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Litigation Releases
The list below provides links to litigation releases concerning civil lawsuits brought by the Commission in federal court.
Second Quarter | First Quarter
Additional Archives
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 |
Action |
| Second Quarter |
| LR-22371 |
May 18, 2012 |
Mark F. Spangler and The Spangler Group, Inc.
See also: SEC Complaint
|
| LR-22370 |
May 16, 2012 |
Nicholas Louis Geranio, et al.
See also: SEC Complaint
|
| LR-22369 |
May 15, 2012 |
Former CEO of Presstek, Inc. Settles Regulation FD Charges
|
| LR-22368 |
May 14, 2012 |
China Natural Gas, Inc. and Qinan Ji
See also: SEC Complaint
|
| LR-22367 |
May 11, 2012 |
Frank Lynn Blystone
See also: SEC Complaint
|
| LR-22366 |
May 11, 2012 |
Global Development & Environmental Resources, Inc., et al.
|
| LR-22365 |
May 11, 2012 |
Apartments America, LLC, Michael J. Stewart, John J. Packard, Randall A. Smith
See also: SEC Complaint
|
| LR-22364 |
May 10, 2012 |
Dr. Bobby V. Khan
See also: SEC Complaint
|
| LR-22363 |
May 10, 2012 |
David Blech and Margaret Chassman
|
| LR-22362 |
May 9, 2012 |
Kwame M. Kilpatrick, et al.
See also: SEC Complaint
|
| LR-22361 |
May 8, 2012 |
Gerald D. Kegley, et al.
See also: SEC Complaint
|
| LR-22360A |
May 8, 2012 |
Mohammed Mark Amin, Robert Reza Amin, Michael Mahmood Amin, Sam Saeed Pirnazar, Mary Teresa Coley, and Ali Tashakori
|
| LR-22359 |
May 8, 2012 |
James Tambone et al.
|
| LR-22358 |
May 8, 2012 |
Mark Anthony Longoria, et al.
|
| LR-22357 |
May 7, 2012 |
Angela Milliard et al.
See also: SEC Complaint
|
| LR-22356 |
May 4, 2012 |
A.L. Waters Capital, LLC, et al.
|
| LR-22355 |
May 2, 2012 |
Michael Lauer
|
| LR-22354 |
May 1, 2012 |
Darlene Nelson Powell and Robert Eldridge
|
| LR-22353 |
May 1, 2012 |
RKC Capital Management, LLC, RKC Capital, LLC, and Russell K. Cannon
See also: SEC Complaint
|
| LR-22352 |
May 1, 2012 |
Christel S. Scucci, et al.
See also: SEC Complaint
|
| LR-22351 |
Apr. 30, 2012 |
e-Smart Technologies, Inc., et al.
|
| LR-22350 |
Apr. 30, 2012 |
Michael J. McNerney
See also: SEC Complaint
|
| LR-22349 |
Apr. 30, 2012 |
Locke Capital Management, Inc. and Leila C. Jenkins
|
| LR-22348 |
Apr. 30, 2012 |
Usee, Inc., et al
See also: SEC Complaint
|
| LR-22347 |
Apr. 27, 2012 |
James Putman., et al.
|
| LR-22346 |
Apr. 25, 2012 |
Garth R. Peterson
Other Release No.: AAER-3384
See also: SEC Complaint
|
| LR-22345 |
Apr. 25, 2012 |
Matthew H. Kluger and Garrett D. Bauer
See also: SEC Complaint
|
| LR-22344 |
Apr. 24, 2012 |
Option One Mortgage Corporation n/k/a Sand Canyon Corporation
See also: SEC Complaint
|
| LR-22343 |
Apr. 24, 2012 |
Allen E. Weintraub and AWMS Acquisition, Inc., d/b/a Sterling Global Holdings
|
| LR-22342 |
Apr. 23, 2012 |
ARVCO Capital Research, LLC, et al.
|
| LR-22341 |
Apr. 23, 2012 |
SinoTech Energy Limited, Qingzeng Liu, Guoqiang Xin, and Boxun Zhang
|
| LR-22340 |
Apr. 23, 2012 |
Marco Glisson
|
| LR-22339 |
Apr. 20, 2012 |
Thomas Edward Hunter and Alexander John Hunter
See also: SEC Complaint
|
| LR-22338 |
Apr. 18, 2012 |
Don W. Watson, Edward W. O’Brien, and Gary M. Opper
Other Release No.: AAER-3382
|
| LR-22337 |
Apr. 17, 2012 |
Michael Anthony Gonzalez
See also: SEC Complaint
|
| LR-22336 |
Apr. 18, 2012 |
William J. Reilly
|
| LR-22335 |
Apr. 18, 2012 |
John J. Todd, Robert D. Manza, and Jeffrey Weitzen
|
| LR-22334 |
Apr. 17, 2012 |
Phillip W. Offill, Jr., et al.
|
| LR-22333 |
Apr. 17, 2012 |
Petr Murmylyuk
See also: SEC Complaint
|
| LR-22332 |
Apr. 16, 2012 |
Provident Capital Indemnity, Ltd., Minor Vargas Calvo, Jorge L. Castillo, and Relief Defendant Desarrollos Comerciales Ronim, S.A.
|
| LR-22331 |
Apr. 13, 2012 |
Shervin Neman and Neman Financial, Inc. , et al.
See also: SEC Complaint
|
| LR-22330 |
Apr. 13, 2012 |
City Capital Corporation et al.
See also: SEC Complaint
|
| LR-22329 |
Apr. 11, 2012 |
Robert Stinson, Jr.
|
| LR-22328 |
Apr. 11, 2012 |
Spyglass Equity Systems, Inc., et al
|
| LR-22327 |
Apr. 11, 2012 |
Kenneth A. Dachman, et al.
|
| LR-22326 |
Apr. 11, 2012 |
AutoChina International Limited et al.
|
| LR-22325 |
Apr. 10, 2012 |
Spyridon Adondakis et al.
|
| LR-22324 |
Apr. 6, 2012 |
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
|
| LR-22323 |
Apr. 6, 2012 |
Van et al.
See also: SEC Complaint
|
| LR-22322 |
Apr. 6, 2012 |
Aragon Capital Advisors, LLC, et al.
|
| LR-22321 |
Apr. 6, 2012 |
Anthony J. Nocella and J. Russell McCann
Other Release No.: AAER-3378
See also: SEC Complaint
|
| LR-22320 |
Apr. 6, 2012 |
Siming Yang, et al.
See also: SEC Complaint
|
| LR-22319 |
Apr. 6, 2012 |
George Elia and International Consultants & Investment Group Ltd. Corp. as Defendants, and 212 Entertainment Club, Inc. and Elia Realty, Inc., as Relief Defendants
See also: SEC Complaint
|
| LR-22318 |
Apr. 5, 2012 |
Gaston E. Cantens
|
| LR-22317 |
Apr. 5, 2012 |
Online-Registries, Inc. and David Stern
|
| LR-22316 |
Apr. 3, 2012 |
Global Development & Environmental Resources, Inc., et al.
|
| LR-22315 |
Apr. 2, 2012 |
Michael A. Baker and Michael T. Gluk
|
| First Quarter |
| LR-22314 |
Mar. 30, 2012 |
Pentagon Capital Management PLC et al.
|
| LR-22313 |
Mar. 30, 2012 |
Frederick S. Schiff and Richard J. Lane
|
| LR-22312 |
Mar. 30, 2012 |
Quorne Limited and Michael Sarkesian
See also: SEC Complaint
|
| LR-22311 |
Mar. 27, 2012 |
Brian Raymond Callahan, Horizon Global Advisors Ltd. and Horizon Global Advisors, LLC
|
| LR-22310 |
Mar. 27, 2012 |
Matthew J. Gagnon
|
| LR-22309 |
Mar. 27, 2012 |
John M. Cinderey
See also: SEC Complaint
|
| LR-22308 |
Mar. 27, 2012 |
Mark Anthony Longoria, et al.
|
| LR-22307 |
Mar. 26, 2012 |
David L. Marion and International Rarities Holdings, Inc.
See also: SEC Complaint
|
| LR-22306 |
Mar. 26, 2012 |
Biomet, Inc.
Other Release No.: AAER-3374
See also: SEC Complaint
|
| LR-22305 |
Mar. 23, 2012 |
Wells Fargo & Company
|
| LR-22304 |
Mar. 22, 2012 |
Mark Leslie, Kenneth E. Lonchar, Paul A. Sallaberry, Michael M. Cully, and Douglas S. Newton
Other Release No.: AAER-3373
|
| LR-22303 |
Mar. 22, 2012 |
Andrew Franz
|
| LR-22302 |
Mar. 22, 2012 |
Andrey C. Hicks and Locust Offshore Management, LLC, as Defendants, and Locust Offshore Fund, Ltd., as Relief Defendant
|
| LR-22301 |
Mar. 21, 2012 |
James Michael Murray
|
| LR-22300 |
Mar. 20, 2012 |
Brian Hollnagel and BCI Aircraft Leasing, Inc.
|
| LR-22299 |
Mar. 20, 2012 |
Cutillo et al.
|
| LR-22298 |
Mar. 19, 2012 |
AXA Rosenberg
|
| LR-22297 |
Mar. 19, 2012 |
Thomas C. Hardin and Lanexa Management, LLC
|
| LR-22296 |
Mar. 16, 2012 |
SW Argyll Investments, LLC
|
| LR-22295 |
Mar. 16, 2012 |
Noah J. Griggs, Jr.
|
| LR-22294 |
Mar. 15, 2012 |
James J. Konaxis
|
| LR-22293 |
Mar. 15, 2012 |
Sherif Mityas
|
| LR-22292 |
Mar. 14, 2012 |
Frank Mazzola et al.
|
| LR-22291 |
Mar. 14, 2012 |
Neal R. Greenberg
|
| LR-22290 |
Mar. 14, 2012 |
Mark A. Jackson and James J. Ruehlen; Thomas F. O’Rourke
Other Release No.: AAER-3371
|
| LR-22289 |
|
(Intentionally omitted)
|
| LR-22288 |
Mar. 14, 2012 |
Timothy J. McGee, et al.
See also: SEC Complaint
|
| LR-22287 |
Mar. 13, 2012 |
Larry Goldstone, Clarence Simmons, and Jane Starrett
Other Release No.: AAER-3370
See also: SEC Complaint
|
| LR-22286 |
Mar. 13, 2012 |
United American Ventures, LLC, et al
|
| LR-22285 |
Mar. 13, 2012 |
Fernando J. Espuelas et al.
Other Release No.: AAER-3369
|
| LR-22284 |
Mar. 12, 2012 |
Alissa Joelle Kueng
|
| LR-22283 |
(Intentionally omitted)
|
| LR-22282A |
Mar. 12, 2012 |
Kevan D. Acord, et al.
|
| LR-22281 |
Mar. 9, 2012 |
Edward V. Ellis, Sr. and Jennifer L. Seidel
See also: SEC Complaint
|
| LR-22280 |
Mar. 9, 2012 |
Steven J. Harrold
See also: SEC Complaint
|
| LR-22279 |
Mar. 8, 2012 |
Koss Corporation and Michael J. Koss
Other Release No.: AAER-3368
|
| LR-22278 |
Mar. 7, 2012 |
Prime Star Group, Inc., et al.
See also: SEC Complaint
|
| LR-22277 |
Mar. 6, 2012 |
Brookstreet Securities Corp. and Stanley C. Brooks
|
| LR-22276 |
Mar. 6, 2012 |
Rajnish K. Das and Stormy L. Dean
|
| LR-22275 |
Mar. 6, 2012 |
Brian Raymond Callahan, Horizon Global Advisors Ltd. and Horizon Global Advisors, LLC
See also: SEC Complaint
|
| LR-22274 |
Mar. 5, 2012 |
William F. Duncan and John M. Williams
|
| LR-22273 |
Mar. 1, 2012 |
Marleen Jantzen and John Jantzen
|
| LR-22272 |
Feb. 28, 2012 |
Frank T. Noyes, et al.
|
| LR-22271 |
Feb. 28, 2012 |
Robert S. Woodruff, et al.
|
| LR-22266A |
Feb. 27, 2012 |
Jeremy Blackburn and Anthony Banas
|
| LR-22270 |
Feb. 24, 2012 |
Mark Anthony Longoria, et al.
|
| LR-22269 |
Feb. 24, 2012 |
Gregory N. McKnight, et al.
|
| LR-22268 |
Feb. 24, 2012 |
Magnum d’Or Resources, Inc., et al.
|
| LR-22267 |
Feb. 23, 2012 |
Robert Glenn Bard, et al.
|
| LR-22266 |
Feb. 23, 2012 |
Jeremy Blackburn and Anthony Banas
|
| LR-22265 |
Feb. 23, 2012 |
The BISYS Group, Inc.
|
| LR-22264 |
Feb. 22, 2012 |
Ming Zhao and Liping Zhu
See also: SEC Complaint
Other Release No.: AAER-3372
|
| LR-22263 |
Feb. 21, 2012 |
Verde Retirement LLC, Verde FX Nevada, LLC, Covenant Capital Partners, and Steven L. Hamilton
See also: SEC Complaint
|
| LR-22262 |
Feb. 17, 2012 |
Pentagon Capital Management PLC et al.
|
| LR-22261 |
Feb. 17, 2012 |
John Kinnucan and Broadband Research Corporation
See also: SEC Complaint
|
| LR-22260 |
Feb. 16, 2012 |
CytoCore, Inc., et al
|
| LR-22259 |
Feb. 15, 2012 |
Brenda A. Eschbach
See also: SEC Complaint
|
| LR-22258 |
Feb. 15, 2012 |
Venulum Ltd., et al.
|
| LR-22257 |
Feb. 13, 2012 |
Douglas F. Whitman and Whitman Capital, LLC
|
| LR-22256 |
Feb. 10, 2012 |
Dynkowski
|
| LR-22255 |
Feb. 10, 2012 |
Brent C. Bankosky
See also: SEC Complaint
|
| LR-22254 |
Feb. 6, 2012 |
Kenneth A. Dachman, Scott A. Wolf and Stone Lion Management, Inc.
See also: SEC Complaint
|
| LR-22253 |
Feb. 6, 2012 |
W. Anthony Huff, Defendant-Appellant, and Sheri Huff and Midwest Merger Management, LLC, Relief Defendants-Appellants
|
| LR-22252 |
Feb. 6, 2012 |
Smith & Nephew PLC
Other Release No.: AAER-3363
See also: SEC Complaint
|
| LR-22251 |
Feb. 3, 2012 |
Todd Leslie Treadway
|
| LR-22250 |
Feb. 2, 2012 |
Cutillo et al.
|
| LR-22249 |
Feb. 2, 2012 |
Lloyd V. Barriger
|
| LR-22248 |
Feb. 2, 2012 |
Robert J. Therrien
|
| LR-22247 |
Feb. 1, 2012 |
Kareem Serageldin et al.
|
| LR-22246 |
Jan. 31, 2012 |
Christopher T. Vulliez, et al.
|
| LR-22245 |
Jan. 31, 2012 |
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-22244 |
Jan. 31, 2012 |
John J. Todd, Robert D. Manza, and Jeffrey Weitzen
|
| LR-22243 |
Jan. 30, 2012 |
Robert Chiu (a/k/a Chi Hung Chiu); 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
Other Release No.: AAER-3360
See also: SEC Complaint
|
| LR-22242 |
Jan. 30, 2012 |
Marcin Malarz et al.
|
| LR-22241 |
Jan. 30, 2012 |
Richard J. Senior et al. and Brian S. Moore
See also: SEC Complaint v. Senior et al.; SEC Complaint v. Moore
|
| LR-22240 |
Jan. 26, 2012 |
First Resource Group LLC, and David H. Stern
See also: SEC Complaint
|
| LR-22239 |
Jan. 26, 2012 |
Integrity Financial AZ, LLC, Steven R. Long, Stanley M. Paulic, Walter W. Knitter, and Robert C. Koeller
|
| LR-22238 |
Jan. 26, 2012 |
Igors Nagaicevs
See also: SEC Complaint
|
| LR-22237 |
Jan. 25, 2012 |
Len A. Familant and Paul V. Greene
Other Release No.: AAER-3356
See also: SEC Complaint
|
| LR-22236 |
Jan. 25, 2012 |
Mark Anthony Longoria, et al.
|
| LR-22235 |
Jan. 25, 2012 |
(Intentionally omittted)
|
| LR-22234 |
Jan. 24, 2012 |
Robert Ward, Benjamin Lewis, Stanley Lewis, and Jamie Lewis
See also: SEC Complaint
|
| LR-22233 |
Jan. 24, 2012 |
Dale Shafer, Joseph Mroz and Jason Gonski
See also: SEC Complaint
|
| LR-22232 |
Jan. 24, 2012 |
Carlo G. Chiaese, et al.
|
| LR-22231 |
Jan. 23, 2012 |
Eric Aronson, Vincent Buonauro, Jr., Robert Kondratick, Fredric Aaron, PermaPave Industries, LLC, PermaPave USA Corp., PermaPave Distributions, Inc., Permeable Solutions, Inc., Verigreen, LLC, and Interlink-US-Network, Ltd., Defendants, and Caroline Aronson, Deborah Buonauro, DASH Development, LLC, Aron Holdings, Inc., PermaPave Construction Corp., Dymoncrete Industries, LLC, Dymon Rock LI, LLC, and Lumi-Coat, Inc., Relief Defendants
|
| LR-22230 |
Jan. 18, 2012 |
Spyridon Adondakis, Anthony Chiasson, Sandeep Goyal, Jon Horvath, Danny Kuo, Todd Newman, Jesse Tortora, Diamondback Capital Management, LLC, and Level Global Investors, L.P.
See also: SEC Complaint
|
| LR-22229 |
Jan. 18, 2012 |
BankAtlantic Bancorp., Inc. and Alan Levan
See also: SEC Complaint
|
| LR-22228 |
Jan. 18, 2012 |
Burton Douglas Morriss, et al.
See also: SEC Complaint
|
| LR-22227 |
Jan. 17, 2012 |
Farzin Bazshushtari
See also: SEC Complaint
|
| LR-22226 |
Jan. 13, 2012 |
Compania International Financiera S.A., et al.
|
| LR-22225 |
Jan. 11, 2012 |
Allen E. Weintraub and AWMS Acquisitions, Inc., d/b/a Sterling Global Holdings
|
| LR-22224 |
Jan. 11, 2012 |
Imperiali, Inc.
Other Release No.: AAER-3355
See also: SEC Complaint
|
| LR-22223 |
Jan. 11, 2012 |
Earl C. Arrowood and Parker H. "Pete" Petit
See also: SEC Complaint
|
| LR-22222 |
Jan. 10, 2012 |
Kathleen S. Dobens, Charles T. Dobens, Joseph A. Roche, Silex Group, LLC, Preakness Apartments I & II, LLC, Cherry Hills Apartments of Forth Worth, LLC, and Clear River Partners, LLC, as Defendants, and East Coast Investment Solutions, LLC, The Dobens Company, LLC, Crosscreeks Apartments I and Crosscreeks Apartments II, LLC, as Relief Defendants
|
| LR-22221 |
Jan. 10, 2012 |
Todd Farha, et al.
Other Release No.: AAER-3353
See also: SEC Complaint
|
| LR-22220 |
Jan. 4, 2012 |
JBI, Inc., John Bordynuik and Ronald Baldwin, Jr.
Other Release No.: AAER-3352
See also: SEC Complaint
|
| LR-22219 |
Jan. 4, 2012 |
Life Partners Holdings, Inc., Brian D. Pardo, R. Scott Peden and David M. Martin
Other Release No.: AAER-3351 |
| LR-22218 |
Jan. 4, 2012 |
Kevin J. Wilcox, Jennifer E. Thoennes, and Eric R. Nelson
|
| LR-22217 |
Jan. 3, 2012 |
Edward L. Moskop and Financial Services Moskop & Associates, Inc.
|
| LR-22216 |
Jan. 3, 2012 |
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, Defendants, and Erin O’Malley, f/k/a Erin O. Mowen, Relief Defendant
|
| LR-22215 |
Jan. 3, 2012 |
Chalmer E. Detling, II, Esq.
See also: SEC Complaint
|
| LR-22214 |
Jan. 3, 2012 |
Charles A. Aiken, et al.
See also: SEC Complaint
|
http://www.sec.gov/litigation/litreleases.shtml
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