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Litigation Releases Archives 2015
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-23440 |
Dec. 28, 2015 |
New Stream Capital, LLC, et al.
Other Release No.: AAER-3730
|
| LR-23439 |
Dec. 23, 2015 |
Michael J. Ling
|
| LR-23438 |
Dec. 23, 2015 |
Bonan Huang, et al.
|
| LR-23437 |
Dec. 23, 2015 |
In re Four Points Capital Partners LLC
|
| LR-23436 |
Dec. 22, 2015 |
Southern Cross Resources Group, Inc., et al.
See also: SEC Complaint, Administrative Proceeding |
| LR-23435 |
Dec. 18, 2015 |
CAUSwave, Inc., Jeffrey L. Riggs, and Diane R. Baldwin
See also: SEC Complaint
|
| LR-23434 |
Dec. 18, 2015 |
Edward Durante, a.k.a. Ted Wise
|
| LR-23433 |
Dec. 17, 2015 |
Martin Shkreli, Evan Greebel, MSMB Capital Management LLC, and MSMB Healthcare Management LLC
|
| LR-23432 |
Dec. 17, 2015 |
Vu H. Le a/k/a Vinh H. Le and TeamVinh.com LLC
See also: SEC Complaint
|
| LR-23431 |
Dec. 16, 2015 |
Lee Cole, et al.
|
| LR-23430 |
Dec. 16, 2015 |
Edward Laborio and Jonathan Fraiman
|
| LR-23429 |
Dec. 16, 2015 |
Oxford City Football Club, Inc. and Thomas Anthony Guerriero
See also: SEC Complaint
|
| LR-23428 |
Dec. 15, 2015 |
Jessica Gilbertson
See also: SEC Complaint
|
| LR-23427 |
Dec. 15, 2015 |
CAUSwave, Inc., Jeffrey L. Riggs, and Diane R. Baldwin
|
| LR-23426 |
Dec. 14, 2015 |
FX & Beyond Corporation and Steve H. Karroum
|
| LR-23425 |
Dec. 11, 2015 |
Robert Seibert, a.k.a. John Grey
See also: SEC Complaint
|
| LR-23424 |
Dec. 11, 2015 |
Jehu Hand and Antonio Katz
|
| LR-23423 |
Dec. 8, 2015 |
Covenant Partners, L.P., Bankruptcy
|
| LR-23422 |
Dec. 8, 2015 |
Jeffrey K. Skilling et al.
Other Release No.: AAER-3720
|
| LR-23421 |
Dec. 8, 2015 |
Trudy R. Gilmond
See also: SEC Complaint
|
| LR-23420 |
Dec. 7, 2015 |
Hui Feng, et al.
See also: SEC Complaint
|
| LR-23419 |
Dec. 4, 2015 |
National Note of Utah and Wayne L. Palmer
|
| LR-23418 |
Dec. 3, 2015 |
NetCirq, LLC
|
| LR-23417 |
Dec. 1, 2015 |
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
|
| LR-23416 |
Dec. 1, 2015 |
James A. Torchia et al.
|
| LR-23415 |
Dec. 1, 2015 |
Homero Joshua Garza
See also: SEC Complaint
|
| LR-23414 |
Nov. 27, 2015 |
Robert Yang, Claudia Kano, Suncor Fontana, LLC, Suncor Hesperia, LLC, Suncor Care Lynwood, LLC
See also: SEC Complaint
|
| LR-23413 |
Nov. 24, 2015 |
Bernard M. Parker
See also: SEC Complaint
|
| LR-23412 |
Nov. 23, 2015 |
Dynkowski, et al.
|
| LR-23411 |
Nov. 20, 2015 |
Efstratios "Elias" Argyropoulos and Prima Capital Group, Inc.
|
| LR-23410 |
Nov. 20, 2015 |
Justin Moongyu Lee
|
| LR-23409 |
Nov. 19, 2015 |
EB5 Asset Manager, LLC, et al.
|
| LR-23408 |
Nov. 17, 2015 |
Steven C. Watson
See also: SEC Complaint
|
| LR-23407 |
Nov. 13, 2015 |
Tropikgadget FZE, et al.
|
| LR-23406 |
Nov. 12, 2015 |
Brett A. Cooper, Global Funding Systems LLC, Dream Holdings, LLC, Fortitude Investing, LLC, Peninsula Waterfront Development, LP, and REOP Group Inc.
|
| LR-23405 |
Nov. 12, 2015 |
5 Star Commercial, LLC, and 5 Star Capital Fund, LLC
See also: SEC Complaint
|
| LR-23404 |
Nov. 10, 2015 |
Bobby M. Collins
See also: SEC Complaint
|
| LR-23403 |
Nov. 10, 2015 |
Zhichen Zhou and Yannan Liu
See also: SEC Complaint
|
| LR-23402 |
Nov. 9, 2015 |
James M. Louks and FiberPoP Solutions, Inc.
|
| LR-23401 |
Nov. 6, 2015 |
James Alan Craig
See also: SEC Complaint
|
| LR-23400 |
Nov. 4, 2015 |
Abraxas J. Discala, Marc E. Wexler, Matthew A. Bell, Craig L. Josephberg, and Ira Shapiro
|
| LR-23399 |
Nov. 3, 2015 |
Provident Capital Indemnity, et al.
|
| LR-23398 |
Nov. 2, 2015 |
Vlad B. Spivak, et al. |
| LR-23397 |
Oct. 30, 2015 |
William M. Apostelos, et al.
|
| LR-23396 |
Oct. 29, 2015 |
Diverse Financial Corp., et al.
|
| LR-23395 |
Oct. 28, 2015 |
Mary Beth Knight and Rebecca Norton
|
| LR-23394 |
Oct. 28, 2015 |
Ascenergy LLC et al.
See also: SEC Complaint
|
| LR-23393 |
Oct. 27, 2015 |
Summit Trust Company, et al.
See also: SEC Complaint
|
| LR-23392 |
Oct. 26, 2015 |
Joseph Catapano and Michael Piervinanzi
|
| LR-23391 |
Oct. 23, 2015 |
Vladimir Eydelman
|
| LR-23390 |
Oct. 22, 2015 |
John Clifford Williams
See also: SEC Complaint
|
| LR-23389 |
Oct. 21, 2015 |
Premiere Power, LLC, et al.
|
| LR-23388 |
Oct. 16, 2015 |
Donald J. Lester, Rubicon Alliance, LLC, CFI Fund, LLC, and NuPower, LLC (Defendants) and Equity Edge Preferred Income Fund I, LLC, Equity Edge, LLC, and Equity Edge Companies, LLC (Relief Defendants)
See also: SEC Complaint
|
| LR-23387 |
Oct. 15, 2015 |
Lonny S. Bernath
|
| LR-23386 |
Oct. 9, 2015 |
Andrew Farmer, et al.
|
| LR-23385 |
Oct. 9, 2015 |
Francis J. van Steenberge and Nicolas Zanen
|
| LR-23384 |
Oct. 9, 2015 |
Delaney Equity Group LLC
|
| LR-23383 |
Oct. 8, 2015 |
Allen Ross Smith
|
| LR-23382 |
Oct. 8, 2015 |
James L. Erwin and Joint Venture Solutions, Inc.
|
| LR-23381 |
Oct. 8, 2015 |
Garfield Taylor, Inc., et al. |
| LR-23380 |
Oct. 7, 2015 |
Oscar Wu
See also: SEC Complaint |
| LR-23379 |
Oct. 6, 2015 |
Ryan Petersen; Arthur Knapp
Other Release No.: AAER-3712 |
| LR-23378 |
Oct. 5, 2015 |
Steve Chen, et al.
|
| LR-23377 |
Oct. 5, 2015 |
James S. Quay (Corrected)
|
| LR-23376 |
Oct. 1, 2015 |
Commodore Financial Corp., et al.
|
| LR-23375 |
Oct. 1, 2015 |
Spencer Pharmaceutical Inc., Jean-François Amyot, Maximilien Arella, Ian Morrice, IAB Media Inc., and Hilbroy Advisory Inc.
|
| LR-23374 |
Oct. 1, 2015 |
Saleem Khan et al.
|
| Third Quarter |
| LR-23373 |
Sep. 30, 2015 |
David P. Godwin and Anthony G. Roth
See also: SEC Complaint
|
| LR-23372 |
Sep. 30, 2015 |
Michael J. Moore
Other Release No.: AAER-3709
|
| LR-23371 |
Sep. 30, 2015 |
Charles Riel III and REinvest LLC
See also: SEC Complaint
|
| LR-23370 |
Sep. 29, 2015 |
Lee D. Weiss, et al.
See also: SEC Complaint
|
| LR-23369 |
Sep. 29, 2015 |
Jose G. Ramirez Jr.
See also: SEC Complaint
|
| LR-23368 |
Sep. 28, 2015 |
Robert L. Spallina, et al.
|
| LR-23367 |
Sep. 28, 2015 |
Jill D. Cook and Mark C. Pierce
|
| LR-23366 |
Sep. 28, 2015 |
Eldrick E. Woodley d/b/a Woodley & Co. Wealth Strategies
|
| LR-23365 |
Sep. 28, 2015 |
Hitachi Ltd.
|
| LR-23364 |
Sep. 25, 2015 |
Morando Berrettini, et al. |
| LR-23363 |
Sep. 25, 2015 |
Taj Jerry Mahabub, GenAudio, Inc. and Astound Holdings, Inc.
See also: SEC Complaint |
| LR-23362 |
Sep. 25, 2015 |
iShopNoMarkup.com, Inc.
|
| LR-23361 |
Sep. 25, 2015 |
Richard E. Gathright, et al.
See also: SEC Complaint |
| LR-23360 |
Sep. 24, 2015 |
Jason W. Galanis
See also: SEC Complaint
|
| LR-23359 |
Sep. 24, 2015 |
Richard Condon, et al.
See also: SEC Complaint
|
| LR-23358 |
Sep. 22, 2015 |
Daniel H. Mudd, Enrico Dallavecchia, and Thomas A. Lund
|
| LR-23357 |
Sep. 21, 2015 |
Eric McPhail, et al.
|
| LR-23356 |
Sep. 21, 2015 |
Joseph F. Apuzzo
Other Release No.: AAER-3703
|
| LR-23355 |
Sep. 21, 2015 |
Frank Morelli III and Louis Buonocore
See also: SEC Complaint
|
| LR-23354 |
Sep. 18, 2015 |
Robert DeWayne Milligan
See also: SEC Complaint
|
| LR-23353 |
Sep. 17, 2015 |
George Ivakhnik and The Mobile Star Corporation
|
| LR-23352 |
Sep. 17, 2015 |
Christopher J. Hall
See also: SEC Complaint |
| LR-23351 |
Sep. 17, 2015 |
Tropikgadget FZE, et al.
See also: SEC Complaint
|
| LR-23350 |
Sep. 16, 2015 |
Dynkowski, et al. |
| LR-23349 |
Sep. 16, 2015 |
8000, Inc., Jonathan E. Bryant, Thomas J. Kelly, and Carl N. Duncan, Esq.
|
| LR-23348 |
Sep. 15, 2015 |
Dynkowski, et al.
|
| LR-23347 |
Sep. 15, 2015 |
Jason Mogler, et al.
See also: SEC Complaint
|
| LR-23346 |
Sep. 14, 2015 |
Marco Babini et al.
See also: SEC Complaint
|
| LR-23345 |
Sep. 14, 2015 |
Dubovoy, et al.
|
| LR-23344 |
Sep. 11, 2015 |
Wilfred Robert Sutcliffe, Edward Parker, and Christopher Edwards
|
| LR-23343 |
Sep. 11, 2015 |
Joseph Paul Zada
|
| LR-23342 |
Sep. 10, 2015 |
Benjamin Wey, et al.
See also: SEC Complaint
|
| LR-23341 |
Sep. 10, 2015 |
Maher F. Kara, et al.
|
| LR-23340 |
Sep. 9, 2015 |
Paul Mata, et al.
See also: SEC Complaint
|
| LR-23339 |
Sep. 9, 2015 |
Timothy M. Roberts, Terrance F. Taylor, and Craig Constantinou
|
| LR-23338 |
Sep. 9, 2015 |
John McEnery III et al.
See also: SEC Complaint
|
| LR-23337 |
Sep. 8, 2015 |
Manny J. Shulman and David K. Hirschman
|
| LR-23336 |
Sep. 8, 2015 |
Michael A. Gramins, Tyler G. Peters, and Ross B. Shapiro
See also: SEC Complaint
|
| LR-23335 |
Sep. 8, 2015 |
Edward DiMaria and Matthew Gamsey
See also: SEC Complaint
|
| LR-23334 |
Sep. 4, 2015 |
Summit Asset Strategies Investment Management, LLC et al.
Other Release No.: AAER-3688
See also: SEC Complaint
|
| LR-23333 |
Sep. 3, 2015 |
A.L. Waters Capital, LLC, et al.
|
| LR-23332 |
Sep. 2, 2015 |
Roger S. Bliss and Roger S. Bliss d/b/a Roger Bliss and Associates Equities, LLC, Roger Bliss and Associates Club LLC and/or Bliss Club LLC
|
| LR-23331 |
Sep. 2, 2015 |
Eric Aronson, et al.
|
| LR-23330 |
Sep. 1, 2015 |
Navistar International Corp.
|
| LR-23329 |
Aug. 27, 2015 |
Harrison Schumacher, et al.
See also: SEC Complaint
|
| LR-23328 |
Aug. 25, 2015 |
Timothy E. Cook, et al.
|
| LR-23327 |
Aug. 25, 2015 |
Ashish Aggarwal, et al.
See also: SEC Complaint
|
| LR-23326 |
Aug. 25, 2015 |
Path America, LLC, et al.
See also: SEC Complaint
|
| LR-23325 |
Aug. 20, 2015 |
Moshe Yehuda Dunoff
|
| LR-23324 |
Aug. 20, 2015 |
Iftikar Ahmed, et al.
|
| LR-23323 |
Aug. 19, 2015 |
Eric McPhail, et al.
|
| LR-23322 |
Aug. 18, 2015 |
Carlos R. Garza
|
| LR-23321 |
Aug. 17, 2015 |
EnviraTrends, Inc., et al.
See also: SEC Complaint
|
| LR-23320 |
Aug. 13, 2015 |
John Thornes, Defendant, and Christopher Burnell, Kyle Larick, and Doreen Thornes, Relief Defendants
|
| LR-23319 |
Aug. 13, 2015 |
Dubovoy, et al.
|
| LR-23318 |
Aug. 13, 2015 |
Palladino, et al.
|
| LR-23317 |
Aug. 13, 2015 |
Colonial Tidewater Realty Income Partners, LLC, et al.
See also: SEC Complaint
|
| LR-23316 |
Aug. 13, 2015 |
Cedric Cañas Maillard
|
| LR-23315 |
Aug. 12, 2015 |
Inofin, Inc., Michael J. Cuomo, Kevin J. Mann, Sr., Melissa George, Thomas Kevin Keough, David Affeldt, and Nancy Keough
|
| LR-23314 |
Aug. 10, 2015 |
SEC Files Subpoena Enforcement Action Against Michael J. Forster for Failure to Produce Documents in Investigation of SLO 3 Holdings LLC |
| LR-23313 |
Jul. 30, 2015 |
ABS Manager, LLC and George Charles Cody Price
|
| LR-23312 |
Jul. 30, 2015 |
Gregory W. Gray, Jr., et al.
|
| LR-23311 |
Jul. 24, 2015 |
Ming Zhao and Liping Zhu
|
| LR-23310 |
Jul. 23, 2015 |
DFRF Enterprises LLC, et al.
|
| LR-23309 |
Jul. 21, 2015 |
Thomas S. Wu and Thomas T. Yu
Other Release No.: AAER-3671
|
| LR-23308 |
Jul. 20, 2015 |
Donald L. Koch and Koch Asset Management, LLC
|
| LR-23307 |
Jul. 20, 2015 |
Michael R. Enea
|
| LR-23306 |
Jul. 17, 2015 |
CKB168 Holdings Ltd., et al.
|
| LR-23305 |
Jul. 16, 2015 |
Herbert K. Sudfeld, Jr., et al.
See also: SEC Complaint
|
| LR-23304 |
Jul. 15, 2015 |
Timothy J. McGee, et al.
See also: SEC Complaint
|
| LR-23303 |
Jul. 14, 2015 |
Harold Bailey "B.J." Gallison, II (A.K.A. Bart Williams), et al.
SEC Complaint |
| LR-23302 |
Jul. 13, 2015 |
Frank Tamayo
|
| LR-23301 |
Jul. 10, 2015 |
PTG Capital Partners LTD, et al.
|
| LR-23300 |
Jul. 7, 2015 |
Neal Goyal
|
| LR-23299 |
Jul. 6, 2015 |
Baldwin et al.
See also: SEC Complaint
|
| LR-23298 |
Jul. 6, 2015 |
Luca International Group, LLC, et al.
See also: SEC Complaint
|
| LR-23297 |
Jul. 6, 2015 |
Navistar International Corp.
See also: Court Order
|
| LR-23296 |
Jul. 2, 2015 |
DFRF Enterprises LLC, et al.
See also: SEC Complaint
|
| LR-23295 |
Jul. 1, 2015 |
Malcolm Segal
See also: SEC Complaint, Press Release |
| Second Quarter |
| LR-23294 |
Jun. 26, 2015 |
Interinvest Corporation, Inc. et al.
|
| LR-23293 |
Jun. 25, 2015 |
Gregg R. Mulholland
See also: SEC Complaint, Press Release
|
| LR-23292 |
Jun. 24, 2015 |
Capital Cove Bancorp LLC and Christopher M. Lee aka Rashid K. Khalfani
See also: SEC Complaint
|
| LR-23291 |
Jun. 23, 2015 |
Phil Donnahue Williamson
|
| LR-23290 |
Jun. 18, 2015 |
Norstra Energy Inc., Glen Landry and Eric Dany
|
| LR-23289 |
Jun. 17, 2015 |
Eric McPhail, et al.
|
| LR-23288 |
Jun. 17, 2015 |
Interinvest Corporation, Inc. et al.
See also: SEC Complaint
|
| LR-23287 |
Jun. 16, 2015 |
Dimitry Braverman and Vitaly Pupynin
|
| LR-23286 |
Jun. 15, 2015 |
Capital Financial Partners, LLC et al.
Will D. Allen and Susan C. Daub
|
| LR-23285 |
Jun. 12, 2015 |
Ryan L. Cook and HelpMed, Inc., et al.
See also: SEC Complaint
|
| LR-23284 |
Jun. 12, 2015 |
Matthew G. Teeple et al.
Andrew Miller
See also: SEC Complaint
|
| LR-23283 |
Jun. 11, 2015 |
Joshua A. Yudell and OCFB LLC, et al.
|
| LR-23282 |
Jun. 11, 2015 |
Aquaphex Total Water Resources and Gregory Jones
See also: SEC Complaint
|
| LR-23281 |
Jun. 11, 2015 |
Charles Raymond Langston III, CRL Management, LLC, and Guarantee Reinsurance, Ltd.
|
| LR-23280 |
Jun. 9, 2015 |
Andrew L. Evans
|
| LR-23279 |
Jun. 9, 2015 |
Michael J. Fefferman, Chad E. Wiegand, and Akis C. Eracleous
See also: SEC Complaint
|
| LR-23278 |
Jun. 8, 2015 |
Anthony Andrade, et al.
See also: SEC Complaint
|
| LR-23277 |
Jun. 4, 2015 |
David Rivard
Other Release No.: AAER-3661
|
| LR-23276 |
Jun. 3, 2015 |
Mark F. Spangler and The Spangler Group, Inc.
See also: SEC Complaint
|
| LR-23275 |
Jun. 3, 2015 |
ClearPath Wealth Management, LLC et al.
See also: SEC Complaint
|
| LR-23274 |
Jun. 2, 2015 |
Edmond L. Lonergan and Green Planet Group, Inc.
See also: SEC Complaint
|
| LR-23273 |
Jun. 1, 2015 |
John A. Grant, Sage Advisory Group, LLC and Benjamin Lee Grant
|
| LR-23272 |
May 29, 2015 |
Robert P. DePalo, Joshua B. Gladtke, Gregg A. Lerman, Pangaea Trading Partners LLC, Arjent LLC, Arjent Limited, Excalibur Asset Management LLC, Rosemarie DePalo (Relief Defendant), and Allied International Fund, Inc. (Relief Defendant),
|
| LR-23271 |
May 28, 2015 |
Mike Taxon and Itamar Cohen
See also: SEC Complaint
|
| LR-23270 |
May 28, 2015 |
Luis Chang and Everbright Development Overseas, Limited
See also: SEC Complaint
|
| LR-23269 |
May 28, 2015 |
Adam S. Gottbetter, Mitchell G. Adam, and K. David Stevenson
See also: SEC Complaint
|
| LR-23268 |
May 27, 2015 |
Gregory Geswein, Kevin Krakora, and Sandra Miller
|
| LR-23267 |
May 20, 2015 |
Wwebnet, Inc. and Robert L. Kelly
|
| LR-23266 |
May 20, 2015 |
China Valves Technology, Inc., et al.
|
| LR-23265 |
May 19, 2015 |
Sethi Petroleum, LLC and Sameer Sethi
|
| LR-23264 |
May 18, 2015 |
Eric McPhail, et al.
|
| LR-23263 |
May 15, 2015 |
Palladino, et al.
|
| LR-23262 |
May 14, 2015 |
North Star Finance LLC, Thomas G. Ellis, Yasuo Oda, Thomas H. Vetter, Michael K. Martin, Sharon L. Salinas, Capital Source Funding LLC, Capital Source Lending LLC
See also: SEC Complaint
|
| LR-23261 |
May 14, 2015 |
Brian D. Jorgenson, et al.
|
| LR-23260 |
May 13, 2015 |
Iftikar Ahmed, et al.
See also: SEC Complaint
|
| LR-23259 |
May 13, 2015 |
ITT Educational Services, Inc., Kevin M. Modany, and Daniel M. Fitzpatrick
|
| LR-23258 |
May 12, 2015 |
FX & Beyond Corporation and Steve H. Karroum
See also: Application for Order to Show Cause and for Order Requiring Compliance with Subpoenas
|
| LR-23257 |
May 11, 2015 |
Timothy J. McGee, et al.
|
| LR-23256 |
May 11, 2015 |
Christopher A. Novinger, et al.
See also: SEC Complaint
|
| LR-23255 |
May 8, 2015 |
ClearPath Wealth Management, LLC and Patrick Evans Churchville, et al.
See also: SEC Complaint
|
| LR-23254 |
May 7, 2015 |
David R. Gibson, et al.
See also: SEC Complaint
|
| LR-23253 |
May 7, 2015 |
Charles H. Merchant, Sr. and Southern USA Resources, Inc.
See also: SEC Complaint
|
| LR-23252 |
May 6, 2015 |
North Dakota Developments, LLC, Robert L. Gavin, and Daniel J. Hogan, et. al.
|
| LR-23251 |
May 1, 2015 |
Rudolf D. Pameijer, et al.
|
| LR-23250 |
Apr. 30, 2015 |
Joel I. Wilson et al.
|
| LR-23249 |
Apr. 29, 2015 |
Xiaoyu Xia and Yanting Hu
|
| LR-23248 |
Apr. 28, 2015 |
Frank Perkins Hixon, Jr., et al.
|
| LR-23247 |
Apr. 27, 2015 |
Robert Asti
Other Release No.: AAER-3653
|
| LR-23246 |
Apr. 24, 2015 |
Veros Partners, Inc., et al.
See also: SEC Complaint
|
| LR-23245 |
Apr. 22, 2015 |
Leroy Brown, Jr. and LB Stocks and Trades Advice LLC
|
| LR-23244 |
Apr. 21, 2015 |
Moazzam "Mark" Malik and American Bridge Investment Group, LLC, d/b/a Wolf Hedge LLC
|
| LR-23243 |
Apr. 16, 2015 |
Daniel P. McKelvey, et al.
See also: SEC Complaint
|
| LR-23242 |
Apr. 16, 2015 |
eCareer Holdings, Inc., eCareer, Inc., Joseph J. Azzata, Dean A. Esposito, Joseph DeVito, and Frederick J. Birks, et al.
See also: SEC Complaint, Trading Suspension
|
| LR-23241 |
Apr. 14, 2015 |
Richard F. Syron, et al.
|
| LR-23240 |
Apr. 13, 2015 |
James A. Evans, Jr., d/b/a Cashflowbot.com, d/b/a DollarMonster
See also: SEC Complaint
|
| LR-23239 |
Apr. 10, 2015 |
Mieka Energy Corporation, et al.
See also: SEC Complaint
|
| LR-23238 |
Apr. 10, 2015 |
Michael M. Cohen and Proteonomix, Inc.,
|
| LR-23237 |
Apr. 9, 2015 |
Katsuichi Fusamae
See also: SEC Complaint
|
| LR-23236 |
Apr. 9, 2015 |
Janus Spectrum LLC et al.
See also: SEC Complaint
|
| LR-23235 |
Apr. 8, 2015 |
Warren D. Nadel et al.
|
| LR-23234 |
Apr. 8, 2015 |
8000, Inc., Jonathan E. Bryant, Thomas J. Kelly, and Carl N. Duncan, Esq.
|
| LR-23233 |
Apr. 7, 2015 |
Pacific West Capital Group Inc., et al.
See also: SEC Complaint
|
| LR-23232 |
Apr. 7, 2015 |
Capital Financial Partners, LLC et al.
See also: SEC Complaint
|
| LR-23231 |
Apr. 6, 2015 |
GC Resources, LLC and Brian J. Polito
See also: SEC Complaint
|
| LR-23230 |
Apr. 6, 2015 |
Team Resources, Inc., et al.
|
| LR-23229 |
Apr. 6, 2015 |
Gary J. Burtka and Eric Waidelich
|
| LR-23228 |
Apr. 2, 2015 |
Charles R. Kokesh
|
| LR-23227 |
Apr. 1, 2015 |
David Craven et al.
|
| First Quarter |
| LR-23226 |
Mar. 31, 2015 |
StratoComm Corporation, et al.
|
| LR-23225 |
Mar. 31, 2015 |
Andrew M. Miller
Other Release No.: AAER-3646
See also: SEC Complaint
|
| LR-23224 |
Mar. 27, 2015 |
Michael J. Ling
See also: SEC Complaint
|
| LR-23223 |
Mar. 27, 2015 |
Michael Anthony Dupre Lucarelli
|
| LR-23222 |
Mar. 27, 2015 |
Macquarie Capital (USA) Inc. et al.
|
| LR-23221 |
Mar. 27, 2015 |
Gregory W. Gray, Jr., et al.
|
| LR-23220 |
Mar. 25, 2015 |
BioChemics, Inc., et al.
See also: SEC Complaint
|
| LR-23219 |
Mar. 12, 2015 |
David Craven et al.
See also: SEC Complaint
|
| LR-23218 |
Mar. 12, 2015 |
Edward J. Woodard, et al.
|
| LR-23217 |
Mar. 11, 2015 |
Guy M. Jean-Pierre, a/k/a Marcelo Dominguez de Guerra
|
| LR-23216 |
Mar. 10, 2015 |
Bonan Huang and Nan Huang
See also: SEC Complaint
|
| LR-23215 |
Mar. 6, 2015 |
Zeringue, et al.
See also: SEC Complaint
|
| LR-23214 |
Mar. 4, 2015 |
China Infrastructure Investment Corp., et al.
|
| LR-23213 |
Mar. 3, 2015 |
Ahmad Fnaikher Alyasin and Optima Global Financial, Inc.
See also: SEC Complaint
|
| LR-23212 |
Mar. 3, 2015 |
Inofin, Inc., Michael J. Cuomo, Kevin J. Mann, Sr., Melissa George, Thomas Kevin Keough, David Affeldt, and Nancy Keough
|
| LR-23211 |
Mar. 2, 2015 |
Gary S. Williky
See also: SEC Complaint
|
| LR-23210 |
Feb. 27, 2015 |
Gregory W. Gray, Jr., et al.
See also: SEC Complaint
|
| LR-23209 |
Feb. 27, 2015 |
Tropikgadget FZE, et al.
See also:
|
| LR-23208 |
Feb. 26, 2015 |
Joseph A. Noel
|
| LR-23207 |
Feb. 26, 2015 |
Daniel Thibeault et al.
|
| LR-23206 |
Feb. 24, 2015 |
Mark A. Lefkowitz, et al.
|
| LR-23205 |
Feb. 23, 2015 |
Heart Tronics, Inc., et al.
|
| LR-23204 |
Feb. 23, 2015 |
GLR Capital Management, LLC, et al.
|
| LR-23203 |
Feb. 20, 2015 |
Premiere Power, LLC, et al.
See also: SEC Complaint
|
| LR-23202 |
Feb. 19, 2015 |
Scott Zeringue and Jesse Roberts, III
See also: SEC Complaint
|
| LR-23201 |
Feb. 19, 2015 |
Michael M. Cohen and Proteonomix, Inc.
See also: SEC Complaint
|
| LR-23200 |
Feb. 18, 2015 |
Steven B. Hart
|
| LR-23199 |
Feb. 18, 2015 |
K2 Unlimited, Inc.
|
| LR-23198 |
Feb. 18, 2015 |
Kristine L. Johnson, Troy A. Barnes, Work with Troy Barnes, Inc. (d/b/a) The Achieve Community, Defendants, and Achieve International, LLC, Relief Defendant
See also: SEC Complaint
|
| LR-23197 |
Feb. 13, 2015 |
Mozzam "Mark" Malik and American Bridge Investment Group, LLC, d/b/a Wolf Hedge LLC
See also: SEC Complaint
|
| LR-23196 |
Feb. 12, 2015 |
Roger S. Bliss and Roger S. Bliss d/b/a Roger Bliss and Associates Equities, LLC, Roger Bliss and Associates Club LLC and/or Bliss Club LLC
See also: SEC Complaint
|
| LR-23195 |
Feb. 11, 2015 |
Caledonian Bank Ltd., et al.
See also: SEC Complaint
|
| LR-23194 |
Feb. 10, 2015 |
Craig S. Lax
See also: SEC Complaint
|
| LR-23193 |
Feb. 9, 2015 |
Bradley A. Holcom
|
| LR-23192 |
Feb. 6, 2015 |
Steven Neil
Other Release No.: AAER-3630
|
| LR-23191 |
Feb. 6, 2015 |
Joseph A. Kostelecky
Other Release No.: AAER-3629
See also: SEC Complaint
|
| LR-23190 |
Feb. 6, 2015 |
David Rivard
Other Release No.: AAER-3628
|
| LR-23189 |
Feb. 5, 2015 |
John Gray et al.
|
| LR-23188 |
Feb. 5, 2015 |
Total Wealth Management, Inc., et al.
See also: SEC Complaint
|
| LR-23187 |
Feb. 3, 2015 |
Joel J. Epstein
See also: SEC Complaint
|
| LR-23186 |
Feb. 3, 2015 |
Phillip Cory Roberts
See also: SEC Application and Order Compelling Compliance with Administrative Subpoena
|
| LR-23185 |
Jan. 30, 2015 |
Francisco Illarramendi, et al.
|
| LR-23184 |
Jan. 30, 2015 |
Edwin Yoshihiro Fujinaga and MRI International, Inc., et al.
|
| LR-23183 |
Jan. 29, 2015 |
Navistar International Corp.
See also: SEC Court Filing
|
| LR-23182 |
Jan. 29, 2015 |
Loren W. Holzhueter, et al.
See also: SEC Complaint
|
| LR-23181 |
Jan. 29, 2015 |
Troy Lyndon and Ronald Zaucha
Other Release No.: AAER-3623
|
| LR-23180 |
Jan. 27, 2015 |
City of Harvey, Illinois and Joseph T. Letke
|
| LR-23179 |
Jan. 22, 2015 |
Bonan Huang and Nan Huang
|
| LR-23178 |
Jan. 22, 2015 |
Daniel Thibeault, et al.
|
| LR-23177 |
Jan. 22, 2015 |
Wwebnet, Inc. and Robert L. Kelly,
|
| LR-23176 |
Jan. 22, 2015 |
MayfieldGentry Realty Advisors, LLC, et al.
|
| LR-23175 |
Jan. 21, 2015 |
Frederic Elm f/k/a Frederic Elmaleh, et al.
See also: SEC Complaint
|
| LR-23174 |
Jan. 16, 2015 |
Magdalena Tavella
|
| LR-23173 |
Jan. 13, 2015 |
Aleksandr Milrud
See also: SEC Complaint
|
| LR-23172 |
Jan. 13, 2015 |
Noah L. Myers
|
| LR-23171 |
Jan. 9, 2015 |
Daniel Thibeault et al.
See also: SEC Complaint
|
| LR-23170 |
Jan. 7, 2015 |
Sherwin Brown and Jamerica Financial, Inc.
|
http://www.sec.gov/litigation/litreleases.shtml
|
