Litigation Releases Archive: 2016
The list below provides links to litigation releases concerning civil lawsuits brought by the Commission in federal court.
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SEC Litigation Releases RSS Feed
| Release No. | Date | Respondents |
Fourth Quarter | ||
| LR-23714 | Dec. 28, 2016 | AJN Investments, LLC et al.
See also: SEC Complaint |
| LR-23713 | Dec. 28, 2016 | Interinvest Corporation, Inc. et al. |
| LR-23712 | Dec. 27, 2016 | Emilio Francisco, et al.
See also: SEC Complaint |
| LR-23711 | Dec. 27, 2016 | Iat Hong, et al.
See also: SEC Complaint |
| LR-23710 | Dec. 22, 2016 | Richard G. Cody, et al.
See also: SEC Complaint |
| LR-23709 | Dec. 22, 2016 | Chamroonrat, et al.
See also: SEC Complaint |
| LR-23708 | Dec. 22, 2016 | Teva Pharmaceutical Industries Limited
See also: SEC Complaint |
| LR-23707 | Dec. 21, 2016 | John L. Threshie, Jr.
See also: SEC Complaint |
| LR-23706 | Dec. 21, 2016 | Charles J. Dushek, et al. |
| LR-23705 | Dec. 21, 2016 | Braskem, S.A.
See also: SEC Complaint |
| LR-23704 | Dec. 20, 2016 | Platinum Management (NY) LLC et al.
See also: SEC Complaint |
| LR-23703 | Dec. 20, 2016 | Edward F. Panos, et al.
See also: SEC Complaint |
| LR-23702 | Dec. 13, 2016 | Richard G. Cody, et al.
See also: SEC Complaint |
| LR-23701 | Dec. 8, 2016 | Nathanial D. Ponn |
| LR-23700 | Dec. 7, 2016 | Stifel, Nicolaus & Co., Inc., et al.
See also: Final Judgment |
| LR-23699 | Dec. 5, 2016 | Levi Lindemann |
| LR-23698 | Dec. 2, 2016 | Rafael Antonio Calleja, Jr.
See also: SEC Complaint |
| LR-23697 | Dec. 1, 2016 | Onix Capital LLC and Alberto Chang-Rajii, et al.
See also: SEC Complaint |
| LR-23696 | Nov. 30, 2016 | Harrison Katzen
See also: SEC Complaint |
| LR-23695 | Nov. 30, 2016 | Blackbird Capital Partners, LLC, et al.
See also: SEC Complaint |
| LR-23694 | Nov. 23, 2016 | Matthew Carl Griffin and William Daniel Griffin |
| LR-23693 | Nov. 23, 2016 | Jason Kumpf |
| LR-23692 | Nov. 22, 2016 | Capital Financial Partners, LLC et al.; Will D. Allen and Susan C. Daub |
| LR-23691 | Nov. 22, 2016 | Stanley Jonathan Fortenberry (a/k/a S.J. Fortenberry, Jon Fortenberry, and Johnny Fortenberry) |
| LR-23690 | Nov. 18, 2016 | Gavin Campion
See also: SEC Complaint |
| LR-23689 | Nov. 16, 2016 | Devon Archer, et al.
See also: SEC Complaint |
| LR-23688 | Nov. 14, 2016 | Sanjay Valvani and Gordon Johnston |
| LR-23687 | Nov. 9, 2016 | Herbert K. Sudfeld |
| LR-23686 | Nov. 9, 2016 | Eric McPhail and Douglas Parigian |
| LR-23685 | Nov. 8, 2016 | 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
See also: SEC Complaint |
| LR-23684 | (Intentionally omitted) | |
| LR-23683 | Nov. 7, 2016 | Christopher K. Schrichte, Howard C. Hill, NewMarket Global Management I, LLC, and NewMarket Technology Fund I, LLC
See also: SEC Complaint |
| LR-23682 | Nov. 2, 2016 | Dubovoy, et al. |
| LR-23681 | Nov. 1, 2016 | Anthony Andrade, et al. |
| LR-23680 | Nov. 1, 2016 | Ryan Gilbertson, et al.
See also: Complaint in SEC v. Gilbertson, et al.; SEC Order - Shermeta; SEC Order - Reger |
| LR-23679 | Oct. 27, 2016 | Marc D. Broidy and Broidy Wealth Advisors, LLC
See also: SEC Complaint |
| LR-23678 | Oct. 25, 2016 | Carlos Nataniel Wanzeler and James Matthew Merrill |
| LR-23677 | Oct. 25, 2016 | Southlake Resources Group, LLC, et al.
See also: SEC Complaint |
| LR-23676 | Oct. 24, 2016 | Embraer S.A. |
| LR-23675 | Oct. 21, 2016 | James C. Cope, Esq.
See also: SEC Complaint |
| LR-23674 | Oct. 21, 2016 | Christopher Salis, et al. |
| LR-23673 | Oct. 17, 2016 | Lime Energy Co. et al.
See also: SEC Complaint |
| LR-23672 | Oct. 7, 2016 | James T. Bramlette and The Pelorus Group, LLC |
| LR-23671 | Oct. 4, 2016 | Richard Weed et al. |
Third Quarter | ||
| LR-23670 | Sep. 30, 2016 | Ikenna Ikokwu, et al.
See also: SEC Complaint |
| LR-23669 | Sep. 30, 2016 | Paul R. Downey, et al. |
| LR-23668 | Sep. 30, 2016 | Louis T. Buonocore, Jeremy R. Draper, Frank J. Morelli, III, Berardino "Dino" Paolucci, Jr. and Don L. Rose
See also: SEC Complaint |
| LR-23667 | Sep. 30, 2016 | Vladimir Eydelman and Steven Metro |
| LR-23666 | Sep. 30, 2016 | Marcus A. Luna, et al. |
| LR-23665 | Sep. 30, 2016 | Infinex Ventures, Inc., and Ronald H. Salem
See also: SEC Complaint |
| LR-23664 | Sep. 30, 2016 | Jason W. Galanis, et al. |
| LR-23663 | Sep. 30, 2016 | Aegis Oil, LLC and Patrick Reagan Beason |
| LR-23662 | Sep. 29, 2016 | Robert Gadimian
See also: SEC Complaint |
| LR-23661 | Sep. 29, 2016 | Nicholas S. Savva
See also: SEC Complaint |
| LR-23660 | Sep. 29, 2016 | Nino Coppero del Valle et al.
See also: SEC Complaint |
| LR-23659 | Sep. 28, 2016 | Peter R. Kohli, DMS Advisors, Inc., Marshad Capital Group, Inc., and The DMS Funds
See also: SEC Complaint |
| LR-23658 | Sep. 28, 2016 | Craig V. Sizer, and Miguel Mesa
See also: SEC Complaint |
| LR-23657 | Sep. 27, 2016 | Keith Hunter
See also: SEC Complaint |
| LR-23656 | Sep. 27, 2016 | Jason A. Wallace
See also: SEC Complaint |
| LR-23655 | Sep. 27, 2016 | Mard, Inc. f/k/a KiOR, Inc, et al. |
| LR-23654 | Sep. 26, 2016 | Daniel Thibeault, et al. |
| LR-23653 | Sep. 23, 2016 | North Star Finance LLC, et al. |
| LR-23652 | Sep. 22, 2016 | Colin Whelehan and Sheren Tsai
See also: SEC Complaint |
| LR-23651 | Sep. 22, 2016 | James R. Trolice, et al. |
| LR-23650 | Sep. 21, 2016 | Frank Tamayo |
| LR-23649 | Sep. 21, 2016 | Saleem Khan et al. |
| LR-23648 | Sep. 20, 2016 | Mark A. Jones |
| LR-23647 | Sep. 19, 2016 | Tropikgadget FZE, et al. |
| LR-23646 | Sep. 14, 2016 | Steven Metro |
| LR-23645 | Sep. 13, 2016 | Manuel E. Jesus aka Manny Backus, et al.
See also: SEC Complaint |
| LR-23644 | Sep. 12, 2016 | Thomas J. Connerton, et al. |
| LR-23643 | Sep. 12, 2016 | Tycoon Energy, Inc., et al.
See also: SEC Complaint |
| LR-23642 | Sep. 12, 2016 | Charles A. Banks, IV
See also: SEC Complaint |
| LR-23641 | Sep. 12, 2016 | North Hills Management, LLC, and Mark Evan Bloom |
| LR-23640 | Sep. 12, 2016 | Marrien Neilson
See also: SEC Complaint |
| LR-23639 | Sep. 9, 2016 | RPM International Inc., et al.
See also: SEC Complaint |
| LR-23638 | Sep. 7, 2016 | Gordon W. Jenkins, Theodore P. Sweeten, Francis W. Kreais and Craig L. Parkinson
See also: SEC Complaint |
| LR-23637 | Sep. 7, 2016 | Dennis W. Hamilton |
| LR-23636 | Sep. 6, 2016 | Contrarian Press, LLC, Scott S. Fraser, and Nathan Yeung
See also: SEC Complaint |
| LR-23635 | Sep. 1, 2016 | Providence Financial Investments, Inc., Providence Fixed Income Fund, LLC, Jeffory Churchfield, Jack Jarrell, and Anthony Buzaneli
See also: SEC Complaint |
| LR-23633 | Sep. 1, 2016 | Jilbert Tahmazian, Esq. |
| LR-23634 | Sep. 1, 2016 | Donald V. Watkins Sr., Esq., Watkins Pencor, LLC and Masada Resource Group, LLC
See also: SEC Complaint |
| LR-23632 | Sep. 1, 2016 | Tropikgadget FZE, et al. |
| LR-23631 | Aug. 30, 2016 | Dennis Wayne Hamilton
See also: SEC Complaint |
| LR-23630 | Aug. 30, 2016 | Daniel H. Mudd |
| LR-23629 | (Intentionally omitted) | |
| LR-23628 | Aug. 26, 2016 | Enviro Board Corporation, et al.
See also: SEC Complaint |
| LR-23627 | Aug. 25, 2016 | Edward F. Panos, et al. |
| LR-23626 | Aug. 24, 2016 | Secured Income Reserve, Inc. et al.
See also: SEC Complaint |
| LR-23625 | Aug. 24, 2016 | Cedric Cañas Maillard |
| LR-23624 | Aug. 23, 2016 | Richard Weed et al. |
| LR-23623 | Aug. 22, 2016 | John M. Ragsdale
See also: SEC Complaint |
| LR-23622 | Aug. 22, 2016 | Michael Andre Jones
See also: SEC Complaint |
| LR-23621 | Aug. 18, 2016 | J. Patrick O'Neill and Robert H. Bray |
| LR-23620 | Aug. 18, 2016 | Sean Stewart |
| LR-23619 | Aug. 12, 2016 | Paul T. Rampoldi , et al.
See also: SEC Complaint |
| LR-23618 | Aug. 12, 2016 | Global Digital Solutions, Inc. et al.
See also: SEC Complaint |
| LR-23617 | Aug. 10, 2016 | Benjamin Sydney Staples, et al. |
| LR-23616 | Aug. 10, 2016 | Merrill Robertson, Jr., et al.
See also: SEC Complaint |
| LR-23615 | Aug. 10, 2016 | Sethi Petroleum, LLC and Sameer P. Sethi |
| LR-23614 | Aug. 10, 2016 | Edwin Ruh Jr. and Pan Asia China Commerce Corp. Inc.
See also: SEC Complaint |
| LR-23613 | Aug. 8, 2016 | John T. Place, et al.
See also: SEC Complaint |
| LR-23612 | Aug. 5, 2016 | Patrick Churchville |
| LR-23611 | Aug. 4, 2016 | Edward J. Kosinski
See also: SEC Complaint |
| LR-23610 | Aug. 4, 2016 | Korchevsky, et al. |
| LR-23609 | Jul. 29, 2016 | Anthony Andrade, et al. |
| LR-23608 | Jul. 29, 2016 | Paul R. Downey, et al. |
| LR-23607 | Jul. 28, 2016 | Matthew White et al.
See also: SEC Complaint |
| LR-23606 | Jul. 28, 2016 | Luca International Group, LLC, et al. |
| LR-23605 | Jul. 28, 2016 | Rosalind Herman |
| LR-23604 | Jul. 28, 2016 | Traffic Monsoon et al.
See also: SEC Complaint |
| LR-23603 | Jul. 27, 2016 | Jeffery A. McCollum and JNL Oilfield Instruments, LLC
See also: SEC Complaint |
| LR-23602 | Jul. 26, 2016 | Herbert K. Sudfeld, Jr. |
| LR-23601 | Jul. 25, 2016 | Thomas D. Melvin, et al. |
| LR-23600 | Jul. 25, 2016 | James Hugh Brennan, III, et al.
See also: SEC Complaint |
| LR-23599 | Jul. 22, 2016 | Imperial Petroleum, Inc., et al. |
| LR-23598 | Jul. 20, 2016 | Tyson D. Williams and Stanley D. Parrish |
| LR-23597 | Jul. 18, 2016 | Thomas D. Conrad, Jr., et al.
See also: SEC Complaint |
| LR-23596 | Jul. 15, 2016 | Vineet Kalucha et al. |
| LR-23595 | Jul. 15, 2016 | Zachary Brooke Roberts
See also: SEC Complaint |
| LR-23594 | Jul. 8, 2016 | CKB168 Holdings Ltd., et al. |
| LR-23593 | Jul. 8, 2016 | Thomas W. Avent, Jr., Raymond J. Pirrello, Jr., and Lawrence J. Penna
See also: SEC Complaint |
| LR-23592 | Jul. 7, 2016 | Idris D. Mustapha |
| LR-23591 | Jul. 5, 2016 | Luis Martin-Caro Sanchez |
| LR-23590 | Jul. 5, 2016 | Richard Grossman |
| LR-23589 | Jul. 1, 2016 | Timothy F. Sexton, Jr.
See also: Order to Show Cause |
Second Quarter | ||
| LR-23588 | Jun. 30, 2016 | Bruce D. Strebinger, et al. |
| LR-23587 | Jun. 29, 2016 | Lee D. Weiss, et al. |
| LR-23586 | Jun. 29, 2016 | Andrew F. Kerr
See also: SEC Complaint |
| LR-23585 | Jun. 28, 2016 | David Rivard
Other Release No.: AAER-3786 |
| LR-23584 | Jun. 27, 2016 | Longwei Petroleum Investment Holding Limited and Michael Toups
See also: SEC Complaint |
| LR-23583 | Jun. 24, 2016 | Malcolm Segal |
| LR-23582 | Jun. 24, 2016 | Chris Faulkner, et. al
See also: SEC Complaint |
| LR-23581 | Jun. 23, 2016 | MayfieldGentry Realty Advisors, LLC, et al. |
| LR-23580 | Jun. 23, 2016 | Idris D. Mustapha |
| LR-23579 | Jun. 21, 2016 | Ash Narayan, The Ticket Reserve Inc. a/k/a Forward Market Media, Inc., Richard M. Harmon, and John A. Kaptrosky
See also: SEC Complaint |
| LR-23578 | Jun. 21, 2016 | Juan Rafael Rangel |
| LR-23577 | Jun. 21, 2016 | Thomas C. Conradt, et al.
See also: SEC Complaint |
| LR-23576 | Jun. 21, 2016 | Mitchell Brown |
| LR-23575 | Jun. 21, 2016 | Hemp, Inc., et al.
See also: SEC Complaint |
| LR-23574 | Jun. 20, 2016 | James S. Hannon
See also: SEC Complaint |
| LR-23573 | Jun. 20, 2016 | Daniel Thibeault |
| LR-23572 | Jun. 17, 2016 | StratoComm Corporation, et al. |
| LR-23571 | Jun. 16, 2016 | Christopher Salis, Douglas Miller, Edward Miller, and Barrett Biehl
See also: SEC Complaint |
| LR-23570 | Jun. 15, 2016 | Robert Olins, et al. |
| LR-23569 | (Intentionally omitted) | |
| LR-23568 | Jun. 14, 2016 | Andrew K. Proctor, et al.
See also: SEC Complaint |
| LR-23567 | Jun. 13, 2016 | Providence Financial Investments, Inc., Providence Fixed Income Fund, LLC, Jeffory Churchfield, and Jack Jarrell
See also: SEC Complaint |
| LR-23566 | (Intentionally omitted) | |
| LR-23565 | Jun. 10, 2016 | Thomas J. Connerton and Safety Technologies LLC
See also: SEC Complaint |
| LR-23564 | Jun. 9, 2016 | Guolin Ma
See also: SEC Complaint |
| LR-23563 | Jun. 9, 2016 | Dynkowski, et al. |
| LR-23562 | Jun. 9, 2016 | James R. Trolice, Lee P. Vaccaro, and Patrick G. Mackaronis |
| LR-23561 | Jun. 8, 2016 | Michael J. Maciocio and David P. Hobson
See also: SEC Complaint |
| LR-23560 | Jun. 7, 2016 | Kingdom Legacy General Partner, LLC and Mark C. Northrop
See also: SEC Complaint |
| LR-23559 | Jun. 6, 2016 | Richard Grossman
See also: Application of Securities and Exchange Commission for an Order to Show Cause and an Order Requiring Compliance with Commission Subpoena |
| LR-23558 | Jun. 3, 2016 | Peter D. Nunan
See also: SEC Complaint |
| LR-23557 | Jun. 2, 2016 | Spongetech Delivery Systems, Inc., et al. |
| LR-23556 | Jun. 2, 2016 | Charles C. Liu; Xin Wang a/k/a Lisa Wang; Pacific Proton Therapy Regional Center, LLC; Pacific Proton EB-5 Fund, LLC; and Beverly Proton Center, LLC f/k/a Los Angeles County Proton Therapy, LLC
See also: SEC Complaint |
| LR-23555 | Jun. 2, 2016 | Steven Wise
See also: SEC Complaint |
| LR-23554 | Jun. 2, 2016 | Richard W. Davis, Jr., et al.
See also: SEC Complaint |
| LR-23553 | May 31, 2016 | First Mortgage Corporation, et al. |
| LR-23552 | Jun. 1, 2016 | Steven V. McClatchey and Gary J. Pusey |
| LR-23551 | Jun. 1, 2016 | Hope Advisors, LLC and Karen Bruton (Defendants) and Just Hope Foundation (Relief Defendants) |
| LR-23550 | May 31, 2016 | JSG Capital Investments, LLC, et al.
See also: SEC Complaint |
| LR-23549 | May 31, 2016 | Momentum Investment Partners LLC (d/b/a Avatar Investment Management) and Ronald J. Fernandes
See also: SEC Complaint |
| LR-23548 | May 27, 2016 | Tropikgadget FZE, et al. |
| LR-23547 | May 27, 2016 | David B. Kaplan, Esq., et al.
See also: SEC Complaint |
| LR-23546 | May 27, 2016 | BioChemics, Inc., et al. |
| LR-23545 | May 26, 2016 | Christopher R. Esposito, et al.
See also: SEC Complaint |
| LR-23544 | May 24, 2016 | Michael J. Kipp and Joanne K. Viard
See also: SEC Complaint (Kipp and Viard), SEC Complaint (Pierrard) |
| LR-23543 | May 19, 2016 | Eric J. Kellogg |
| LR-23542 | May 18, 2016 | Gregg D. Caplitz |
| LR-23541 | May 16, 2016 | Richard Weed, et al. |
| LR-23540 | May 13, 2016 | Ross McLellan
See also: SEC Complaint |
| LR-23539 | May 13, 2016 | John Patrick O'Neill |
| LR-23538 | (Intentionally omitted) | |
| LR-23537 | May 12, 2016 | Imran Husain, et al.
See also: SEC Complaint |
| LR-23536 | May 11, 2016 | Charles O. Couch and Couch Oil & Gas Inc.
See also: SEC Complaint |
| LR-23535 | May 11, 2016 | Devon Archer, et. al.
See also: SEC Complaint |
| LR-23534 | May 6, 2016 | Louis Martin Blazer III |
| LR-23533 | May 5, 2016 | Marquis Properties LLC, Chad Deucher and Richard Clatfelter |
| LR-23532 | May 5, 2016 | James R. Trolice, Lee P. Vaccaro, and Patrick G. Mackaronis |
| LR-23531 | May 5, 2016 | Joseph F. Apuzzo |
| LR-23530 | May 4, 2016 | Dubovoy, et al. |
| LR-23529 | May 3, 2016 | Richard St. Julien, Jared Mitchell, Christopher F. Castaldo, Louis F. Petrossi, Herschel C. (a/k/a Tres) Knippa, Richard L. Brown, Gerald J. (a/k/a Gerry) Cocuzzo, Naveed A. (a/k/a Nick) Khan, Maroof Miyana, and Pranav V. Patel
See also: SEC Complaint |
| LR-23528 | May 3, 2016 | Stephen D. Ferrone, et al. |
| LR-23527 | May 3, 2016 | George A. Moore III, et al.
See also: SEC Complaint and Trading Suspension Order |
| LR-23526 | Apr. 26, 2016 | Asher Z. Zwebner; Luke C. Zouvas, et al.
See also: SEC Complaints: Asher Z. Zwebner; Luke C. Zouvas, et al. |
| LR-23525 | Apr. 22, 2016 | Sky Capital LLC (aka Granta Capital LLC), Ross Mandell, Steven Shea, Adam Harrington Ruckdeschel, Arn Wilson, Michael Passaro and Robert Grabowski |
| LR-23524 | Apr. 22, 2016 | Roger S. Bliss, et al. |
| LR-23523 | Apr. 20, 2016 | Bardman, et al. |
| LR-23522 | Apr. 15, 2016 | Heart Tronics, Inc., et al.
See also: Final Judgement |
| LR-23521 | Apr. 14, 2016 | Town of Ramapo, et al.
See also: SEC Complaint |
| LR-23520 | Apr. 14, 2016 | Ariel Quiros, et al. |
| LR-23519 | Apr. 14, 2016 | John Afriyie
See also: SEC Complaint |
| LR-23518 | Apr. 13, 2016 | Sky Capital LLC (aka Granta Capital LLC), Ross Mandell, Steven Shea, Adam Harrington Ruckdeschel, Arn Wilson, Michael Passaro and Robert Grabowski |
| LR-23517 | Apr. 13, 2016 | Michael Donnelly |
| LR-23516 | Apr. 12, 2016 | Khaled "Kal" Bassily
See also: SEC Complaint |
| LR-23515 | Apr. 11, 2016 | William E. Mapp, III, et al.
See also: SEC Complaint |
| LR-23514 | Apr. 11, 2016 | Gregg D. Caplitz, et al. |
| LR-23513 | Apr. 8, 2016 | Clarke Bethancourt, et al. |
| LR-23512 | Apr. 7, 2016 | Edward Laborio, et al. |
| LR-23511 | Apr. 7, 2016 | David Aubel and Robert Raffa
See also: SEC Complaint |
| LR-23510 | Apr. 4, 2016 | Joseph Andrew Paul, et al.
See also: SEC Complaint |
First Quarter | ||
| LR-23509 | Mar. 31, 2016 | John Scott Clark |
| LR-23508 | Mar. 31, 2016 | Nathanial D. Ponn
See also: SEC Complaint |
| LR-23507 | Mar. 31, 2016 | Daniel Ustian
See also: SEC Complaint |
| LR-23506 | Mar. 30, 2016 | Daniel Rivera, et al.
See also: SEC Complaint |
| LR-23505 | Mar. 29, 2016 | Andrew W.W. Caspersen, et al.
See also: SEC Complaint |
| LR-23504 | Mar. 29, 2016 | Tobin Smith, et al.
See also: SEC Complaint |
| LR-23503 | Mar. 29, 2016 | AVEO Pharmaceuticals, Inc., et al. |
| LR-23502 | Mar. 29, 2016 | Stanley J. Kowalewski et al. |
| LR-23501 | Mar. 25, 2016 | John V. Bivona, et al.
See also: SEC Complaint |
| LR-23500 | Mar. 25, 2016 | James M. Louks and FiberPoP Solutions, Inc. |
| LR-23499 | Mar. 25, 2016 | Gilbert G. Lundstrom, et al. |
| LR-23498 | Mar. 24, 2016 | Dubovoy, et al. |
| LR-23497 | Mar. 24, 2016 | Arcturus Corporation, et al. |
| LR-23496 | Mar. 23, 2016 | Guy Gentile
See also: SEC Complaint |
| LR-23495 | Mar. 23, 2016 | Michael Affa, Andrew Affa, Mitchell Brown, Christopher Putnam, and Christopher Nix |
| LR-23494 | Mar. 23, 2016 | Gregory G. Jones. |
| LR-23493 | Mar. 21, 2016 | Bruce D. Strebinger, et al. |
| LR-23492 | Mar. 18, 2016 | John E. Hardy III
See also: SEC Complaint |
| LR-23491 | Mar. 16, 2016 | Yue Han, et al. |
| LR-23490 | Mar. 16, 2016 | Mark A. Jones
See also: SEC Complaint |
| LR-23489 | Mar. 16, 2016 | Cary Lee Peterson, et al. |
| LR-23488 | Mar. 14, 2016 | Daniel Thibeault |
| LR-23487 | Mar. 11, 2016 | BIC Real Estate Development Corp. et al. |
| LR-23486 | Mar. 11, 2016 | PTG Capital Partners LTD, et al. |
| LR-23485 | Mar. 11, 2016 | Aequitas Management, LLC, et al.
See also: SEC Complaint |
| LR-23484 | Mar. 10, 2016 | Reed J. Killion, et al. |
| LR-23483 | Mar. 9, 2016 | Jay Y. Fung and Kevin L. Dowd |
| LR-23482 | Mar. 9, 2016 | Edwin Yoshihiro Fujinaga and MRI International, Inc., et al. |
| LR-23481 | Mar. 9, 2016 | Banc de Binary Ltd., et al. |
| LR-23480 | Mar. 7, 2016 | Rhode Island Commerce Corporation (f/k/a Rhode Island Economic Development Corporation), Wells Fargo Securities, LLC, Peter M. Cannava, Keith W. Stokes, and James Michael Saul
See also: SEC Complaint |
| LR-23479 | Mar. 3, 2016 | Fortitude Group, Inc., et al.
See also: SEC Complaints: Fortitude Group and Strategic Global Investments |
| LR-23478 | Mar. 2, 2016 | Daryl M. Payton, et al. |
| LR-23477 | Mar. 1, 2016 | Zachary Zwerko and David L. Post |
| LR-23476 | Feb. 26, 2016 | Bonan Huang, et al. |
| LR-23475 | Feb. 26, 2016 | Steven H. Davis, et. al |
| LR-23474 | Feb. 24, 2016 | Steven Fishoff, et al. |
| LR-23473 | Feb. 19, 2016 | Nathan Halsey and TexStar Oil Co., Ltd.
See also: SEC Complaint |
| LR-23472 | Feb. 18, 2016 | Scott Valente and The ELIV Group, LLC |
| LR-23471 | Feb. 18, 2016 | Zavodchiko, et al.
See also: SEC Complaint |
| LR-23470 | Feb. 17, 2016 | Randy A. Hamdan and Oracle Consultants, LLC |
| LR-23469 | Feb. 17, 2016 | Michael Affa, Andrew Affa, Mitchell Brown, Christopher Putnam, and Christopher Nix |
| LR-23468 | Feb. 16, 2016 | PV Enterprises, Inc., Panagiotis Villiotis, Virtual Sourcing, Inc., Norman Birmingham, Mario Faraone and Sweet Challenge, LLC (a/k/a Sweet Challenge, Inc.)
See also: SEC Complaint |
| LR-23467 | Feb. 16, 2016 | Wade James Lawrence
See also: SEC Complaint |
| LR-23466 | Feb. 12, 2016 | Gregory Ruehle
See also: SEC Complaint |
| LR-23465 | Feb. 11, 2016 | Jilbert Tahmazian
See also: SEC Complaint |
| LR-23464 | Feb. 11, 2016 | Optimum Income Property, LLC, Optimum Property Investments, LLC, and Frank E. Lleras
See also: SEC Complaint |
| LR-23463 | Feb. 10, 2016 | Moazzam "Mark" Malik and American Bridge Investment Group, LLC, d/b/a Wolf Hedge LLC |
| LR-23462 | Feb. 8, 2016 | Zev Saltsman, et al. |
| LR-23461 | Feb. 8, 2016 | Herbert K. Sudfeld |
| LR-23460 | Feb. 8, 2016 | Robert M. Munakash, Carlos A. Rodriguez, and Marc Winters
See also: SEC Complaint |
| LR-23459 | Feb. 3, 2016 | American Growth Funding II, LLC, Portfolio Advisors Alliance, Inc., Ralph C. Johnson, Howard J. Allen III, and Kerri L. Wasserman
See also: SEC Complaint |
| LR-23458 | Feb. 2, 2016 | Dubovoy, et al. |
| LR-23457 | Feb. 1, 2016 | eAdGear, Inc., et al. |
| LR-23456 | Jan. 29, 2016 | J. Patrick O'Neill and Robert H. Bray |
| LR-23455 | Jan. 27, 2016 | Vlad B. Spivak, et al. |
| LR-23454 | Jan. 27, 2016 | Andrew M. Miller
Other Release No.: AAER-3734 |
| LR-23453 | Jan. 27, 2016 | Kenneth W. Crumbley
See also: SEC Complaint |
| LR-23452 | Jan. 22, 2016 | OTC Capital Partners, LLC et al |
| LR-23451 | Jan. 21, 2016 | Marquis Properties, LLC
See also: SEC Complaint |
| LR-23449 | Jan. 20, 2016 | Stewart A. Merkin |
| LR-23450 | Jan. 20, 2016 | TelexFree, Inc. et al., Carlos Nataniel Wanzeler, and James Matthew Merrill |
| LR-23448 | Jan. 20, 2016 | Nicholas Toms |
| LR-23447 | Jan. 20, 2016 | Anthony Andrade, et al. |
| LR-23446 | Jan. 14, 2016 | Robert B. Crowe |
| LR-23445 | Jan. 14, 2016 | Bonan Huang, et al. |
| LR-23444 | Jan. 11, 2016 | Roger S. Bliss |
| LR-23443 | Jan. 11, 2016 | Steven H. Davis, et. al |
| LR-23442 | Jan. 7, 2016 | Edward Durante, a.k.a. Ted Wise, et al.
See also: SEC Complaint |
| LR-23441 | Jan. 6, 2016 | Ronald Lawrence Schuman |