Litigation Releases

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

Search

Year: -View All-202420232022202120202019201820172016201520142013201220112010200920082007200620052004200320022001200019991998199719961995

Month -View All-JanuaryFebruaryMarchAprilMayJuneJulyAugustSeptemberOctoberNovemberDecember

Subscribe

Litigation Releases Table

Date	Respondents
Date: Dec. 28, 2016	Respondents: AJN Investments, LLC et al. Release No. LR-23714 See Also: SEC Complaint
Date: Dec. 28, 2016	Respondents: Interinvest Corporation, Inc. et al. Release No. LR-23713
Date: Dec. 27, 2016	Respondents: Emilio Francisco, et al. Release No. LR-23712 See Also: SEC Complaint
Date: Dec. 27, 2016	Respondents: Iat Hong, et al. Release No. LR-23711 See Also: SEC Complaint
Date: Dec. 22, 2016	Respondents: Richard G. Cody, et al. Release No. LR-23710 See Also: SEC Complaint
Date: Dec. 22, 2016	Respondents: Chamroonrat, et al. Release No. LR-23709 See Also: SEC Complaint
Date: Dec. 22, 2016	Respondents: Teva Pharmaceutical Industries Limited Release No. LR-23708 See Also: SEC Complaint
Date: Dec. 21, 2016	Respondents: John L. Threshie, Jr. Release No. LR-23707 See Also: SEC Complaint
Date: Dec. 21, 2016	Respondents: Charles J. Dushek, et al. Release No. LR-23706
Date: Dec. 21, 2016	Respondents: Braskem, S.A. Release No. LR-23705 See Also: SEC Complaint
Date: Dec. 20, 2016	Respondents: Platinum Management (NY) LLC et al. Release No. LR-23704 See Also: SEC Complaint
Date: Dec. 20, 2016	Respondents: Edward F. Panos, et al. Release No. LR-23703 See Also: SEC Complaint
Date: Dec. 13, 2016	Respondents: Richard G. Cody, et al. Release No. LR-23702 See Also: SEC Complaint
Date: Dec. 8, 2016	Respondents: Nathanial D. Ponn Release No. LR-23701
Date: Dec. 7, 2016	Respondents: Stifel, Nicolaus & Co., Inc., et al. Release No. LR-23700 See Also: Final Judgment
Date: Dec. 5, 2016	Respondents: Levi Lindemann Release No. LR-23699
Date: Dec. 2, 2016	Respondents: Rafael Antonio Calleja, Jr. Release No. LR-23698 See Also: SEC Complaint
Date: Dec. 1, 2016	Respondents: Onix Capital LLC and Alberto Chang-Rajii, et al. Release No. LR-23697 See Also: SEC Complaint
Date: Nov. 30, 2016	Respondents: Harrison Katzen Release No. LR-23696 See Also: SEC Complaint
Date: Nov. 30, 2016	Respondents: Blackbird Capital Partners, LLC, et al. Release No. LR-23695 See Also: SEC Complaint
Date: Nov. 23, 2016	Respondents: Matthew Carl Griffin and William Daniel Griffin Release No. LR-23694
Date: Nov. 23, 2016	Respondents: Jason Kumpf Release No. LR-23693
Date: Nov. 22, 2016	Respondents: Capital Financial Partners, LLC et al.; Will D. Allen and Susan C. Daub Release No. LR-23692
Date: Nov. 22, 2016	Respondents: Stanley Jonathan Fortenberry (a/k/a S.J. Fortenberry, Jon Fortenberry, and Johnny Fortenberry) Release No. LR-23691
Date: Nov. 18, 2016	Respondents: Gavin Campion Release No. LR-23690 See Also: SEC Complaint
Date: Nov. 16, 2016	Respondents: Devon Archer, et al. Release No. LR-23689 See Also: SEC Complaint
Date: Nov. 14, 2016	Respondents: Sanjay Valvani and Gordon Johnston Release No. LR-23688
Date: Nov. 9, 2016	Respondents: Herbert K. Sudfeld Release No. LR-23687
Date: Nov. 9, 2016	Respondents: Eric McPhail and Douglas Parigian Release No. LR-23686
Date: Nov. 8, 2016	Respondents: Jeffrey D. Smith d/b/a Atlanta Capital LLC a/d/b/a Capital Funding, Inc., Joseph Carswell d/b/a Atlanta Capital LLC a/d/b/a Capital Funding, Inc., and Michael W. Fullard Release No. LR-23685 See Also: SEC Complaint
Date: Nov. 7, 2016	Respondents: Christopher K. Schrichte, Howard C. Hill, NewMarket Global Management I, LLC, and NewMarket Technology Fund I, LLC Release No. LR-23683 See Also: SEC Complaint
Date: Nov. 2, 2016	Respondents: Dubovoy, et al. Release No. LR-23682
Date: Nov. 1, 2016	Respondents: Anthony Andrade, et al. Release No. LR-23681
Date: Nov. 1, 2016	Respondents: Nicholas H. Shermeta and Napa Properties, LLC Release No. LR-23680 See Also: et al. , Administrative Proceedings Release , Administrative Proceedings Release File Number: 3-17652
Date: Oct. 27, 2016	Respondents: Marc D. Broidy and Broidy Wealth Advisors, LLC Release No. LR-23679 See Also: SEC Complaint
Date: Oct. 25, 2016	Respondents: Carlos Nataniel Wanzeler and James Matthew Merrill Release No. LR-23678
Date: Oct. 25, 2016	Respondents: Southlake Resources Group, LLC, et al. Release No. LR-23677 See Also: SEC Complaint
Date: Oct. 24, 2016	Respondents: Embraer S.A. Release No. LR-23676
Date: Oct. 21, 2016	Respondents: James C. Cope, Esq. Release No. LR-23675 See Also: SEC Complaint
Date: Oct. 21, 2016	Respondents: Christopher Salis, et al. Release No. LR-23674
Date: Oct. 17, 2016	Respondents: Lime Energy Co. et al. Release No. LR-23673 See Also: SEC Complaint
Date: Oct. 7, 2016	Respondents: James T. Bramlette and The Pelorus Group, LLC Release No. LR-23672
Date: Oct. 4, 2016	Respondents: Richard Weed et al. Release No. LR-23671
Date: Sept. 30, 2016	Respondents: Ikenna Ikokwu, et al. Release No. LR-23670 See Also: SEC Complaint
Date: Sept. 30, 2016	Respondents: Paul R. Downey, et al. Release No. LR-23669
Date: Sept. 30, 2016	Respondents: Louis T. Buonocore, Jeremy R. Draper, Frank J. Morelli, III, Berardino "Dino" Paolucci, Jr. and Don L. Rose Release No. LR-23668 See Also: SEC Complaint
Date: Sept. 30, 2016	Respondents: Vladimir Eydelman and Steven Metro Release No. LR-23667
Date: Sept. 30, 2016	Respondents: Marcus A. Luna, et al. Release No. LR-23666
Date: Sept. 30, 2016	Respondents: Infinex Ventures, Inc., and Ronald H. Salem Release No. LR-23665 See Also: SEC Complaint
Date: Sept. 30, 2016	Respondents: Jason W. Galanis, et al. Release No. LR-23664
Date: Sept. 30, 2016	Respondents: Aegis Oil, LLC and Patrick Reagan Beason Release No. LR-23663
Date: Sept. 29, 2016	Respondents: Robert Gadimian Release No. LR-23662 See Also: SEC Complaint
Date: Sept. 29, 2016	Respondents: Nicholas S. Savva Release No. LR-23661 See Also: SEC Complaint
Date: Sept. 29, 2016	Respondents: Nino Coppero del Valle et al. Release No. LR-23660 See Also: SEC Complaint
Date: Sept. 28, 2016	Respondents: Peter R. Kohli, DMS Advisors, Inc., Marshad Capital Group, Inc., and The DMS Funds Release No. LR-23659 See Also: SEC Complaint
Date: Sept. 28, 2016	Respondents: Craig V. Sizer, and Miguel Mesa Release No. LR-23658 See Also: SEC Complaint
Date: Sept. 27, 2016	Respondents: Keith Hunter Release No. LR-23657 See Also: SEC Complaint
Date: Sept. 27, 2016	Respondents: Jason A. Wallace Release No. LR-23656 See Also: SEC Complaint
Date: Sept. 27, 2016	Respondents: Mard, Inc. f/k/a KiOR, Inc, et al. Release No. LR-23655
Date: Sept. 26, 2016	Respondents: Daniel Thibeault, et al. Release No. LR-23654
Date: Sept. 23, 2016	Respondents: North Star Finance LLC, et al. Release No. LR-23653
Date: Sept. 22, 2016	Respondents: Colin Whelehan and Sheren Tsai Release No. LR-23652 See Also: SEC Complaint
Date: Sept. 22, 2016	Respondents: James R. Trolice, et al. Release No. LR-23651
Date: Sept. 21, 2016	Respondents: Frank Tamayo Release No. LR-23650
Date: Sept. 21, 2016	Respondents: Saleem Khan et al. Release No. LR-23649
Date: Sept. 20, 2016	Respondents: Mark A. Jones Release No. LR-23648
Date: Sept. 19, 2016	Respondents: Tropikgadget FZE, et al. Release No. LR-23647
Date: Sept. 14, 2016	Respondents: Steven Metro Release No. LR-23646
Date: Sept. 13, 2016	Respondents: Manuel E. Jesus aka Manny Backus, et al. Release No. LR-23645 See Also: SEC Complaint
Date: Sept. 12, 2016	Respondents: Thomas J. Connerton, et al. Release No. LR-23644
Date: Sept. 12, 2016	Respondents: Tycoon Energy, Inc., et al. Release No. LR-23643 See Also: SEC Complaint
Date: Sept. 12, 2016	Respondents: Charles A. Banks, IV Release No. LR-23642 See Also: SEC Complaint
Date: Sept. 12, 2016	Respondents: North Hills Management, LLC, and Mark Evan Bloom Release No. LR-23641
Date: Sept. 12, 2016	Respondents: Marrien Neilson Release No. LR-23640 See Also: SEC Complaint
Date: Sept. 9, 2016	Respondents: RPM International Inc., et al. Release No. LR-23639 See Also: SEC Complaint
Date: Sept. 7, 2016	Respondents: Gordon W. Jenkins, Theodore P. Sweeten, Francis W. Kreais and Craig L. Parkinson Release No. LR-23638 See Also: SEC Complaint
Date: Sept. 7, 2016	Respondents: Dennis W. Hamilton Release No. LR-23637
Date: Sept. 6, 2016	Respondents: Contrarian Press, LLC, Scott S. Fraser, and Nathan Yeung Release No. LR-23636 See Also: SEC Complaint
Date: Sept. 1, 2016	Respondents: Providence Financial Investments, Inc., Providence Fixed Income Fund, LLC, Jeffory Churchfield, Jack Jarrell, and Anthony Buzaneli Release No. LR-23635 See Also: SEC Complaint
Date: Sept. 1, 2016	Respondents: Donald V. Watkins Sr., Esq., Watkins Pencor, LLC and Masada Resource Group, LLC Release No. LR-23634 See Also: SEC Complaint
Date: Sept. 1, 2016	Respondents: Jilbert Tahmazian, Esq. Release No. LR-23633
Date: Sept. 1, 2016	Respondents: Tropikgadget FZE, et al. Release No. LR-23632
Date: Aug. 30, 2016	Respondents: Dennis Wayne Hamilton Release No. LR-23631 See Also: SEC Complaint
Date: Aug. 30, 2016	Respondents: Daniel H. Mudd Release No. LR-23630
Date: Aug. 26, 2016	Respondents: Enviro Board Corporation, et al. Release No. LR-23628 See Also: SEC Complaint
Date: Aug. 25, 2016	Respondents: Edward F. Panos, et al. Release No. LR-23627
Date: Aug. 24, 2016	Respondents: Secured Income Reserve, Inc. et al. Release No. LR-23626 See Also: SEC Complaint
Date: Aug. 24, 2016	Respondents: Cedric Cañas Maillard Release No. LR-23625
Date: Aug. 23, 2016	Respondents: Richard Weed et al. Release No. LR-23624
Date: Aug. 22, 2016	Respondents: John M. Ragsdale Release No. LR-23623 See Also: SEC Complaint
Date: Aug. 22, 2016	Respondents: Michael Andre Jones Release No. LR-23622 See Also: SEC Complaint
Date: Aug. 18, 2016	Respondents: J. Patrick O'Neill and Robert H. Bray Release No. LR-23621
Date: Aug. 18, 2016	Respondents: Sean Stewart Release No. LR-23620
Date: Aug. 12, 2016	Respondents: Paul T. Rampoldi , et al. Release No. LR-23619 See Also: SEC Complaint
Date: Aug. 12, 2016	Respondents: Global Digital Solutions, Inc. et al. Release No. LR-23618 See Also: SEC Complaint
Date: Aug. 10, 2016	Respondents: Benjamin Sydney Staples, et al. Release No. LR-23617
Date: Aug. 10, 2016	Respondents: Merrill Robertson, Jr., et al. Release No. LR-23616 See Also: SEC Complaint
Date: Aug. 10, 2016	Respondents: Sethi Petroleum, LLC and Sameer P. Sethi Release No. LR-23615
Date: Aug. 10, 2016	Respondents: Edwin Ruh Jr. and Pan Asia China Commerce Corp. Inc. Release No. LR-23614 See Also: SEC Complaint
Date: Aug. 8, 2016	Respondents: John T. Place, et al. Release No. LR-23613 See Also: SEC Complaint