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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-23169 |
Dec. 23, 2014 |
Efstratios “Elias” D. Argyropoulos and Prima Capital Group, Inc.
|
| LR-23168 |
Dec. 23, 2014 |
E-Monee.com Inc., et al.
|
| LR-23167 |
Dec. 22, 2014 |
Shivbir S. Grewal and Preetinder Grewal
|
| LR-23166 |
Dec. 22, 2014 |
Howard B. Present
See also: SEC Complaint
|
| LR-23165 |
Dec. 19, 2014 |
Frank A. Dunn, et al.
Other Release No.: AAER-3617
|
| LR-23164 |
Dec. 19, 2014 |
Zhunrize, Inc.
|
| LR-23163 |
Dec. 19, 2014 |
Premier Links, Inc., et al.
|
| LR-23162 |
Dec. 18, 2014 |
Joseph Saranello and Ruettiger, et al.
|
| LR-23161 |
Dec. 18, 2014 |
Robert J. Hahn-Baiyor
|
| LR-23159 |
Dec. 17, 2014 |
Avon Products, Inc.
Other Release No.: AAER-3616
See also: SEC Complaint
|
| LR-23158 |
Dec. 15, 2014 |
Treaty Energy Corporation, et al.
See also: SEC Complaint
|
| LR-23157 |
Dec. 15, 2014 |
Douglas Furth
See also: SEC Complaint
|
| LR-23156 |
Dec. 12, 2014 |
Donald L. Johnson, et al. (Corrected)
|
| LR-23155 |
Dec. 11, 2014 |
Bill C. (Billy) Crafton
See also: SEC Complaint
|
| LR-23154 |
Dec. 9, 2014 |
Richard Weed
|
| LR-23153 |
Dec. 9, 2014 |
George H. Holley, et al.; Robert J. Hahn-Baiyor
|
| LR-23152 |
Dec. 8, 2014 |
Servergy, Inc.
|
| LR-23151 |
Dec. 8, 2014 |
Reema D. Shah and Robert W. Kwok
|
| LR-23150 |
Dec. 5, 2014 |
J. Patrick O'Neill and Robert H. Bray
|
| LR-23149 |
Dec. 5, 2014 |
City of Harvey, Illinois, et al.
|
| LR-23148 |
Dec. 4, 2014 |
Patrick G. Rooney, et al.
|
| LR-23147 |
Dec. 4, 2014 |
Matthew Carley
See also: SEC Complaint
|
| LR-23146 |
Dec. 2, 2014 |
Levi Lindemann
See also: SEC Complaint
|
| LR-23145 |
Dec. 2, 2014 |
Vinay Kumar Nevatia
See also: SEC Complaint
|
| LR-23144 |
Nov. 26, 2014 |
Paul R. Downey, et al.
See also: SEC Complaint
|
| LR-23143 |
Nov. 25, 2014 |
Hold Brothers On-Line Investment Services, LLC, now known as Tafferer Trading, LLC, Gregory Hold, and Steven Hold
See also: SEC Complaint
|
| LR-23142 |
Nov. 25, 2014 |
D. Michael Donnelly
See also: SEC Complaint
|
| LR-23141 |
Nov. 25, 2014 |
Robert Benou, Marc Benou, and Conolog Corporation
|
| LR-23140 |
Nov. 24, 2014 |
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-23139 |
Nov. 24, 2014 |
Jeremy Fisher, The Good Life Financial Group, Inc., and The Good Life Global, LLC
|
| LR-23138 |
Nov. 21, 2014 |
William E. Redmond, Jr., and Stefano Signorastri
|
| LR-23137 |
Nov. 21, 2014 |
Anthony J. Thompson, Jr., Jay Fung, and Eric Van Nguyen
|
| LR-23136 |
Nov. 19, 2014 |
Albert J. Scipione
See also: SEC Complaint
|
| LR-23135 |
Nov. 19, 2014 |
Forum National Investments Ltd., et al.
See also: SEC Complaint
|
| LR-23134 |
Nov. 17, 2014 |
Joseph A. Noel
See also: SEC Complaint
|
| LR-23133 |
Nov. 14, 2014 |
CR Intrinsic Investors, LLC et al.
|
| LR-23132 |
Nov. 14, 2014 |
Wilfred T. Azar, III, et al.
|
| LR-23131 |
Nov. 14, 2014 |
J. Patrick O'Neill and Robert H. Bray
|
| LR-23130 |
Nov. 12, 2014 |
Eric W. Johnson
|
| LR-23129 |
Nov. 7, 2014 |
Richard Weed et al.
|
| LR-23128 |
Nov. 5, 2014 |
Rajarengan (a/k/a Rengan) Rajaratnam
|
| LR-23127 |
Nov. 4, 2014 |
James Wheeler and MicroHoldings US, Inc.
|
| LR-23126 |
Oct. 31, 2014 |
Vineet Kalucha et al.
|
| LR-23125 |
Oct. 31, 2014 |
Sasan Sabrdaran and Farhang Afsarpour
|
| LR-23124 |
Oct. 31, 2014 |
Charles E. Smith, CPA and Mark Smith, CPA
|
| LR-23123 |
Oct. 30, 2014 |
Timothy J. Coughlin, et al.
|
| LR-23122 |
Oct. 28, 2014 |
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
|
| LR-23121 |
Oct. 28, 2014 |
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-23120 |
Oct. 28, 2014 |
eAdGear, Inc., et al.
|
| LR-23119 |
Oct. 27, 2014 |
Zachary Zwerko and David L. Post
|
| LR-23118 |
Oct. 24, 2014 |
Stephen E. Slawson
See also: SEC Complaint
|
| LR-23117 |
Oct. 24, 2014 |
Recycle Tech, Inc., et al.,
|
| LR-23116 |
Oct. 21, 2014 |
Subaye, Inc. and James T. Crane
|
| LR-23115 |
Oct. 17, 2014 |
Dennis F. Wright
|
| LR-23114 |
Oct. 15, 2014 |
Stephen D. Ferrone, et al.
|
| LR-23113 |
Oct. 15, 2014 |
Zachary Zwerko
|
| LR-23112 |
Oct. 15, 2014 |
iShopNoMarkup.com, Inc., et al.
|
| LR-23111 |
Oct. 10, 2014 |
Edwin Yoshihiro Fujinaga and MRI International, Inc., et al.
|
| LR-23110 |
Oct. 10, 2014 |
8000, Inc., Jonathan E. Bryant, Thomas J. Kelly, and Carl N. Duncan, Esq.
|
| LR-23109 |
Oct. 10, 2014 |
The Estate of Vincent James Saviano and Palmetto Investments LLC
See also: SEC Complaint
|
| LR-23108 |
Oct. 8, 2014 |
Paul T. Mannion, Jr., et al.
|
| LR-23107 |
Oct. 8, 2014 |
Geoffrey J. Eiten and National Financial Communications Corp.
|
| LR-23106 |
Oct. 8, 2014 |
Nationwide Automated Systems, Inc. et al.
See also: SEC Complaint
|
| LR-23105 |
Oct. 6, 2014 |
Puglisi, et al.
|
| LR-23104A |
Oct. 6, 2014 |
Nikolai Battoo, BC Capital Group S.A. (Panama), BC Capital Group Limited (Hong Kong), and Tracy Lee Sunderlage
|
| LR-23103 |
Oct. 3, 2014 |
Patrick G. Rooney, John R. Rooney, and Positron Corporation
|
| LR-23102 |
Oct. 1, 2014 |
Oscar F. Villarreal
|
| Third Quarter |
| LR-23101 |
Sep. 30, 2014 |
George B. Franz III
|
| LR-23100 |
Sep. 30, 2014 |
Dennis F. Wright
Other Release No.:
See also: SEC Complaint
|
| LR-23098 |
Sep. 30, 2014 |
Wealth Strategy Partners, LC, et al.
|
| LR-23099 |
Sep. 30, 2014 |
Lee Cole, et al.
|
| LR-23097 |
Sep. 30, 2014 |
Thomas Abdallah, et al.
|
| LR-23096 |
Sep. 29, 2014 |
China Valves Technology, Inc., et al.
See also: SEC Complaint
|
| LR-23095 |
Sep. 29, 2014 |
Michael B. Ferguson and Transactions Unlimited
|
| LR-23094 |
Sep. 29, 2014 |
Erick Laszlo Mathe and Ashif Jiwa
See also: SEC Complaint
|
| LR-23093 |
Sep. 25, 2014 |
Marlon Quan, et al.,
|
| LR-23092 |
Sep. 25, 2014 |
Spencer Pharmaceutical Inc., et al.
|
| LR-23091 |
Sep. 23, 2014 |
Zhunrize, Inc.
See also: SEC Complaint
|
| LR-23090 |
Sep. 22, 2014 |
Trendon T. Shavers and Bitcoin Savings and Trust
|
| LR-23089 |
Sep. 22, 2014 |
Frank Tamayo
|
| LR-23088 |
Sep. 19, 2014 |
Craig A. Karlis, et al.
|
| LR-23087 |
Sep. 18, 2014 |
Jason Cope, et al.
See also: SEC Complaint |
| LR-23086 |
Sep. 17, 2014 |
Dimitry Braveman and Vitaly Pupynin
See also: SEC Complaint
|
| LR-23085 |
Sep. 16, 2014 |
Abatement Corp. Holding Company Limited, et al.
See also: SEC Complaint
|
| LR-23084 |
Sep. 16, 2014 |
Joseph D. Stilwell
|
| LR-23083 |
Sep. 15, 2014 |
DDBO Consulting, Inc./CalPacific Equity Group, LLC, et al.
|
| LR-23082 |
Sep. 12, 2014 |
Edward Henderson and Paul Desjourdy
|
| LR-23081 |
Sep. 10, 2014 |
Heart Tronics, Inc., et al.
|
| LR-23080 |
Sep. 9, 2014 |
Steven R. Markusen, et al.
|
| LR-23079 |
Sep. 5, 2014 |
Jesse C. Litvak
|
| LR-23078 |
Sep. 4, 2014 |
Michael Lee and ZipGlobal Holdings, Inc. (Corrected)
|
| LR-23077 |
Sep. 4, 2014 |
Justin Moongyu Lee, et al.
|
| LR-23076 |
|
(Intentionally omitted)
|
| LR-23075 |
Aug. 28, 2014 |
Blake Richards
|
| LR-23074 |
Aug. 26, 2014 |
Michael Anthony Dupre Lucarelli
|
| LR-23073 |
Aug. 26, 2014 |
Oscar F. Villarreal
See also: SEC Complaint
|
| LR-23072 |
Aug. 21, 2014 |
Andrew I. Farmer, et al.
|
| LR-23071 |
Aug. 19, 2014 |
Heidi Ann Gamer, Gamer Economic Systems, LLC, and Gamer Media Partners Corp.
See also: SEC Complaint
|
| LR-23070 |
Aug. 18, 2014 |
J. Patrick O’Neill and Robert H. Bray
See also: SEC Complaint
|
| LR-23069 |
Aug. 15, 2014 |
Moshe Manoah and Blair G. Schlossberg
See also: SEC Complaint
|
| LR-23068 |
Aug. 14, 2014 |
Donald S. Toth and James A. Nash
See also: SEC Complaint
|
| LR-23067 |
Aug. 14, 2014 |
Joseph D. Stilwell
See also: Order to Show Cause; Application and Memorandum
|
| LR-23066 |
Aug. 13, 2014 |
Sage Advisory Group, LLC and Benjamin Lee Grant
|
| LR-23065 |
Aug. 13, 2014 |
Garber et al. (Corrected)
|
| LR-23064 |
Aug. 11, 2014 |
BIH Corporation, et al.
See also: Statement by Andrew Ceresney
|
| LR-23063 |
Aug. 8, 2014 |
Julian R. Brown and Alliance Investment Management Limited
See also: SEC Complaint
|
| LR-23062 |
Aug. 8, 2014 |
AIC, Inc., et al.,
|
| LR-23061 |
Aug. 7, 2014 |
Anthony G. Blumberg
See also: SEC Complaint
|
| LR-23060 |
Aug. 7, 2014 |
Rudolf D. Pameijer, et al.
|
| LR-23059 |
Aug. 4, 2014 |
Walter Ng, Kelly Ng, Bruce Horwitz, and The Mortgage Fund, LLC
|
| LR-23058 |
Aug. 4, 2014 |
John Thornes, Defendant, and Christopher Burnell, Kyle Larick, and Doreen Thornes, Relief Defendants
See also: SEC Complaint
|
| LR-23057 |
Aug. 1, 2014 |
Robert Hurd, Your Best Memories International Inc. and Kenneth Gross
|
| LR-23056 |
Aug. 1, 2014 |
Robert Glenn Bard, et al.
|
| LR-23055 |
Aug. 1, 2014 |
M. "Shi" Shailendra
See also: SEC Complaint
|
| LR-23054 |
Aug. 1, 2014 |
Freedom Foundation, et al.
See also: SEC Complaint
|
| LR-23053 |
Jul. 31, 2014 |
Donna Jessee Tucker
See also: SEC Complaint
|
| LR-23052 |
Jul. 29, 2014 |
MSGI Technology Solutions, Inc., and J. Jeremy Barbera
See also: SEC Complaint
|
| LR-23051 |
Jul. 25, 2014 |
Volt Information Sciences, Inc. and Debra L. Hobbs; Jack J. Egan, Jr.
Other Release Nos.: AAER-3569 and AAER-3570
|
| LR-23050 |
Jul. 24, 2014 |
International Stock Transfer Inc and Cecil Frederick Speight
See also: SEC Complaint
|
| LR-23049 |
Jul. 22, 2014 |
Kevin McGrath
|
| LR-23048 |
Jul. 22, 2014 |
Cedric Cañas Maillard, et al.
|
| LR-23047 |
Jul. 18, 2014 |
Christopher Plummer, Lex M. Cowsert, and CytoGenix, Inc.
See also: SEC Complaint
|
| LR-23046 |
Jul. 17, 2014 |
Abraxas J. Discala, Marc E. Wexler, Matthew A. Bell, Craig L. Josephberg, and Ira Shapiro
See also: SEC Complaint |
| LR-23045 |
Jul. 16, 2014 |
Patrick G. Rooney and Solaris Management, LLC
|
| LR-23044 |
Jul. 15, 2014 |
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)
|
| LR-23043 |
Jul. 11, 2014 |
Robert G. Pearson and Illinois Stock Transfer Company (d/b/a/ ist Shareholder Services)
|
| LR-23042 |
Jul. 11, 2014 |
Tyson D. Williams and Stanley D. Parrish
|
| LR-23041 |
Jul. 11, 2014 |
Michael Affa, Andrew Affa, Mitchell Brown, Christopher Putnam, and Christopher Nix
See also: SEC Complaint
|
| LR-23040 |
Jul. 11, 2014 |
Eric McPhail, et al.
See also: SEC Complaint
|
| LR-23039 |
Jul. 8, 2014 |
John Babikian
|
| LR-23038 |
Jul. 7, 2014 |
Mark A. Jackson and James J. Ruehlen
|
| LR-23037 |
Jul. 3, 2014 |
Bruce Alpert
|
| LR-23036 |
Jul. 2, 2014 |
Todd A. Duckson, et al.
|
| Second Quarter |
| LR-23035 |
Jun. 30, 2014 |
Marcus Luna, Nathan Montgomery, Adam Daskivich, David Murtha, St. Paul Venture Fund LLC, Minnesota Venture Capital, Inc., Real Estate of Minnesota, Inc., Matrix Venture Capital, Inc.
|
| LR-23034 |
Jun. 30, 2014 |
OM Investment Management LLC et al.
|
| LR-23033 |
Jun. 27, 2014 |
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-23032 |
Jun. 26, 2014 |
Cheryl L. Robinson
See also: SEC Complaint
|
| LR-23031 |
Jun. 25, 2014 |
Daryl M. Payton and Benjamin Durant III
See also: SEC Complaint
|
| LR-23030 |
Jun. 24, 2014 |
Vineet Kalucha et al.
|
| LR-23029 |
Jun. 24, 2014 |
Thomas Gaffney et al.
|
| LR-23028 |
Jun. 24, 2014 |
Mark Balbirer
|
| LR-23027 |
Jun. 24, 2014 |
Lance T. Berger
|
| LR-23026 |
Jun. 23, 2014 |
Weston Capital Asset Management LLC, et al.
See also: SEC Complaint |
| LR-23025 |
|
(Intentionally omitted)
|
| LR-23024 |
Jun. 17, 2014 |
John Lazorchak, et al.
|
| LR-23023 |
Jun. 16, 2014 |
Scott Valente et al.
|
| LR-23022 |
Jun. 13, 2014 |
Saleem Khan, et al.
See also: SEC Complaint
|
| LR-23021 |
Jun. 13, 2014 |
Lawrence P. Schmidt, Commercial Equity Partners, Ltd, FutureGen Company (d/b/a FutureGen Capital), FGC Distressed Assets Investment #1, LLC; FutureGen Capital DDA CG Fund LLC; FGC Tax Lien Fund #2, LLC; FGC Trading Fund #1 LLC; FGC SPE NO 1 LLC; FGC SPE NO 2 LLC; and FGC CM Note Fund LLC
|
| LR-23020 |
Jun. 12, 2014 |
Luis Chang and Everbright Development Overseas Limited
See also: SEC Complaint
|
| LR-23019 |
Jun. 11, 2014 |
Robert Hurd, Your Best Memories International Inc. and Kenneth Gross
|
| LR-23018 |
Jun. 10, 2014 |
Michael J. Baron
See also: SEC Complaint |
| LR-23017 |
Jun. 10, 2014 |
Henry Morris, et al.
|
| LR-23016 |
Jun. 10, 2014 |
E-Monee.com, Inc. et al.
|
| LR-23015 |
Jun. 5, 2014 |
Charles J. Dushek, et al.
|
| LR-23014 |
Jun. 4, 2014 |
Giuseppe Pino Baldassarre, Robert Mouallem, and Malcolm Stockdale
|
| LR-23013 |
Jun. 4, 2014 |
Arrowood
|
| LR-23012 |
Jun. 3, 2014 |
Scott Valente and The ELIV Group, LLC
See also: SEC Complaint |
| LR-23011 |
Jun. 2, 2014 |
Nelson J. Obus, Peter F. Black, Thomas Bradley Strickland, et. al.
|
| LR-23010 |
May 30, 2014 |
Steven McCraw
See also: SEC Complaint
|
| LR-23009 |
May 29, 2014 |
Richard K. Olive and Susan L. Olive
|
| LR-23008 |
May 29, 2014 |
Neal V. Goyal, et al.
See also: SEC Complaint
|
| LR-23007 |
May 28, 2014 |
Robert G. Pearson and Illinois Stock Transfer Company d/b/a IST Shareholder Services
See also: SEC Complaint |
| LR-23006 |
May 28, 2014 |
Inofin, Inc., Michael J. Cuomo, Kevin J. Mann, et al.
|
| LR-23005 |
May 28, 2014 |
Gendarme Capital Corporation, et al.
|
| LR-23004 |
May 27, 2014 |
Ronald L. Drewery
|
| LR-23003 |
May 27, 2014 |
DGSE Companies Inc. and I. John Benson
See also: SEC Complaint
|
| LR-23002 |
May 23, 2014 |
Edward Henderson; Paul Desjourdy; Edward Henderson and Paul Desjourdy; James Wheeler; James Wheeler and MicroHoldings US, Inc.; Michael Lee; Michael Lee and ZipGlobal Holdings, Inc.
|
| LR-23001 |
May 23, 2014 |
Frederick J. O’Meally, et al.
|
| LR-23000 |
May 22, 2014 |
Kevin McKnight and Stephen C. Bauer; Jeffrey M. Berkowitz; Eric S. Brown; Richard A. Altomare; Billy V. Ray, Jr., Wade Clark, and Urban AG Corporation
See also Complaints: Kevin McKnight and Stephen C. Bauer; Jeffrey M. Berkowitz; Eric S. Brown; Richard A. Altomare; Billy V. Ray, Jr., Wade Clark, and Urban AG Corporation |
| LR-22999 |
May 22, 2014 |
Glenn Cohen et al.
See also: SEC Complaint
|
| LR-22998 |
May 22, 2014 |
Steven B. Heinz, S.B. Heinz & Associates, Inc.
|
| LR-22997 |
May 21, 2014 |
Gaeton S. Della Penna et al.
See also: SEC Complaint
|
| LR-22996 |
May 19, 2014 |
Franklin M. Chu and Daniel J. Lama
See also Complaints: Franklin M. Chu and Daniel J. Lama
|
| LR-22995 |
May 16, 2014 |
Douglas E. Cowgill and Professional Investment Management, Inc.
|
| LR-22994 |
May 16, 2014 |
Vineet Kalucha et al.
|
| LR-22993 |
May 15, 2014 |
Behrooz Sarafraz
See also: SEC Complaint
|
| LR-22992 |
May 13, 2014 |
TelexFree, Inc. et al.
|
| LR-22991 |
May 13, 2014 |
Derek Cohen, Michael Fleischli and Robert Herman
See also: SEC Complaint
|
| LR-22990 |
May 13, 2014 |
Charles Couch and Couch Oil & Gas, Inc.
See also: SEC Complaint
|
| LR-22989 |
May 12, 2014 |
Herbert Richard Lawson, William B. Lawson, and John J. Cerullo
See also: SEC Complaint
|
| LR-22988 |
May 9, 2014 |
Vineet Kalucha et al.
|
| LR-22987 |
May 7, 2014 |
John Campani, John Mullin, and Alan Posner
|
| LR-22986 |
May 7, 2014 |
S. Paul Kelley, et al.
See also: SEC Complaint
|
| LR-22985 |
May 5, 2014 |
Douglas E. Cowgill and Professional Investment Management, Inc.
|
| LR-22984 |
May 2, 2014 |
Allen Ross Smith
|
| LR-22983 |
Apr. 30, 2014 |
Barry R. Bekkedam
See also: SEC Complaint |
| LR-22982 |
Apr. 30, 2014 |
American Pension Services, Inc. and Curtis DeYoung
|
| LR-22981 |
Apr. 29, 2014 |
Saridakis, et al.
|
| LR-22980 |
Apr. 29, 2014 |
Charles Vista, LLC
|
| LR-22979 |
Apr. 28, 2014 |
Guardian Oil & Gas, Inc., Guardian Oil and Natural Gas, Inc., and Rick D. Mullins
|
| LR-22978 |
Apr. 28, 2014 |
James L. Erwin and Joint Venture Solutions, Inc.
See also: SEC Complaint
|
| LR-22977 |
Apr. 23, 2014 |
Vitale, et al.
See also: SEC Complaint
|
| LR-22976 |
Apr. 23, 2014 |
Gurudeo Persaud
|
| LR-22975 |
Apr. 17, 2014 |
Keith A. Seilhan
See also: SEC Complaint
|
| LR-22974 |
Apr. 17, 2014 |
TelexFree, Inc. et al.
See also: SEC Complaint
|
| LR-22973 |
Apr. 16, 2014 |
Palladino, et al.
|
| LR-22972 |
Apr. 11, 2014 |
Timothy J. Coughlin, et al.
See also: SEC Complaint
|
| LR-22971 |
Apr. 11, 2014 |
K2 Unlimited, Inc., 211 Ventures, LLC, Diane Glatfelter, Robert Rice, and Robert Anderson
|
| LR-22970 |
Apr. 10, 2014 |
Richard T. Posey
|
| LR-22969 |
Apr. 8, 2014 |
JCS Enterprises, Inc. et al.
|
| LR-22968 |
Apr. 8, 2014 |
CVS Caremark Corp.
Other Release No.: AAER-3549
See also: SEC Complaint
|
| LR-22967 |
Apr. 7, 2014 |
Matthew D. Sample
See also: SEC Complaint
|
| LR-22966 |
Apr. 7, 2014 |
The Milan Group, Inc., a/k/a The Milan Trading Group, Inc., et al.
|
| LR-22965 |
Apr. 3, 2014 |
Walter D. Wagner and Alexander J. Osborn
See also: SEC Complaint
|
| LR-22964 |
Apr. 3, 2014 |
Michel Terpins, et al.
|
| LR-22963 |
Apr. 2, 2014 |
John Kinnucan and Broadband Research Corporation
|
| LR-22962 |
Apr. 2, 2014 |
Fredrick D. Scott
|
| LR-22961 |
Apr. 1, 2014 |
Alan Sheinwald and Alliance Advisors LLC
|
| LR-22960 |
Apr. 1, 2014 |
Simon
|
| LR-22959 |
Apr. 1, 2014 |
Molinari and Nationwide Pharmassist Corp.
|
| First Quarter |
| LR-22958 |
Mar. 31, 2014 |
Ching Hwa Chen
|
| LR-22957 |
Mar. 31, 2014 |
Tyrone Hawk
|
| LR-22956 |
Mar. 31, 2014 |
Syndicated Food Services International, Inc., et al.
|
| LR-22955 |
Mar. 31, 2014 |
Schultz and Redfin Network, Inc.
|
| LR-22954 |
Mar. 28, 2014 |
Jason A Halek, Joshua D. Spivey, Patrick J. Booths and Steven J. Little
|
| LR-22953 |
Mar. 28, 2014 |
World Capital Market Inc., et al.
|
| LR-22952 |
Mar. 26, 2014 |
Walter Gerasimowicz, Meditron Asset Management, LLC, and Meditron Management Group, LLC
|
| LR-22951 |
Mar. 26, 2014 |
Bruce L. Grossman and Jonathan R. Curshen
|
| LR-22950 |
Mar. 25, 2014 |
Imaging Diagnostic Systems, Inc., Linda Grable, and Allan Schwartz
|
| LR-22949 |
Mar. 20, 2014 |
Frank Mazzola et al.
|
| LR-22948 |
Mar. 20, 2014 |
Vladimir Eydelman and Steven Metro
|
| LR-22947 |
Mar. 19, 2014 |
Radius Capital Corp. and Robert A. DiGiorgio
|
| LR-22946 |
Mar. 19, 2014 |
David J. Cancian
(Corrected)
See also: SEC Complaint
|
| LR-22945 |
Mar. 19, 2014 |
A Chicago Convention Center, LLC, Anshoo Sethi, and Intercontinental Regional Center Trust of Chicago, LLC
(Corrected)
See also: SEC Complaint
|
| LR-22944 |
Mar. 14, 2014 |
John Babikian
|
| LR-22943 |
Mar. 14, 2014 |
Charles Riel III a/k/a Chuck Riel et al.
See also: Order to Show Cause, Application and Memorandum
|
| LR-22942 |
Mar. 13, 2014 |
Ronald N. Dennis
See also: SEC Complaint
|
| LR-22941 |
Mar. 13, 2014 |
Alexander H.G. Mascioli and North Street Capital, LP
See also: SEC Complaint
|
| LR-22940 |
Mar. 12, 2014 |
Alternative Green Technologies, Inc., et al.
|
| LR-22939 |
Mar. 12, 2014 |
Boston Trading and Research, LLC, et al.
|
| LR-22938 |
Mar. 10, 2014 |
Henry Morris, et al.
|
| LR-22937 |
Mar. 7, 2014 |
Andrew W. Jacobs and Leslie J. Jacobs II
|
| LR-22936 |
Mar. 5, 2014 |
StratoComm Corporation, et al.
|
| LR-22935 |
Mar. 4, 2014 |
Gregory E. Webb and InfrAegis, Inc.
|
| LR-22934 |
Feb. 27, 2014 |
Robert Custis
|
| LR-22933 |
Feb. 25, 2014 |
Jeremy Fisher, The Good Life Financial Group, Inc., and The Good Life Global, LLC
|
| LR-22932 |
Feb. 24, 2014 |
China MediaExpress Holdings, Inc. and Zheng Cheng
Other Release No.: AAER-3540
|
| LR-22931 |
Feb. 24, 2014 |
Kevin P. O’Brien
|
| LR-22930 |
Feb. 21, 2014 |
Christopher Sells and Timothy Murawski
Other Release No.: AAER-3539
|
| LR-22929 |
Feb. 20, 2014 |
Samuel Braslau et al.
See also: SEC Complaint
|
| LR-22928 |
Feb. 19, 2014 |
Jerry S. Williams, Monk’s Den, LLC, and First In Awareness, LLC
|
| LR-22927 |
Feb. 14, 2014 |
James Y. Lee, et al.
See also: SEC Complaint
|
| LR-22926 |
Feb. 12, 2014 |
Thomas C. Conradt, et al.
|
| LR-22925 |
Feb. 11, 2014 |
Marlon Quan, Acorn Capital Group, LLC and Stewardship Investment Advisors, LLC, Defendants and Asset Based Resource Group, LLC and Florene Quan, Relief Defendants
|
| LR-22924 |
Feb. 11, 2014 |
Peter L. Jensen and Thomas C. Tekulve, Jr.
|
| LR-22923 |
Feb. 10, 2014 |
Uriel Sharef et al.
Other Release No.: AAER-3533
|
| LR-22922 |
Feb. 7, 2014 |
Onyx Capital Advisors, LLC, Roy Dixon, Jr. and Michael A. Farr
|
| LR-22921 |
Feb. 7, 2014 |
Hao He a/k/a Jimmy He
|
| LR-22920 |
Feb. 6, 2014 |
Edward M. Daspin, a/k/a "Edward Michael," a/k/a "Ed Michael,"
|
| LR-22919 |
Feb. 5, 2014 |
Joseph Paul Zada and Zada Enterprises, LLC
|
| LR-22918 |
Feb. 4, 2014 |
Stephen Kovzan
|
| LR-22917 |
Feb. 4, 2014 |
Rex C. Steffes, Cliff M. Steffes, Bret W. Steffes and Rex R. Steffes
|
| LR-22916 |
Feb. 4, 2014 |
Michael P. Zenger
See also: SEC Complaint
|
| LR-22915 |
Feb. 3, 2014 |
Revelation Capital Management Ltd. and Christopher P.C. Kuchanny
See also: SEC Complaint
|
| LR-22914 |
Jan. 30, 2014 |
David L. Rothman, et al.
|
| LR-22913 |
Jan. 29, 2014 |
Steven M. Dombrowski, Defendant, and Lisa L. Fox, Relief Defendant
See also: SEC Complaint
|
| LR-22912 |
Jan. 28, 2014 |
Marek Leszczynski, et al.
|
| LR-22911 |
Jan. 27, 2014 |
Deloitte Touche Tohmatsu CPA Ltd.
Other Release No.: AAER-3531
|
| LR-22910 |
Jan. 27, 2014 |
Joseph M. Tocci
|
| LR-22909 |
Jan. 24, 2014 |
Palladino, et al.
|
| LR-22908A |
Jan. 23, 2014 |
Berton M. Hochfeld, et al.
|
| LR-22907 |
Jan. 23, 2014 |
Anthony Coronati
|
| LR-22906 |
Jan. 15, 2014 |
Christopher Hohol and Brian Poshak
Other Release No.: AAER-3528
|
| LR-22905 |
Jan. 14, 2014 |
Waldyr Da Silva Prado Neto
|
| LR-22904 |
Jan. 14, 2014 |
Mack D. Murrell, et al.
|
| LR-22903 |
Jan. 13, 2014 |
InnoVida Holdings LLC, et al.
|
| LR-22902 |
Jan. 9, 2014 |
Diamond Foods, Inc.
Other Release No.: AAER-3527
|
| LR-22901 |
Jan. 6, 2014 |
Eric Aronson, Vincent Buonauro, Jr., Robert Kondratick, et al. |
http://www.sec.gov/litigation/litreleases/litrelarchive/litarchive2014.shtml
|
