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
Nov. 3, 2022	Jeremy K. Rounsville Release No. LR-25569 See Also: SEC Complaint
Nov. 3, 2022	Dean Patrick McDermott, McDermott Investment Advisors, LLC, and McDermott Investment Services Release No. LR-25570
Nov. 1, 2022	Syed Arham Arbab, Tomas Javier Jimenez, Blake Douglas McKinney, Mushfiqur Rahman, John Ryan Shows, and William Carl Spagnoli Release No. LR-25567 See Also: SEC Complaint
Oct. 27, 2022	Mark Alan Lisser a/k/a Mark Alan a/k/a Mark Allen Release No. LR-25566
Oct. 25, 2022	Ramiro Jose Sugranes, et al. Release No. LR-25565 See Also: SEC Complaint , Amended SEC Complaint , Administrative Proceedings Release , Administrative Proceedings Release
Oct. 24, 2022	Cetera Advisors, LLC and Cetera Advisor Networks, LLC Release No. LR-25564 See Also: SEC Complaint
Oct. 21, 2022	Gomes et al. Release No. LR-25563 See Also: Memorandum And Order
Oct. 18, 2022	The Estate of Stephen Romney Swensen, and Crew Capital Group, LLC, Defendants, Wendy Swensen, Saria C. Rodriguez, WS Family IP, and Wingman, and Swensen Capital, Relief Defendants Release No. LR-25560 See Also: SEC Complaint
Oct. 18, 2022	Kevin B. Merrill, et al. Release No. LR-25561
Oct. 18, 2022	Brent David Willis Release No. LR-25562 See Also: SEC Complaint
Oct. 17, 2022	In Ovations Holdings, Inc., and Mark Goldberg Release No. LR-25559 See Also: SEC Complaint
Oct. 14, 2022	Keith Springer and Springer Investment Management, Inc. dba Springer Financial Advisors Release No. LR-25557
Oct. 14, 2022	National Realty Investment Advisors LLC, Rey E. Grabato II, Daniel Coley O'Brien, Thomas Nicholas Salzano and Arthur S. Scutaro, a/k/a Arthur S. Scuttaro, and Relief Defendants Olena Budinska and Jamie A. Samul, a/k/a Jamie Salzano Release No. LR-25558 See Also: SEC Complaint
Oct. 11, 2022	Lev Parnas Release No. LR-25555
Oct. 11, 2022	Cronin and Joseph Release No. LR-25556
Oct. 7, 2022	Ronald T. Molo Release No. LR-25554
Oct. 6, 2022	Donald J. Kellen Release No. LR-25551 See Also: Judgment
Oct. 6, 2022	Justin Costello and David Ferraro Release No. LR-25552 See Also: SEC Complaint
Oct. 6, 2022	The Hydrogen Technology Corporation, Michael Ross Kane, and Tyler Ostern Release No. LR-25553 See Also: SEC Complaint , Judgment - Tyler Ostern
Oct. 4, 2022	Steven H. Davis, et. al Release No. LR-25549, AAER-4352
Oct. 4, 2022	JMJ Capital Group and Richard Lee Ramirez Release No. LR-25550 See Also: SEC Complaint
Oct. 3, 2022	Mauricio Chavez, et al. Release No. LR-25547 See Also: SEC Complaint , Spanish Language Version
Oct. 3, 2022	Harpreet Saini and John Lester Mandac Natividad Release No. LR-25548 See Also: SEC Complaint
Sept. 30, 2022	Jonathan William Mikula, et al. Release No. LR-25541 See Also: SEC Complaint
Sept. 30, 2022	Arbitrade Ltd., et al. Release No. LR-25537 See Also: SEC Complaint
Sept. 30, 2022	Vivera Pharmaceuticals, Inc., EFT Global Holdings, Inc. d/b/a Sentar Pharmaceuticals, and Paul P. Edalat Release No. LR-25538 See Also: SEC Complaint
Sept. 30, 2022	Mark J. McKinley, et al. Release No. LR-25539 See Also: SEC Complaint
Sept. 30, 2022	RBF Trust LLC (a Florida Limited Liability Company), Paulo Fernando De Bastos, Joao Pedro Fonseca, RBF Trust LLC (a Michigan Limited Liability Company), D3 Gestion Immobiliere LLC (a Michigan Limited Liability Company), and D3 Gestion Immobiliere LLC (a Florida Limited Liability Company) Release No. LR-25540 See Also: SEC Complaint
Sept. 30, 2022	Charles Rustin Holzer, Fernando Motta Moraes Release No. LR-25545 See Also: SEC Complaint - Charles Rustin Holzer , SEC Complaint - Fernando Motta Moraes
Sept. 30, 2022	David Stephens et al. Release No. LR-25546 See Also: SEC Complaint
Sept. 30, 2022	Scott Lindell Release No. LR-25542 See Also: SEC Complaint
Sept. 30, 2022	Daniel Moser Release No. LR-25543, AAER-4351 See Also: SEC Complaint
Sept. 30, 2022	Ari Lauer Release No. LR-25544 See Also: SEC Complaint
Sept. 29, 2022	Jason Nordlund Release No. LR-25535 See Also: SEC Complaint
Sept. 29, 2022	Bradley A. Goodbred Release No. LR-25536 See Also: SEC Complaint
Sept. 28, 2022	Premium Point Investments LP et al. Release No. LR-25532 See Also: Final Judgment
Sept. 28, 2022	Charles Parrino Release No. LR-25528 See Also: SEC Complaint
Sept. 28, 2022	Jared D. Eakes, et al. Release No. LR-25533 See Also: SEC Complaint
Sept. 28, 2022	Matthew Nicosia, William Reninger, Fabrizio Di Carlo, and Ronald Touchard Release No. LR-25529 See Also: SEC Complaint
Sept. 28, 2022	Joshua Rupp Release No. LR-25534
Sept. 28, 2022	David Hu Release No. LR-25530
Sept. 28, 2022	Pebblekick, Inc., Donald Shiroishi, and Nancy Williams Release No. LR-25531 See Also: SEC Complaint
Sept. 27, 2022	Theodore J. Farnsworth, J. Mitchell Lowe, and Khalid Itum Release No. LR-25525 See Also: SEC Complaint
Sept. 27, 2022	Kendricks, et al., Mark Wayne Ramsey Release No. LR-25524 See Also: SEC Complaint , SEC Complaint - Mychal Kendricks , SEC Complaint - Mark Wayne Ramsey
Sept. 27, 2022	James T. Patten, et al. Release No. LR-25526 See Also: SEC Complaint
Sept. 27, 2022	Christian J. Gonzalez Release No. LR-25527 See Also: SEC Complaint-Garcia , SEC Complaint-Gonzalez
Sept. 26, 2022	Sang N. Phan and Rich N. Phan Release No. LR-25522 See Also: SEC Complaint
Sept. 26, 2022	Timothy Barton, et al. Release No. LR-25523 See Also: SEC Complaint
Sept. 26, 2022	Judith Paris-Pinder Release No. LR-25521 See Also: SEC Complaint
Sept. 23, 2022	Christopher P. Vallos Release No. LR-25519 See Also: SEC Complaint
Sept. 23, 2022	Morningview Financial, LLC and Miles M. Riccio, et al. Release No. LR-25520 See Also: SEC Complaint
Sept. 23, 2022	James R. Thompson, et al. Release No. LR-25517, AAER-4341 See Also: SEC Complaint
Sept. 23, 2022	Brian Lam, et al. Release No. LR-25518 See Also: SEC Complaint
Sept. 22, 2022	James Arthur McDonald, Jr. and Hercules Investments, LLC Release No. LR-25515 See Also: SEC Complaint
Sept. 22, 2022	Michael Weiss Release No. LR-25516 See Also: SEC Complaint
Sept. 21, 2022	Manhattan Transfer Registrar Company and John C. Ahearn Release No. LR-25514 See Also: SEC Complaint
Sept. 21, 2022	David Sheldon Wells Release No. LR-25513 See Also: SEC Complaint
Sept. 20, 2022	John P. Mendes, et al. Release No. LR-25512 See Also: SEC Complaint
Sept. 19, 2022	Aaron B. Fletcher, et al. Release No. LR-25511 See Also: Judgment
Sept. 16, 2022	Nutra Pharma Corp. et al Release No. LR-25510
Sept. 15, 2022	Dale Swanberg, Granite Construction Incorporated Release No. LR-25507 See Also: SEC Complaint - Granite Construction Incorporated , SEC Complaint - Dale Swanberg
Sept. 15, 2022	Secured Income Group, Inc., et al. Release No. LR-25508 See Also: SEC Complaint
Sept. 15, 2022	Gabriel Edelman, Creative Advancement LLC and Edelman Blockchain Advisors LLC Release No. LR-25509 See Also: SEC Complaint
Sept. 14, 2022	Chicago Crypto Capital LLC, et al. Release No. LR-25506 See Also: SEC Complaint
Sept. 13, 2022	Scott Adam Brander Release No. LR-25502 See Also: SEC Complaint , Administrative Proceedings Release File Number: 3-21069
Sept. 13, 2022	Marc J. Frankel Release No. LR-25503 See Also: SEC Complaint
Sept. 13, 2022	TBG Holdings Corporation, Neil B. Swartz, and Timothy S. Hart, Ted L. Romeo, Vincent J. Caputo, Frank S. Dickerson Release No. LR-25504 See Also: SEC Complaint - Vincent J. Caputo , SEC Complaint - Frank S. Dickerson , SEC Complaint - Ted L. Romeo , and Timothy S. Hart
Sept. 13, 2022	Oppenheimer & Co. Inc. Release No. LR-25505 See Also: SEC Complaint
Sept. 9, 2022	Profile Solutions, Inc. et. al. Release No. LR-25500 See Also: SEC Complaint
Sept. 9, 2022	Ambassador Advisors, LLC, Bernard I. Bostwick, Robert E. Kauffman, and Adrian E. Young Release No. LR-25501
Sept. 8, 2022	Money Magnet Platinum Membership Initiative LLC and LaKenya Hopkins Release No. LR-25499 See Also: SEC Complaint
Sept. 7, 2022	Todd Christopher Doucette Release No. LR-25498 See Also: SEC Complaint
Sept. 2, 2022	Kris A. Swaffer, et. al. Release No. LR-25496 See Also: SEC Complaint
Sept. 2, 2022	David Pope Release No. LR-25497, AAER-4331 See Also: SEC Complaint
Sept. 1, 2022	Cronin and Joseph Release No. LR-25493
Sept. 1, 2022	Ramas Capital Management, LLC and Ganesh H. Betanabhatla Release No. LR-25494 See Also: SEC Complaint
Sept. 1, 2022	Archer Capital Management Group et al. Release No. LR-25495 See Also: SEC Complaint
Aug. 31, 2022	Empirex Capital LLC, et al. Release No. LR-25492
Aug. 30, 2022	Pavel Ruiz Release No. LR-25490 See Also: SEC Complaint , SEC Complaint
Aug. 30, 2022	Gregory E. Lindberg, et al. Release No. LR-25491 See Also: SEC Complaint
Aug. 30, 2022	Lee A. Bressler Release No. LR-25488 See Also: SEC Complaint
Aug. 30, 2022	Ignite International Brands, Ltd. Release No. LR-25489
Aug. 29, 2022	Harmel S. Rayat, RenovaCare, Inc., Jatinder Bhogal, Jeetenderjit Singh Sidhu, and Sharon Fleming Release No. LR-25487 See Also: SEC Complaint
Aug. 26, 2022	Spartan Securities Group, Ltd., et al. Release No. LR-25486 See Also: Order
Aug. 25, 2022	Swapnil J. Rege et al. Release No. LR-25482
Aug. 25, 2022	John C. Wilson II, et al. Release No. LR-25483 See Also: SEC Complaint
Aug. 25, 2022	Taronis Technologies, Inc., et al. Release No. LR-25484, AAER-4328 See Also: SEC Complaint
Aug. 25, 2022	GP Capital Group, Inc. and Shannon W. Illingworth Release No. LR-25485
Aug. 24, 2022	Nicolas Arkells Release No. LR-25481 See Also: SEC Complaint
Aug. 23, 2022	Robert Brian Watson and WDC Holdings LLC d/b/a Northstar Commercial Partners Release No. LR-25480 See Also: SEC Complaint
Aug. 19, 2022	Lee Simmons Release No. LR-25478 See Also: SEC Complaint
Aug. 19, 2022	Jonathan Dax Cooke, et al. Release No. LR-25479 See Also: Judgment
Aug. 18, 2022	Airborne Wireless Network, et al. Release No. LR-25476
Aug. 18, 2022	Anthony J. Mastroianni, Jr. and Global Business Development and Consulting Corp. Civil Release No. LR-25477
Aug. 17, 2022	Nicholas Daniel Release No. LR-25473 See Also: SEC Complaint
Aug. 17, 2022	CKB168 Holdings Ltd., et al. Release No. LR-25474
Aug. 17, 2022	Sergei Polevikov, et al. Release No. LR-25475
Aug. 17, 2022	Ronald D. Paul Release No. LR-25471, AAER-4322 See Also: SEC Complaint
Aug. 17, 2022	Christopher R. Bentley and Bellatorum Resources, LLC Release No. LR-25472 See Also: SEC Complaint
Aug. 16, 2022	Rahim Mohamed, Davies (Dave") Wong Release No. LR-25469

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