Litigation Releases
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-24380 | Dec. 26, 2018 | Cherubim Interests, Inc., PDX Partners, Inc., Victura Construction Group, Inc., and Patrick Jevon Johnson |
| LR-24379 | Dec. 21, 2018 | John T. Place, et al. |
| LR-24378 | Dec. 21, 2018 | China United Insurance Service, Inc., et al.
See also: SEC Complaint |
| LR-24377 | Dec. 20, 2018 | Grenda Group, LLC, et al.
See also: SEC Complaint |
| LR-24376 | Dec. 19, 2018 | Robert S. "Lute" Davis, Jr., et al., Jordan E. Goodman., Alan H. New, et al.
See also: Davis Complaint; Goodman Complaint; New Complaint |
| LR-24375 | Dec. 17, 2018 | Peter Cho
See also: SEC Complaint |
| LR-24374 | Dec. 14, 2018 | Craig Arsenault, Atlas Capital Management, Inc., and ACT Global Investments
See also: SEC Complaint |
| LR-24373 | Dec. 14, 2018 | Thomas H. Laws, et al.
See also: SEC Complaint |
| LR-24372 | Dec. 13, 2018 | Gregory E. Webb, et al. |
| LR-24371 | Dec. 10, 2018 | Rajeshwar R. Gannamaneni, Deepthi Gandra, and Linga R. Gannamaneni
See also: SEC Complaint |
| LR-24370 | Dec. 10, 2018 | Jared Jeffrey Davis and Dale Burke Pinchot
See also: SEC Complaint |
| LR-24369 | Dec. 7, 2018 | NVC Fund LLC and Frank Ekejija |
| LR-24368 | Dec. 6, 2018 | Jesse C. Litvak |
| LR-24367 | Dec. 6, 2018 | Michael B. Rothenberg
See also: SEC Complaint |
| LR-24366 | Dec. 6, 2018 | Chen et al.
See also: SEC Complaint |
| LR-24365 | Dec. 3, 2018 | David G. Dreslin, et al.
See also: SEC Complaint |
| LR-24364 | Dec. 3, 2018 | Mark Suleymanov
See also: SEC Complaint |
| LR-24363 | Nov. 30, 2018 | Jared Gabriel Forrester
See also: SEC Complaint |
| LR-24362 | Nov. 29, 2018 | Eric T. Landis et al. |
| LR-24361 | Nov. 28, 2018 | Morrie Tobin et al.
See also: SEC Complaint |
| LR-24360 | Nov. 26, 2018 | Zev Saltsman, et al. |
| LR-24359 | Nov. 20, 2018 | Kimberly Pine Kitts |
| LR-24358 | Nov. 20, 2018 | Steve Qi, et al. |
| LR-24357 | Nov. 20, 2018 | Home Solutions of America, Inc., et al. |
| LR-24356 | Nov. 16, 2018 | James S. Polese, et al. |
| LR-24355 | Nov. 16, 2018 | Giga Entertainment Media, Inc. et al.
See also: SEC Complaint |
| LR-24354 | Nov. 16, 2018 | Gaylen D. Rust and Rust Rare Coin, Inc.
See also: SEC Complaint |
| LR-24353 | Nov. 15, 2018 | Mark Burnett, Jeffrey Miller, Christian Romandetti, Frank Sarro, Anthony Vassallo, and Elite Stock Research, Inc. |
| LR-24352 | Nov. 15, 2018 | Quadrant 4 System Corp., et al. |
| LR-24351 | Nov. 15, 2018 | Town of Ramapo, et al. |
| LR-24350 | Nov. 14, 2018 | James V. Mazzo, et al. |
| LR-24349 | Nov. 13, 2018 | Richard G. Cody, et al. |
| LR-24348 | Nov. 9, 2018 | Joseph Meli, et al. |
| LR-24347 | Nov. 9, 2018 | Arthur Lamar Adams et al. |
| LR-24346 | Nov. 9, 2018 | Kevin B. Merrill, et al. |
| LR-24345 | Nov. 8, 2018 | Eric J. "EJ" Dalius et al.
See also: SEC Complaint |
| LR-24344 | Nov. 8, 2018 | Ricardo H. Goldman
See also: SEC Complaint |
| LR-24343 | Nov. 8, 2018 | Craig H. Carton, et al. |
| LR-24342 | Nov. 8, 2018 | Michael E. Cone, et al
See also: SEC Complaint |
| LR-24341 | Nov. 8, 2018 | SeeThruEquity, LLC et al.
See also: SEC Complaint |
| LR-24340 | Nov. 8, 2018 | James E. Hengen
See also: SEC Complaint |
| LR-24339 | Nov. 8, 2018 | Eric P. Lesak, et al. |
| LR-24338 | Nov. 8, 2018 | Slobodan Dragojlovic
See also: SEC Complaint |
| LR-24337 | Nov. 7, 2018 | Core Performance Management, LLC, et al., RMR Asset Management Company, et al. |
| LR-24336 | Nov. 6, 2018 | Robert A. Ferrante and Marilyn R. Thomassen, et al.
See also: SEC Complaint |
| LR-24335 | Nov. 6, 2018 | TelexFree, Inc. et al. |
| LR-24334 | Nov. 2, 2018 | Douglas P. Simanski
See also: SEC Complaint |
| LR-24333 | Nov. 2, 2018 | Timothy J. Atkinson, et al., Ronald C. Montano, et al., Justin Blake Barrett and Grayson Brookshire
See also: SEC Complaints for Timothy J. Atkinson, et al., Ronald C. Montano, et al., and Justin Blake Barrett and Grayson Brookshire |
| LR-24332 | Nov. 2, 2018 | Brian Pappas, et al. |
| LR-24331 | Nov. 2, 2018 | Charles A. Banks, IV |
| LR-24330 | Nov. 1, 2018 | 1Pool Ltd. a.k.a. 1Broker and Patrick Brunner
See also: SEC Complaint |
| LR-24329 | Oct. 31, 2018 | Brian Weber and Bebida Beverage Co.
See also: SEC Complaint |
| LR-24328 | Oct. 30, 2018 | Sean Kelly et al.
See also: SEC Complaint |
| LR-24327 | Oct. 30, 2018 | Roger Knox et al. |
| LR-24326 | Oct. 29, 2018 | Yorkville Advisors, LLC, Mark Angelo and Edward Schinik |
| LR-24325 | Oct. 26, 2018 | Philip Thomas Kueber |
| LR-24324 | Oct. 23, 2018 | Alexander C. Burns, et al.
See also: SEC Complaint |
| LR-24323 | Oct. 23, 2018 | John Madsen, Andalusian Resorts and Spas, Inc., and Bernard Fried |
| LR-24322 | Oct. 22, 2018 | Mark E. Fisher and Joseph F. Capuozzo
See also: SEC Complaint |
| LR-24321 | Oct. 22, 2018 | Bruce J. Fixelle, Genesis Advisory Services Corp., and Aurora Capital Management, LLC
See also: SEC Complaint |
| LR-24320 | Oct. 18, 2018 | Ross McLellan |
| LR-24319 | Oct. 18, 2018 | Jean Danhong Chen, Tony Jianyun Ye, Kai Hao Robinson, Kuansheng Chen, Law Offices of Jean D. Chen, A Professional Corporation, Tree Lined Holdings, LLC, And Golden State Regional Center, LLC
See also: SEC Complaint |
| LR-24318 | Oct. 18, 2018 | Richard J. Greenlaw et al. |
| LR-24317 | Oct. 16, 2018 | Bryan B. Long
See also: SEC Complaint |
| LR-24316 | Oct. 12, 2018 | Susan Werth, a.k.a. Susan Worth, Corporate Mystic, LLC, Commercial Exchange Solutions, Incorporated, and Exchange Solutions Company
See also: SEC Complaint |
| LR-24315 | Oct. 11, 2018 | Harold L. Altvater |
| LR-24314 | Oct. 11, 2018 | Blockvest, LLC and Reginald Buddy Ringgold, III a/k/a Rasool Abdul Rahim El
See also: SEC Complaint |
| LR-24313 | Oct. 11, 2018 | Merrill, et al. |
| LR-24312 | Oct. 10, 2018 | Ross B. Shapiro, Michael A. Gramins and Tyler G. Peters
See also: SEC Complaint; Order |
| LR-24311 | Oct. 10, 2018 | Dennis Wayne Hamilton |
| LR-24310 | Oct. 9, 2018 | FX & Beyond Corporation et al. |
| LR-24309 | Oct. 9, 2018 | Lawrence P. Schmidt, Commercial Equity Partners, Ltd, FutureGen Company (d/b/a FutureGen Capital), FGC Distressed Assets Investment #1, LLC; FutureGen Capital DDA CG Fund LLC; FGC Tax Lien Fund #2, LLC; FGC Trading Fund #1 LLC; FGC SPE NO 1 LLC; FGC SPE NO 2 LLC; and FGC CM Note Fund LLC |
| LR-24308 | Oct. 9, 2018 | Jeffre James and Saint James Holding and Investment Company Trust |
| LR-24307 | Oct. 5, 2018 | Todd Elliott Hitt, Kiddar Capital LLC, Kiddar Group Holdings, Inc., as Defendants, and Kiddar Herndon Station LLC, Kiddar Homebuilding Fund I LLC, Melbourne Retreat LLC, Kiddar Mass Ave LLC, Kiddar Ridgeview LLC, ESA Emerson LLC, ESA Highwood LLC, and Kiddar AQ LLC a/k/a Kiddar Aquicore LLC, as Relief Defendants
See also: SEC Complaint |
| LR-24306 | Oct. 5, 2018 | Robert O. Carr and Katherine M. Hanratty |
| LR-24305 | Oct. 3, 2018 | Ifitikar Ahmed, et al. |
| LR-24304 | Oct. 3, 2018 | Roger Knox et al.
See also: SEC Complaint |
| LR-24303 | Oct. 3, 2018 | Russell Craig and OneStep Financial Services, LLC
See also: SEC Complaint |
| LR-24302 | Oct. 1, 2018 | Salix Pharmaceuticals, Ltd., Adam C. Derbyshire
See also: Salix Pharmaceuticals, Ltd. Complaint; Adam C. Derbyshire Complaint |
Third Quarter | ||
| LR-24301 | Sep. 28, 2018 | TelexFree, Inc. et al. |
| LR-24300 | Sep. 28, 2018 | Michael A. Bressman
See also: SEC Complaint |
| LR-24299 | Sep. 28, 2018 | Jehu Hand and Antonio Katz |
| LR-24298 | Sep. 28, 2018 | Bryan R. Ziegenfuse
See also: SEC Complaint |
| LR-24297 | Sep. 28, 2018 | Thomas Carter Ronk
See also: SEC Complaint |
| LR-24296 | Sep. 28, 2018 | Carlos I. Uresti and Stanley P. Bates
See also: SEC Complaint |
| LR-24295 | Sep. 28, 2018 | Nutra Pharma Corp. et al
See also: SEC Complaint |
| LR-24294 | Sep. 28, 2018 | Edward J. Kosinski |
| LR-24293 | Sep. 28, 2018 | NL Technology, LLC et al.
See also: SEC Complaint |
| LR-24292 | Sep. 28, 2018 | Thomas J. Connerton and Safety Technologies LLC |
| LR-24291 | Sep. 28, 2018 | Goldsky Asset Management, LLC and Kenneth Grace
See also: SEC Complaint |
| LR-24290 | Sep. 27, 2018 | Andrew J. Kandelapas |
| LR-24289 | Sep. 27, 2018 | James Thomas Bramlette, the Pelorus Group, LLC, Anthony Mark Hartman, Private Placement Capital Notes II, LLC, Stone Mountain Equities, LLC, Travis Kozlowski, Entelecus Fund, LLC, Aaron John Wernli
See also: SEC Complaint |
| LR-24288 | Sep. 26, 2018 | William C. Skelley and Sohin S. Shah
See also: SEC Complaint |
| LR-24287 | Sep. 25, 2018 | John Gregory Schmidt
See also: SEC Complaint |
| LR-24286 | Sep. 24, 2018 | Adam Rentzer
See also: SEC Complaint |
| LR-24285 | Sep. 21, 2018 | Hope Advisors, LLC, et al. |
| LR-24284 | Sep. 21, 2018 | Tarek D. Bahgat, Lauramarie Colangelo, and WealthCFO, LLC
See also: SEC Complaint |
| LR-24283 | Sep. 21, 2018 | Jason W. Galanis, et al. |
| LR-24282 | Sep. 21, 2018 | James Douglas Miller
Other Release No.: AAER-3986 See also: SEC Complaint |
| LR-24281 | Sep. 20, 2018 | Homero Joshua Garza, GAW Miners, LLC, and ZenMiner, LLC |
| LR-24280 | Sep. 20, 2018 | CSIR Group, LLC, et al. |
| LR-24279 | Sep. 20, 2018 | Leroy "Lee" Young and Young Capital Management LLC
See also: SEC Complaint |
| LR-24278 | Sep. 20, 2018 | World Tree Financial, LLC, et al.
See also: SEC Complaint |
| LR-24277 | Sep. 18, 2018 | Emil Botvinnik and Jovannie Aquino
See also: SEC Complaint - Jovannie Aquino; SEC Complaint - Emil Botvinnik |
| LR-24276 | Sep. 19, 2018 | Tamara Steele and Steele Financial, Inc.
See also: SEC Complaint |
| LR-24275 | Sep. 19, 2018 | Hani Zeini and Sientra, Inc.
See also: SEC Complaint |
| LR-24274 | Sep. 18, 2018 | Ernest J. Romer, III
See also: SEC Complaint |
| LR-24273 | Sep. 18, 2018 | Clovis Oncology, Inc., Patrick J. Mahaffy, and Erle T. Mast
See also: SEC Complaint |
| LR-24272 | Sep. 18, 2018 | SeaWorld Entertainment, Inc. and James Atchison, Frederick D. Jacobs
See also: SeaWorld Complaint; Jacobs Complaint |
| LR-24271 | Sep. 18, 2018 | John Paul Waymack
See also: Application; Memo |
| LR-24270 | Sep. 17, 2018 | Thomas J. Caufield
See also: SEC Complaint |
| LR-24269 | Sep. 14, 2018 | Rong Chen, et al.
See also: SEC Complaint |
| LR-24268 | Sep. 14, 2018 | Arista Power, Inc., et al. |
| LR-24267 | Sep. 13, 2018 | Gregory Lemelson, Lemelson Capital Management, LLC, and The Amvona Fund
See also: SEC Complaint |
| LR-24266 | Sep. 12, 2018 | Laura, et al.
See also: SEC Complaint |
| LR-24265 | Sep. 12, 2018 | Adam C. Wasserman
Other Release No.: AAER-3971 See also: SEC Complaint |
| LR-24264 | Sep. 10, 2018 | Nevada Sports Investment Group, LP
See also: SEC Complaint |
| LR-24263 | Sep. 10, 2018 | Contrarian Investments, LLC
See also: SEC Complaint |
| LR-24262 | Sep. 7, 2018 | Barry C. Honig, et al.
See also: SEC Complaint |
| LR-24261 | Sep. 7, 2018 | Christopher Davies, et al.
See also: SEC Complaint |
| LR-24260 | Sep. 6, 2018 | In Ovations Holdings, Inc. and Mark Goldberg
See also: SEC Complaint |
| LR-24259 | Sep. 6, 2018 | Joel N. Burstein
See also: SEC Complaint |
| LR-24258 | Sep. 6, 2018 | Steven H. Davis, et al. |
| LR-24257 | Sep. 5, 2018 | Jeffrey Goldman and Christopher Eikenberry
See also: SEC Complaint |
| LR-24256 | Sep. 5, 2018 | Robert William Dorrance
See also: SEC Complaint |
| LR-24255 | Sep. 4, 2018 | Tangoe, Inc. et. al.
See also: SEC Complaint |
| LR-24254 | Aug. 31, 2018 | Scott Stacy Phelps and James Michael Harper
See also: SEC Complaint |
| LR-24253 | Aug. 30, 2018 | Grenda Group, LLC, et al.
See also: SEC Complaint |
| LR-24252 | Aug. 30, 2018 | Kendricks, et al.
See also: SEC Complaint |
| LR-24251 | Aug. 30, 2018 | Amer Deeba
See also: SEC Complaint |
| LR-24250 | Aug. 29, 2018 | John A. Henderson and Global Resources Leadership, LLC
See also: Application |
| LR-24249 | Aug. 29, 2018 | 1 Global Capital, LLC, Carl Ruderman, et al.
See also: SEC Complaint |
| LR-24248 | Aug. 28, 2018 | Sandy J. Masselli, Jr. et al.
See also: SEC Complaint |
| LR-24247 | Aug. 28, 2018 | Equitybuild, Inc. et al. |
| LR-24246 | Aug. 28, 2018 | Richard J. Greenlaw et al.
See also: SEC Complaint |
| LR-24245 | Aug. 23, 2018 | Fishoff, et al.
See also: SEC Complaint |
| LR-24244 | Aug. 23, 2018 | Gary S. Williky
See also: Opinion Granting SEC's Remedies Motion |
| LR-24243 | Aug. 22, 2018 | Barry M. Kornfeld, et al., Lynette M. Robbins and Knowles Systems, Inc. |
| LR-24242 | Aug. 21, 2018 | Harpreet Grewal
See also: SEC Complaint |
| LR-24241 | Aug. 21, 2018 | Intertech Solutions, Inc., William Scott Marshall, David Michael Naylor, and West Port Energy LLC
See also: SEC Complaint |
| LR-24240 | Aug. 21, 2018 | A. Catlin Cade, IV
See also: SEC Complaint |
| LR-24239 | Aug. 21, 2018 | Eric P. Lesak, Global Research, LLC (PA), Global Research, LLC (NY)
See also: SEC Complaint |
| LR-24238 | Aug. 20, 2018 | Medient Studios, Inc. et al.
See also: SEC Complaint - Medient; SEC Complaint - Shapiro |
| LR-24237 | Aug. 20, 2018 | Equitybuild, Inc. et al.
See also: SEC Complaint |
| LR-24236 | Aug. 16, 2018 | Lauren Zarksy, Dorothy Zarsky |
| LR-24235 | Aug. 14, 2018 | TelexFree, Inc. et al. |
| LR-24234 | Aug. 13, 2018 | Alexander Charles White and Paul Douglas Vandivier
See also: SEC Complaint |
| LR-24233 | Aug. 13, 2018 | Chad Anthony Lewis
See also: SEC Complaint |
| LR-24232 | Aug. 10, 2018 | Roger Duffield and Plandai Biotechnology, Inc.
See also: SEC Complaint |
| LR-24231 | Aug. 10, 2018 | Christopher Collins, et al., Lauren Zarksy, Dorothy Zarsky
See also: Christopher Collins, et al. Complaint, Lauren Zarsky Complaint, Dorothy Zarsky Complaint |
| LR-24230 | Aug. 9, 2018 | John C. Maccoll
See also: SEC Complaint |
| LR-24229 | Aug. 8, 2018 | Salvadore D. Palermo
See also: SEC Complaint |
| LR-24228 | Aug. 8, 2018 | Arthur Lamar Adams and Madison Timber Properties, LLC
See also: Receivership Order |
| LR-24227 | Aug. 7, 2018 | City of Victorville, et al. |
| LR-24226 | Aug. 6, 2018 | Murakami, et al. |
| LR-24225 | Aug. 3, 2018 | Fei Yan, et al. |
| LR-24224 | Aug. 3, 2018 | Palm House Hotel LLLP, et al.
See also: SEC Complaint |
| LR-24223 | Aug. 3, 2018 | Moddha Interactive, Inc., Marianne Veronika Sandor, Edward Michael Porrazzo, and Spar Street |
| LR-24222 | Aug. 1, 2018 | Lozuk
See also: SEC Complaint, Deferred Prosecution Agreement |
| LR-24221 | Aug. 1, 2018 | Madan
See also: SEC Complaint |
| LR-24220 | Jul. 31, 2018 | David A. Harbour
See also: SEC Complaint |
| LR-24219 | Jul. 30, 2018 | Howard M. Appel
See also: SEC Complaint |
| LR-24218 | Jul. 26, 2018 | John A. Paulsen
See also: SEC Complaint |
| LR-24217 | Jul. 26, 2018 | Robert Gadimian |
| LR-24216 | Jul. 26, 2018 | Rudden, et al.
See also: SEC Complaint |
| LR-24215 | Jul. 25, 2018 | Richard T. Cunniffe
See also: SEC Complaint |
| LR-24214 | Jul. 25, 2018 | Christopher A. Faulkner, et. al. |
| LR-24213 | Jul. 24, 2018 | William Z. ("Billy") McFarland et al.
See also: SEC Complaint |
| LR-24212 | Jul. 24, 2018 | Matthew Brunstrum and Susan Brunstrum
See also: SEC Complaint |
| LR-24211 | Jul. 19, 2018 | Edward A. Young and Guardians Trustee, LLC
See also: SEC Complaint |
| LR-24210 | Jul. 19, 2018 | Bhushan Dandawate
See also: SEC Complaint |
| LR-24209 | Jul. 19, 2018 | Centor Energy Inc. and Frederick DaSilva
See also: SEC Complaint |
| LR-24208 | Jul. 19, 2018 | Kimberly Pine Kitts
See also: SEC Complaint |
| LR-24207 | Jul. 19, 2018 | Steven J. Barber and Larry Lee Arrowood
See also: SEC Complaint |
| LR-24206 | Jul. 18, 2018 | Temenos Advisory, Inc., and George L. Taylor
See also: SEC Complaint |
| LR-24205 | Jul. 17, 2018 | John Geraci
See also: SEC Complaint |
| LR-24204 | Jul. 17, 2018 | Mark E. Burns, Robert W. Murray
See also: SEC Complaint |
| LR-24203 | Jul. 16, 2018 | Joseph Meli, et al. |
| LR-24202 | Jul. 16, 2018 | John D. Schiller, Jr.
See also: SEC Complaint, Order |
| LR-24201 | Jul. 16, 2018 | Gannon Giguiere et al.
See also: SEC Complaint |
| LR-24200 | Jul. 16, 2018 | Ross McLellan |
| LR-24199 | Jul. 16, 2018 | Moddha Interactive, Inc., Marianne Veronika Sandor, Edward Michael Porrazzo, and Spar Street
See also: SEC Complaint |
| LR-24198 | Jul. 12, 2018 | Ryan Gilbertson, et al. |
| LR-24197 | Jul. 12, 2018 | Pawel P. Dynkowski, et al. |
| LR-24196 | Jul. 12, 2018 | Donald V. Watkins, Sr., et al. |
| LR-24195 | Jul. 11, 2018 | Penn West Petroleum Ltd., d/b/a Obsidian Energy Ltd., Todd H. Takeyasu, Jeffery A. Curran, and Waldemar Grab |
| LR-24194 | Jul. 10, 2018 | Gene Shen
See also: SEC Complaint |
| LR-24193 | Jul. 10, 2018 | Dubovoy, et al. |
| LR-24192 | Jul. 10, 2018 | Tarek D. Bahgat, Lauramarie Colangelo, and WealthCFO LLC
See also: SEC Complaint |
| LR-24191 | Jul. 10, 2018 | Robert O. Carr and Katherine M. Hanratty
See also: SEC Complaint |
| LR-24190 | Jul. 9, 2018 | T.J. Jesky, Esq. and Mark F. DeStefano |
| LR-24189 | Jul. 9, 2018 | Charles Schwab & Co., Inc.
See also: SEC Complaint |
| LR-24188 | Jul. 9, 2018 | ITT Educational Services, Inc. et al |
| LR-24187 | Jul. 6, 2018 | The Owings Group, LLC, et al.
See also: SEC Complaint |
| LR-24186 | Jul. 5, 2018 | Molina
See also: SEC Complaint |
| LR-24185 | Jul. 3, 2018 | United Development Funding III, LP, United Development Funding IV, Hollis M. Greenlaw, Benjamin L. Wissink, Theodore F. Etter, Cara D. Obert, and David A. Hanson
See also: SEC Complaint |
| LR-24184 | Jul. 3, 2018 | Edward Lee Moody Jr., et. al. |
| LR-24183 | Jul. 2, 2018 | Sudhakar Reddy Bonthu
See also: SEC Complaint |
| LR-24182 | Jul. 2, 2018 | Malachi Financial Products, Inc., et al. |
| LR-24181 | Jul. 2, 2018 | Axesstel, Inc., et al.
Other Release No.: AAER-3945 See also: SEC Complaint |
Second Quarter | ||
| LR-24180 | Jun. 29, 2018 | Curative Biosciences, Inc. f/k/a Healthient, Inc., William M. Alverson, Katherine West Alverson, and Steven G. Patton
See also: SEC Complaint |
| LR-24179 | Jun. 29, 2018 | Adam Mattessich and Joseph (a/k/a Jay) Ludovico
See also: SEC Complaint |
| LR-24178 | Jun. 29, 2018 | Pinto-Thomaz, et al.
See also: SEC Complaint |
| LR-24177 | Jun. 29, 2018 | Donato J. Dandreo III
See also: SEC Complaint |
| LR-24176 | Jun. 26, 2018 | James VanBlaricum, et al.
See also: SEC Complaint |
| LR-24175 | Jun. 26, 2018 | Richard Weed et al. |
| LR-24174 | Jun. 22, 2018 | Stephen Pence |
| LR-24173 | Jun. 21, 2018 | James E. Hocker
See also: SEC Complaint |
| LR-24172 | Jun. 20, 2018 | Santillo, et al.
See also: SEC Complaint |
| LR-24171 | Jun. 20, 2018 | Joseph A. Fiore, Berkshire Capital Management Company, Inc., and Eat at Joe's, Ltd. (n/k/a SPYR, Inc.)
See also: SEC Complaint |
| LR-24170 | Jun. 20, 2018 | PlexCorps, et al. |
| LR-24169 | Jun. 19, 2018 | Texas Coastal Energy Company, LLC, et. al.
See also: SEC Complaint |
| LR-24168 | Jun. 18, 2018 | Larry A. Holley, et al. |
| LR-24167 | Jun. 18, 2018 | Pawel P. Dynkowski, et al. |
| LR-24166 | Jun. 15, 2018 | Ronald A. Fossum, Jr. and Alonzo R. Cahoon |
| LR-24165 | Jun. 13, 2018 | Yin Nan "Michael" Wang; Wendy Ko; Velocity Investment Group, Inc.; Bio Profit Series I, LLC; Bio Profit Series II, LLC; Bio Profit Series III, LLC; Bio Profit Series V, LLC; and Rockwell Realty Management, Inc. |
| LR-24164 | Jun. 12, 2018 | Kurt J. Bordian
See also: SEC Complaint |
| LR-24163 | Jun. 11, 2018 | Robert M. Morano |
| LR-24162 | Jun. 11, 2018 | Isaac Grossman, Adriana Grossman, Dragon-Click Corp., and Dragon Management, LLC
See also: SEC Complaint |
| LR-24161 | Jun. 8, 2018 | Town of Ramapo, et al. |
| LR-24160 | Jun. 7, 2018 | Titanium Blockchain Infrastructure Services, Inc., EHI Internetwork and Systems Management, Inc. aka EHI-INSM, Inc., and Michael Alan Stollery aka Michael Stollaire |
| LR-24159 | Jun. 6, 2018 | Jehu Hand, et al. |
| LR-24158 | Jun. 6, 2018 | Ralph T. Iannelli et al.
See also: SEC Complaint |
| LR-24157 | Jun. 5, 2018 | Alderson, et al.
See also: SEC Complaint |
| LR-24156 | Jun. 5, 2018 | Paul Gilman
See also: SEC Complaint |
| LR-24155 | Jun. 4, 2018 | Edward Withrow, et al. |
| LR-24154 | Jun. 4, 2018 | Gustavo A. Guzman |
| LR-24153 | May 31, 2018 | Woojae (Steve) Jung
See also: SEC Complaint |
| LR-24152 | May 30, 2018 | Steven Pagartanis
See also: SEC Complaint |
| LR-24151 | May 25, 2018 | Niel Martin Nielson and Carolyne Susan Johnson
See also SEC Complaints: Carolyne Susan Johnson; Niel Martin Nielson |
| LR-24150 | May 24, 2018 | Perry A. Gruss |
| LR-24149 | May 24, 2018 | Gregory M. Bercowy |
| LR-24148 | May 22, 2018 | Bud Genius, Inc. and Aaron "Angel" Stanz, Taylor Moffitt, Carlos Febles, and U.S. CoProducts, LLC
See also SEC Complaints: Bud Genius, Inc. and Aaron "Angel" Stanz, Taylor Moffitt, Carlos Febles, and U.S. CoProducts, LLC |
| LR-24147 | May 18, 2018 | Brent Borland, et al.
See also: SEC Complaint |
| LR-24146 | May 18, 2018 | PixarBio Corp. et al. |
| LR-24145 | May 18, 2018 | Todd David Alpert |
| LR-24144 | May 17, 2018 | Keenan Gracey
See also: SEC Complaint |
| LR-24143 | (Intentionally omitted) | |
| LR-24142 | May 15, 2018 | William M. Jordan
See also: SEC Complaint |
| LR-24141 | May 15, 2018 | Francisco Abellan Villena, Guillermo Ciupiak, James B. Panther, Jr., and Faiyaz Dean
See also: SEC Complaint |
| LR-24140 | May 14, 2018 | Leon Vaccarelli, et al. |
| LR-24139 | May 11, 2018 | The Falls Event Center, LLC and Steven L. Down
See also: SEC Complaint |
| LR-24138 | May 9, 2018 | Premium Point Investments, LP et al.
See also: SEC Complaint |
| LR-24137 | May 9, 2018 | Keith Houlihan
See also: SEC Complaint |
| LR-24136 | May 7, 2018 | Bovorn Rungruangnavarat
See also: SEC Complaint |
| LR-24135 | May 7, 2018 | Murakami, et al. |
| LR-24134 | May 4, 2018 | David A. Zimliki and Russel P. Schiefer
See also: SEC Complaint |
| LR-24133 | May 4, 2018 | Paul W. Smith |
| LR-24132 | May 2, 2018 | Adam Tracy and Securities Compliance Group, Ltd.
See also: SEC Complaint |
| LR-24131 | May 3, 2018 | Shawn Carter
See also: Application for an Order to Show Cause |
| LR-24130 | May 2, 2018 | Longfin Corp., et al.
See also: Order and Opinion |
| LR-24129 | May 2, 2018 | Arthur Lamar Adams and Madison Timber Properties, LLC
See also: SEC Complaint |
| LR-24128 | May 2, 2018 | Small Business Capital Corp.; Mark Feathers; Investors Prime Fund, LLC; and SBC Portfolio Fund, LLC
See also: SEC Complaint |
| LR-24127 | May 2, 2018 | Eddy U. Marin and Shane R. Spierdowis |
| LR-24126 | May 2, 2018 | Revolutionary Concepts, Inc., Solomon RC Ali (a/k/a Richard M. Carter), Earnest H. DeLong, Jr., Rainco Industries, Inc., and Nicole C. Singletary
See also: SEC Complaint |
| LR-24125 | Apr. 30, 2018 | William T. Walters, et al. |
| LR-24124 | Apr. 30, 2018 | TelexFree, Inc. et al. |
| LR-24123 | Apr. 30, 2018 | Christopher R. Esposito, et al. |
| LR-24122 | Apr. 30, 2018 | Diane J. Harrison, et al.
See also: SEC Complaint |
| LR-24121 | Apr. 24, 2018 | PixarBio Corp. et al.
See also: SEC Complaint |
| LR-24120 | Apr. 23, 2018 | Scott Newsholme |
| LR-24119 | Apr. 23, 2018 | Steven H. Davis, et. al |
| LR-24118 | Apr. 23, 2018 | Daniel H. Glick, et al. |
| LR-24117 | Apr. 20, 2018 | Sohrab ("Sam") Sharma, et al.
See also: SEC Complaint |
| LR-24116 | Apr. 18, 2018 | John Jumper (Defendant) and Alluvion Securities, LLC, American Investments Fund II, LLC, Speedee Brakes, LLC, Thousand Hills Capital, LLC and Evertone Records, LLC (Relief Defendants)
See also: SEC Complaint | LR-24115 | Apr. 17, 2018 | John N. Milne |
| LR-24114 | Apr. 16, 2018 | Amrit J. S. Chahal
See also: SEC Complaint |
| LR-24113 | Apr. 16, 2018 | Lidingo Holdings, LLC, et al. |
| LR-24112 | Apr. 13, 2018 | William Betta, Jr., Travis A. Branch, James J. Caprio, Troy L. Gagliardi, Russell M. Kautz, Barry M. Kornfeld, Shane A. McCann, Clifford A. Popper, Alfred B. Rubin, and Steven I. Shrago |
| LR-24111 | Apr. 13, 2018 | Andrew J. Kandelapas |
| LR-24110 | Apr. 12, 2018 | Iftikar Ahmed, et al. |
| LR-24109 | Apr. 11, 2018 | Capital Cove Bancorp LLC and Christopher M. Lee aka Rashid K. Khalfani |
| LR-24108 | Apr. 11, 2018 | William C. Gennity and Rocco Roveccio
See also: SEC Complaint |
| LR-24107 | Apr. 10, 2018 | The Lifepay Group, LLC, et. al.
See also: SEC Complaint |
| LR-24106 | Apr. 9, 2018 | Longfin Corp., et al. |
| LR-24105 | Apr. 9, 2018 | Benjamin Wey, et al. |
| LR-24104 | Apr. 5, 2018 | Saverio J. Barbera
See also: SEC Complaint |
| LR-24103 | Apr. 5, 2018 | Ikenna Ikokwu, et al. |
| LR-24102 | Apr. 5, 2018 | CSIR Group, LLC, et al. |
| LR-24101 | Apr. 5, 2018 | Merrill Robertson, Jr., et al. |
| LR-24100 | Apr. 5, 2018 | William R. Schantz III and Verto Capital Management LLC |
| LR-24099 | Apr. 5, 2018 | Joseph Meli, et al., Craig H. Carton, et al. |
| LR-24098 | Apr. 5, 2018 | Peter H. Pocklington, Lantson E. Eldred, Terrence J. Walton, Yolanda C. Velazquez a/k/a Lana Velazquez a/k/a Lana Puleo, Vanessa Puleo, Robert A. Vanetten, Nova Oculus Partners, LLC f/k/a The Eye Machine, LLC, and AMC Holdings, LLC
See also: SEC Complaint |
| LR-24097 | Apr. 5, 2018 | Charlie Jinan Chen and Shui Foon Mok
See also: SEC Complaint |
| LR-24096 | Apr. 4, 2018 | Christopher James Lollar
See also: SEC Complaint |
| LR-24095 | Apr. 4, 2018 | Shane P. Fleming, et al.
See also: SEC Complaint |
| LR-24094 | Apr. 4, 2018 | Michael Scronic
See also: SEC Complaint |
| LR-24093 | Apr. 4, 2018 | Mohammed Ali Rashid
See also: SEC Complaint |
| LR-24092 | Apr. 4, 2018 | Michael A. Liberty, et al.
See also: SEC Complaint |
| LR-24091 | Apr. 4, 2018 | Gregory M. Bercowy
See also: SEC Complaint |
| LR-24090 | Apr. 2, 2018 | Sohrab ("Sam") Sharma and Robert Farkas
See also: SEC Complaint |
First Quarter | ||
| LR-24089 | Mar. 30, 2018 | Kirbyjon Hines Caldwell et al., Shae Yatta Harper
See also Complaints: Caldwell and Smith; Harper |
| LR-24088 | Mar. 29, 2018 | AriseBank, Jared Rice Sr., and Stanley Ford
See also: SEC Complaint, SEC Amended Complaint |
| LR-24087 | Mar. 28, 2018 | DaRayl D. Davis and Affluent Advisory Group, LLC
See also: SEC Complaint |
| LR-24086 | Mar. 28, 2018 | Nauman A. Aly
See also: Memorandum Opinion & Order |
| LR-24085 | Mar. 27, 2018 | Rio Tinto plc, Rio Tinto Limited, Thomas Albanese and Guy Robert Elliott |
| LR-24084 | Mar. 26, 2018 | Joseph Spera, et al. |
| LR-24083 | Mar. 26, 2018 | Brian Hirsch, et al. |
| LR-24082 | Mar. 26, 2018 | Akorn, Inc., Timothy Dick, and David Hebeda
Other Release No.: AAER-3931 See also: SEC Complaint |
| LR-24081 | Mar. 26, 2018 | REcoin Group Foundation, et al. |
| LR-24080 | Mar. 23, 2018 | Spark Trading Group LLC and Niket Shah
See also: SEC Complaint |
| LR-24079 | Mar. 23, 2018 | PlexCorps, et al.
See also: SEC Complaint |
| LR-24078 | Mar. 23, 2018 | Jon E. Montroll and Bitfunder
See also: SEC Complaint |
| LR-24077 | Mar. 22, 2018 | Howard B. Present
See also: SEC Complaint |
| LR-24076 | Mar. 22, 2018 | McKinley Mortgage Co. LLC, et al.
See also: SEC Complaint |
| LR-24075 | Mar. 22, 2018 | Robert W. Murray
See also: SEC Complaint |
| LR-24074 | Mar. 22, 2018 | American Bondholders Foundation, LLC
See also: SEC Complaint |
| LR-24073 | Mar. 22, 2018 | Jun Ying
See also: SEC Complaint |
| LR-24072 | Mar. 21, 2018 | Revolutions Medical Corp., et al.
See also: Final Judgment |
| LR-24071 | Mar. 21, 2018 | Nicholas J. Genovese, Willow Creek Investments, LP, and Willow Creek Advisors, LLC |
| LR-24070 | Mar. 19, 2018 | Steven Metro |
| LR-24069 | Mar. 19, 2018 | Elizabeth Holmes, et al. and Ramesh "Sunny" Balwani |
| LR-24068 | Mar. 19, 2018 | Americrude, et. al.
See also: SEC Complaint |
| LR-24067 | Mar. 16, 2018 | Beaufort Securities Ltd. and Panayiotis Kyriacou a/k/a Peter Kyriacou; Dennis J. Mancino, William T. Hirschy, DJK Investments 10 Inc., TJM Investments Inc., and WT Consulting Group, LLC
See also SEC Complaints: Beaufort Securities Ltd. and Panayiotis Kyriacou, Dennis J. Mancino, William T. Hirschy, DJK Investments 10 Inc., TJM Investments Inc., and WT Consulting Group, LLC |
| LR-24066 | Mar. 8, 2018 | Jeffrey O. Friedland, Global Corporate Strategies LLC, and Intiva Pharma LLC, Defendants, and Lane 6552 LLC, Kathy B. Friedland, Aspen Upper Ranch LLC, Assurance Management, LLC, and The Jeffrey and Kathy Friedland Irrevocable Trust, Relief Defendants , Case.
See also: SEC Complaint |
| LR-24065 | Mar. 8, 2018 | Robert M. Morano |
| LR-24064 | Mar. 5, 2018 | Jersey Consulting LLC
See also: SEC Complaint |
| LR-24063 | Mar. 5, 2018 | Edward Henderson |
| LR-24062 | Mar. 5, 2018 | AVEO Pharmaceuticals, Inc., et al. |
| LR-24061 | Mar. 5, 2018 | Stefan Lumiere |
| LR-24060 | Mar. 1, 2018 | Steven J. Muehler, Claudia M. Muehler, Koorosh "Danny" Rahimi, AltaVista Capital Markets, LLC, AltaVista Private Client, LLC, and AltaVista Securities, LLC
See also: SEC Complaint |
| LR-24059 | Mar. 1, 2018 | Leonard Genova
See also: SEC Complaint |
| LR-24058 | Feb. 28, 2018 | Analytica Bio-Energy Corp., et al., Marvin Winick
See also: SEC Complaint |
| LR-24057 | Feb. 28, 2018 | AmeraTex Energy, Inc., et al
See also: SEC Complaint |
| LR-24056 | Feb. 28, 2018 | Yang Xie
See also: SEC Complaint |
| LR-24055 | Feb. 26, 2018 | Dedicated Sound and Audio, Inc., et al.
See also: SEC Complaint |
| LR-24054 | Feb. 21, 2018 | Strong Investment Management, Joseph B. Bronson (f/k/a Joseph B. Engebretson), and John B. Engebretson
See also: SEC Complaint |
| LR-24053 | Feb. 20, 2018 | Eric McPhail, et al. |
| LR-24052 | Feb. 16, 2018 | Daniel Thibeault, et al. |
| LR-24051 | Feb. 16, 2018 | Sharone Perlstein, et al., Jonathan Strum, Alan Weinberg, et al.
Other Release No.: AAER-3923 See also SEC Complaints: Sharone Perlstein et al., Jonathan Strum, Alan Weinberg and Weinberg & Baer LLC |
| LR-24050 | Feb. 15, 2018 | Commonwealth Advisors, Inc. and Walter A. Morales |
| LR-24049 | Feb. 15, 2018 | Southridge Capital Management LLC, et al. |
| LR-24048 | Feb. 14, 2018 | Kevin J. Amell |
| LR-24047 | Feb. 14, 2018 | Terrence LeGall |
| LR-24046 | Feb. 14, 2018 | Brian S. Block, et al.
Other Release No.: AAER-3921 |
| LR-24045 | Feb. 13, 2018 | Timothy S. Batchelor
See also: SEC Complaint |
| LR-24044 | Feb. 12, 2018 | Todd M. LaVelle
See also: SEC Complaint |
| LR-24043 | Feb. 12, 2018 | Geoffrey H. Lunn, et al. |
| LR-24042 | Feb. 8, 2018 | American Bondholders Foundation, LLC |
| LR-24041 | Feb. 2, 2018 | Hadsell Chemical Processing, LLC and Robert Walton, Jr. |
| LR-24040 | Feb. 2, 2018 | Tom Simeo |
| LR-24039 | Feb. 2, 2018 | Boston Trading and Research, LLC, et al. |
| LR-24038 | Feb. 2, 2018 | Nicholas J. Genovese, Willow Creek Investments, LP, and Willow Creek Advisors, LLC
See also: SEC Complaint |
| LR-24037 | Jan. 31, 2018 | James S. Polese, et al.
See also: SEC Complaint |
| LR-24036 | Jan. 30, 2018 | Pawel P. Dynkowski, et al. |
| LR-24035 | Jan. 26, 2018 | One or More Unknown Traders in the Securities of Bioverativ, Inc.
See also: SEC Complaint |
| LR-24034 | Jan. 25, 2018 | Robert L. Sonfield, Jason Landess, et al. |
| LR-24033 | Jan. 24, 2018 | Quicksilver Stock Transfer and Alan Shinderman
See also: SEC Complaint |
| LR-24032 | Jan. 24, 2018 | Robert H. Shapiro, Woodbridge Group of Companies, LLC, et al.
See also: SEC Order |
| LR-24031 | Jan. 22, 2018 | Hoplon Financial Group et al.
See also: SEC Complaint |
| LR-24030 | Jan. 22, 2018 | 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-24029 | Jan. 22, 2018 | Daniel H. Glick, et al |
| LR-24028 | Jan. 11, 2018 | David S. Haddad, et al.
See also: SEC Complaint |
| LR-24027 | Jan. 9, 2018 | David B. Kaplan, Esq., et al. |
| LR-24026 | Jan. 8, 2018 | Joseph A. Rubbo, et al. |
| LR-24025 | Jan. 5, 2018 | Malachi Financial Products, Inc., et al.
See also: SEC Complaint |
| LR-24024 | Jan. 5, 2018 | Owen H. Naccarato
See also: SEC Complaint |
| LR-24023 | Jan. 3, 2018 | Khaled "Kal" Bassily |