Litigation Releases Archive: 2017
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
Additional Archives
2023 | 2022 | 2021 | 2020 | 2019 | 2018| 2017| 2016 | 2015 | 2014 | 2013 | 2012 | 2011 | 2010 | 2009 | 2008 | 2007 | 2006 | 2005 | 2004 | 2003 | 2002 | 2001 | 2000 | 1999 | 1998 | 1997 | 1996 | 1995
SEC Litigation Releases RSS Feed
| Release No. | Date | Respondents |
Fourth Quarter | ||
| LR-24022 | Dec. 26, 2017 | Gaughran, et al.
See also: Complaint |
| LR-24021 | Dec. 26, 2017 | Anvil Partners, Inc.
See also: Contempt Order |
| LR-24020 | Dec. 21, 2017 | Robert H. Shapiro, Woodbridge Group of Companies, LLC, et al.
See also: SEC Complaint |
| LR-24019 | Dec. 21, 2017 | Stephen C. Peters, VisionQuest Wealth Management, LLC, VisionQuest Capital, LLC, and VQ Wealth, LLC
See also: SEC Complaint |
| LR-24018 | Dec. 20, 2017 | Matrix Capital Markets, LLC, Nicholas M. Mitsakos and Courtlin L. Holt-Nguyen |
| LR-24017 | Dec. 20, 2017 | Ronald A. Fossum, Jr. and Alonzo R. Cahoon
See also: SEC Complaint |
| LR-24016 | Dec. 18, 2017 | Jason A. Wallace |
| LR-24015 | Dec. 14, 2017 | Lanny Brown, et al.
See also: SEC Complaint |
| LR-24014 | Dec. 14, 2017 | Justin D. Meadlin and Hyaline Capital Management, LLC |
| LR-24013 | Dec. 14, 2017 | Ray C. Davis and Behavioral Recognition Systems, Inc., n/k/a Giant Gray, Inc.
See also: SEC Complaint |
| LR-24012 | Dec. 14, 2017 | Kenneth Peer
See also: SEC Complaint |
| LR-24011 | Dec. 14, 2017 | Louis G. Mohlman, Jr., Mohlman Asset Management, LLC, and Mohlman Asset Management Fund, LLC
See also: SEC Complaint |
| LR-24010 | Dec. 13, 2017 | Corey J. Sandberg and Affinity Gold Corporation
See also: Application |
| LR-24009 | Dec. 13, 2017 | Merrill Robertson, Jr., et al. |
| LR-24008 | Dec. 13, 2017 | H. Craig Dees |
| LR-24007 | Dec. 11, 2017 | Westport Capital Markets, LLC and Christopher E. McClure
See also: SEC Complaint |
| LR-24006 | Dec. 8, 2017 | Steve Qi, et al.
See also: SEC Complaint |
| LR-24005 | Dec. 7, 2017 | Stephen J. Leonard
See also: SEC Complaint |
| LR-24004 | Dec. 6, 2017 | Zachary S. Berkey, et al.
See also: SEC Complaint |
| LR-24003 | Dec. 5, 2017 | James C. Tao and Donna Boyd (f/k/a Donna Chen)
See also: SEC Complaint |
| LR-24002 | Dec. 5, 2017 | Tom Simeo |
| LR-24001 | Dec. 4, 2017 | Donald E. MacCord, Jr., et al.
See also: SEC Complaint |
| LR-24000 | Dec. 4, 2017 | Premier Holding Corp. et al.
See also: SEC Complaint |
| LR-23999 | Dec. 4, 2017 | Dawn J. Bennett, DJB Holdings, LLC, and Bradley C. Mascho
See also: SEC Complaint |
| LR-23998 | Dec. 1, 2017 | David Webb, Jr.
See also: SEC Complaint |
| LR-23997 | Nov. 29, 2017 | Town of Ramapo, et al. |
| LR-23996 | Nov. 21, 2017 | Jay Mac Rust and Christopher K. Brenner
Other Release No.: AAER-3908 |
| LR-23995 | Nov. 21, 2017 | Daniel H. Glick, et al |
| LR-23994 | Nov. 20, 2017 | Inofin, Inc., Michael J. Cuomo, Kevin J. Mann, Sr., Melissa George, Thomas Kevin Keough, David Affeldt, and Nancy Keough |
| LR-23993 | Nov. 20, 2017 | Penn West Petroleum Ltd., d/b/a Obsidian Energy Ltd., Todd H. Takeyasu, Jeffery A. Curran, and Waldemar Grab |
| LR-23992 | Nov. 20, 2017 | Ibrahim Almagarby and Microcap Equity Group LLC
See also: SEC Complaint |
| LR-23991 | Nov. 17, 2017 | Capital Financial Partners, LLC et al. |
| LR-23990 | Nov. 17, 2017 | Green Tree Investment Group, Inc. and Jeffrey B. Mallett
See also: SEC Complaint |
| LR-23989 | Nov. 17, 2017 | David N. Fuselier, Roy W. Erwin and Integrated Freight Corporation |
| LR-23988 | Nov. 16, 2017 | Pedro Fort Berbel et al. |
| LR-23987 | Nov. 14, 2017 | The End of the Rainbow Partners, L.L.C., and The Estate of Michael F. Anderson, Defendants, and Carolyn M. Anderson, individually, as the Personal Representative of the Estate of Michael F. Anderson, and as trustee for the Michael Anderson Trust and a trust for the benefit of her minor children, The End of the Rainbow Foundation, Inc., Seaoma Consulting Company, and Bighorn Wealth Fund, L.P., Relief Defendants
See also: SEC Complaint |
| LR-23986 | Nov. 14, 2017 | Susan L. Ellerin and Edward D. Blumstein
See also: SEC Complaint |
| LR-23985 | Nov. 13, 2017 | Michael Quigley et al. |
| LR-23984 | Nov. 13, 2017 | Jay Costa Kelter
See also: SEC Complaint |
| LR-23983 | Nov. 9, 2017 | Robert W. Murray |
| LR-23982 | Nov. 9, 2017 | Paul Z. Singer and Singer Financial Corp.
See also: SEC Complaint |
| LR-23981 | Nov. 9, 2017 | Hadsell Chemical Processing, LLC and Robert Walton, Jr. |
| LR-23980 | Nov. 8, 2017 | Gavin Campion |
| LR-23979 | Nov. 3, 2017 | Christopher A. Faulkner, Homes Inc., HOMESINC Renaissance, LLC, Matthew Rapoport, and Earl Nelson Davenport |
| LR-23978 | Nov. 3, 2017 | Osiris Therapeutics, Inc., et al.
Other Release No.: AAER-3905 |
| LR-23977 | Nov. 1, 2017 | 235 Limited Liability Companies
See also: Application |
| LR-23976 | Oct. 31, 2017 | Wynn Gustafson
See also: Application |
| LR-23975 | Oct. 31, 2017 | Joseph Meli, et al. and Craig H. Carton, et al. |
| LR-23974 | Oct. 31, 2017 | Thomas J. Buck
See also: SEC Complaint |
| LR-23973 | Oct. 30, 2017 | Andalusian Resorts and Spas, Inc., John Madsen, and Bernard Fried
See also: SEC Complaint |
| LR-23972 | Oct. 27, 2017 | Randall James
See also: SEC Complaint |
| LR-23971 | Oct. 25, 2017 | J. Patrick O'Neill and Robert H. Bray |
| LR-23970 | Oct. 19, 2017 | John H. Rogicki
See also: SEC Complaint |
| LR-23969 | Oct. 19, 2017 | Accelera Innovations, Inc., et al. and John F. Wallin
See also complaints: Accelera Innovations, Inc., et al. and John F. Wallin |
| LR-23968 | Oct. 13, 2017 | Reed J. Killion, Jeffrey W. Tomz, and Uni-Pixel, Inc. |
| LR-23967 | Oct. 11, 2017 | JustInfo, et al.
See also: SEC Complaint |
| LR-23966 | Oct. 11, 2017 | Bershan, et al.
See also: SEC Complaint |
| LR-23965 | Oct. 11, 2017 | James M. Schneider
See also SEC Complaints: James M. Schneider and Andrew H. Wilson |
| LR-23964 | Oct. 11, 2017 | Gerardo de Nicolás et al.
See also: SEC Complaint |
| LR-23963 | Oct. 6, 2017 | Christopher A. Faulkner, et. al.
See also: Memorandum of Law and Order |
| LR-23962 | Oct. 6, 2017 | Marc A. Celello
See also: SEC Complaint |
| LR-23961 | Oct. 5, 2017 | Richard G. Cody, et al. |
| LR-23960 | Oct. 4, 2017 | Homero Joshua Garza |
| LR-23959 | Oct. 4, 2017 | Tweed Financial Services, Inc. et al.
See also: SEC Complaint |
| LR-23958 | Oct. 3, 2017 | N1 Technologies, Inc., et al.
See also: SEC Complaint |
| LR-23957 | Oct. 3, 2017 | Arun J. Singh
See also: SEC Complaint |
| LR-23956 | Oct. 3, 2017 | Jammin' Java Corp. et al. |
Third Quarter | ||
| LR-23955 | Sep. 29, 2017 | Demitrios Hallas |
| LR-23954 | Sep. 29, 2017 | Avaneesh Krishnamoorthy |
| LR-23953 | Sep. 29, 2017 | Jason McDiarmid, et al.
See also: SEC Complaint |
| LR-23952 | Sep. 29, 2017 | Anand Jayapalan et al.
See also: SEC Complaint |
| LR-23951 | Sep. 29, 2017 | Tarek D. Bahgat, Lauramarie Colangelo, and WealthCFO LLC
See also: SEC Complaint |
| LR-23950 | Sep. 29, 2017 | Micheal A. Skerry
See also: SEC Complaint; Order (33-10418); Order (34-81751) |
| LR-23949 | Sep. 29, 2017 | Brian C. Jensen |
| LR-23948 | Sep. 28, 2017 | Sean Stewart et al. |
| LR-23947 | Sep. 28, 2017 | David Howard Welch, et al
See also: SEC Complaint |
| LR-23946 | Sep. 28, 2017 | Naris Chamroonrat, et al. |
| LR-23945 | Sep. 27, 2017 | Eric Pulier
See also: SEC Complaint |
| LR-23944 | Sep. 27, 2017 | Edward Chen, et al.
See also: SEC Complaint |
| LR-23943 | Sep. 26, 2017 | Jason Napodano, Bilal Basrai and Bryce Stirton
See also: SEC Complaint |
| LR-23942 | Sep. 22, 2017 | Aegerion Pharmaceuticals, Inc.
See also: SEC Complaint |
| LR-23941 | Sep. 22, 2017 | Moses Investment Company, LLC and Michael S. Moses
See also: SEC Complaint |
| LR-23940 | Sep. 21, 2017 | Justin Samuel Cary
See also: SEC Complaint |
| LR-23939 | Sep. 21, 2017 | Woodbridge Group of Companies LLC
See also: Order |
| LR-23938 | Sep. 20, 2017 | Ronald Van Den Heuvel, et al.
See also: SEC Complaint |
| LR-23937 | Sep. 20, 2017 | Peter C. Chang
See also: SEC Complaint |
| LR-23936 | Sep. 19, 2017 | Francisco Illarramendi, et al. |
| LR-23935 | Sep. 13, 2017 | Lawrence F. Cluff, Jr., Roger E. Shaoul, and James Shaoul
See also: SEC Complaint |
| LR-23934 | Sep. 13, 2017 | Mayank Gupta, et al. |
| LR-23933 | Sep. 12, 2017 | TelexFree, Inc. et al. |
| LR-23932 | Sep. 8, 2017 | David Aubel and Robert Raffa |
| LR-23931 | Sep. 7, 2017 | Brett Kennedy, et al.
See also: SEC Complaint |
| LR-23930 | Sep. 6, 2017 | Scott Newsholme |
| LR-23929 | Sep. 6, 2017 | Craig H. Carton, et al.
See also: SEC Complaint |
| LR-23928 | Sep. 5, 2017 | Richard P. Cedrone, Steven R. Ferris and George R. Thoreson
See also: SEC Complaint |
| LR-23927 | Aug. 31, 2017 | Leon Vaccarelli, et al.
See also: SEC Complaint |
| LR-23926 | Aug. 31, 2017 | Evan R. Kita, et al.
See also: SEC Complaint |
| LR-23925 | Aug. 31, 2017 | Navellier & Associates, Inc. and Louis Navellier
See also: SEC Complaint |
| LR-23924 | Aug. 30, 2017 | Tennstar Energy, Inc., et al.
See also: SEC Complaint |
| LR-23923 | Aug. 29, 2017 | Lek Securities Corp. et al. |
| LR-23922 | Aug. 28, 2017 | Dawn J. Bennett and DJB Holdings LLC
See also: SEC Complaint |
| LR-23921 | Aug. 25, 2017 | Caledonian Bank Ltd., et al.
See also: SEC Complaint |
| LR-23920 | Aug. 24, 2017 | Alan Charles Kapanicas |
| LR-23919 | Aug. 24, 2017 | Sonya D. Camarco, Camarco Investments, Inc. and Camarco Living Trust
See also: SEC Complaint |
| LR-23918 | Aug. 23, 2017 | Javier Martin-Artajo & Julien G. Grout |
| LR-23917 | Aug. 22, 2017 | BioChemics, Inc., et al. |
| LR-23916 | Aug. 22, 2017 | Michael J. Hooper |
| LR-23915 | Aug. 22, 2017 | Jeremy Joseph Drake
See also: SEC Complaint |
| LR-23914 | Aug. 22, 2017 | Brian Pappas, et al.
See also: SEC Complaint |
| LR-23913 | Aug. 21, 2017 | Adesh Kumar Tyagi |
| LR-23912 | Aug. 18, 2017 | Arista Power, Inc., et al. |
| LR-23911 | Aug. 16, 2017 | Daniel Rivas, et al.
See also: SEC Complaint |
| LR-23910 | Aug. 16, 2017 | Edward DiMaria and Matthew Gamsey |
| LR-23909 | Aug. 16, 2017 | Vergeous LLC, et al.
See also: SEC Complaint |
| LR-23908 | Aug. 16, 2017 | Michael Quigley, et al.
See also: SEC Complaint |
| LR-23907 | Aug. 16, 2017 | Robert Cortez Marshall
See also: SEC Complaint |
| LR-23906 | Aug. 11, 2017 | Jay Belson, et al.
See also: SEC Complaint |
| LR-23905 | Aug. 11, 2017 | Southridge Capital Management LLC, et al. |
| LR-23904 | Aug. 11, 2017 | Sethi Petroleum, et al. |
| LR-23903 | Aug. 11, 2017 | Hidalgo Mining Corp., et al.
See also: SEC Complaint |
| LR-23902 | Aug. 11, 2017 | Smith, et al. |
| LR-23901 | Aug. 11, 2017 | Damon Hovannisian, et al.
See also: SEC Complaint |
| LR-23900 | Aug. 10, 2017 | Louis Martin Blazer III |
| LR-23899 | Aug. 8, 2017 | David Blaszczak, et al. |
| LR-23898 | Aug. 8, 2017 | Steven V. McClatchey and Gary J. Pusey |
| LR-23897 | Aug. 4, 2017 | Michael L. Hudson |
| LR-23896 | Aug. 3, 2017 | 7S Oil & Gas, LLC, et al.
See also: SEC Complaint |
| LR-23895 | Aug. 2, 2017 | Robert D. B. Genovese, et al.
See also: SEC Complaint |
| LR-23894 | Aug. 1, 2017 | Donald J. Lester, et al. |
| LR-23893 | Aug. 1, 2017 | Patrick Muraca, NanoMolecularDX, LLC (a/k/a NMDX, LLC), and MetaboRX, LLC
See also: SEC Complaint |
| LR-23892 | Aug. 1, 2017 | Jeffrey D. Martin, et al.
See also complaints: Jeffrey D. Martin, et al. and Harold J. Swart, Jr., et al. |
| LR-23891 | Jul. 31, 2017 | Stephen D. Ferrone, et al. |
| LR-23890 | Jul. 28, 2017 | Cash Capital, LLC, America's Strategic Ore Properties, LLC, and Robert W. Wilson
See also: SEC Complaint |
| LR-23889 | Jul. 28, 2017 | Harold L. Altvater |
| LR-23888 | Jul. 26, 2017 | Joey Stanton Dodson
See also: SEC Complaint |
| LR-23887 | Jul. 26, 2017 | John Anthony Giunti and Interactive Media Solutions, LLC
See also: SEC Complaint |
| LR-23886 | Jul. 26, 2017 | Anthony Joseph Marino, George Frank Polera, and United Business Alliance, LLC
See also: SEC Complaint |
| LR-23885 | Jul. 25, 2017 | Homero Joshua Garza, GAW Miners, LLC, and ZenMiner, LLC |
| LR-23884 | Jul. 25, 2017 | Petroforce Energy, LLC, et al.
See also: SEC Complaint |
| LR-23883 | Jul. 24, 2017 | Andrew Farmer, et al. |
| LR-23882 | Jul. 21, 2017 | Andrew T.E. Coldicutt, et al.
See also: Application |
| LR-23881 | Jul. 19, 2017 | Troy Joseph Flowers, et al.
See also: SEC Complaint |
| LR-23880 | Jul. 14, 2017 | TelexFree, Inc. et al. |
| LR-23879 | Jul. 13, 2017 | Charles A. Banks, IV |
| LR-23878 | Jul. 12, 2017 | Powertraderspress.com, Inc., Elite Stock Research, Inc., Erik Matz, Ronald Hardy, Anthony Vassallo, Stephanie Lee, Jeffrey Chartier, Lawrence D. Isen, Robert Gleckman, Brian Heepke, Dennis J. Verderosa, Emin Cohen, Sergio Ramirez, and Ashley Antos, Defendants, and Hermann Matz, Joseph Matz, Brittney Ballestas, Melissa Kurtzke, Janine Acosta, Type A Partners, Inc., Strategic Capital Markets, Inc., Marketbyte LLC, Snap or Tap Productions, LLC, Dacona Financial LLC, TradeMastersPro.com, Inc., MyStreetResearch.com, Inc., Revolving Ventures LLC, TradeMasters Consulting, Inc., Big Little Consulting, Inc., BCBall, Inc., Gabron Transport Corp., PTP Construction Corp., Terryville Systems, Inc., MKKMMKKM, Inc., Trek Partners LLC, RKRG, INC., Price Point Consulting, Inc., DJV Enterprises, Inc., Leecorp, Inc., Soccerserge, Inc., and Antos, Inc.
See also: SEC Complaint |
| LR-23877 | Jul. 12, 2017 | Victory Ho
See also: SEC Complaint |
| LR-23876 | Jul. 7, 2017 | Carol J. Wayland, John C. Mueller, Kentucky-Tennessee 50 Wells/400 BBLPD Block, Limited Partnership, HP Operations, LLC, C.A.R. Leasing, LLC, Mitchell B. Dow, Barry Liss, and Steve G. Blasko
See also: SEC Complaint |
| LR-23875 | Jul. 7, 2017 | Dwayne Edwards, et al. |
| LR-23874 | Jul. 5, 2017 | Ryan Petersen
Other Release No.: AAER-3882 |
| LR-23873 | Jul. 5, 2017 | LocatePlus Holdings Corp., Jon Latorella and James Fields |
| LR-23872 | Jul. 3, 2017 | Cheryl L. Jones
See also: SEC Complaint |
Second Quarter | ||
| LR-23871 | Jun. 30, 2017 | Sasan Sabrdaran and Farhang Afsarpour |
| LR-23870 | Jun. 30, 2017 | Renwick Haddow, et al.
See also: SEC Complaint |
| LR-23869 | Jun. 28, 2017 | Diana P. Lovera
See also: SEC Complaint |
| LR-23868 | Jun. 27, 2017 | Harold L. Altvater, Maureen E. Curran, Susan L. Dubuc
See also SEC Complaints: Altvater, Curran, Dubuc |
| LR-23867 | Jun. 23, 2017 | Strategic Capital Management, LLC and Michael J. Breton |
| LR-23866 | Jun. 22, 2017 | Seyed Taher Kameli, et al.
See also: SEC Complaint |
| LR-23865 | Jun. 21, 2017 | Jay Mac Rust and Christopher K. Brenner
Other Release No.: AAER-3881 |
| LR-23864 | Jun. 21, 2017 | James M. Farinella, et al.
See also: SEC Complaint |
| LR-23863 | Jun. 20, 2017 | Arista Power, Inc., et al.
See also: SEC Complaint |
| LR-23862 | Jun. 19, 2017 | Yu-Cheng Lin |
| LR-23861 | Jun. 16, 2017 | CannaVEST Corp. a/k/a CV Sciences, Inc. and Michael J. Mona, Jr.
See also: SEC Complaint |
| LR-23860 | Jun. 15, 2017 | Edwin Yoshihiro Fujinaga and MRI International, Inc., et al. |
| LR-23859 | Jun. 15, 2017 | James R. Trolice, et al. |
| LR-23858 | Jun. 15, 2017 | Jehu Hand and Antonio Katz |
| LR-23857 | Jun. 12, 2017 | AmeraTex Energy, Inc., et al. |
| LR-23856 | Jun. 12, 2017 | Ascenergy LLC et al.
See also: Final Judgement |
| LR-23855 | Jun. 8, 2017 | David N. Fuselier, Roy W. Erwin and Integrated Freight Corporation
See also: SEC Complaint |
| LR-23854 | Jun. 7, 2017 | Michael Trahan
See also: SEC Complaint |
| LR-23853 | Jun. 5, 2017 | Alpine Securities Corporation |
| LR-23852 | Jun. 5, 2017 | Homero Joshua Garza, GAW Miners, LLC, and ZenMiner, LLC |
| LR-23851 | Jun. 2, 2017 | Marc D. Broidy and Broidy Wealth Advisors, LLC |
| LR-23850 | Jun. 1, 2017 | Adesh Kumar Tyagi
See also: SEC Complaint |
| LR-23849 | May 31, 2017 | Yu-Cheng Lin
See also: SEC Complaint; Order of Contempt |
| LR-23848 | May 26, 2017 | James H. Im and Kee Chan |
| LR-23847 | May 26, 2017 | Momentum Investment Partners LLC (D/B/A Avatar Investment Management) and Ronald J. Fernandes |
| LR-23846 | May 25, 2017 | TelexFree, Inc. et al. |
| LR-23845 | May 25, 2017 | William J. Wells and Promitor Capital Management LLC |
| LR-23844 | May 25, 2017 | Mark A. Jones |
| LR-23843 | May 24, 2017 | 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-23842 | May 24, 2017 | Gustavo A. Guzman
See also: SEC Complaint |
| LR-23841 | May 24, 2017 | David Blaszczak, et al.
See also: SEC Complaint |
| LR-23840 | May 24, 2017 | Nathanial D. Ponn |
| LR-23839 | May 24, 2017 | Imran Husain, et al.
See also: SEC Complaint |
| LR-23838 | May 22, 2017 | Thurman P. Bryant, III, et al.
See also: SEC Complaint |
| LR-23837 | May 22, 2017 | Murakami, et al.
See also: SEC Complaint |
| LR-23836 | May 19, 2017 | Robert W. Murray
See also: SEC Complaint |
| LR-23835 | May 18, 2017 | Hadsell Chemical Processing, LLC and Robert Walton, Jr.
See also: SEC Complaint |
| LR-23834 | May 12, 2017 | Mohamud Abdi Ahmed and 2waytrading, LLC
See also: SEC Complaint |
| LR-23833 | May 11, 2017 | Walter C. Little and Andrew M. Berke
See also: SEC Complaint |
| LR-23832 | May 11, 2017 | Douglas Roe and Donald Lindo
See also: SEC Complaint |
| LR-23831 | May 11, 2017 | Wensheng Lin and Sheng Li Chen |
| LR-23830 | May 11, 2017 | Chamroonrat, et al.
See also: SEC Complaint |
| LR-23829 | May 11, 2017 | Carl Keith Battie
See also: SEC Complaint |
| LR-23828 | May 9, 2017 | Matthew E. White, et al. |
| LR-23827 | May 9, 2017 | David R. Humphrey
See also: SEC Complaint |
| LR-23826 | May 9, 2017 | Iat Hong, et al. |
| LR-23825 | May 5, 2017 | Andrew T.E. Coldicutt, et al. |
| LR-23824 | May 4, 2017 | William R. Schantz III and Verto Capital Management LLC
See also: SEC Complaint |
| LR-23823 | May 4, 2017 | Robert B. Crowe |
| LR-23822 | May 1, 2017 | Mark J. Varacchi, et al. |
| LR-23821 | May 1, 2017 | Wensheng Lin and Sheng Li Chen
See also: SEC Complaint |
| LR-23820 | May 1, 2017 | Joseph Meli, et al.
See also: SEC Amended Complaint and Preliminary Injunction |
| LR-23819 | Apr. 28, 2017 | Kamal Zuhdi Abdallah, a/k/a Kamal Sulleman, et al.
See also: SEC Complaint |
| LR-23818 | Apr. 28, 2017 | Serofim Muroff, et al.
See also: SEC Complaint |
| LR-23817 | Apr. 27, 2017 | Michael Andre Jones
See also: SEC Complaint |
| LR-23816 | Apr. 26, 2017 | Thomas Edward Andrews and Scott Walter Christensen
See also: SEC Complaint |
| LR-23815 | Apr. 26, 2017 | John T. Place, et al. |
| LR-23814 | Apr. 26, 2017 | Avaneesh Krishnamoorthy and Shreya Achar
See also: SEC Complaint |
| LR-23813 | Apr. 26, 2017 | Demitrios Hallas
See also: SEC Complaint |
| LR-23812 | Apr. 25, 2017 | Kevin J. Amell
See also: SEC Complaint |
| LR-23811 | Apr. 25, 2017 | Matthew A. Krimm, et al.
See also: SEC Complaint |
| LR-23810 | Apr. 21, 2017 | Kent P. Watts, et al.
See also: SEC Complaint |
| LR-23809 | Apr. 19, 2017 | Matthew W. Fox and Wayne Energy, LLC
See also: SEC Complaint |
| LR-23808 | Apr. 17, 2017 | Justin D. Meadlin and Hyaline Capital Management, LLC
See also: SEC Complaint |
| LR-23807 | Apr. 14, 2017 | Christopher R. Esposito, et al. |
| LR-23806 | Apr. 14, 2017 | 4D Circle LLC a/k/a Enoetics, LLC, Mantford C. Hawkins, and David E. Bell
See also: SEC Complaint |
| LR-23805 | Apr. 13, 2017 | Mustafa David Sayid
See also: SEC Complaint |
| LR-23804 | Apr. 13, 2017 | Ryan Gilbertson, et al. |
| LR-23803 | Apr. 13, 2017 | Daniel H. Glick, et al |
| LR-23802 | Apr. 12, 2017 | Lidingo Holdings, LLC, et al., CSIR Group, LLC, et al.
See also: SEC Complaint-Lidingo and SEC Complaint-CSIR |
| LR-23801 | Apr. 6, 2017 | Lawrence F. Cluff, Jr. and Roger E. Shaoul |
| LR-23800 | Apr. 6, 2017 | Michael D. Shumway
See also: SEC Complaint |
| LR-23799 | Apr. 5, 2017 | Thomas J. Connerton and Safety Technologies LLC |
| LR-23798 | Apr. 4, 2017 | Lucita A. Zamoras
See also: SEC Complaint |
| LR-23797 | Apr. 3, 2017 | Vlad B. Spivak, et al. |
| LR-23796 | Apr. 3, 2017 | Rhode Island Commerce Corporation (f/k/a Rhode Island Economic Development Corporation), et al. |
First Quarter | ||
| LR-23795 | Mar. 30, 2017 | Clayton A. Cohn, et al. |
| LR-23794 | Mar. 29, 2017 | Daniel H. Glick, et al
See also: SEC Complaint |
| LR-23793 | Mar. 29, 2017 | Mark McKinnies
See also: SEC Complaint and SEC Order |
| LR-23792 | Mar. 28, 2017 | Mark A. Jones |
| LR-23791 | Mar. 27, 2017 | LottoNet Operating Corp., et al. |
| LR-23790 | Mar. 24, 2017 | Nino Coppero del Valle et al. |
| LR-23789 | Mar. 24, 2017 | Ariel Darvasi and Amir Waldman
See also: SEC Complaint |
| LR-23788 | Mar. 24, 2017 | TelexFree, Inc. et al. |
| LR-23787 | Mar. 23, 2017 | Dr. Keith Laggos |
| LR-23786 | Mar. 23, 2017 | Steven A. Hartung
See also: SEC Complaint |
| LR-23785 | Mar. 23, 2017 | Thomas J. Connerton and Safety Technologies LLC |
| LR-23784 | Mar. 23, 2017 | Christopher Ludwig
See also: SEC Complaint |
| LR-23783 | Mar. 20, 2017 | Michael J. Maciocio and David P. Hobson |
| LR-23782 | Mar. 20, 2017 | Jerry Miller |
| LR-23781 | Mar. 17, 2017 | Patrick Churchville, et al. |
| LR-23780 | Mar. 15, 2017 | Todd David Alpert
See also: SEC Complaint |
| LR-23779 | Mar. 15, 2017 | Strategic Capital Management, LLC and Michael J. Breton |
| LR-23778 | Mar. 15, 2017 | Andy Shin Fong Chen, et al.
See also: SEC Complaint |
| LR-23777 | Mar. 13, 2017 | Gregory E. Webb, et al. |
| LR-23776 | Mar. 10, 2017 | Lek Securities Corporation, et al.
See also: SEC Complaint |
| LR-23775 | Mar. 10, 2017 | Nasir N. Shakouri, Robert S. Torino, Bronson L. Quon, John S. Hong and Jonathan K. Skarie
Other Release No.: AAER-3861 See also: SEC Complaint |
| LR-23774 | Mar. 9, 2017 | Notis Global, Inc. (f/k/a Medbox, Inc.), et al. |
| LR-23773 | Mar. 9, 2017 | VIPWallSt Inc., Michael Todd Osborn, Shenae Catherine Osborn, and Virgil Gene Williams
See also: SEC Complaint |
| LR-23772 | Mar. 7, 2017 | Marrien Neilson |
| LR-23771 | Mar. 7, 2017 | Joseph Meli, et al.
See also: SEC Complaint and Temporary Restraining Order |
| LR-23770 | Mar. 6, 2017 | Nathanial D. Ponn |
| LR-23769 | Mar. 6, 2017 | Yu-Cheng Lin |
| LR-23768 | Mar. 3, 2017 | Capital Financial Partners, LLC et al. |
| LR-23767 | Mar. 3, 2017 | Arcturus Corporation, et al. |
| LR-23766 | Mar. 3, 2017 | Thomas D. Melvin, Jr., et al. |
| LR-23765 | Mar. 3, 2017 | Desarrolladora Homex S.A.B. de C.V
Other Release No.: AAER-3862 See also: SEC Complaint |
| LR-23764 | Mar. 3, 2017 | J. Patrick O'Neill and Robert H. Bray |
| LR-23763 | Mar. 2, 2017 | Upstate Law Group, LLC, et al. |
| LR-23762 | Mar. 2, 2017 | Renato Rodriguez and Gutemberg Dos Santos
See also: SEC Complaint |
| LR-23761 | Feb. 28, 2017 | Tropikgadget FZE, et al. |
| LR-23760 | Feb. 28, 2017 | One or More Unknown Traders in the Securities of Fortress Investment Group, LLC
See also: SEC Complaint |
| LR-23759 | Feb. 27, 2017 | Christopher J. Hall |
| LR-23758 | Feb. 24, 2017 | Harrison Schumacher, et al. |
| LR-23757 | Feb. 22, 2017 | Sean Stewart et al. |
| LR-23756 | Feb. 21, 2017 | FX & Beyond Corporation et al.
See also: SEC Complaint |
| LR-23755 | Feb. 21, 2017 | William P. Carlson, Jr.
See also: SEC Complaint |
| LR-23754 | Feb. 17, 2017 | James Y. Lee, et al. |
| LR-23753 | Feb. 17, 2017 | Darrell Glenn Hardaway and Hardaway Net-Works, Inc.
See also: SEC Complaint |
| LR-23752 | Feb. 16, 2017 | Patrick O. Howard, et al. |
| LR-23751 | Feb. 16, 2017 | John Abio and Abio Financial Group, Inc.
See also: SEC Complaint |
| LR-23750 | Feb. 14, 2017 | James P. Toner, Jr. |
| LR-23749 | Feb. 14, 2017 | Terminus Energy, Inc., et al.
See also: SEC Complaint |
| LR-23748 | Feb. 13, 2017 | Yu-Cheng Lin (a.k.a. Believe Lin)
See also: SEC Complaint and Temporary Restraining Order |
| LR-23747 | Feb. 10, 2017 | Shaohua (Michael) Yin, et al.
See also: SEC Complaint |
| LR-23746 | Feb. 10, 2017 | Alan Barry Staples
See also: SEC Complaint |
| LR-23745 | Feb. 8, 2017 | Oxford City Football Club, Inc., et al. |
| LR-23744 | Feb. 7, 2017 | Zev Saltsman, et al. |
| LR-23743 | Feb. 7, 2017 | Michael Affa, et al. |
| LR-23742 | Feb. 6, 2017 | Mark J. Varacchi, et al. |
| LR-23741 | Feb. 3, 2017 | Thomas Miller and William Liang
Other Release No.: AAER-3859 See also: SEC Complaint |
| LR-23740 | Feb. 3, 2017 | Hold Brothers On-Line Investment Services, LLC, et al. |
| LR-23739 | Feb. 2, 2017 | Varacchi, et al.
See also: SEC Complaint |
| LR-23738 | Feb. 2, 2017 | Paul A. Garcia, et al.
See also: SEC Complaint |
| LR-23737 | Feb. 1, 2017 | Patric Ken Baccam |
| LR-23736 | Feb. 1, 2017 | Samuel DelPresto, et al. |
| LR-23735 | Jan. 31, 2017 | Joseph Meli et al. |
| LR-23734 | Jan. 30, 2017 | Vu H. Le a/k/a Vinh H. Le and TeamVinh.com LLC |
| LR-23733 | Jan. 30, 2017 | Clayton A. Cohn |
| LR-23732 | Jan. 27, 2017 | Brian S. Hudnall, et al.
See also: SEC Complaint |
| LR-23731 | Jan. 27, 2017 | Joseph Meli et al.
See also: SEC Complaint |
| LR-23730 | Jan. 27, 2017 | Christopher R. Esposito, et al. |
| LR-23729 | Jan. 27, 2017 | Herman Ronnie Young, Jr. d/b/a Race Cycler
See also: SEC Complaint |
| LR-23728 | Jan. 26, 2017 | Michael L. Cohen and Vanja Baros
See also: SEC Complaint |
| LR-23727 | Jan. 25, 2017 | Strategic Capital Management, LLC et al. |
| LR-23726 | Jan. 25, 2017 | Mathias Francisco Sandoval Herrera, Maria D. Cidre, and Jose Antonio Miranda Gonzalez
See also: SEC Complaint |
| LR-23725 | Jan. 24, 2017 | Dwayne Edwards, et al.
See also: SEC Complaint |
| LR-23724 | Jan. 23, 2017 | George N. Krinos |
| LR-23723 | Jan. 19, 2017 | James M. Louks et al. |
| LR-23722 | Jan. 19, 2017 | Cort Poyner et al. |
| LR-23721 | Jan. 18, 2017 | San Francisco Regional Center, LLC, et al.
See also: SEC Complaint |
| LR-23720 | Jan. 13, 2017 | Robin G. Charlet, Steven W. Sparks, Gregory J. Tuthill and Kirk D. Porter
See also: SEC Complaint |
| LR-23719 | Jan. 13, 2017 | Gregg R. Mulholland |
| LR-23718 | Jan. 12, 2017 | Daniel Thibeault, et al. |
| LR-23717 | Jan. 12, 2017 | Gregory W. Gray, Jr., et al. |
| LR-23716 | Jan. 10, 2017 | Douglas Furth |
| LR-23715 | Jan. 10, 2017 | Gregory T. Dean and Donald J. Fowler
See also: SEC Complaint |