Notice of Covered Actions
Notice of Covered Actions Table
Notice No.
|
Action
|
Notice Date
|
Claim Due Date
|
---|---|---|---|
Notice No.:2012-130 |
Action: SEC v. Well Advantage Limited, Certain Unknown Traders in the Securities of Nexen, Inc. In an Account of Phillip Securities PTE LTD., and Certain Unknown Traders in the Securities of Nexen, Inc. in an Account of Citibank NA A/C HK 4 |
Notice Date:12/07/2012 | Claim Due Date:03/07/2013 |
Notice No.:2012-129 |
Action: SEC v. Kenneth Ira Starr, Starr Investment Advisors, LLC, Starr & Company, LLC, and Jonathan Star Bristol |
Notice Date:12/07/2012 | Claim Due Date:03/07/2013 |
Notice No.:2012-128 |
Action: SEC v. Kris Chellam |
Notice Date:12/07/2012 | Claim Due Date:03/07/2013 |
Notice No.:2012-127 |
Action: SEC v. Christel S. Scucci, Karen S. Beach, Cameron H. Linton, Esq., Protégé Enterprises, LLC, and Capital Edge Enterprises, LLC |
Notice Date:12/07/2012 | Claim Due Date:03/07/2013 |
Notice No.:2012-126 |
Action: In the Matter of Credit Suisse Securities (USA) LLC; DLJ Mortgage Capital, Inc.; Credit Suisse First Boston Mortgage Acceptance Corp.; Credit Suisse First Boston Mortgage Securities Corp.; and Asset Backed Securities Corporation |
Notice Date:12/07/2012 | Claim Due Date:03/07/2013 |
Notice No.:2012-125 |
Action: SEC v. Joseph J. Monterosso, Luis E. Vargas, Lawrence E. Lynch, and Timothy Huff |
Notice Date:12/07/2012 | Claim Due Date:03/07/2013 |
Notice No.:2012-124 |
Action: SEC v. Anand Sekaran and Wasson Capital Advisors Ltd. |
Notice Date:12/07/2012 | Claim Due Date:03/07/2013 |
Notice No.:2012-123 |
Action: In the Matter of Massachusetts Mutual Life Insurance Company |
Notice Date:11/16/2012 | Claim Due Date:02/14/2013 |
Notice No.:2012-122 |
Action: SEC v. Private Equity Management Group, Inc.; Private Equity Management Group, LLC; and Danny Pang |
Notice Date:11/16/2012 | Claim Due Date:02/14/2013 |
Notice No.:2012-121 |
Action: SEC v. Conrad M. Black, F. David Radler and Hollinger, Inc |
Notice Date:11/16/2012 | Claim Due Date:02/14/2013 |
Notice No.:2012-120 |
Action: SEC v. Jonathan R. Curshen, Michael S. Krome, David C. Ricci, Ronny Morales Salazar, Robert L. Weidenbaum, Ariav "Eric" Weinbaum, and Yitzchak Zigdon a/k/a Izhack Zigdon |
Notice Date:11/16/2012 | Claim Due Date:02/14/2013 |
Notice No.:2012-119 |
Action: SEC v. East Delta Resources Corp., Victor Sun, David Amsel, and Mayer Amsel |
Notice Date:11/16/2012 | Claim Due Date:02/14/2013 |
Notice No.:2012-118 |
Action: SEC v. James S. Quay, a/k/a Jim Quay, a/k/a Stephen Quay, a/k/a Stephen Jameson, and Jeffrey A. Quay |
Notice Date:11/16/2012 | Claim Due Date:02/14/2013 |
Notice No.:2012-117 |
Action: SEC v.Fabrizio Neves and Jose Luna |
Notice Date:11/08/2012 | Claim Due Date:02/06/2013 |
Notice No.:2012-116 |
Action: SEC v. Robert L. Buckhannon, Terry D. Rawstern, Dale E. St. Jean, Gregory D. Tindall, Richard D. Mittasch, Christopher T. Paganes, Glenn M. Barikmo, and Imperium Investment Advisors, LLC |
Notice Date:11/08/2012 | Claim Due Date:02/06/2013 |
Notice No.:2012-115 |
Action: SEC v. John Scott Clark, Impact Cash, LLC, a Utah Limited Liability Company and Impact Payment Systems, LLC a Nevada Limited Liability Company |
Notice Date:11/08/2012 | Claim Due Date:02/06/2013 |
Notice No.:2012-114 |
Action: In the Matter of Hold Brothers On-Line Investment Services, LLC, Demostrate, LLC, Trade Alpha Corporate, Ltd, Steven Hold, Robert Vallone, and William Tobias |
Notice Date:11/08/2012 | Claim Due Date:02/06/2013 |
Notice No.:2012-113 |
Action: SEC v. ICP Asset Management, LLC, ICP Securities, LLC, Institutional Credit Partners, LLC, and Thomas C. Priore |
Notice Date:11/08/2012 | Claim Due Date:02/06/2013 |
Notice No.:2012-112 |
Action: SEC v. Orthofix International N.V |
Notice Date:11/08/2012 | Claim Due Date:02/06/2013 |
Notice No.:2012-111 |
Action: In the Matter of New York Stock Exchange LLC, and NYSE Euronext |
Notice Date:11/08/2012 | Claim Due Date:02/06/2013 |
Notice No.:2012-110 |
Action: SEC v. Blackout Media Corporation, formerly known as First Canadian American Holding Corporation, and Sandy Winick |
Notice Date:11/08/2012 | Claim Due Date:02/06/2013 |
Notice No.:2012-109 |
Action: SEC v. Homeland Safety International, Inc. F/K/A Sniffex, Inc.; Mark B. Lindberg; Petar D. Mihaylov; Yuri P. Markov; Paul B. Johnson; Nicholas V. Klausgaard; and Ilona V. Klausgaard |
Notice Date:11/08/2012 | Claim Due Date:02/06/2013 |
Notice No.:2012-108 |
Action: SEC v. Neil V. Moody and Christopher D. Moody |
Notice Date:11/08/2012 | Claim Due Date:02/06/2013 |
Notice No.:2012-107 |
Action: SEC v. Larry Michael Parrish |
Notice Date:11/08/2012 | Claim Due Date:02/06/2013 |
Notice No.:2012-106 |
Action: SEC. v. Mantria Corporation, Troy B. Wragg, Amanda E. Knorr, Speed of Wealth, LLC, Wayde M. McKelvy, and Donna M. McKelvy |
Notice Date:11/08/2012 | Claim Due Date:02/06/2013 |
Notice No.:2012-105 |
Action: In the Matter of Advanced Equities, Inc., Dwight O. Badger, and Keith G. Daubenspeck |
Notice Date:11/08/2012 | Claim Due Date:02/06/2013 |
Notice No.:2012-104 |
Action: In the Matter of Goldman, Sachs & Co. |
Notice Date:11/08/2012 | Claim Due Date:02/06/2013 |
Notice No.:2012-103 |
Action: SEC v. Oracle Corporation |
Notice Date:10/02/2012 | Claim Due Date:12/31/2012 |
Notice No.:2012-102 |
Action: SEC v. Irwin Boock, Stanton B. J. DeFreitas, Nicolette D. Loisel, Roger L. Shoss, and Jason C. Wong |
Notice Date:10/02/2012 | Claim Due Date:12/31/2012 |
Notice No.:2012-101 |
Action: SEC. v. Wyeth LLC |
Notice Date:10/02/2012 | Claim Due Date:12/31/2012 |
Notice No.:2012-100 |
Action: SEC v. Pfizer Inc. |
Notice Date:10/02/2012 | Claim Due Date:12/31/2012 |
Notice No.:2012-99 |
Action: SEC. v Nancy Shao Wen Chu, Elizabeth Tsang, aka Yuen Yee Tsang, and Eric Jon Strasser |
Notice Date:10/02/2012 | Claim Due Date:12/31/2012 |
Notice No.:2012-98 |
Action: In the Matter of Wells Fargo Brokerage Services, LLC n/k/a Well Fargo Securities, LLC and Shawn Patrick McMurtry |
Notice Date:10/02/2012 | Claim Due Date:12/31/2012 |
Notice No.:2012-97 |
Action: SEC v. Stanley J. Kowalewski and SJK Investment Management, LLC |
Notice Date:10/02/2012 | Claim Due Date:12/31/2012 |
Notice No.:2012-96 |
Action: In the Matter of Jeffrey A. Wolfson, Robert A. Wolfson, and Golden Anchor Trading II, LLC (n/k/a Barabino Trading, LLC) |
Notice Date:09/04/2012 | Claim Due Date:12/03/2012 |
Notice No.:2012-95 |
Action: SEC v. Titan Wealth Management, LLC, Point West Partners, LLC, and Thomas Lester Irby II |
Notice Date:09/04/2012 | Claim Due Date:12/03/2012 |
Notice No.:2012-94 |
Action: SEC v. Omar Ali Rizvi, Bellwether Venture Capital Fund I, Inc., and Strategy Partners, LLC |
Notice Date:09/04/2012 | Claim Due Date:12/03/2012 |
Notice No.:2012-93 |
Action: SEC v. Mizuho Securities USA Inc. |
Notice Date:09/04/2012 | Claim Due Date:12/03/2012 |
Notice No.:2012-92 |
Action: SEC v. Jeffrey Alan Lowrance and First Capital Savings & Loan, Ltd. |
Notice Date:09/04/2012 | Claim Due Date:12/03/2012 |
Notice No.:2012-91 |
Action: In the Matter of Huron Consulting Group Inc., Gary L. Burge, CPA, and Wayne E. Lipski, CPA |
Notice Date:09/04/2012 | Claim Due Date:12/03/2012 |
Notice No.:2012-90 |
Action: SEC v. William K. Harrison and Eddie W. Sawyers |
Notice Date:09/04/2012 | Claim Due Date:12/03/2012 |
Notice No.:2012-89 |
Action: SEC v. Harbert Management Corporation, HMC-New York Inc., and HMC Investors, LLC |
Notice Date:09/04/2012 | Claim Due Date:12/03/2012 |
Notice No.:2012-88 |
Action: SEC v. Falconstor Software, Inc. |
Notice Date:09/04/2012 | Claim Due Date:12/03/2012 |
Notice No.:2012-87 |
Action: SEC v. Doyle Scott Elliott, Scott Elliott, Inc., Michael J. Xirinachs, Emerald Asset Advisors LLC, Robert L. Weidenbaum, and CLX & Associates Inc. |
Notice Date:09/04/2012 | Claim Due Date:12/03/2012 |
Notice No.:2012-86 |
Action: In the Matter of Delaware Asset Advisers and Wei (Alex) Wei |
Notice Date:09/04/2012 | Claim Due Date:12/03/2012 |
Notice No.:2012-85 |
Action: SEC v. Manuel M. Bello, Ayuda Equity Funding LLC, and Amerifund Capital Holdings, LLC |
Notice Date:09/04/2012 | Claim Due Date:12/03/2012 |
Notice No.:2012-83 |
Action: SEC v. AMMB Consultant Sendirian Berhad |
Notice Date:09/04/2012 | Claim Due Date:12/03/2012 |
Notice No.:2012-84 |
Action: SEC v. Armor Holdings, Inc. |
Notice Date:09/04/2012 | Claim Due Date:12/03/2012 |
Notice No.:2012-81 |
Action: In the Matter of Harbinger Capital Partners, LLC |
Notice Date:08/01/2012 | Claim Due Date:10/30/2012 |
Notice No.:2012-80 |
Action: In the Matter of Howard L. Blum |
Notice Date:08/01/2012 | Claim Due Date:10/30/2012 |
Notice No.:2012-79 |
Action: SEC v. Ralph R. Cioffi and Matthew M. Tannin |
Notice Date:08/01/2012 | Claim Due Date:10/30/2012 |
Notice No.:2012-78 |
Action: SEC v. Kevan D. Acord, Philip C. Growney, Alberto J. Perez, Jose G. Perez, Sebastian De La Maza, and Thomas L. Borell |
Notice Date:08/01/2012 | Claim Due Date:10/30/2012 |
Notice No.:2012-77 |
Action: SEC v. Spyglass Equity Systems, Inc., Richard L. Carter, Preston L. Sjoblom, Tyson D. Elliott, Flatiron Capital Partners, LLC, Flatiron Systems, LLC, and David E. Howard II |
Notice Date:08/01/2012 | Claim Due Date:10/30/2012 |
Notice No.:2012-76 |
Action: In the Matter of OppenheimerFunds, Inc. and OppenheimerFunds Distributor, Inc. |
Notice Date:08/01/2012 | Claim Due Date:10/30/2012 |
Notice No.:2012-75 |
Action: SEC v. Phillip R. Trujillo, Wealth Management Resources, LLC, PTV 22, LLC, PTV 33, LLC, and PTV 44, LLC. |
Notice Date:08/01/2012 | Claim Due Date:10/30/2012 |
Notice No.:2012-73 |
Action: SEC v. Jeffrey L. Mowen, Thomas R. Fry, Bevan J. Wilde, Gary W. Hansen, Michael G. Butcher, James B. Mooring, David G. Bartholomew, and Michael W. Averett |
Notice Date:08/01/2012 | Claim Due Date:10/30/2012 |
Notice No.:2012-74 |
Action: SEC v. Robert D. Orr, Leland G. Orr, Michael S. Lowry, Michael S. Hess, Kyle L. Garst, and Travis W. Vrbas |
Notice Date:08/01/2012 | Claim Due Date:10/30/2012 |
Notice No.:2012-72 |
Action: SEC v. Phillip W. Offill, Jr., David B. Stocker, Curtis-Case, Inc., Shane A. Mullholand, Ryan M. Reynolds, Timothy T. Page, Steven P. Fischer, RSMR Capital Group, Inc., Dissemination Services, L.L.C., Page Properties, L.P., and ATN Enterprises, L.L.C. |
Notice Date:08/01/2012 | Claim Due Date:10/30/2012 |
Notice No.:2012-82 |
Action: SEC v. Mohammed Mark Amin, Robert Reza Amin, Michael Mahmood Amin, Sam Saeed Pirnazar, Mary Teresa Coley, and Ali Tashakori |
Notice Date:08/01/2012 | Claim Due Date:10/30/2012 |
Notice No.:2012-70 |
Action: SEC v. Robert Glenn Bard and Vision Specialist Group, LLC |
Notice Date:07/05/2012 | Claim Due Date:10/03/2012 |
Notice No.:2012-69 |
Action: SEC v. H. Clayton Peterson, Drew Clayton Peterson, Drew K. Brownstein, and Big 5 Asset Management, LLC |
Notice Date:07/05/2012 | Claim Due Date:10/03/2012 |
Notice No.:2012-68 |
Action: SEC v. Strategic Management & Opportunity Corporation; Robert J. Pratt, and Jeffrey A. Brommer |
Notice Date:07/05/2012 | Claim Due Date:10/03/2012 |
Notice No.:2012-67 |
Action: In the Matter of Quantek Asset Management, LLC, Bulltick Capital Markets Holdings, LP, Javier Guerra, and Ralph Patino |
Notice Date:07/05/2012 | Claim Due Date:10/03/2012 |
Notice No.:2012-66 |
Action: SEC v. James Roland Dial, Evan Nicolas Jarvis, and Alexander W. Ellerman |
Notice Date:07/05/2012 | Claim Due Date:10/03/2012 |
Notice No.:2012-65 |
Action: SEC v. James Clements and Zeina Smidi |
Notice Date:07/05/2012 | Claim Due Date:10/03/2012 |
Notice No.:2012-64 |
Action: SEC v. Wealth Management LLC; James Putman; and Simone Fevola |
Notice Date:07/05/2012 | Claim Due Date:10/03/2012 |
Notice No.:2012-63 |
Action: SEC v. Conrad M. Black, F. David Radler and Hollinger, Inc. |
Notice Date:07/05/2012 | Claim Due Date:10/03/2012 |
Notice No.:2012-62 |
Action: SEC v. New Futures Trading International Corporation and Henry Roche |
Notice Date:07/05/2012 | Claim Due Date:10/03/2012 |
Notice No.:2012-61 |
Action: SEC v. U.S. Sustainable Energy Corp., John H. Rivera |
Notice Date:07/05/2012 | Claim Due Date:10/03/2012 |
Notice No.:2012-71 |
Action: SEC v. Jason George Rivera, Jr., Marc Christopher Harmon, The Joseph Rene Corporation, and Executive Members Management Group |
Notice Date:07/05/2012 | Claim Due Date:10/03/2012 |
Notice No.:2012-60 |
Action: SEC v. Paul R. Beckwith |
Notice Date:06/04/2012 | Claim Due Date:09/02/2012 |
Notice No.:2012-59 |
Action: SEC v. Matthew H. Kluger and Garrett D. Bauer |
Notice Date:06/04/2012 | Claim Due Date:09/02/2012 |
Notice No.:2012-58 |
Action: In the Matter of Gualario & Co., LLC and Ronald Gualario |
Notice Date:06/04/2012 | Claim Due Date:09/02/2012 |
Notice No.:2012-57 |
Action: SEC v. Ashbury Capital Partners, L.P., Ashbury Capital Management, L.L.C., and Mark Yagalla |
Notice Date:06/04/2012 | Claim Due Date:09/02/2012 |
Notice No.:2012-56 |
Action: SEC v. Francois E. Durmaz (aka Mahmut E. Durmaz), Robert C. Pribilski, USA Retirement Management Services (aka USA Financial Management Services, Inc.) |
Notice Date:06/04/2012 | Claim Due Date:09/02/2012 |
Notice No.:2012-55 |
Action: SEC v. Marco Glisson |
Notice Date:06/04/2012 | Claim Due Date:09/02/2012 |
Notice No.:2012-54 |
Action: In the Matter of Martin Currie Inc., and Martin Currie Investment Management Ltd. |
Notice Date:06/04/2012 | Claim Due Date:09/02/2012 |
Notice No.:2012-53 |
Action: In the Matter of Goldman, Sachs & Co. |
Notice Date:06/04/2012 | Claim Due Date:09/02/2012 |
Notice No.:2012-52 |
Action: SEC v. Garth Ronald Peterson |
Notice Date:06/04/2012 | Claim Due Date:09/02/2012 |
Notice No.:2012-51 |
Action: SEC v. Usee, Inc., Terry E. Wiese, and Scott A. Wiese |
Notice Date:06/04/2012 | Claim Due Date:09/02/2012 |
Notice No.:2012-50 |
Action: SEC v. Halek Energy, LLC, CBO Energy, Inc., Jason A. Halek, and Christopher Chad Wilbourn |
Notice Date:06/04/2012 | Claim Due Date:09/02/2012 |
Notice No.:2012-49 |
Action: SEC v. Option One Mortgage Corporation n/k/a Sand Canyon Corporation |
Notice Date:06/04/2012 | Claim Due Date:09/02/2012 |
Notice No.:2012-48 |
Action: SEC v. Kenneth A. Dachman, Scott A. Wolf, and Stone Lion Management, Inc. |
Notice Date:06/04/2012 | Claim Due Date:09/02/2012 |
Notice No.:2012-47 |
Action: In the Matter of GMB Capital Management LLC n/k/a Clearstream Investments LLC, GMB Capital Partners LLC, Gabriel Bitran and Marco Bitran |
Notice Date:06/04/2012 | Claim Due Date:09/02/2012 |
Notice No.:2012-46 |
Action: In the Matter of UBS Financial Services Inc. of Puerto Rico |
Notice Date:06/04/2012 | Claim Due Date:09/02/2012 |
Notice No.:2012-45 |
Action: SEC v. United American Ventures, LLC, Philip Lee David Jack Thomas, Eric J. Hollowell, Matthew A. Dies, Integra Investment Group, LLC, and Anthony "Tony" J. Oliva |
Notice Date:05/02/2012 | Claim Due Date:07/31/2012 |
Notice No.:2012-44 |
Action: SEC v. Petroleum Unlimited LLC, Petroleum Unlimited II LLC, Roger A. Kimmel, Jr., Harry Nyce, Michel-Jean Geraud, Robert Rossi, Joseph Valko, and Morgan Kimmel, n/k/a Morgan Petitti |
Notice Date:05/02/2012 | Claim Due Date:07/31/2012 |
Notice No.:2012-43 |
Action: SEC v. Pentagon Capital Management PLC and Lewis Chester |
Notice Date:05/02/2012 | Claim Due Date:07/31/2012 |
Notice No.:2012-42 |
Action: SEC v. Raymond P. Morris; E & R Holdings, LLC; Wise Financial Holdings, LLC; Momentum Leasing, LLC; James L. Haley; Cornerstone Capital Fund, LLC; Vantage Point Capital, LLC; Jay J. Linford; Freedom Group, LLC; and Luc D. Nguyen |
Notice Date:05/02/2012 | Claim Due Date:07/31/2012 |
Notice No.:2012-41 |
Action: SEC v. Timothy J. McGee, Michael W. Zirinsky, Robert L. Zirinsky, Paulo Lam, a/k/a Paul Lam, and Marianna Sze Wan Ho |
Notice Date:05/02/2012 | Claim Due Date:07/31/2012 |
Notice No.:2012-40 |
Action: SEC v. Neal R. Greenberg |
Notice Date:05/02/2012 | Claim Due Date:07/31/2012 |
Notice No.:2012-39 |
Action: SEC v. Matthew J. Gagnon |
Notice Date:05/02/2012 | Claim Due Date:07/31/2012 |
Notice No.:2012-38 |
Action: SEC v. Brenda A. Eschbach |
Notice Date:05/02/2012 | Claim Due Date:07/31/2012 |
Notice No.:2012-37 |
Action: SEC v. Laurence M. Brown a/k/a Lawrence M. Brown and Ronald J. Mangini |
Notice Date:05/02/2012 | Claim Due Date:07/31/2012 |
Notice No.:2012-36 |
Action: SEC v. Biomet, Inc. |
Notice Date:05/02/2012 | Claim Due Date:07/31/2012 |
Notice No.:2012-35 |
Action: SEC v. Spyridon Adondakis, Anthony Chiasson, Sandeep Goyal, Jon Horvath, Danny Kuo, Todd Newman, Jesse Tortora, Diamondback Capital Management, LLC, and Level Global Investors, L.P. |
Notice Date:05/02/2012 | Claim Due Date:07/31/2012 |
Notice No.:2012-34 |
Action: SEC v. mUrgent Corporation, Vladimir Boris Bugarski, Vladislav Walter Bugarski, and Aleksander Negovan Bugarski |
Notice Date:04/03/2012 | Claim Due Date:07/02/2012 |
Notice No.:2012-33 |
Action: In the Matter of Prime Capital Services, Inc., Gilman Ciocia, Inc., Michael P. Ryan, Rose M. Rudden, Christie A. Andersen, Eric J. Brown, Matthew J. Collins, Kevin J. Walsh And Mark W. Wells |
Notice Date:04/03/2012 | Claim Due Date:07/02/2012 |
Notice No.:2012-32 |
Action: SEC v. Nicos Achilleas Stephanou, Ramesh Chakrapania, Achilleas Stephanou, George Paparrizos a/k/a Georgios Paparrizos, Konstantinos Paparrizos, Michael G. Koulouroudis, and Joseph Contorinis |
Notice Date:04/03/2012 | Claim Due Date:07/02/2012 |
Notice No.:2012-31 |
Action: SEC v. Robert C. Butler |
Notice Date:04/03/2012 | Claim Due Date:07/02/2012 |
Notice No.:2012-30 |
Action: SEC v. Smith & Nephew PLC |
Notice Date:04/03/2012 | Claim Due Date:07/02/2012 |
Notice No.:2012-29 |
Action: SEC v. Magnum d'Or Resources, Inc., Joseph J. Glusic, Shannon Allen, Dwight Flatt, and David Della Sciucca, Jr. |
Notice Date:04/03/2012 | Claim Due Date:07/02/2012 |
Notice No.:2012-28 |
Action: SEC v. Joseph P. Nacchio, Robert S. Woodruff, Robin R. Szeliga, Afshin Mohebbi, Gregory M. Casey, James J. Kozlowski, and Frank T. Noyes |
Notice Date:04/03/2012 | Claim Due Date:07/02/2012 |
Notice No.:2012-27 |
Action: SEC v. Andrey C. Hicks and Locust Offshore Management, LLC |
Notice Date:04/03/2012 | Claim Due Date:07/02/2012 |
Notice No.:2012-26 |
Action: SEC v. Christopher T. Vulliez and Amphor Advisors, LLC |
Notice Date:03/05/2012 | Claim Due Date:06/03/2012 |
Notice No.:2012-25 |
Action: SEC v. Symbol Technologies, Inc., Tomo Razmilovic, Kenneth Jaeggi, Leonard Goldner, Brian Burke, Michael Degennaro, Frank Borghese, Christopher Desantis, James Heuschneider, Gregory Mortenson, James Dean, and Robert Donlon |
Notice Date:03/05/2012 | Claim Due Date:06/03/2012 |
Notice No.:2012-24 |
Action: SEC v. Daniel E. Ruettiger, Rocco Brandonisio, Stephen Decesare, Pawel P. Dynkowski, Kevin S. Kaplan, Gregg R. Mulholland, Mehmet Mustafoglu, Joseph A. Padilla, Angelo R. Panetta, Kevin J. Quinn, Andrea M. Ritchie, Chad P. Smanjak, and Gary J. Yocom |
Notice Date:03/05/2012 | Claim Due Date:06/03/2012 |
Notice No.:2012-23 |
Action: SEC. v. Curtis Peterson, Eric Maher, Ronald White, and Express International, LLC |
Notice Date:03/05/2012 | Claim Due Date:06/03/2012 |
Notice No.:2012-22 |
Action: SEC v. Magyar Telekom, PLC and Deutsche Telekom, AG |
Notice Date:03/05/2012 | Claim Due Date:06/03/2012 |
Notice No.:2012-21 |
Action: SEC v. James Li (a/k/a Ching Hua Li), Thomas Chow (a/k/a Man Kit Chow), Roger Kao (a/k/a Chao Chun Kao), Christopher Liu (a/k/a Chi Lei Liu), and Wayne A. Pratt |
Notice Date:03/05/2012 | Claim Due Date:06/03/2012 |
Notice No.:2012-20 |
Action: SEC v. GE Funding Capital Market Services, Inc. |
Notice Date:03/05/2012 | Claim Due Date:06/03/2012 |
Notice No.:2012-19 |
Action: SEC v. Luis Garg, Jason Zakocs, RealFund Investment Trust, First Atlanta LP, Weatherby LP, and Citiprop Corporation |
Notice Date:03/05/2012 | Claim Due Date:06/03/2012 |
Notice No.:2012-18 |
Action: SEC v. CytoCore, Inc., Daniel J. Burns, and Robert F. McCullough, Jr. |
Notice Date:03/05/2012 | Claim Due Date:06/03/2012 |
Notice No.:2012-17 |
Action: SEC v. Carlo G. Chiaese and C.G.C. Advisors, LLC |
Notice Date:03/05/2012 | Claim Due Date:06/03/2012 |
Notice No.:2012-16 |
Action: SEC v. Christopher Love Blackwell, AV Bar Reg, Inc., and Millers A Game, LLC |
Notice Date:03/05/2012 | Claim Due Date:06/03/2012 |
Notice No.:2012-15 |
Action: SEC v. Jerry L. Aubrey, Timothy J. Aubrey, Brian S. Cherry, and Aaron M. Glasser |
Notice Date:03/05/2012 | Claim Due Date:06/03/2012 |
Notice No.:2012-14 |
Action: SEC v. Eric J. Aronson; Vincent J. Buonauro, Jr.; Robert S. Kondratick; Fredric H. Aaron; PermaPave Industries, LLC; PermaPave USA Corp.; PermaPave Distributions, Inc.; Permeable Solutions, Inc.; Verigreen, LLC; and Interlink-US-Network, Ltd. |
Notice Date:03/05/2012 | Claim Due Date:06/03/2012 |
Notice No.:2012-13 |
Action: SEC v. Wachovia Bank, N.A. (n/k/a Wells Fargo Bank, N.A.) |
Notice Date:02/01/2012 | Claim Due Date:05/01/2012 |
Notice No.:2012-12 |
Action: In the Matter of Gary S. Bell |
Notice Date:02/01/2012 | Claim Due Date:05/01/2012 |
Notice No.:2012-11 |
Action: SEC v. Mark Anthony Longoria, Daniel L. Devore, James Fleishman Bob Nguyen, Winifred Jiau, Walter Shimoon, Samir Barai, Jason Pflaum, Bakai Capital Management, Noah Freeman, and Donald Longueuil |
Notice Date:02/01/2012 | Claim Due Date:05/01/2012 |
Notice No.:2012-10 |
Action: SEC v. Alfred S. Teo, Sr., Teren Seto Handelman, MAAA Trust FBO Mark, Andrew, Alan, and Alfred Teo, Jr., John D. Reier, Charles D. Fortune, Jerrold J. Johnston, Mark J. Lauzon, Philip Sacks, Mitchell L. Sacks, Richard A. Herron, Lawrence L. Rosen, and David M. Ross |
Notice Date:02/01/2012 | Claim Due Date:05/01/2012 |
Notice No.:2012-9 |
Action: In the Matter of Investment Placement Group and Adolfo Gonzalez-Rubio |
Notice Date:02/01/2012 | Claim Due Date:05/01/2012 |
Notice No.:2012-8 |
Action: In the Matter of Touradji Capital Management, L.P., Respondent |
Notice Date:02/01/2012 | Claim Due Date:05/01/2012 |
Notice No.:2012-7 |
Action: SEC v. Myron Weiner |
Notice Date:02/01/2012 | Claim Due Date:05/01/2012 |
Notice No.:2012-6 |
Action: SEC v. Advanced Optics Electronics, Inc.; Leslie S. Robins; JDC Swan, Inc., and Jason Claffey |
Notice Date:02/01/2012 | Claim Due Date:05/01/2012 |
Notice No.:2012-5 |
Action: SEC v. David Ronald Allen; William F. Burbank IV; Alex Dowlatshahi; Ilya Drapkin; Christopher Mills; Gerald Patera; Robert Wilson; Associates Capital Leasing Joint Venture; Associates Funding Group, Inc.; Capital Bankers Group, Ltd.; China Voice Holding Corp.; D-Cap Associates Joint Venture; Development Capital Associates Joint Venture; Integrity Driven Network Corp.; Lucrative Enterprises, Corp.; MG TK Corp.; Silver Summit Holdings, LLC; Sleeping Bear, LLC; Strategic Capital; Synergetic Solutions, LLC; Third Securities Corp., and Townhome Communities Corp. |
Notice Date:02/01/2012 | Claim Due Date:05/01/2012 |
Notice No.:2012-4 |
Action: SEC v. Aon Corporation |
Notice Date:02/01/2012 | Claim Due Date:05/01/2012 |
Notice No.:2012-2 |
Action: SEC v. Market Street Advisors; Shawn R. Merriman; LLC-1; LLC-2; Marque LLC-3, and LLC-4 |
Notice Date:02/01/2012 | Claim Due Date:05/01/2012 |
Notice No.:2012-1 |
Action: SEC v. LandOak Securities, LLC; Patrick L. Martin; and Michael A. Atkins |
Notice Date:02/01/2012 | Claim Due Date:05/01/2012 |
Notice No.:2012-3 |
Action: SEC v. Richard Dalton and Universal Consulting Resources LLC |
Notice Date:02/01/2012 | Claim Due Date:05/01/2012 |
Notice No.:2011-203 |
Action: SEC v. Frank C. Calmes, Lynn D. Rowntree, Manny J. Shulman, Younger America, Inc. f/k/a Infinity Acquisition Corp., and James E. Pratt |
Notice Date:01/09/2012 | Claim Due Date:04/08/2012 |
Notice No.:2011-204 |
Action: SEC v. Arthur J. Cutillo, Jason C. Goldfarb, Zvi Goffer, Craig C. Drimal, Schotenfeld Group, LLC, Gautham Shankar, David Plate, Emanuel Goffer, and Michael Kimelman |
Notice Date:01/09/2012 | Claim Due Date:04/08/2012 |
Notice No.:2011-205 |
Action: In the Matter of FTN Financial Securities Corp. |
Notice Date:01/09/2012 | Claim Due Date:04/08/2012 |
Notice No.:2011-206 |
Action: SEC v. George Wesley Harris, and Giant Operating, LLC |
Notice Date:01/09/2012 | Claim Due Date:04/08/2012 |
Notice No.:2011-207 |
Action: SEC v. Maynard L. Jenkins |
Notice Date:01/09/2012 | Claim Due Date:04/08/2012 |
Notice No.:2011-208 |
Action: SEC v. Jerome Krantz, Cary Chasin, and Gary Nadelman |
Notice Date:01/09/2012 | Claim Due Date:04/08/2012 |
Notice No.:2011-209 |
Action: SEC v. Thomas S. Labry and Cherokee Gas Systems, Inc. |
Notice Date:01/09/2012 | Claim Due Date:04/08/2012 |
Notice No.:2011-210 |
Action: SEC v. Cheng Yi Liang |
Notice Date:01/09/2012 | Claim Due Date:04/08/2012 |
Notice No.:2011-211 |
Action: In the Matter of Morgan Stanley Investment Management Inc. |
Notice Date:01/09/2012 | Claim Due Date:04/08/2012 |
Notice No.:2011-212 |
Action: SEC v. Par Three Financial, Inc. and Melvin D. Ruth |
Notice Date:01/09/2012 | Claim Due Date:04/08/2012 |
Notice No.:2011-213 |
Action: SEC v. The Regency Group, LLC, Scott F. Gelbard, Jeffrey S. Koslosky, Aaron S. Lamkin, John J. Coutris, Michael J. Coutris, J. Coutris Partners, LP, Joseph S. Fernando, Wellington Capital Enterprises, Inc., James J. Coutris, and Dimitrios I. Gountis |
Notice Date:01/09/2012 | Claim Due Date:04/08/2012 |
Notice No.:2011-214 |
Action: SEC v. Seaforth Meridian, Ltd., Seaforth Meridian Advisors, LLC, Seaforth Meridian Management, LLC, Alaln A. Assemi, Timothy J. Clyman, John D. Friedrich, Scott F. Klion, a/k/a James S. Tucker, and David Tanner |
Notice Date:01/09/2012 | Claim Due Date:04/08/2012 |
Notice No.:2011-215 |
Action: SEC v. Seisma Oil Research, LLC, a/k/a Seisma Energy Research, LLC, Seisma Energy Research, AVV, a/k/a Seisma Oil Research, AVV, Permian Asset Management, AVV, and Justin Solomon |
Notice Date:01/09/2012 | Claim Due Date:04/08/2012 |
Notice No.:2011-216 |
Action: SEC v. Dr. Joseph F. "Chip" Skowron III and Dr. Yves M. Benhamou |
Notice Date:01/09/2012 | Claim Due Date:04/08/2012 |
Notice No.:2011-217 |
Action: In the Matter of UBS Securities LLC |
Notice Date:01/09/2012 | Claim Due Date:04/08/2012 |