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 descending	Respondents
March 13, 2013	Securities and Exchange Commission v. Frederick J. O’Meally et al. Release No. LR-22643
March 12, 2013	Alvin R. Brown, First Choice Investment, Inc. and Advanced Corporate Enterprises, Inc. d/b/a A-Corp Enterprises a/k/a ACorp Development a/k/a A-Corp Investment Release No. LR-22642 See Also: SEC Complaint
March 12, 2013	Alexander John Hunter and Thomas Edward Hunter Release No. LR-22641
March 11, 2013	Michael Dale Lackey Release No. LR-22640 See Also: SEC Complaint
March 8, 2013	Inteligentry, Ltd., PlasmERG, Inc., PTP Licensing, Ltd. and John P. Rohner Release No. LR-22639 See Also: SEC Complaint
March 8, 2013	Brian R. Reiss Release No. LR-22638
March 7, 2013	Robert Crane Release No. LR-22636 See Also: SEC Complaint
March 7, 2013	M. Mark McAdams and R. Dane Freeman Release No. LR-22635
March 7, 2013	Gerald D. Kegley, et al. Release No. LR-22634
March 7, 2013	J.C. Reed & Company, Inc., J.C. Reed Advisory Group, LLC, Barron A. Mathis, and Estate of John C. Reed, Lana L. Reed, Executor Release No. LR-22633
March 7, 2013	Scott I. Kupersmith, et al. Release No. LR-22637
March 5, 2013	Colin McCabe (D/B/A Elite Stock Report, The Stock Profiteer, and Resource Stock Advisor) Release No. LR-22632 See Also: SEC Complaint
March 4, 2013	Randal Kent Hansen, et al. Release No. LR-22631 See Also: SEC Complaint
March 1, 2013	Falcon Ridge Development, Inc., et al. Release No. LR-22630 See Also: SEC Complaint
March 1, 2013	LocatePlus Holdings Corporation, Jon Latorella and James Fields Release No. LR-22629
Feb. 28, 2013	Walter Ng, Kelly Ng, Bruce Horwitz, and The Mortgage Fund, LLC Release No. LR-22628
Feb. 28, 2013	Keyuan Petrochemicals, Inc. and Aichun Li Release No. LR-22627, AAER-3447 See Also: SEC Complaint
Feb. 27, 2013	Dynkowski, et al. Release No. LR-22626
Feb. 26, 2013	New Stream Capital, LLC, New Stream Capital (Cayman), Ltd., David A. Bryson, Bart C. Gutekunst, Richard Pereira, and Tara Bryson, et al. Release No. LR-22625 See Also: SEC Complaint
Feb. 26, 2013	Fernando J. Espuelas et al. Release No. LR-22624, AAER-3446
Feb. 21, 2013	Mercury Interactive, LLC (f/k/a Mercury Interactive Corporation), Amnon Landan, Sharlene Abrams, Douglas Smith, and Susan Skaer Release No. LR-22623
Feb. 20, 2013	ABS Manager, LLC et. al. Release No. LR-22622 See Also: SEC Complaint
Feb. 20, 2013	Douglas F. Vaughan Release No. LR-22621
Feb. 19, 2013	One or More Unknown Traders in the Securities of H.J. Heinz Company Release No. LR-22620 See Also: SEC Complaint
Feb. 15, 2013	Sean David Morton, Vajra Productions, LLC, 27 Investments, LLC, and Magic Eight Ball Distributing, Inc., defendants, and Melissa Morton and Prophecy Research Institute, relief defendants Release No. LR-22619
Feb. 15, 2013	Delsa U. Thomas, et al. Release No. LR-22618
Feb. 13, 2013	Igor Poteroba, Aleksey Koval, Alexander Vorobiev, and Relief Defendants Tatiana Vorobieva and Anjali Walter Release No. LR-22617
Feb. 12, 2013	Howard Brett Berger and Michelle Berger Release No. LR-22616
Feb. 8, 2013	A Chicago Convention Center, LLC, Anshoo Sethi, and Intercontinental Regional Center Trust of Chicago, LLC Release No. LR-22615 See Also: SEC Complaint
Feb. 7, 2013	Michael W. Perry et al. Release No. LR-22614
Feb. 6, 2013	Harrold Release No. LR-22613
Feb. 6, 2013	James Balchan Release No. LR-22612 See Also: SEC Complaint
Feb. 5, 2013	Garfield Taylor, Inc., et al. Release No. LR-22611
Feb. 5, 2013	Patrick M. Carroll, James P. Carroll, William T. Carroll, David Mark Calcutt, Christopher Calcutt, David Stitt, John Monroe and Stephen Somers Release No. LR-22610
Feb. 5, 2013	Timothy J. Roth, et al. Release No. LR-22609
Feb. 4, 2013	We The People, Inc., of The United States; Richard K. Olive and Susan L. Olive; William G. Reeves, Esq. Release No. LR-22608 See Also: Olives , We The People , Reeves
Jan. 30, 2013	Barry J. Graham, Fred Davis Clark, Jr., a/k/a Dave Clark, Cristal R. Coleman, a/k/a Cristal Clark, David W. Schwarz, Ricky Lynn Stokes Release No. LR-22607 See Also: SEC Complaint
Jan. 30, 2013	Blake R. Wellington and Daniel J. Vance Release No. LR-22606
Jan. 30, 2013	Kurt S. Hovan, et al. Release No. LR-22605
Jan. 29, 2013	Jonathan R. Curshen, et al. Release No. LR-22604
Jan. 29, 2013	Firas A. Hamdan, individually and doing business as FAH Capital Partners Release No. LR-22603 See Also: SEC Complaint
Jan. 29, 2013	Jesse C. Litvak Release No. LR-22602 See Also: SEC Complaint
Jan. 24, 2013	Randy M. Cho Release No. LR-22601
Jan. 24, 2013	AutoChina International Limited, Hui Kai Yan, Rui Ge Dong, Victory First Limited, Rainbow Yield Limited, Yong Qi Li, Ai Xi Ji, Ye Wang, Zhong Wen Zhang, Li Xin Ma, Yong Li Li, and Shu Ling Li Release No. LR-22600
Jan. 23, 2013	Jonathan C. Gilchrist Release No. LR-22599 See Also: SEC Complaint
Jan. 23, 2013	Christopher Castaldo, et al. Release No. LR-22598
Jan. 22, 2013	Kenneth A. Dachman, et al. Release No. LR-22597
Jan. 17, 2013	John M. Darden III Release No. LR-22596 See Also: SEC Complaint
Jan. 17, 2013	Eric D. Rogers Release No. LR-22595 See Also: SEC Complaint
Jan. 15, 2013	Andreas Badian, et al. Release No. LR-22593
Jan. 15, 2013	Francis E. Wilde, Steven E. Woods, Mark A. Gelazela, Bruce H. Haglund, Matrix Holdings LLC, BMW Majestic LLC, IDLYC Holdings Trust LLC, and IDLYC Holdings Trust, et al. Release No. LR-22594
Jan. 14, 2013	Christel S. Scucci, et al. Release No. LR-22592
Jan. 11, 2013	Gary J. Martel, D/B/A Martel Financial Group and MFG Funding Release No. LR-22591
Jan. 11, 2013	Exotics.com, Inc., et al. Release No. LR-22590
Jan. 11, 2013	Volt Information Sciences, Inc. and Debra L. Hobbs and Jack J. Egan, Jr. Release No. LR-22589, AAER-3439
Jan. 9, 2013	Chetan Kapur; Lilaboc, LLC d/b/a ThinkStrategy Capital Management, LLC Release No. LR-22588
Jan. 9, 2013	Edward J. Woodard, Jr., Cynthia A. Sabol, CPA and Stephen G. Fields Release No. LR-22587, AAER-3437 See Also: SEC Complaint
Jan. 4, 2013	Spongetech Delivery Systems, Inc., RM Enterprises International, Inc., Steven Y. Moskowitz, Michael E. Metter, George Speranza, Joel Pensley and Jack Halperin Release No. LR-22586
Jan. 3, 2013	Nekekim Corp. and Kenneth W. Carlton Release No. LR-22585 See Also: SEC Complaint
Jan. 3, 2013	Yan K. Skwara et al. Release No. LR-22584
Jan. 2, 2013	Online-Registries, Inc. and David Stern Release No. LR-22583
Dec. 27, 2012	Rajat K. Gupta and Raj Rajaratnam Release No. LR-22582
Dec. 26, 2012	Thomas C. Conradt, et al. Release No. LR-22581 See Also: SEC Complaint
Dec. 21, 2012	GLR Capital Management, LLC, GLR Advisors, LLC, John A. Geringer, and Relief Defendant GLR Growth Fund, L.P. Release No. LR-22580
Dec. 21, 2012	Danny Garber, Michael Manis, Kenneth Yellin, Jordan Feinstein, Aluma Holdings LLC, Azure Trading LLC, Coastal Group Holdings, Inc., Greyhawk Equities LLC, Leonidas Group Holdings LLC, The Leonidas Group LLC, Nismic Sales Corp., The OGP Group, Perlinda Enterprises LLC, Rio Sterling Holding LLC, Slow Train Holding LLC, and Spartan Group Holdings LLC Release No. LR-22579 See Also: SEC Complaint
Dec. 21, 2012	Lee S. Rosen Release No. LR-22578 See Also: SEC Complaint
Dec. 20, 2012	Rex T. Shelby, Scott Yeager, Kevin A. Howard and Michael W. Krautz; Schuyler M. Tilney and Thomas W. Davis Release No. LR-22577, AAER-3434
Dec. 20, 2012	Eli Lilly and Company Release No. LR-22576 See Also: SEC Complaint
Dec. 18, 2012	TheStreet, Inc., Eric Ashma, and Gregg Alwine and David Barnett Release No. LR-22575, AAER-3432 See Also: SEC Complaint - TheStreet, Inc. , SEC Complaint - Eric Ashma
Dec. 17, 2012	Spencer Pharmaceutical Inc., Jean-François Amyot, Maximilien Arella, Ian Morrice, IAB Media Inc., and Hilbroy Advisory Inc. Release No. LR-22574 See Also: Trading Suspension , SEC Complaint
Dec. 14, 2012	BioChemics, Inc., et al. Release No. LR-22572 See Also: SEC Complaint
Dec. 14, 2012	Deer Hill Financial Group, LLC, et al. Release No. LR-22571
Dec. 14, 2012	EagleEye Asset Management, LLC and Jeffrey A. Liskov Release No. LR-22570
Dec. 14, 2012	Aletheia Research and Management, Inc. and Peter J. Eichler, Jr. Release No. LR-22573 See Also: SEC Complaint
Dec. 13, 2012	Tiger Asia Management, LLC, et al. Release No. LR-22569
Dec. 11, 2012	Zhou, et al. Release No. LR-22568 See Also: SEC Complaint
Dec. 11, 2012	Steven B. Hart Release No. LR-22567 See Also: SEC Complaint
Dec. 11, 2012	Premco Western, Inc., et al. Release No. LR-22566 See Also: SEC Complaint
Dec. 11, 2012	Dwight Flatt and David Della Sciucca, Jr. Release No. LR-22565
Dec. 7, 2012	Eric Todd Seiden and Kamal Abdallah Release No. LR-22564
Dec. 7, 2012	InnoVida Holdings LLC, Claudio Osorio and Craig Toll Release No. LR-22563 See Also: SEC Complaint
Dec. 7, 2012	Guy M. Jean-Pierre a/k/a Marcelo Dominguez de Guerra Release No. LR-22562 See Also: SEC Complaint
Dec. 6, 2012	East Delta Resources Corp., Victor Sun, David Amsel and Mayer Amsel Release No. LR-22561
Dec. 6, 2012	Femenia et al. Release No. LR-22560 See Also: SEC Complaint
Dec. 6, 2012	Glenn Grossman, Lawrence Steven Cohen, Shay Keren, and John Zanic Release No. LR-22559
Dec. 4, 2012	A.L. Waters Capital, LLC, et al. Release No. LR-22558
Dec. 3, 2012	Timothy S. Durham, et al. Release No. LR-22557
Dec. 3, 2012	Christopher W. Bass, Swiss Capital Harbor-USA, LLC, Swiss Capital Harbor Fund A Partners, L.P., Swiss Capital Harbor Fund B Partners, L.P., and Swiss Capital Harbor Fund C Partners, L.P. Release No. LR-22556
Nov. 30, 2012	Joseph P. Cillo Release No. LR-22555
Nov. 30, 2012	Igor Cornelsen and Bainbridge Group Inc. Release No. LR-22554 See Also: SEC Complaint
Nov. 30, 2012	I. Joseph Massoud Release No. LR-22553 See Also: SEC Complaint
Nov. 30, 2012	China North East Petroleum Holdings Limited, et al. Release No. LR-22552, AAER-3481 See Also: SEC Complaint
Nov. 30, 2012	David Ronald Allen, et al. Release No. LR-22551
Nov. 29, 2012	John H. Pamplin, Jr. Release No. LR-22550 See Also: SEC Complaint
Nov. 29, 2012	Thomas C. Conradt, et al. Release No. LR-22549 See Also: SEC Complaint
Nov. 29, 2012	Resources Planning Group, Inc., et al. Release No. LR-22548 See Also: SEC Complaint
Nov. 28, 2012	Michael Van Gilder and Roger Parker Release No. LR-22547
Nov. 27, 2012	EagleEye Asset Management, LLC and Jeffrey A. Liskov Release No. LR-22546
Nov. 26, 2012	Berton M. Hochfeld et al. Release No. LR-22545
Nov. 26, 2012	Christopher S. Metcalf, Bozidar “Bob” Vukovich, and Pantera Petroleum, Inc. Release No. LR-22544

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