Litigation Releases

The list below provides links to litigation releases concerning civil actions brought by the Commission in federal court.

Litigation Releases RSS Feed


Date Sort ascending	Respondents
Dec. 28, 2015	New Stream Capital, LLC, et al. Release No. LR-23440, AAER-3730
Dec. 23, 2015	Michael J. Ling Release No. LR-23439
Dec. 23, 2015	Bonan Huang, et al. Release No. LR-23438
Dec. 23, 2015	In re Four Points Capital Partners LLC Release No. LR-23437
Dec. 22, 2015	Southern Cross Resources Group, Inc., et al. Release No. LR-23436 See Also: SEC Complaint , Order Instituting Proceedings, Release No. 33-9997
Dec. 18, 2015	CAUSwave, Inc., Jeffrey L. Riggs, and Diane R. Baldwin Release No. LR-23435 See Also: SEC Complaint
Dec. 18, 2015	Edward Durante, a.k.a. Ted Wise Release No. LR-23434
Dec. 17, 2015	Martin Shkreli, Evan Greebel, MSMB Capital Management LLC, and MSMB Healthcare Management LLC Release No. LR-23433
Dec. 17, 2015	Vu H. Le a/k/a Vinh H. Le and TeamVinh.com LLC Release No. LR-23432 See Also: SEC Complaint
Dec. 16, 2015	Lee Cole, et al. Release No. LR-23431, AAER-3728
Dec. 16, 2015	Edward Laborio and Jonathan Fraiman Release No. LR-23430
Dec. 16, 2015	Oxford City Football Club, Inc. and Thomas Anthony Guerriero Release No. LR-23429 See Also: SEC Complaint
Dec. 15, 2015	CAUSwave, Inc., Jeffrey L. Riggs, and Diane R. Baldwin Release No. LR-23427
Dec. 15, 2015	Jessica Gilbertson Release No. LR-23428 See Also: SEC Complaint
Dec. 14, 2015	FX & Beyond Corporation and Steve H. Karroum Release No. LR-23426
Dec. 11, 2015	Robert Seibert, a.k.a. John Grey Release No. LR-23425 See Also: SEC Complaint
Dec. 11, 2015	Jehu Hand and Antonio Katz Release No. LR-23424
Dec. 8, 2015	William B. Fretz, Jr., et al. Release No. LR-23423 File Number: 3-16829
Dec. 8, 2015	Jeffrey K. Skilling et al. Release No. LR-23422, AAER-3720
Dec. 8, 2015	Trudy R. Gilmond Release No. LR-23421 See Also: SEC Complaint
Dec. 7, 2015	Hui Feng, et al. Release No. LR-23420 See Also: SEC Complaint
Dec. 4, 2015	National Note of Utah and Wayne L. Palmer Release No. LR-23419
Dec. 3, 2015	NetCirq, LLC Release No. LR-23418
Dec. 1, 2015	Homero Joshua Garza Release No. LR-23415 See Also: SEC Complaint
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 Release No. LR-23417
Dec. 1, 2015	James A. Torchia et al. Release No. LR-23416
Nov. 27, 2015	Robert Yang, Claudia Kano, Suncor Fontana, LLC, Suncor Hesperia, LLC, Suncor Care Lynwood, LLC Release No. LR-23414 See Also: SEC Complaint
Nov. 24, 2015	Bernard M. Parker Release No. LR-23413 See Also: SEC Complaint
Nov. 23, 2015	Dynkowski, et al. Release No. LR-23412
Nov. 20, 2015	Efstratios "Elias" Argyropoulos and Prima Capital Group, Inc. Release No. LR-23411
Nov. 20, 2015	Justin Moongyu Lee Release No. LR-23410
Nov. 19, 2015	EB5 Asset Manager, LLC, et al. Release No. LR-23409
Nov. 17, 2015	Steven C. Watson Release No. LR-23408 See Also: SEC Complaint
Nov. 13, 2015	Tropikgadget FZE, et al. Release No. LR-23407
Nov. 12, 2015	Brett A. Cooper, Global Funding Systems LLC, Dream Holdings, LLC, Fortitude Investing, LLC, Peninsula Waterfront Development, LP, and REOP Group Inc. Release No. LR-23406
Nov. 12, 2015	5 Star Commercial, LLC, and 5 Star Capital Fund, LLC Release No. LR-23405 See Also: SEC Complaint
Nov. 10, 2015	Zhichen Zhou and Yannan Liu Release No. LR-23403 See Also: SEC Complaint
Nov. 10, 2015	Bobby M. Collins Release No. LR-23404 See Also: SEC Complaint
Nov. 9, 2015	James M. Louks and FiberPoP Solutions, Inc. Release No. LR-23402
Nov. 6, 2015	James Alan Craig Release No. LR-23401 See Also: SEC Complaint
Nov. 4, 2015	Abraxas J. Discala, Marc E. Wexler, Matthew A. Bell, Craig L. Josephberg, and Ira Shapiro Release No. LR-23400
Nov. 3, 2015	Provident Capital Indemnity, et al. Release No. LR-23399
Nov. 2, 2015	Vlad B. Spivak, et al. Release No. LR-23398
Oct. 30, 2015	William M. Apostelos, et al. Release No. LR-23397
Oct. 29, 2015	Diverse Financial Corp., et al. Release No. LR-23396
Oct. 28, 2015	Mary Beth Knight and Rebecca Norton Release No. LR-23395
Oct. 28, 2015	Ascenergy LLC et al. Release No. LR-23394 See Also: SEC Complaint
Oct. 27, 2015	Summit Trust Company, et al. Release No. LR-23393 See Also: SEC Complaint
Oct. 26, 2015	Joseph Catapano and Michael Piervinanzi Release No. LR-23392
Oct. 23, 2015	Vladimir Eydelman Release No. LR-23391
Oct. 22, 2015	John Clifford Williams Release No. LR-23390 See Also: SEC Complaint
Oct. 21, 2015	Premiere Power, LLC, et al. Release No. LR-23389
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) Release No. LR-23388 See Also: SEC Complaint
Oct. 15, 2015	Lonny S. Bernath Release No. LR-23387
Oct. 9, 2015	Andrew Farmer, et al. Release No. LR-23386
Oct. 9, 2015	Francis J. van Steenberge and Nicolas Zanen Release No. LR-23385
Oct. 9, 2015	Delaney Equity Group LLC Release No. LR-23384
Oct. 8, 2015	Allen Ross Smith Release No. LR-23383
Oct. 8, 2015	James L. Erwin and Joint Venture Solutions, Inc. Release No. LR-23382
Oct. 8, 2015	Garfield Taylor, Inc., et al. Release No. LR-23381
Oct. 7, 2015	Oscar Wu Release No. LR-23380 See Also: SEC Complaint
Oct. 6, 2015	Ryan Petersen; Arthur Knapp Release No. LR-23379, AAER-3712
Oct. 5, 2015	Steve Chen, et al. Release No. LR-23378
Oct. 5, 2015	James S. Quay (Corrected) Release No. LR-23377
Oct. 1, 2015	Spencer Pharmaceutical Inc., Jean-François Amyot, Maximilien Arella, Ian Morrice, IAB Media Inc., and Hilbroy Advisory Inc. Release No. LR-23375
Oct. 1, 2015	Saleem Khan et al. Release No. LR-23374
Oct. 1, 2015	Commodore Financial Corp., et al. Release No. LR-23376
Sept. 30, 2015	David P. Godwin and Anthony G. Roth Release No. LR-23373 See Also: SEC Complaint
Sept. 30, 2015	Charles Riel III and REinvest LLC Release No. LR-23371 See Also: SEC Complaint
Sept. 30, 2015	Michael J. Moore, CPA and Moore & Associates Chartered Release No. LR-23372, AAER-3709 File Number: 3-13640
Sept. 29, 2015	Lee D. Weiss, et al. Release No. LR-23370 See Also: SEC Complaint
Sept. 29, 2015	Jose G. Ramirez Jr. Release No. LR-23369 See Also: SEC Complaint
Sept. 28, 2015	Jill D. Cook and Mark C. Pierce Release No. LR-23367
Sept. 28, 2015	Eldrick E. Woodley d/b/a Woodley & Co. Wealth Strategies Release No. LR-23366
Sept. 28, 2015	Hitachi Ltd. Release No. LR-23365
Sept. 28, 2015	Robert L. Spallina, et al. Release No. LR-23368
Sept. 25, 2015	Taj Jerry Mahabub, GenAudio, Inc. and Astound Holdings, Inc. Release No. LR-23363 See Also: SEC Complaint
Sept. 25, 2015	iShopNoMarkup.com, Inc. Release No. LR-23362
Sept. 25, 2015	Richard E. Gathright, et al. Release No. LR-23361 See Also: SEC Complaint
Sept. 25, 2015	Morando Berrettini, et al. Release No. LR-23364
Sept. 24, 2015	Richard Condon, et al. Release No. LR-23359 See Also: SEC Complaint
Sept. 24, 2015	Jason W. Galanis Release No. LR-23360 See Also: SEC Complaint
Sept. 22, 2015	Daniel H. Mudd, Enrico Dallavecchia, and Thomas A. Lund Release No. LR-23358
Sept. 21, 2015	Frank Morelli III and Louis Buonocore Release No. LR-23355 See Also: SEC Complaint
Sept. 21, 2015	Eric McPhail, et al. Release No. LR-23357
Sept. 21, 2015	Joseph F. Apuzzo Release No. LR-23356, AAER-3703
Sept. 18, 2015	Robert DeWayne Milligan Release No. LR-23354 See Also: SEC Complaint
Sept. 17, 2015	Tropikgadget FZE, et al. Release No. LR-23351 See Also: SEC Complaint
Sept. 17, 2015	George Ivakhnik and The Mobile Star Corporation Release No. LR-23353
Sept. 17, 2015	Christopher J. Hall Release No. LR-23352 See Also: SEC Complaint
Sept. 16, 2015	Dynkowski, et al. Release No. LR-23350
Sept. 16, 2015	8000, Inc., Jonathan E. Bryant, Thomas J. Kelly, and Carl N. Duncan, Esq. Release No. LR-23349
Sept. 15, 2015	Jason Mogler, et al. Release No. LR-23347 See Also: SEC Complaint
Sept. 15, 2015	Dynkowski, et al. Release No. LR-23348
Sept. 14, 2015	Marco Babini et al. Release No. LR-23346 See Also: SEC Complaint
Sept. 14, 2015	Dubovoy, et al. Release No. LR-23345
Sept. 11, 2015	Joseph Paul Zada Release No. LR-23343
Sept. 11, 2015	Wilfred Robert Sutcliffe, Edward Parker, and Christopher Edwards Release No. LR-23344
Sept. 10, 2015	Benjamin Wey, et al. Release No. LR-23342 See Also: SEC Complaint
Sept. 10, 2015	Maher F. Kara, et al. Release No. LR-23341

Rules & Regulations

Enforcement & Litigation

Compliance

Litigation Releases

More in this Section

Breadcrumb

Litigation Releases