR-22811 |
Sep. 25, 2013 |
Larry R. Polhill
See also: SEC Complaint
|
| LR-22810 |
Sep. 23, 2013 |
Frank A. Spinosa
|
| LR-22809 |
Sep. 23, 2013 |
Lawrence J. Robbins
|
| LR-22808 |
Sep. 23, 2013 |
Stephen L. Kirkland and The Kirkland Organization, Inc.
See also: SEC Complaint
|
| LR-22807 |
Sep. 23, 2013 |
Jing Wang and Gary Yin
See also: SEC Complaint
|
| LR-22806 |
Sep. 23, 2013 |
Kieran Taylor
|
| LR-22805 |
Sep. 23, 2013 |
Benjamin Sydney Staples, et al.,
See also: SEC Complaint
|
| LR-22804 |
Sep. 20, 2013 |
Jenifer E. Hoffman, John C. Boschert, and Bryan T. Zuzga
|
| LR-22803 |
Sep. 20, 2013 |
Tibor Klein and Michael Shechtman (Corrected)
See also: SEC Complaint
|
| LR-22802 |
Sep. 19, 2013 |
Axius, Inc., Roland Kaufmann, and Jean-Pierre Neuhaus
|
| LR-22801 |
Sep. 18, 2013 |
Imaging Diagnostic Systems, Inc., Linda Grable, and Allan Schwartz
Other Release No.: AAER-3486
See also: SEC Complaint
|
| LR-22800 |
Sep. 18, 2013 |
Imperial Petroleum, Inc., et al.
Other Release No.: AAER-3485
|
| LR-22799 |
Sep. 17, 2013 |
Fredrick D. Scott
|
| LR-22798 |
Sep. 17, 2013 |
Joseph Paul Zada
|
| LR-22797 |
Sep. 12, 2013 |
Paul Marshall, Bridge Securities, LLC a/k/a Bridge Financial, Bridge Equity, Inc. and FOGFuels, Inc.
See also: SEC Complaint
|
| LR-22796 |
Sep. 11, 2013 |
True North Finance Corp., et al.
Other Release No.: AAER-3478
|
| LR-22795 |
Sep. 10, 2013 |
Creative Capital Consortium, LLC, et. al.
|
| LR-22794 |
Sep. 9, 2013 |
Brian G. Elrod and Nova Dean Pack
See also: SEC Complaint
|
| LR-22793 |
Sep. 9, 2013 |
Projaris Management, LLC et al
See also: SEC Complaint
|
| LR-22792 |
Sep. 9, 2013 |
Bernard H. Butts, Jr., Fotios Geivelis, Jr., also known as Frank Anastasio, Worldwide Funding III Limited LLC, Douglas J. Anisky, Sidney Banner, Express Commercial Capital LLC, James Baggs (Defendants), Bernard H. Butts, Jr. PA, Butts Holding Corporation, Margaret A. Hering, Global Worldwide Funding Ventures, Inc., and PW Consulting Group LLC (Relief Defendants)
See also: SEC Complaint |
| LR-22791 |
Sep. 3, 2013 |
Ronald Feldstein
See also: SEC Complaint
|
| LR-22790 |
Sep. 3, 2013 |
Phillip J. DeZwirek
See also: SEC Complaint
|
| LR-22789 |
Aug. 27, 2013 |
Larry J. Dearman, et al.
See also: SEC Complaint
|
| LR-22788 |
Aug. 27, 2013 |
Jonathan C. Gilchrist
|
| LR-22787 |
Aug. 23, 2013 |
Anthony T. Vicidomine and North East Capital, LLC
See also: Application
|
| LR-22786 |
Aug. 22, 2013 |
Thomas S. Wu, Ebrahim Shabudin, and Thomas T. Yu
Other Release No.: AAER-3477
|
| LR-22785 |
Aug. 21, 2013 |
Giuseppe Pino Baldassarre and Robert Mouallem
|
| LR-22784 |
Aug. 20, 2013 |
Blake Richards
|
| LR-22783 |
Aug. 19, 2013 |
Timothy E. Cook, et al.
|
| LR-22782 |
Aug. 19, 2013 |
Robert Narvett and Shield Management Group, Inc.
See also: SEC Complaint
|
| LR-22781 |
Aug. 15, 2013 |
Conrad M. Black
See also: SEC Complaint
|
| LR-22780 |
Aug. 14, 2013 |
Jack Freedman; Jeffrey L. Schultz and Redfin Network, Inc.; Richard P. Greene and Peter Santamaria; Douglas P. Martin and VHGI Holdings, Inc.; Sheldon R. Simon; Sheldon R. Simon; Thomas Gaffney and Health Sciences Group, Inc.; Stephen F. Molinari and Nationwide Pharmassist Corp.
See also Complaints: Jack Freedman; Jeffrey L. Schultz and Redfin Network, Inc.; Richard P. Greene and Peter Santamaria; Douglas P. Martin and VHGI Holdings, Inc.; Sheldon R. Simon; Thomas Gaffney and Health Sciences Group, Inc.; Mark Balbirer; Stephen F. Molinari and Nationwide Pharmassist Corp.
|
| LR-22779 |
Aug. 14, 2013 |
Javier Martin-Artajo and Julien G. Grout
Other Release No.: AAER-3476
See also: SEC Complaint
|
| LR-22778 |
Aug. 14, 2013 |
Anchor Bancorp Wisconsin, Inc., et al.
Other Release No.: AAER-3475
See also: SEC Complaint
|
| LR-22777 |
Aug. 14, 2013 |
Anthony J. Davian, et al.
See also: SEC Complaint
|
| LR-22776 |
Aug. 13, 2013 |
Gregory N. McKnight, et al.
|
| LR-22775 |
Aug. 12, 2013 |
Joseph M. Tocci
See also: SEC Complaint
|
| LR-22774 |
Aug. 8, 2013 |
Steven B. Heinz, S.B. Heinz & Associates, Inc.
See also: SEC Complaint
|
| LR-22773 |
Aug. 8, 2013 |
Michael H. Taber, CPA
Other Release No.: AAER-3474
See also: Application
|
| LR-22772 |
Aug. 7, 2013 |
Bank of America, N.A., Banc of America Mortgage Securities, Inc., and Merrill Lynch, Fenner, Pierce & Smith LLC
See also: SEC Complaint
|
| LR-22771 |
Aug. 6, 2013 |
Cort Poyner and Mohammed Dolah
See also: SEC Complaint
|
| LR-22770 |
Aug. 5, 2013 |
John G. Rizzo
See also: SEC Complaint
|
| LR-22769 |
Aug. 2, 2013 |
Chad C. McGinnis and Sergey Pugach, Defendants, and Bella Pugach, Relief Defendant
See also: SEC Complaint
|
| LR-22768 |
Aug. 1, 2013 |
Cedric Cañas Maillard and Julio Marín Ugedo
|
| LR-22767 |
Aug. 1, 2013 |
Banc de Binary Ltd.
|
| LR-22766 |
Jul. 31, 2013 |
David Lee, et al.
|
| LR-22765 |
Jul. 31, 2013 |
Gandy, et al.
See also: SEC Complaint
|
| LR-22764 |
Jul. 30, 2013 |
John M. Sensenig
|
| LR-22763 |
Jul. 30, 2013 |
Richard Lee and Sandeep Aggarwal
See also: SEC Complaint
|
| LR-22762 |
Jul. 26, 2013 |
Stephen B. Gray
See also: SEC Complaint
|
| LR-22761 |
Jul. 25, 2013 |
Richard Lee
|
| LR-22760 |
Jul. 25, 2013 |
Trevor G. Cook, et al.
|
| LR-22759 |
Jul. 25, 2013 |
Geoffrey J. Eiten and National Financial Communications Corp.
|
| LR-22758 |
Jul. 25, 2013 |
Jauyo ("Jason") Lee and Victor Chen
|
| LR-22757 |
Jul. 25, 2013 |
Mitchell S. Drucker
|
| LR-22756 |
Jul. 25, 2013 |
Jorge Bravo, Jr.
|
| LR-22755 |
Jul. 22, 2013 |
China Intelligent Lighting and Electronics, Inc. et al.
Other Release No.: AAER-3484
See also: SEC Complaint
|
| LR-22754 |
Jul. 22, 2013 |
Robert D. Ramnarine
|
| LR-22753 |
Jul. 19, 2013 |
City of Miami, Florida, and Michael Boudreaux
See also: SEC Complaint
|
| LR-22752 |
Jul. 18, 2013 |
Steven Palladino, et al.
|
| LR-22751 |
Jul. 12, 2013 |
Syndicated Food Service International, Inc., et al.,
|
| LR-22750 |
Jul. 12, 2013 |
Kevin G. White, KGW Capital Management, LLC, Revelation Forex Fund, L.P., RFF GP, LLC, Meridian Propane, L.P., and W Corporate Real Estate L.P. d/b/a KGW Real Estate
See also: SEC Complaint
|
| LR-22749 |
Jul. 11, 2013 |
Matthew J. Gagnon
|
| LR-22748 |
Jul. 11, 2013 |
Bryan Arias, et. al. (Corrected)
|
| LR-22747 |
Jul. 9, 2013 |
One or More Unknown Traders in the Securities of Onyx Pharmaceuticals, Inc.
See also: SEC Complaint
|
| LR-22746 |
Jul. 9, 2013 |
Stewart A. Merkin
|
| LR-22745 |
Jul. 8, 2013 |
William Todd Peever and Philip James Curtis
|
| LR-22744 |
Jul. 8, 2013 |
John Fowler, Jeffrey Fowler, and Julianne Chalmers
|
| LR-22743 |
Jul. 8, 2013 |
EagleEye Asset Management, LLC and Jeffrey A. Liskov
|
| LR-22742 |
Jul. 3, 2013 |
Magdalena Tavella, et al.
See also: SEC Complaint
|
| LR-22741 |
Jul. 2, 2013 |
Subramanian Krishnan
Other Release No.: AAER-3471
|
| LR-22740 |
Jul. 2, 2013 |
Armand R. Franquelin and Martin A. Pool
See also: SEC Complaint
|
| LR-22739 |
Jul. 1, 2013 |
Fuqi International, Inc. and Yu Kwai Chong
Other Release No.: AAER-3483
See also: SEC Complaint
|
| LR-22738 |
Jul. 1, 2013 |
Mack D. Murrell, et al.
See also: SEC Complaint
|
| LR-22737 |
Jul. 1, 2013 |
Bret Boteler
See also: SEC Complaint
|
| LR-22736 |
Jul. 1, 2013 |
Infinity Exploration, LLC, et al.
See also: SEC Complaint
|
| Second Quarter |
| LR-22735 |
Jun. 27, 2013 |
JBI, Inc., John Bordynuik and Ronald Baldwin, Jr.
Other Release No.: AAER-3466
|
| LR-22734 |
Jun. 27, 2013 |
Matthew C. Devlin, et al.
|
| LR-22733 |
Jun. 26, 2013 |
Imaging3, Inc. & Dean Janes
See also: SEC Complaint
|
| LR-22732 |
Jun. 21, 2013 |
Robert Hurd, Your Best Memories International Inc. and Kenneth Gross
See also: SEC Complaint
|
| LR-22731 |
Jun. 20, 2013 |
China MediaExpress Holdings, Inc. and Zheng Cheng
See also: SEC Complaint
|
| LR-22730 |
Jun. 19, 2013 |
David F. Bahr
See also: SEC Complaint
|
| LR-22729 |
Jun. 19, 2013 |
Thomas G. Massey
|
| LR-22728A |
Jun. 18, 2013 |
Duncan J. MacDonald, III and Gloria Solomon
See also: SEC Complaint
|
| LR-22727 |
Jun. 14, 2013 |
James Fry
|
| LR-22726 |
Jun. 12, 2013 |
Reema D. Shah and Robert W. Kwok
|
| LR-22725 |
Jun. 12, 2013 |
Victor Dosti and Whittier Trust Company
|
| LR-22724 |
Jun. 12, 2013 |
Bridge Securities, LLC, et al.
|
| LR-22723 |
Jun. 11, 2013 |
Leslie J. Jacobs, II, and Andrew W. Jacobs
See also: SEC Complaint
|
| LR-22722 |
Jun. 11, 2013 |
Blake Richards
|
| LR-22721 |
Jun. 11, 2013 |
Cutillo et al.
|
| LR-22720 |
Jun. 10, 2013 |
MayfieldGentry Realty Advisors, LLC, et al.
See also: SEC Complaint
|
| LR-22719 |
Jun. 7, 2013 |
China Natural Gas, Inc. and Qinan Ji
Other Release No.: AAER-3463
|
| LR-22718 |
Jun. 7, 2013 |
Banc de Binary Ltd.
See also: SEC Complaint
|
| LR-22717 |
Jun. 7, 2013 |
Bruce W. Tomlinson
|
| LR-22716 |
|
(Intentionally omitted)
|
| LR-22715 |
Jun. 5, 2013 |
Thomas Fisher, et al.
|
| LR-22714 |
Jun. 5, 2013 |
Laidlaw Energy Group, Inc. and Michael Bartoszek
See also: SEC Complaint
|
| LR-22713 |
Jun. 3, 2013 |
Thomas Rubin, Christopher Scott, et al.
See also: SEC Complaint
|
| LR-22712 |
Jun. 3, 2013 |
Detroit Memorial Partners, LLC and Mark Morrow
See also: SEC Complaint
|
| LR-22711 |
Jun. 3, 2013 |
PACCAR Inc, et al.
Other Release No.: AAER-3462
See also: SEC Complaint
|
| LR-22710 |
May 31, 2013 |
Robert A. Gist, et al.
See also: SEC Complaint
|
| LR-22709 |
May 30, 2013 |
MedLink International, Inc., Aurelio Vuono, and James Rose
|
| LR-22708 |
May 30, 2013 |
John A. Grant, Sage Advisory Group, LLC and Benjamin Lee Grant
|
| LR-22707 |
May 24, 2013 |
Daniel Bergin, et al.
See also: SEC Complaint
|
| LR-22706 |
May 23, 2013 |
Blake Richards
See also: SEC Complaint
|
| LR-22705 |
May 22, 2013 |
John Anthony Stilwell, Dr. Michael Curtis Moore, and Jillian Margaret Murphy
See also: SEC Complaint
|
| LR-22704 |
May 20, 2013 |
Ren Hu
|
| LR-22703 |
May 17, 2013 |
Charles J. Dushek, et al.
See also: SEC Complaint
|
| LR-22702 |
May 17, 2013 |
Robert Fowler and US Capital Funding II Series Trust 1, Inc. a/k/a US Capital Investments II (HK) Limited
See also: SEC Complaint
|
| LR-22701 |
May 16, 2013 |
Deer Hill Financial Group, LLC, et al.
|
| LR-22700 |
May 15, 2013 |
Matthew C. Devlin, et al.
|
| LR-22699 |
May 15, 2013 |
RINO International Corporation, Dejun "David" Zou, and Jianping "Amy" Qiu
Other Release No.: AAER-3482
See also: SEC Complaint
|
| LR-22698 |
May 8, 2013 |
Subaye, Inc. and James T. Crane
Other Release No.: AAER-3458
See also: SEC Complaint
|
| LR-22697 |
May 7, 2013 |
Richard Verdiramo, Vincent L. Verdiramo, Edward Meyer, Jr., and Victoria Chen
See also: SEC Complaint
|
| LR-22696 |
May 3, 2013 |
Grant Ivan Grieve, Finvest Asset Management, LLC, and Finvest Fund Management, LLC
|
| LR-22695 |
May 3, 2013 |
Kevin J. Wilcox, Jennifer E. Thoennes, and Eric R. Nelson
|
| LR-22694 |
May 1, 2013 |
Steven Palladino, et al.
See also: SEC Complaint
|
| LR-22693 |
May 1, 2013 |
Well Advantage Limited, et al.
|
| LR-22692 |
Apr. 30, 2013 |
A.L. Waters Capital, LLC, et al.
|
| LR-22691 |
Apr. 30, 2013 |
Adondakis, et al.
|
| LR-22690 |
Apr. 29, 2013 |
City of Victorville, et al.
See also: SEC Complaint
|
| LR-22689 |
Apr. 26, 2013 |
InnoVida Holdings LLC, et al.
|
| LR-22688 |
Apr. 26, 2013 |
John Michael Kelly, et al.
Other Release No.: AAER-3457
|
| LR-22687 |
Apr. 26, 2013 |
Hilton, et al..
|
| LR-22686 |
Apr. 26, 2013 |
Joshua Constantin, et al. |
| LR-22685 |
Apr. 25, 2013 |
USA Real Estate Fund 1, Inc. and Daniel F. Peterson
See also: SEC Complaint
|
| LR-22684 |
Apr. 23, 2013 |
Zufelt, et al.
|
| LR-22683 |
Apr. 23, 2013 |
Gibraltar Global Securities Inc., and Warren A. Davis
See also: SEC Complaint
|
| LR-22682 |
Apr. 22, 2013 |
Mark D. Begelman
|
| LR-22681 |
Apr. 19, 2013 |
Linda Woolf, Hands On Capital, Inc., et al.
|
| LR-22680 |
Apr. 18, 2013 |
Andrew Farmer and Iridium Capital, Ltd.
|
| LR-22679 |
Apr. 17, 2013 |
Joseph M. Mancuso
See also: SEC Complaint
|
| LR-22678 |
Apr. 17, 2013 |
Jauyo (“Jason”) Lee and Victor Chen
|
| LR-22677 |
Apr. 16, 2013 |
Jeffrey Stebbins and Corbin Jones
See also: SEC Complaint
|
| LR-22676 |
Apr. 16, 2013 |
Uriel Sharef, et al.
|
| LR-22675 |
Apr. 16, 2013 |
True North Finance Corp., et al.
|
| LR-22674 |
Apr. 16, 2013 |
Richard Bruce Moore
See also: SEC Complaint
|
| LR-22673 |
Apr. 16, 2013 |
Inter Reef, Ltd. dba Profitable Sunrise, Melland Company S.R.O., Color Shock S.R.O., Solutions Company S.R.O. and Fortuna-K S.R.O.
See also: SEC Complaint
|
| LR-22672 |
Apr. 16, 2013 |
Parker Drilling Company
Other Release No.: AAER-3454
See also: SEC Complaint
|
| LR-22671 |
Apr. 15, 2013 |
David Miller
See also: SEC Complaint
|
| LR-22670 |
Apr. 11, 2013 |
Scott London et al.
See also: SEC Complaint
|
| LR-22669 |
Apr. 8, 2013 |
Glenn Hoppes, United States Energy Corp., TN-KY Development Fund LP, TN-KY Development Fund II LP and TN-KY Development Fund III LP
See also: SEC Complaint
|
| LR-22668 |
Apr. 8, 2013 |
Matthew John Ryan, et al.
|
| LR-22667 |
Apr. 5, 2013 |
Inofin, Inc., Michael J. Cuomo, Kevin J. Mann, Sr., Melissa George, Thomas Kevin Keough, David Affeldt, and Nancy Keough
|
| LR-22666 |
Apr. 5, 2013 |
Inter Reef, Ltd. dba Profitable Sunrise, Melland Company S.R.O., Color Shock S.R.O., Solutions Company S.R.O. and Fortuna-K S.R.O.
See also: SEC Complaint
|
| LR-22665 |
Apr. 3, 2013 |
Garfield Taylor, Inc., et al.
|
| LR-22664 |
Apr. 1, 2013 |
John J. Bravata, et al. |
| LR-22663 |
Apr. 1, 2013 |
Well Advantage Limited, et al.
See also: SEC Complaint
|
| LR-22662 |
Apr. 1, 2013 |
Sigma Capital Management, LLC, et al.
|
| First Quarter |
| LR-22661 |
Mar. 29, 2013 |
Lowell Gene "Bob" Hancher, et al.
|
| LR-22660 |
Mar. 26, 2013 |
Matthew G. Teeple, David T. Riley, and John V. Johnson
|
| LR-22659 |
Mar. 22, 2013 |
Juan Carlos Bertini
See also: SEC Complaint
|
| LR-22658 |
Mar. 22, 2013 |
Rajarengan (a/k/a Rengan) Rajaratnam
|
| LR-22657 |
Mar. 22, 2013 |
Joseph Grendys et al.
Other Release No.: AAER-3449
|
| LR-22656 |
Mar. 22, 2013 |
Timothy J. Roth, et al.
|
| LR-22655 |
Mar. 20, 2013 |
Andrey C. Hicks
|
| LR-22654 |
Mar. 20, 2013 |
3 Eagles Research & Development LLC, Harry Dean Proudfoot III, Matthew Dale Proudfoot, Laurie Anne Vrvilo and Dennis Ashley Bukantis
|
| LR-22653 |
Mar. 20, 2013 |
Douglas F. Whitman and Whitman Capital, LLC
|
| LR-22651 |
Mar. 19, 2013 |
E-Monee.com, Inc. et al.
|
| LR-22652 |
Mar. 19, 2013 |
Gary J. Martel, d/b/a Martel Financial Group and MFG Funding
|
| LR-22650 |
Mar. 19, 2013 |
Sigma Capital Management, LLC et al.
See also: SEC Complaint
|
| LR-22649 |
Mar. 19, 2013 |
K2 Unlimited, Inc., 211 Ventures, LLC, Diane Glatfelter, Robert Rice, and Robert Anderson
See also: SEC Complaint
|
| LR-22648 |
Mar. 19, 2013 |
Gregg D. Caplitz, et al.
See also: SEC Complaint
|
| LR-22647 |
Mar. 18, 2013 |
CR Intrinsic Investors, LLC et al.
See also: SEC Complaint
|
| LR-22646 |
Mar. 15, 2013 |
Mercury Interactive, LLC (f/k/a Mercury Interactive Corporation), Amnon Landan, Sharlene Abrams, Douglas Smith, and Susan Skaer
|
| LR-22645 |
Mar. 15, 2013 |
Carrillo Huettel LLP, et al.
|
| LR-22633A |
Mar. 14, 2013 |
J.C. Reed & Company, Inc., J.C. Reed Advisory Group, LLC, Barron A. Mathis, and Estate of John C. Reed, Lana L. Reed, Executor
|
| LR-22644 |
Mar. 14, 2013 |
Edmund E. Wilson and Walter L. Ross
See also: SEC Complaint
|
| LR-22643 |
Mar. 13, 2013 |
Securities and Exchange Commission v. Frederick J. O’Meally et al.
|
| LR-22642 |
Mar. 12, 2013 |
Alvin R. Brown, First Choice Investment, Inc. and Advanced Corporate Enterprises, Inc. d/b/a A-Corp Enterprises a/k/a ACorp Development a/k/a A-Corp Investment
See also: SEC Complaint
|
| LR-22641 |
Mar. 12, 2013 |
Alexander John Hunter and Thomas Edward Hunter |
| LR-22640 |
Mar. 11, 2013 |
Michael Dale Lackey
See also: SEC Complaint
|
| LR-22639 |
Mar. 8, 2013 |
Inteligentry, Ltd., PlasmERG, Inc., PTP Licensing, Ltd. and John P. Rohner
See also: SEC Complaint
|
| LR-22638 |
Mar. 8, 2013 |
Brian R. Reiss
|
| LR-22637 |
Mar. 7, 2013 |
Scott I. Kupersmith, et al.
|
| LR-22636 |
Mar. 7, 2013 |
Robert Crane
See also: SEC Complaint
|
| LR-22635 |
Mar. 7, 2013 |
M. Mark McAdams and R. Dane Freeman
|
| LR-22634 |
Mar. 7, 2013 |
Gerald D. Kegley, et al.
|
| LR-22633 |
Mar. 7, 2013 |
J.C. Reed & Company, Inc., J.C. Reed Advisory Group, LLC, Barron A. Mathis, and Estate of John C. Reed, Lana L. Reed, Executor
|
| LR-22632 |
Mar. 5, 2013 |
Colin McCabe (D/B/A Elite Stock Report, The Stock Profiteer, and Resource Stock Advisor)
See also: SEC Complaint
|
| LR-22631 |
Mar. 4, 2013 |
Randal Kent Hansen, et al.
See also: SEC Complaint
|
| LR-22630 |
Mar. 1, 2013 |
Falcon Ridge Development, Inc., et al.
See also: SEC Complaint |
| LR-22629 |
Mar. 1, 2013 |
LocatePlus Holdings Corporation, Jon Latorella and James Fields
|
| LR-22628 |
Feb. 28, 2013 |
Walter Ng, Kelly Ng, Bruce Horwitz, and The Mortgage Fund, LLC
|
| LR-22627 |
Feb. 28, 2013 |
Keyuan Petrochemicals, Inc. and Aichun Li
Other Release No.: AAER-3447
See also: SEC Complaint |
| LR-22626 |
Feb. 27, 2013 |
Dynkowski, et al.
|
| LR-22625 |
Feb. 26, 2013 |
New Stream Capital, LLC, New Stream Capital (Cayman), Ltd., David A. Bryson, Bart C. Gutekunst, Richard Pereira, and Tara Bryson, et al.
See also: SEC Complaint |
| LR-22624 |
Feb. 26, 2013 |
Fernando J. Espuelas et al.
Other Release No.: AAER-3446
|
| LR-22623 |
Feb. 21, 2013 |
Mercury Interactive, LLC (f/k/a Mercury Interactive Corporation), Amnon Landan, Sharlene Abrams, Douglas Smith, and Susan Skaer
|
| LR-22622 |
Feb. 20, 2013 |
ABS Manager, LLC et. al.
See also: SEC Complaint
|
| LR-22621 |
Feb. 20, 2013 |
Douglas F. Vaughan
|
| LR-22620 |
Feb. 19, 2013 |
One or More Unknown Traders in the Securities of H.J. Heinz Company
See also: SEC Complaint
|
| LR-22619 |
Feb. 15, 2013 |
Sean David Morton, Vajra Productions, LLC, 27 Investments, LLC, and Magic Eight Ball Distributing, Inc., defendants, and Melissa Morton and Prophecy Research Institute, relief defendants
|
| LR-22618 |
Feb. 15, 2013 |
Delsa U. Thomas, et al.
|
| LR-22617 |
Feb. 13, 2013 |
Igor Poteroba, Aleksey Koval, Alexander Vorobiev, and Relief Defendants Tatiana Vorobieva and Anjali Walter
|
| LR-22616 |
Feb. 12, 2013 |
Howard Brett Berger and Michelle Berger
|
| LR-22615 |
Feb. 8, 2013 |
A Chicago Convention Center, LLC, Anshoo Sethi, and Intercontinental Regional Center Trust of Chicago, LLC
See also: SEC Complaint |
| LR-22614 |
Feb. 7, 2013 |
Michael W. Perry et al.
|
| LR-22613 |
Feb. 6, 2013 |
Harrold
|
| LR-22612 |
Feb. 6, 2013 |
James Balchan
See also: SEC Complaint |
| LR-22611 |
Feb. 5, 2013 |
Garfield Taylor, Inc., et al.
|
| LR-22610 |
Feb. 5, 2013 |
Patrick M. Carroll, James P. Carroll, William T. Carroll, David Mark Calcutt, Christopher Calcutt, David Stitt, John Monroe and Stephen Somers
|
| LR-22609 |
Feb. 5, 2013 |
Timothy J. Roth, et al.
|
| LR-22608 |
Feb. 4, 2013 |
We The People, Inc., of The United States; Richard K. Olive and Susan L. Olive; William G. Reeves, Esq.
See also Complaints: Olives; We The People; Reeves |
| LR-22607 |
Jan. 30, 2013 |
Barry J. Graham, Fred Davis Clark, Jr., a/k/a Dave Clark, Cristal R. Coleman, a/k/a Cristal Clark, David W. Schwarz, Ricky Lynn Stokes
See also: SEC Complaint
|
| LR-22606 |
Jan. 30, 2013 |
Blake R. Wellington and Daniel J. Vance
|
| LR-22605 |
Jan. 30, 2013 |
Kurt S. Hovan, et al.
|
| LR-22604 |
Jan. 29, 2013 |
Jonathan R. Curshen, et al.
|
| LR-22603 |
Jan. 29, 2013 |
Firas A. Hamdan, individually and doing business as FAH Capital Partners
See also: SEC Complaint
|
| LR-22602 |
Jan. 29, 2013 |
Jesse C. Litvak
See also: SEC Complaint
|
| LR-22601 |
Jan. 24, 2013 |
Randy M. Cho
|
| LR-22600 |
Jan. 24, 2013 |
AutoChina International Limited, Hui Kai Yan, Rui Ge Dong, Victory First Limited, Rainbow Yield Limited, Yong Qi Li, Ai Xi Ji, Ye Wang, Zhong Wen Zhang, Li Xin Ma, Yong Li Li, and Shu Ling Li
|
| LR-22599 |
Jan. 23, 2013 |
Jonathan C. Gilchrist
See also: SEC Complaint
|
| LR-22598 |
Jan. 23, 2013 |
Christopher Castaldo, et al.
|
| LR-22597 |
Jan. 22, 2013 |
Kenneth A. Dachman, et al.
|
| LR-22596 |
Jan. 17, 2013 |
John M. Darden III
See also: SEC Complaint
|
| LR-22595 |
Jan. 17, 2013 |
Eric D. Rogers
See also: SEC Complaint
|
| LR-22594 |
Jan. 15, 2013 |
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.
|
| LR-22593 |
Jan. 15, 2013 |
Andreas Badian, et al.
|
| LR-22592 |
Jan. 14, 2013 |
Christel S. Scucci, et al.
|
| LR-22591 |
Jan. 11, 2013 |
Gary J. Martel, D/B/A Martel Financial Group and MFG Funding
|
| LR-22590 |
Jan. 11, 2013 |
Exotics.com, Inc., et al.
|
| LR-22589 |
Jan. 11, 2013 |
Volt Information Sciences, Inc. and Debra L. Hobbs and Jack J. Egan, Jr.
Other Release No.: AAER-3439
|
| LR-22588 |
Jan. 9, 2013 |
Chetan Kapur; Lilaboc, LLC d/b/a ThinkStrategy Capital Management, LLC
|
| LR-22587 |
Jan. 9, 2013 |
Edward J. Woodard, Jr., Cynthia A. Sabol, CPA and Stephen G. Fields
Other Release No.: AAER-3437
See also: SEC Complaint
|
| LR-22586 |
Jan. 4, 2013 |
Spongetech Delivery Systems, Inc., RM Enterprises International, Inc., Steven Y. Moskowitz, Michael E. Metter, George Speranza, Joel Pensley and Jack Halperin
|
| LR-22585 |
Jan. 3, 2013 |
Nekekim Corp. and Kenneth W. Carlton
See also: SEC Complaint
|
| LR-22584 |
Jan. 3, 2013 |
Yan K. Skwara et al.
|
| LR-22583 |
Jan. 2, 2013 |
Online-Registries, Inc. and David Stern
|
http://www.sec.gov/litigation/litreleases.shtml
|
