Claim an Award
We post Notices of Covered Action for each SEC action where a final judgment or order, by itself or together with other prior judgments or orders in the same action issued after July 21, 2010, results in monetary sanctions exceeding $1 million.
The inclusion of a Notice means only that an order was entered with monetary sanctions exceeding $1 million. By posting a Notice for a particular case, we are not making any determinations either that (i) a whistleblower tip, complaint or referral led to the SEC opening an investigation or filing an action with respect to the case or (ii) an award to a whistleblower will be paid in connection with the case.
Subject to the Whistleblower Amended Rules, individuals who voluntarily provided the SEC with original information after July 21, 2010 that led to the successful enforcement of a covered action listed below are eligible to apply for a whistleblower award.
Once a Notice of Covered Action is posted, individuals have 90 calendar days to apply for an award by submitting a completed Form WB-APP to the Office of the Whistleblower by midnight on the claim due date listed for that action.
We strongly encourage Form WB-APPs to be submitted by email to FormWB-APPSubmission@SEC.GOV. Duplicate submissions of a Form WB-APP by multiple methods (e.g., fax, email, and mail) are discouraged as they may cause delays. Generally, submissions are acknowledged within 60 days.
Whistleblower Award Applications submitted by mail or fax should be sent to:
SEC Office of the Whistleblower (c/o ENF-CPU)
14420 Albemarle Point Place
Suite 102
Chantilly, VA 20151-1750
Fax: 703-813-9322
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Notice of Covered Actions
Notice of Covered Actions Table
Published date grouping
|
Notice No.
|
Action
|
Notice Date
|
Claim Due Date
|
---|---|---|---|---|
Published date grouping:April 2024 |
Notice No.:2024-045
New |
Action: SEC v. iFresh, Inc. and Long Deng |
Notice Date:04/30/2024 | Claim Due Date:07/29/2024 |
Published date grouping:April 2024 |
Notice No.:2024-046
New |
Action: SEC v. Anthony B. Liddle |
Notice Date:04/30/2024 | Claim Due Date:07/29/2024 |
Published date grouping:April 2024 |
Notice No.:2024-047
New |
Action: In the Matter of Lordstown Motors Corp. |
Notice Date:04/30/2024 | Claim Due Date:07/29/2024 |
Published date grouping:April 2024 |
Notice No.:2024-048
New |
Action: SEC v. Ishan Wahi, Nikhil Wahi, and Sameer Ramani |
Notice Date:04/30/2024 | Claim Due Date:07/29/2024 |
Published date grouping:April 2024 |
Notice No.:2024-049
New |
Action: In the Matter of Skechers U.S.A., Inc. |
Notice Date:04/30/2024 | Claim Due Date:07/29/2024 |
Published date grouping:March 2024 | Notice No.:2024-024 |
Action: SEC v. Aryeh Goldsten, Adar Bays, LLC, and Adar Alef, LLC |
Notice Date:03/29/2024 | Claim Due Date:06/27/2024 |
Published date grouping:March 2024 | Notice No.:2024-025 |
Action: SEC v. John Feloni and Stock Squirrel, Inc. |
Notice Date:03/29/2024 | Claim Due Date:06/27/2024 |
Published date grouping:March 2024 | Notice No.:2024-034 |
Action: SEC v. Boron Capital, LLC, BC Holdings 2017, LLC, United BNB Fund 2018, LLC, and Blake Robert Templeton |
Notice Date:03/29/2024 | Claim Due Date:06/27/2024 |
Published date grouping:March 2024 | Notice No.:2024-033 |
Action: SEC v. Mark Allan Plummer, Emilio Barrera, Jr. (A/K/A Mike Barrera), PRT Consulting, LLC D/B/A Petroleum Resources of Texas, Richmond Engineering, Inc., Todd J Prince, George Rauch (F/K/A George B Fasciano), and Todd Stuart Breitling |
Notice Date:03/29/2024 | Claim Due Date:06/27/2024 |
Published date grouping:March 2024 | Notice No.:2024-032 |
Action: SEC v. Steven Chiang a/k/a Cyrus Kong, Eric Tippetts, James Hardy, and Maurice “Butch” Chelliah |
Notice Date:03/29/2024 | Claim Due Date:06/27/2024 |
Published date grouping:March 2024 | Notice No.:2024-031 |
Action: In the Matter of The Huntington Investment Company, Huntington Securities, Inc., and Capstone Capital Markets LLC |
Notice Date:03/29/2024 | Claim Due Date:06/27/2024 |
Published date grouping:March 2024 | Notice No.:2024-030 |
Action: In the Matter of Lincoln Financial Advisors Corporation and Lincoln Financial Securities Corporation |
Notice Date:03/29/2024 | Claim Due Date:06/27/2024 |
Published date grouping:March 2024 | Notice No.:2024-029 |
Action: In the Matter of Cambridge Investment Research, Inc. And Cambridge Investment Research Advisors, Inc. |
Notice Date:03/29/2024 | Claim Due Date:06/27/2024 |
Published date grouping:March 2024 | Notice No.:2024-028 |
Action: In the Matter of Key Investment Services LLC, and KeyBanc Capital Markets Inc. |
Notice Date:03/29/2024 | Claim Due Date:06/27/2024 |
Published date grouping:March 2024 | Notice No.:2024-027 |
Action: In the Matter of Northwestern Mutual Investment Services, LLC, Northwestern Mutual Investment Management Company, LLC, and Mason Street Advisors, LLC |
Notice Date:03/29/2024 | Claim Due Date:06/27/2024 |
Published date grouping:March 2024 | Notice No.:2024-026 |
Action: SEC v. Beaxy Digital, Ltd., Artak Hamazaspyan, Windy Inc., Nicholas Murphy, Randolph Bay Abbott, Braverock Investments, LLC, Future Digital Markets, Inc., Windy Financial LLC, Future Financial LLC, and Brian Peterson |
Notice Date:03/29/2024 | Claim Due Date:06/27/2024 |
Published date grouping:March 2024 | Notice No.:2024-025 |
Action: SEC v. John Feloni and Stock Squirrel, Inc. |
Notice Date:03/29/2024 | Claim Due Date:06/27/2024 |
Published date grouping:March 2024 | Notice No.:2024-035 |
Action: In the Matter of Morgan Stanley & Co. LLC |
Notice Date:03/29/2024 | Claim Due Date:06/27/2024 |
Published date grouping:March 2024 | Notice No.:2024-036 |
Action: In the Matter of TradeStation Crypto, Inc. |
Notice Date:03/29/2024 | Claim Due Date:06/27/2024 |
Published date grouping:March 2024 | Notice No.:2024-037 |
Action: SEC v. Zachary J. Horwitz, and 1inmm Capital, LLC |
Notice Date:03/29/2024 | Claim Due Date:06/27/2024 |
Published date grouping:March 2024 | Notice No.:2024-038 |
Action: In the Matter of David B. Bodner |
Notice Date:03/29/2024 | Claim Due Date:06/27/2024 |
Published date grouping:March 2024 | Notice No.:2024-039 |
Action: In the Matter of Van Eck Associates Corporation |
Notice Date:03/29/2024 | Claim Due Date:06/27/2024 |
Published date grouping:March 2024 | Notice No.:2024-040 |
Action: In the Matter of Guggenheim Securities LLC and Guggenheim Parners Investment Management LLC |
Notice Date:03/29/2024 | Claim Due Date:06/27/2024 |
Published date grouping:March 2024 | Notice No.:2024-041 |
Action: In the Matter of Oppenheimer & Co. Inc. |
Notice Date:03/29/2024 | Claim Due Date:06/27/2024 |
Published date grouping:March 2024 | Notice No.:2024-042 |
Action: In the Matter of U.S. Bancorp Investments, Inc. |
Notice Date:03/29/2024 | Claim Due Date:06/27/2024 |
Published date grouping:March 2024 | Notice No.:2024-043 |
Action: In the Matter of TIAA-CREF Individual & Institutional Services, LLC |
Notice Date:03/29/2024 | Claim Due Date:06/27/2024 |
Published date grouping:March 2024 | Notice No.:2024-044 |
Action: SEC v. Brian Sewell and Rockwell Capital Management LLC |
Notice Date:03/29/2024 | Claim Due Date:06/27/2024 |
Published date grouping:February 2024 | Notice No.:2024-007 |
Action: SEC v. Vincenzo Carnovale and Amar Bahadoorsingh |
Notice Date:02/29/2024 | Claim Due Date:05/29/2024 |
Published date grouping:February 2024 | Notice No.:2024-008 |
Action: In the Matter of Aon Investments USA Inc., fka Aon Hewitt Investment Consulting, Inc. |
Notice Date:02/29/2024 | Claim Due Date:05/29/2024 |
Published date grouping:February 2024 | Notice No.:2024-009 |
Action: SEC v. Hyzon Motors Inc., Craig M. Knight, and Max C.B. Holthausen |
Notice Date:02/29/2024 | Claim Due Date:05/29/2024 |
Published date grouping:February 2024 | Notice No.:2024-010 |
Action: SEC v. Robert Joseph Armijo and Joseph Financial, Inc. |
Notice Date:02/29/2024 | Claim Due Date:05/29/2024 |
Published date grouping:February 2024 | Notice No.:2024-011 |
Action: SEC v. Ronald E. Filoramo |
Notice Date:02/29/2024 | Claim Due Date:05/29/2024 |
Published date grouping:February 2024 | Notice No.:2024-012 |
Action: SEC v. Rio Tinto PLC, Rio Tinto Limited, Thomas Albanese, and Guy Robert Elliot |
Notice Date:02/29/2024 | Claim Due Date:05/29/2024 |
Published date grouping:February 2024 | Notice No.:2024-013 |
Action: SEC v. Crowd Machine, Inc., MetaVine, Inc., and Craig Derel Sproule |
Notice Date:02/29/2024 | Claim Due Date:05/29/2024 |
Published date grouping:February 2024 | Notice No.:2024-014 |
Action: In the Matter of J.P. Morgan Securities LLC |
Notice Date:02/29/2024 | Claim Due Date:05/29/2024 |
Published date grouping:February 2024 | Notice No.:2024-015 |
Action: In the Matter of Brooge Energy Limited Nicolaas Lammert Paardenkooper and Lina Saheb |
Notice Date:02/29/2024 | Claim Due Date:05/29/2024 |
Published date grouping:February 2024 | Notice No.:2024-016 |
Action: In the Matter of Barnbridge Dao |
Notice Date:02/29/2024 | Claim Due Date:05/29/2024 |
Published date grouping:February 2024 | Notice No.:2024-017 |
Action: In the Matter of OEP Capital Advisors, L.P. |
Notice Date:02/29/2024 | Claim Due Date:05/29/2024 |
Published date grouping:February 2024 | Notice No.:2024-018 |
Action: In the Matter of SAP SE |
Notice Date:02/29/2024 | Claim Due Date:05/29/2024 |
Published date grouping:February 2024 | Notice No.:2024-019 |
Action: SEC v. SHE Beverage Company, Inc., Lupe L. Rose, Sonja F. Shelby and Katherine E. Dirden |
Notice Date:02/29/2024 | Claim Due Date:05/29/2024 |
Published date grouping:February 2024 | Notice No.:2024-020 |
Action: SEC v. Steven Keith Woodard, Sr |
Notice Date:02/29/2024 | Claim Due Date:05/29/2024 |
Published date grouping:February 2024 | Notice No.:2024-021 |
Action: SEC v. Joseph A. Cammarata, Erik Cohen, David H. Puturieri, AlphaPlus Portfolio Recovery Corp., and Alpha Plus Recovery LLC |
Notice Date:02/29/2024 | Claim Due Date:05/29/2024 |
Published date grouping:February 2024 | Notice No.:2024-022 |
Action: In the Matter of Northern Star Investment Corp. II |
Notice Date:02/29/2024 | Claim Due Date:05/29/2024 |
Published date grouping:February 2024 | Notice No.:2024-023 |
Action: SEC v. Jared Jeffrey David and Dale Burke Pinchot |
Notice Date:02/29/2024 | Claim Due Date:05/29/2024 |
Published date grouping:January 2024 | Notice No.:2024-001 |
Action: SEC v. Michael K. Molen, Enviro Impact Resources, Inc., Seth M. Molen, and Pixel Arcanum, Inc. |
Notice Date:01/31/2024 | Claim Due Date:04/30/2024 |
Published date grouping:January 2024 | Notice No.:2024-002 |
Action: In the Matter of Credit Suisse Securities (USA) LLC; Credit Suisse Asset Management, LLC; and Credit Suisse Asset Management Limited |
Notice Date:01/31/2024 | Claim Due Date:04/30/2024 |
Published date grouping:January 2024 | Notice No.:2024-003 |
Action: SEC v. Bradley C. Reifler |
Notice Date:01/31/2024 | Claim Due Date:04/30/2024 |
Published date grouping:January 2024 | Notice No.:2024-004 |
Action: SEC v. Mark Burnett, Jeffrey Miller, Christian Romandetti, Frank Sarro, Anthony Vassallo, Elite Stock Research, Inc. |
Notice Date:01/31/2024 | Claim Due Date:04/30/2024 |
Published date grouping:January 2024 | Notice No.:2024-005 |
Action: SEC v. Mark Marchi |
Notice Date:01/31/2024 | Claim Due Date:04/30/2024 |
Published date grouping:January 2024 | Notice No.:2024-006 |
Action: SEC v. Dennis M. Jali |
Notice Date:01/31/2024 | Claim Due Date:04/30/2024 |
Published date grouping:December 2023 | Notice No.:2023-195 |
Action: SEC v. ABFP Income Fund Parallel, Inc., ABFP Fund 3, LLC, ABFP Income Fund 3 Parallel, LLC, ABFP Income Fund 4, LLC, ABFP Income Fund 4 Parallel, LLC, ABFP Income Fund 6, LLC, ABFP Income Fund 6 Parallel, LLC, ABFP Multi-Strategy Investment Fund, LP, and ABFP Multi-Strategy Investment Fund 2, LP |
Notice Date:12/29/2023 | Claim Due Date:03/28/2024 |
Published date grouping:December 2023 | Notice No.:2023-196 |
Action: SEC v. Brent Seaman, Accanito Equity, LLC, Accanito Equity II, LLC, Accanito Equity III, LLC, Accanito Equity IV, LLC, Accanito Capital Group, LLC, Surge, LLC, Accanito Holdings, LLC |
Notice Date:12/29/2023 | Claim Due Date:03/28/2024 |
Published date grouping:December 2023 | Notice No.:2023-197 |
Action: In the Matter of Charter Communications, Inc. |
Notice Date:12/29/2023 | Claim Due Date:03/28/2024 |
Published date grouping:December 2023 | Notice No.:2023-198 |
Action: SEC v. Marguerite Cassandra Toroian and Bell Rock Capital, LLC |
Notice Date:12/29/2023 | Claim Due Date:03/28/2024 |
Published date grouping:December 2023 | Notice No.:2023-199 |
Action: In the Matter of Royal Bank of Canada |
Notice Date:12/29/2023 | Claim Due Date:03/28/2024 |
Published date grouping:November 2023 | Notice No.:2023-171 |
Action: In the Matter of DBRS, Inc. |
Notice Date:11/30/2023 | Claim Due Date:02/28/2024 |
Published date grouping:November 2023 | Notice No.:2023-170 |
Action: In the Matter of Exelon Corporation and Commonwealth Edison Company |
Notice Date:11/30/2023 | Claim Due Date:02/28/2024 |
Published date grouping:November 2023 | Notice No.:2023-172 |
Action: In the Matter of DBRS, Inc. |
Notice Date:11/30/2023 | Claim Due Date:02/28/2024 |
Published date grouping:November 2023 | Notice No.:2023-173 |
Action: In the Matter of Willaim Blair & Company, L.L.C; and William Blair Investment Management, LLC |
Notice Date:11/30/2023 | Claim Due Date:02/28/2024 |
Published date grouping:November 2023 | Notice No.:2023-174 |
Action: In the Matter of Fifth Third Securities, Inc. |
Notice Date:11/30/2023 | Claim Due Date:02/28/2024 |
Published date grouping:November 2023 | Notice No.:2023-175 |
Action: In the Matter of Nuveen Securities, LLC |
Notice Date:11/30/2023 | Claim Due Date:02/28/2024 |
Published date grouping:November 2023 | Notice No.:2023-176 |
Action: In the Matter of Robert W. Baird & Co. Incorporated |
Notice Date:11/30/2023 | Claim Due Date:02/28/2024 |
Published date grouping:November 2023 | Notice No.:2023-177 |
Action: SEC v. Nano-X Imaging Ltd., and Ran Poliakine |
Notice Date:11/30/2023 | Claim Due Date:02/28/2024 |
Published date grouping:November 2023 | Notice No.:2023-178 |
Action: In the Matter of Anson Advisors Inc. |
Notice Date:11/30/2023 | Claim Due Date:02/28/2024 |
Published date grouping:November 2023 | Notice No.:2023-179 |
Action: SEC v. Harmel S. Rayat, and Renovacare, Inc. |
Notice Date:11/30/2023 | Claim Due Date:02/28/2024 |
Published date grouping:November 2023 | Notice No.:2023-180 |
Action: In the Matter of Albemarle Corporation |
Notice Date:11/30/2023 | Claim Due Date:02/28/2024 |
Published date grouping:November 2023 | Notice No.:2023-181 |
Action: In the Matter of Clear Channel Outdoor Holdings, Inc. |
Notice Date:11/30/2023 | Claim Due Date:02/28/2024 |
Published date grouping:November 2023 | Notice No.:2023-182 |
Action: In the Matter of TAL Education Group |
Notice Date:11/30/2023 | Claim Due Date:02/28/2024 |
Published date grouping:November 2023 | Notice No.:2023-183 |
Action: In the Matter of Newell Brands Inc. and Michael B. Polk |
Notice Date:11/30/2023 | Claim Due Date:02/28/2024 |
Published date grouping:November 2023 | Notice No.:2023-184 |
Action: In the Matter of Spruce Power Holding Corporation |
Notice Date:11/30/2023 | Claim Due Date:02/28/2024 |
Published date grouping:November 2023 | Notice No.:2023-185 |
Action: SEC v. Johnny Tseng (a/k/a Kuanhao J. Tseng, Kuanhao Tseng), Kevin Zhang (a/k/a Kevin Huapeng Zhang, Huapeng Zhang), and Summitcrest Capital, Inc. |
Notice Date:11/30/2023 | Claim Due Date:02/28/2024 |
Published date grouping:November 2023 | Notice No.:2023-186 |
Action: SEC v. Bitconnect, Satish Kumbhani, Glenn Arcaro, and Future Money Ltd |
Notice Date:11/30/2023 | Claim Due Date:02/28/2024 |
Published date grouping:November 2023 | Notice No.:2023-187 |
Action: In the Matter of Blackrock Advisors, LLC |
Notice Date:11/30/2023 | Claim Due Date:02/28/2024 |
Published date grouping:November 2023 | Notice No.:2023-188 |
Action: In the Matter of D.E. Shaw & Co, L.P. |
Notice Date:11/30/2023 | Claim Due Date:02/28/2024 |
Published date grouping:November 2023 | Notice No.:2023-189 |
Action: In the Matter of Citigroup Global Markets, Inc., and Citi International Financial Services, LLC, now known as Insigneo International Financial Services, LLC |
Notice Date:11/30/2023 | Claim Due Date:02/28/2024 |
Published date grouping:November 2023 | Notice No.:2023-190 |
Action: In the Matter of Perella Weinberg Partners, LP; Tudor, Pickering, Holt & Co. Securities LLC; and Perella Weinberg Partners Capital Management LP |
Notice Date:11/30/2023 | Claim Due Date:02/28/2024 |
Published date grouping:November 2023 | Notice No.:2023-191 |
Action: In the Matter of Interactive Brokers Corp. and Interactive Brokers LLC |
Notice Date:11/30/2023 | Claim Due Date:02/28/2024 |
Published date grouping:November 2023 | Notice No.:2023-192 |
Action: In the Matter of Kroll Bond Rating Agency, LLC |
Notice Date:11/30/2023 | Claim Due Date:02/28/2024 |
Published date grouping:November 2023 | Notice No.:2023-193 |
Action: In the Matter of Wilmington Trust Investment Management, LLC |
Notice Date:11/30/2023 | Claim Due Date:02/28/2024 |
Published date grouping:November 2023 | Notice No.:2023-194 |
Action: SEC v. Thor Technologies, Inc. and David Chin |
Notice Date:11/30/2023 | Claim Due Date:02/28/2024 |
Published date grouping:October 2023 | Notice No.:2023-162 |
Action: SEC v. Brett M. Bartlett, Scott A. Miller, Dynasty Toys, Inc., The 7M EGroup Corp., Concept Management Company LLC, and Dynasty, Inc |
Notice Date:10/31/2023 | Claim Due Date:01/29/2024 |
Published date grouping:October 2023 | Notice No.:2023-152 |
Action: SEC v. Seong Yeol Lee and Ameritrust Corporation |
Notice Date:10/31/2023 | Claim Due Date:01/29/2024 |
Published date grouping:October 2023 | Notice No.:2023-160 |
Action: In the Matter of Citadel Securities, LLC |
Notice Date:10/31/2023 | Claim Due Date:01/29/2024 |
Published date grouping:October 2023 | Notice No.:2023-150 |
Action: SEC v. Live Well Financial, Inc., Michael C. Hild, Eric Rohr, and Darren Stumberger |
Notice Date:10/31/2023 | Claim Due Date:01/29/2024 |
Published date grouping:October 2023 | Notice No.:2023-151 |
Action: SEC v. George Stubos |
Notice Date:10/31/2023 | Claim Due Date:01/29/2024 |
Published date grouping:October 2023 | Notice No.:2023-153 |
Action: In the Matter of GlennCap LLC and Jonathan Vincent Glenn |
Notice Date:10/31/2023 | Claim Due Date:01/29/2024 |
Published date grouping:October 2023 | Notice No.:2023-154 |
Action: In the Matter of YieldStreet Inc., and YieldStreet Management, LLC |
Notice Date:10/31/2023 | Claim Due Date:01/29/2024 |
Published date grouping:October 2023 | Notice No.:2023-155 |
Action: SEC v. Douglas Macwright and Highlander Capital Management, LLC |
Notice Date:10/31/2023 | Claim Due Date:01/29/2024 |
Published date grouping:October 2023 | Notice No.:2023-156 |
Action: SEC v. Thomas Collins, Patrick Thomas, Gary Kouletas, Scott Levine, and Brian Kingsfield |
Notice Date:10/31/2023 | Claim Due Date:01/29/2024 |
Published date grouping:October 2023 | Notice No.:2023-157 |
Action: In the Matter of Plug Power Inc. |
Notice Date:10/31/2023 | Claim Due Date:01/29/2024 |
Published date grouping:October 2023 | Notice No.:2023-158 |
Action: In the Matter of Fluor Corporation |
Notice Date:10/31/2023 | Claim Due Date:01/29/2024 |
Published date grouping:October 2023 | Notice No.:2023-159 |
Action: In the Matter of DWS Investment Management Americas, Inc. |
Notice Date:10/31/2023 | Claim Due Date:01/29/2024 |
Published date grouping:October 2023 | Notice No.:2023-161 |
Action: In the Matter of DWS Investment Management Americas, Inc |
Notice Date:10/31/2023 | Claim Due Date:01/29/2024 |
Published date grouping:October 2023 | Notice No.:2023-163 |
Action: SEC v. Marc J. Frankel |
Notice Date:10/31/2023 | Claim Due Date:01/29/2024 |
Published date grouping:October 2023 | Notice No.:2023-164 |
Action: In the Matter of Lyft, Inc. |
Notice Date:10/31/2023 | Claim Due Date:01/29/2024 |
Published date grouping:October 2023 | Notice No.:2023-165 |
Action: In the Matter of Prime Group Holdings, LLC |
Notice Date:10/31/2023 | Claim Due Date:01/29/2024 |
Published date grouping:October 2023 | Notice No.:2023-166 |
Action: In the Matter of Goldman Sachs & Co. LLC |
Notice Date:10/31/2023 | Claim Due Date:01/29/2024 |
Published date grouping:October 2023 | Notice No.:2023-167 |
Action: In the Matter of AssetMark, Inc. |
Notice Date:10/31/2023 | Claim Due Date:01/29/2024 |
Published date grouping:October 2023 | Notice No.:2023-168 |
Action: In the Matter of American Infrastructure Funds, LLC |
Notice Date:10/31/2023 | Claim Due Date:01/29/2024 |
Published date grouping:October 2023 | Notice No.:2023-169 |
Action: In the Matter of Jacob R. Orvidas |
Notice Date:10/31/2023 | Claim Due Date:01/29/2024 |
Published date grouping:September 2023 | Notice No.:2023-119 |
Action: SEC v. Alton Perkins, Yilaime Corporation of NC, Yilaime Corporation of Nevada, Perkins HSU Export Corporation, American Towne Holdings, Inc., and Mabiala Phuati |
Notice Date:09/29/2023 | Claim Due Date:12/28/2023 |
Published date grouping:September 2023 | Notice No.:2023-120 |
Action: SEC v. Timothy J. Allcott, Thomas D. Renison, and ARO Equity, LLC |
Notice Date:09/29/2023 | Claim Due Date:12/28/2023 |
Published date grouping:September 2023 | Notice No.:2023-121 |
Action: In the Matter of 3M Company |
Notice Date:09/29/2023 | Claim Due Date:12/28/2023 |
Published date grouping:September 2023 | Notice No.:2023-122 |
Action: In the Matter of Archipelago Trading Services, Inc. |
Notice Date:09/29/2023 | Claim Due Date:12/28/2023 |
Published date grouping:September 2023 | Notice No.:2023-123 |
Action: In the Matter of Wells Fargo Clearing Services LLC and Wells Fargo Advisors Financial Network, LLC |
Notice Date:09/29/2023 | Claim Due Date:12/28/2023 |
Published date grouping:September 2023 | Notice No.:2023-124 |
Action: SEC v. Mark Klein, Eduardo Rubinstein, and Pablo Rubinstein |
Notice Date:09/29/2023 | Claim Due Date:12/28/2023 |
Published date grouping:September 2023 | Notice No.:2023-125 |
Action: In the Matter of Canoo Inc. |
Notice Date:09/29/2023 | Claim Due Date:12/28/2023 |
Published date grouping:September 2023 | Notice No.:2023-126 |
Action: SEC v. Chad Stickforth |
Notice Date:09/29/2023 | Claim Due Date:12/28/2023 |
Published date grouping:September 2023 | Notice No.:2023-127 |
Action: SEC v. RBF Trust LLC, a Florida company, Paulo Fernando de Bastos, Joao Pedro Fonseca, a/k/a Joao Pedro Fonseca de Bastos RBF Trust LLC, a Michigan company, D3 Gestion Immobiliere LLC, a Florida company, and D3 Gestion Immobiliere LLC, a Michigan company |
Notice Date:09/29/2023 | Claim Due Date:12/28/2023 |
Published date grouping:September 2023 | Notice No.:2023-128 |
Action: In the Matter of Crowe U.K. LLP, Nigel D. Bostock, FCA, and Matthew C. Stallabrass, FCA |
Notice Date:09/29/2023 | Claim Due Date:12/28/2023 |
Published date grouping:September 2023 | Notice No.:2023-129 |
Action: In the Matter of Grupo Aval Acciones Y Valores S.A. and Corporacion Financiera Colombiana, S.A |
Notice Date:09/29/2023 | Claim Due Date:12/28/2023 |
Published date grouping:September 2023 | Notice No.:2023-130 |
Action: In the Matter of Exchange Traded Managers Group LLC, ETF Managers Group LLC, and Samuel R. Masucci |
Notice Date:09/29/2023 | Claim Due Date:12/28/2023 |
Published date grouping:September 2023 | Notice No.:2023-131 |
Action: In the Matter of Legacy Hospitality II, LLC, Legendary Capital Reit III, LLC, and Corey R. Maple |
Notice Date:09/29/2023 | Claim Due Date:12/28/2023 |
Published date grouping:September 2023 | Notice No.:2023-132 |
Action: In the Matter of Titan Global Capital Management USA LLC |
Notice Date:09/29/2023 | Claim Due Date:12/28/2023 |
Published date grouping:September 2023 | Notice No.:2023-133 |
Action: SEC v. George Iakovou, Vika Ventures LLC, Penelope Zbravos |
Notice Date:09/29/2023 | Claim Due Date:12/28/2023 |
Published date grouping:September 2023 | Notice No.:2023-134 |
Action: In the Matter of Murray A. Huberfeld |
Notice Date:09/29/2023 | Claim Due Date:12/28/2023 |
Published date grouping:September 2023 | Notice No.:2023-135 |
Action: In the Matter of Moshe aka "Mark" Feuer and Scott A. Taylor |
Notice Date:09/29/2023 | Claim Due Date:12/28/2023 |
Published date grouping:September 2023 | Notice No.:2023-136 |
Action: SEC v. Bittrex, Inc., Bittrex Global Gmbh, and William Hiroaki Shihara |
Notice Date:09/29/2023 | Claim Due Date:12/28/2023 |
Published date grouping:September 2023 | Notice No.:2023-137 |
Action: In the Matter of Citigroup Global Markets Inc |
Notice Date:09/29/2023 | Claim Due Date:12/28/2023 |
Published date grouping:September 2023 | Notice No.:2023-138 |
Action: SEC v. Charles Rustin Holzer |
Notice Date:09/29/2023 | Claim Due Date:12/28/2023 |
Published date grouping:September 2023 | Notice No.:2023-139 |
Action: SEC v. Infinity Q Capital Management, LLC |
Notice Date:09/29/2023 | Claim Due Date:12/28/2023 |
Published date grouping:September 2023 | Notice No.:2023-140 |
Action: In the Matter of Wedbush Securities Inc. |
Notice Date:09/29/2023 | Claim Due Date:12/28/2023 |
Published date grouping:September 2023 | Notice No.:2023-141 |
Action: In the Matter of SG Americas Securities, LLC |
Notice Date:09/29/2023 | Claim Due Date:12/28/2023 |
Published date grouping:September 2023 | Notice No.:2023-142 |
Action: In the Matter of Mizuho Securities USA LLC |
Notice Date:09/29/2023 | Claim Due Date:12/28/2023 |
Published date grouping:September 2023 | Notice No.:2023-143 |
Action: In the Matter of SMBC Nikko Securities America, Inc. |
Notice Date:09/29/2023 | Claim Due Date:12/28/2023 |
Published date grouping:September 2023 | Notice No.:2023-144 |
Action: In the Matter of BMO Capital Markets Corp. |
Notice Date:09/29/2023 | Claim Due Date:12/28/2023 |
Published date grouping:September 2023 | Notice No.:2023-145 |
Action: In the Matter of Houlihan Lokey Capital, Inc |
Notice Date:09/29/2023 | Claim Due Date:12/28/2023 |
Published date grouping:September 2023 | Notice No.:2023-146 |
Action: In the Matter of Moelis & Company LLC |
Notice Date:09/29/2023 | Claim Due Date:12/28/2023 |
Published date grouping:September 2023 | Notice No.:2023-147 |
Action: In the Matter of BNP Paribus Securities Corp. |
Notice Date:09/29/2023 | Claim Due Date:12/28/2023 |
Published date grouping:September 2023 | Notice No.:2023-148 |
Action: In the Matter of Impact Theory, LLC |
Notice Date:09/29/2023 | Claim Due Date:12/28/2023 |
Published date grouping:September 2023 | Notice No.:2023-149 |
Action: In the Matter of Wells Fargo Securities, LLC, Wells Fargo Clearing Services, LLC, and Wells Fargo Advisors Financial Network, LLC |
Notice Date:09/29/2023 | Claim Due Date:12/28/2023 |
Published date grouping:August 2023 | Notice No.:2023-118 |
Action: SEC v. Robert D. Christensen; Anthony M. Matic; Foresee, Inc., The Commission Pdx, LLC; The Policy Pdx, LLC; Innings 150, LLC |
Notice Date:08/31/2023 | Claim Due Date:11/29/2023 |
Published date grouping:August 2023 | Notice No.:2023-117 |
Action: In the Matter of Quantstamp, Inc. |
Notice Date:08/31/2023 | Claim Due Date:11/29/2023 |
Published date grouping:August 2023 | Notice No.:2023-116 |
Action: SEC v. BHP Capital NY, Inc., and Bryan Pantofel |
Notice Date:08/31/2023 | Claim Due Date:11/29/2023 |
Published date grouping:August 2023 | Notice No.:2023-115 |
Action: In the Matter of Digital World Acquisition Corp. |
Notice Date:08/31/2023 | Claim Due Date:11/29/2023 |
Published date grouping:August 2023 | Notice No.:2023-114 |
Action: In the Matter of Cantor Fitzgerald & Co. |
Notice Date:08/31/2023 | Claim Due Date:11/29/2023 |
Published date grouping:August 2023 | Notice No.:2023-113 |
Action: SEC v. Andrew Defrancesco, Marlio Mauricio Diaz Cardona, Carlos Felipe Rezk, Nikola Faukovic, and Catherine Defrancesco |
Notice Date:08/31/2023 | Claim Due Date:11/29/2023 |
Published date grouping:August 2023 | Notice No.:2023-112 |
Action: In the Matter of Future Fin Tech Group Inc. |
Notice Date:08/31/2023 | Claim Due Date:11/29/2023 |
Published date grouping:August 2023 | Notice No.:2023-111 |
Action: In the Matter of Merrill Lynch, Pierce, Fenner & Smith Incorporated; and BAC North America Holding Co. |
Notice Date:08/31/2023 | Claim Due Date:11/29/2023 |
Published date grouping:August 2023 | Notice No.:2023-103 |
Action: SEC v. Leon Vaccarelli, individually and doing business as, Lux Financial Services, LWLVACC, LLC |
Notice Date:08/31/2023 | Claim Due Date:11/29/2023 |
Published date grouping:August 2023 | Notice No.:2023-104 |
Action: SEC v. Evoqua Water Technologies Corp., and Imran Parekh |
Notice Date:08/31/2023 | Claim Due Date:11/29/2023 |
Published date grouping:August 2023 | Notice No.:2023-105 |
Action: SEC v. Cooper J. Morgenthau |
Notice Date:08/31/2023 | Claim Due Date:11/29/2023 |
Published date grouping:August 2023 | Notice No.:2023-106 |
Action: SEC v. William A. Huber and Hubadex, Inc. |
Notice Date:08/31/2023 | Claim Due Date:11/29/2023 |
Published date grouping:August 2023 | Notice No.:2023-107 |
Action: SEC v. Michael B. Zipprich, America's Rehab Campuses, LLC, America's Rehab Campuses- Arizona, LLC |
Notice Date:08/31/2023 | Claim Due Date:11/29/2023 |
Published date grouping:August 2023 | Notice No.:2023-108 |
Action: SEC v. Kent R.E. Whitney, David Lee Parrish, The Church for the Healthy Self a/k/a CHS Trust, And CHS Asset Management Inc. |
Notice Date:08/31/2023 | Claim Due Date:11/29/2023 |
Published date grouping:August 2023 | Notice No.:2023-109 |
Action: SEC v. Lambert Vander Tuig, Ben Schactschneider, Capital Development Resources, f/k/a Biosynetics, and Biosynetics Management |
Notice Date:08/31/2023 | Claim Due Date:11/29/2023 |
Published date grouping:August 2023 | Notice No.:2023-110 |
Action: SEC v. Ramas Capital Management, LLC, Ganesh H. Betanabhatla |
Notice Date:08/31/2023 | Claim Due Date:11/29/2023 |
Published date grouping:July 2023 | Notice No.:2023-090 |
Action: SEC v. Marco "Sully" Perez and Permian Basin Proppants, Inc. |
Notice Date:07/31/2023 | Claim Due Date:10/29/2023 |
Published date grouping:July 2023 | Notice No.:2023-091 |
Action: In the Matter of Gartner, Inc. |
Notice Date:07/31/2023 | Claim Due Date:10/29/2023 |
Published date grouping:July 2023 | Notice No.:2023-092 |
Action: SEC v. Vuuzle Media Corp., Ronald Shane Flynn, and Richard Marchitto |
Notice Date:07/31/2023 | Claim Due Date:10/29/2023 |
Published date grouping:July 2023 | Notice No.:2023-093 |
Action: In the Matter of Marcum LLP |
Notice Date:07/31/2023 | Claim Due Date:10/29/2023 |
Published date grouping:July 2023 | Notice No.:2023-094 |
Action: In the Matter of Pacific Investment Management Company LLC |
Notice Date:07/31/2023 | Claim Due Date:10/29/2023 |
Published date grouping:July 2023 | Notice No.:2023-095 |
Action: In the Matter of Pacific Investment Management Company LLC |
Notice Date:07/31/2023 | Claim Due Date:10/29/2023 |
Published date grouping:July 2023 | Notice No.:2023-096 |
Action: SEC v. Tarek D. Bahgat and Lauramarie Colagelo |
Notice Date:07/31/2023 | Claim Due Date:10/29/2023 |
Published date grouping:July 2023 | Notice No.:2023-097 |
Action: SEC v. James David O'Brien |
Notice Date:07/31/2023 | Claim Due Date:10/29/2023 |
Published date grouping:July 2023 | Notice No.:2023-098 |
Action: In the Matter on J.P. Morgan Securities LLC |
Notice Date:07/31/2023 | Claim Due Date:10/29/2023 |
Published date grouping:July 2023 | Notice No.:2023-099 |
Action: In the Matter of Insight Ventures Management, LLC |
Notice Date:07/31/2023 | Claim Due Date:10/29/2023 |
Published date grouping:July 2023 | Notice No.:2023-100 |
Action: In the Matter of Cantaloupe, Inc. (formerly d/b/a USA Technologies, Inc.) |
Notice Date:07/31/2023 | Claim Due Date:10/29/2023 |
Published date grouping:July 2023 | Notice No.:2023-101 |
Action: In the Matter of RTW Investments, LP |
Notice Date:07/31/2023 | Claim Due Date:10/29/2023 |
Published date grouping:July 2023 | Notice No.:2023-102 |
Action: SEC v. Carrie L. Tolstedt |
Notice Date:07/31/2023 | Claim Due Date:10/29/2023 |
Published date grouping:June 2023 | Notice No.:2023-065 |
Action: SEC v. Trends Investments Inc., Brandon Rossetti, Clinton Greyling, Leslie Greyling, Roger Bendelac, and Thomas Capellini |
Notice Date:06/30/2023 | Claim Due Date:09/28/2023 |
Published date grouping:June 2023 | Notice No.:2023-066 |
Action: SEC v. Ronald D. Swanson |
Notice Date:06/30/2023 | Claim Due Date:09/28/2023 |
Published date grouping:June 2023 | Notice No.:2023-067 |
Action: SEC v. Kay X. Yang and Xapphire LLC |
Notice Date:06/30/2023 | Claim Due Date:09/28/2023 |
Published date grouping:June 2023 | Notice No.:2023-068 |
Action: SEC v. Chicago Crypto Capital LLC, Brian B. Amoah, Darcas Oliver Young, and Elbert G. Elliott |
Notice Date:06/30/2023 | Claim Due Date:09/28/2023 |
Published date grouping:June 2023 | Notice No.:2023-069 |
Action: SEC v. Empires Consulting Corp. (DBA "Empiresx") Emerson Sousa Pires, Flavio Mendes, Goncalves, and Joshua David Nicholas |
Notice Date:06/30/2023 | Claim Due Date:09/28/2023 |
Published date grouping:June 2023 | Notice No.:2023-070 |
Action: In the Matter of Gaia, Inc. and Paul C. Tarell, Jr., CPA |
Notice Date:06/30/2023 | Claim Due Date:09/28/2023 |
Published date grouping:June 2023 | Notice No.:2023-071 |
Action: SEC v. Martin Adrian Ruiz, Ram Fund, LP, and Bain Wealth Management, LLC |
Notice Date:06/30/2023 | Claim Due Date:09/28/2023 |
Published date grouping:June 2023 | Notice No.:2023-072 |
Action: SEC v. Judith D. Paris-Pinder |
Notice Date:06/30/2023 | Claim Due Date:09/28/2023 |
Published date grouping:June 2023 | Notice No.:2023-074 |
Action: SEC v. William Glen Baker, Michael Bowen, Cannon Operating Company LLC, North Texas Minerals LLC, and Chol Kim a/k/a Brandon Kim |
Notice Date:06/30/2023 | Claim Due Date:09/28/2023 |
Published date grouping:June 2023 | Notice No.:2023-075 |
Action: SEC v. Brian Raymond Callahan, Horizon Global Advisors Ltd., Horizon Global Advisors, LLC, Diversified Global Investments (BVI) L.P., The Masters Global Fund, L.P., Horizon Millennium Investments, L.P. Pangea Offshore High Yield Portfolio, LLC, Adam Manson, Distinctive Investments LLC, and Distinctive Ventures LLC |
Notice Date:06/30/2023 | Claim Due Date:09/28/2023 |
Published date grouping:June 2023 | Notice No.:2023-076 |
Action: SEC v. Saexploration Holdings, Inc., Jeffrey H. Hastings, Brent N. Whiteley, Brian A. Beatty, and Michael J. Scott |
Notice Date:06/30/2023 | Claim Due Date:09/28/2023 |
Published date grouping:June 2023 | Notice No.:2023-077 |
Action: In the Matter of Koninklijke Philips N.V. |
Notice Date:06/30/2023 | Claim Due Date:09/28/2023 |
Published date grouping:June 2023 | Notice No.:2023-078 |
Action: SEC v. The Hydrogen Technology Corporation Michael Ross Kane, and Tyler Ostern |
Notice Date:06/30/2023 | Claim Due Date:09/28/2023 |
Published date grouping:June 2023 | Notice No.:2023-079 |
Action: SEC v. Vale S.A. |
Notice Date:06/30/2023 | Claim Due Date:09/28/2023 |
Published date grouping:June 2023 | Notice No.:2023-080 |
Action: SEC v. Energy & Environmental Investments, LLC; Energy & Environment, Inc., Amir A. Sardari; and Narysa Sardari Luddy |
Notice Date:06/30/2023 | Claim Due Date:09/28/2023 |
Published date grouping:June 2023 | Notice No.:2023-081 |
Action: SEC v. James Arthur McDonald, Jr. and Hercules Investments, LLC |
Notice Date:06/30/2023 | Claim Due Date:09/28/2023 |
Published date grouping:June 2023 | Notice No.:2023-082 |
Action: SEC v. GPL Ventures LLC, GPL Management LLC, Alexander J. Dillon, Cosmin I. Panait, Hempamericana, Inc., Salavador E. Rosillo, Seaside Advisors, LLC, and Lawrence B. Adams |
Notice Date:06/30/2023 | Claim Due Date:09/28/2023 |
Published date grouping:June 2023 | Notice No.:2023-083 |
Action: SEC v. Joseph Orazio DeGregorio |
Notice Date:06/30/2023 | Claim Due Date:09/28/2023 |
Published date grouping:June 2023 | Notice No.:2023-084 |
Action: In the Matter of HSBC Securities (USA) Inc. |
Notice Date:06/30/2023 | Claim Due Date:09/28/2023 |
Published date grouping:June 2023 | Notice No.:2023-085 |
Action: In the Matter of Scotia Capital (USA) Inc. |
Notice Date:06/30/2023 | Claim Due Date:09/28/2023 |
Published date grouping:June 2023 | Notice No.:2023-086 |
Action: SEC v. George Georgiou |
Notice Date:06/30/2023 | Claim Due Date:09/28/2023 |
Published date grouping:June 2023 | Notice No.:2023-087 |
Action: SEC v. Donald G. Blakstad, Energy Sources International Corporation, and Xact Holdings Corporation |
Notice Date:06/30/2023 | Claim Due Date:09/28/2023 |
Published date grouping:June 2023 | Notice No.:2023-088 |
Action: In the Matter of Up, Global SEZC, Coinme Inc., and Neil Bergquist |
Notice Date:06/30/2023 | Claim Due Date:09/28/2023 |
Published date grouping:June 2023 | Notice No.:2023-089 |
Action: SEC v. The Estate of Kenneth J. Casey |
Notice Date:06/30/2023 | Claim Due Date:09/28/2023 |
Published date grouping:May 2023 | Notice No.:2023-056 |
Action: SEC v. Matthew Nicosia, William ("Rocky") Reininger, Fabrizio Di Carlo, and Ronald Touchard |
Notice Date:05/31/2023 | Claim Due Date:08/29/2023 |
Published date grouping:May 2023 | Notice No.:2023-057 |
Action: SEC v. Anatoly Hurgin, Alexander Aurovsky, Ability Computer & Software Industries Ltd., and Ability Inc. |
Notice Date:05/31/2023 | Claim Due Date:08/29/2023 |
Published date grouping:May 2023 | Notice No.:2023-058 |
Action: SEC v. David J. Bunevacz, Mary Hayca Bunevacz, Caesarbrutus LLC, CB Holding Group Corp., and Brutus California Ventures Corp. |
Notice Date:05/31/2023 | Claim Due Date:08/29/2023 |
Published date grouping:May 2023 | Notice No.:2023-060 |
Action: SEC v. Martin Silver |
Notice Date:05/31/2023 | Claim Due Date:08/29/2023 |
Published date grouping:May 2023 | Notice No.:2023-061 |
Action: In the Matter of Chatham Asset Management, LLC, and Anthony Melchiorre |
Notice Date:05/31/2023 | Claim Due Date:08/29/2023 |
Published date grouping:May 2023 | Notice No.:2023-062 |
Action: In the Matter of Merrill Lynch, Pierce, Fenner & Smith Incorporated |
Notice Date:05/31/2023 | Claim Due Date:08/29/2023 |
Published date grouping:May 2023 | Notice No.:2023-063 |
Action: SEC v. Frank Okunak |
Notice Date:05/31/2023 | Claim Due Date:08/29/2023 |
Published date grouping:May 2023 | Notice No.:2023-064 |
Action: In the Matter of Betterment LLC |
Notice Date:05/31/2023 | Claim Due Date:08/29/2023 |
Published date grouping:April 2023 | Notice No.:2023-037 |
Action: SEC v. Star Chain, Inc., and Timur Efe, a/k/a Omer Casurluk |
Notice Date:04/28/2023 | Claim Due Date:07/27/2023 |
Published date grouping:April 2023 | Notice No.:2023-038 |
Action: SEC v. Mark J. Varacchi and Sentinel Growth Fund Management LLC |
Notice Date:04/28/2023 | Claim Due Date:07/27/2023 |
Published date grouping:April 2023 | Notice No.:2023-039 |
Action: SEC v. Medsis International Inc., Joshua Dax Cabrera and Paul Hess |
Notice Date:04/28/2023 | Claim Due Date:07/27/2023 |
Published date grouping:April 2023 | Notice No.:2023-040 |
Action: SEC v. Candlestick Capital Management LP |
Notice Date:04/28/2023 | Claim Due Date:07/27/2023 |
Published date grouping:April 2023 | Notice No.:2023-041 |
Action: SEC v. Bradley J. Moynes, Digatrade Financial Group |
Notice Date:04/28/2023 | Claim Due Date:07/27/2023 |
Published date grouping:April 2023 | Notice No.:2023-042 |
Action: In the Matter of Roadrunner Transportation Systems, Inc. |
Notice Date:04/28/2023 | Claim Due Date:07/27/2023 |
Published date grouping:April 2023 | Notice No.:2023-043 |
Action: SEC v. Phillip Hudnall, Todd Esh, Birddog Business Group, LLC, and Birddog Oil Equipment, LLC |
Notice Date:04/28/2023 | Claim Due Date:07/27/2023 |
Published date grouping:April 2023 | Notice No.:2023-044 |
Action: In the Matter of Foresight Wealth Management, LLC and Adam E. Nugent |
Notice Date:04/28/2023 | Claim Due Date:07/27/2023 |
Published date grouping:April 2023 | Notice No.:2023-045 |
Action: SEC v. John Barksdale and Jonatina L. Barksdale |
Notice Date:04/28/2023 | Claim Due Date:07/27/2023 |
Published date grouping:April 2023 | Notice No.:2023-046 |
Action: In the Matter of Centaurus Financial, Inc., Ricky A. Mantei, and Atul Makharia |
Notice Date:04/28/2023 | Claim Due Date:07/27/2023 |
Published date grouping:April 2023 | Notice No.:2023-047 |
Action: SEC v. GexCrypto Corp. (a/k/a GexCrypto Global Trading Corp.) and Emiliano S. Ryn. |
Notice Date:04/28/2023 | Claim Due Date:07/27/2023 |
Published date grouping:April 2023 | Notice No.:2023-048 |
Action: In the Matter of Flutter Entertainment plc, as successor-in-interest to the Stars Group, Inc. |
Notice Date:04/28/2023 | Claim Due Date:07/27/2023 |
Published date grouping:April 2023 | Notice No.:2023-049 |
Action: In the Matter of Dxc Technology Company |
Notice Date:04/28/2023 | Claim Due Date:07/27/2023 |
Published date grouping:April 2023 | Notice No.:2023-050 |
Action: In the Matter of Equity Acquisition Company Ltd. and Carsten Klein |
Notice Date:04/28/2023 | Claim Due Date:07/27/2023 |
Published date grouping:April 2023 | Notice No.:2023-051 |
Action: In the Matter of Daniel J. Mackle, Sr. and Silver Edge Financial LLC |
Notice Date:04/28/2023 | Claim Due Date:07/27/2023 |
Published date grouping:April 2023 | Notice No.:2023-052 |
Action: SEC v. Payward Ventures, Inc. (d/b/a Kraken); and Payward Trading, Ltd. (d/b/a Kraken) |
Notice Date:04/28/2023 | Claim Due Date:07/27/2023 |
Published date grouping:April 2023 | Notice No.:2023-053 |
Action: In the Matter of Rio Tinto Plc |
Notice Date:04/28/2023 | Claim Due Date:07/27/2023 |
Published date grouping:April 2023 | Notice No.:2023-054 |
Action: SEC v. Patrick Jevon Johnson, Charles Everett (aka Charly Everett), Frank Ekejija, and NVC Fund, LLC. |
Notice Date:04/28/2023 | Claim Due Date:07/27/2023 |
Published date grouping:April 2023 | Notice No.:2023-055 |
Action: In the Matter of Blackbaud, Inc. |
Notice Date:04/28/2023 | Claim Due Date:07/27/2023 |
Published date grouping:March 2023 | Notice No.:2023-024 |
Action: SEC v. Charlie Abujudeh |
Notice Date:03/31/2023 | Claim Due Date:06/29/2023 |
Published date grouping:March 2023 | Notice No.:2023-025 |
Action: In the Matter of Moors & Cabot, Inc. |
Notice Date:03/31/2023 | Claim Due Date:06/29/2023 |
Published date grouping:March 2023 | Notice No.:2023-026 |
Action: In the Matter of The Options Clearing Corporation |
Notice Date:03/31/2023 | Claim Due Date:06/29/2023 |
Published date grouping:March 2023 | Notice No.:2023-027 |
Action: SEC v. Edward E. Matthes |
Notice Date:03/31/2023 | Claim Due Date:06/29/2023 |
Published date grouping:March 2023 | Notice No.:2023-028 |
Action: In the Matter of Activision Blizzard, Inc. |
Notice Date:03/31/2023 | Claim Due Date:06/29/2023 |
Published date grouping:March 2023 | Notice No.:2023-029 |
Action: SEC v. Duncan J. Macdonald, III and Gloria Solomon |
Notice Date:03/31/2023 | Claim Due Date:06/29/2023 |
Published date grouping:March 2023 | Notice No.:2023-031 |
Action: In the Matter of Gentex Corporation and Kevin C. Nash |
Notice Date:03/31/2023 | Claim Due Date:06/29/2023 |
Published date grouping:March 2023 | Notice No.:2023-032 |
Action: SEC v. Back to Green Mining, LLC, Jose M. Jimenez Cruz, Manuel Portalatin |
Notice Date:03/31/2023 | Claim Due Date:06/29/2023 |
Published date grouping:March 2023 | Notice No.:2023-033 |
Action: In the Matter of Nexo Capital Inc. |
Notice Date:03/31/2023 | Claim Due Date:06/29/2023 |
Published date grouping:March 2023 | Notice No.:2023-034 |
Action: SEC v. Derek J. Slattery and Tradesmart Software Ric Corporation |
Notice Date:03/31/2023 | Claim Due Date:06/29/2023 |
Published date grouping:March 2023 | Notice No.:2023-035 |
Action: In the Matter of Paul Anthony Pierce |
Notice Date:03/31/2023 | Claim Due Date:06/29/2023 |
Published date grouping:March 2023 | Notice No.:2023-036 |
Action: In the Matter of Ensign Peak Advisors, Inc., and The Church of Jesus Christ of Latter-Day Saints |
Notice Date:03/31/2023 | Claim Due Date:06/29/2023 |
Published date grouping:February 2023 | Notice No.:2023-008 |
Action: In the Matter of Bloomberg Financial L.P. |
Notice Date:02/28/2023 | Claim Due Date:05/29/2023 |
Published date grouping:February 2023 | Notice No.:2023-009 |
Action: SEC v. Michael A. Liberty, Brittany Liberty, Paul Hess, Richard Liberty, George Marcus, Esq, Mozido Invesco, LLC, Family Mobile, LLC, Brtmdo, LLC, Brentwood Financial, LLC, and TL Holdings Group, LLC |
Notice Date:02/28/2023 | Claim Due Date:05/29/2023 |
Published date grouping:February 2023 | Notice No.:2023-010 |
Action: SEC v. Conrad A. Coggeshall |
Notice Date:02/28/2023 | Claim Due Date:05/29/2023 |
Published date grouping:February 2023 | Notice No.:2023-011 |
Action: SEC v. Jason P. Wooten, Ronald Frank Stevenson, Family Tree Estate Planning, LLC, and American Financial Security, LLC |
Notice Date:02/28/2023 | Claim Due Date:05/29/2023 |
Published date grouping:February 2023 | Notice No.:2023-012 |
Action: SEC v. Michael W. Ackerman |
Notice Date:02/28/2023 | Claim Due Date:05/29/2023 |
Published date grouping:February 2023 | Notice No.:2023-013 |
Action: SEC v. Carlos Pingarron |
Notice Date:02/28/2023 | Claim Due Date:05/29/2023 |
Published date grouping:February 2023 | Notice No.:2023-014 |
Action: SEC v. Carlos Sorondo |
Notice Date:02/28/2023 | Claim Due Date:05/29/2023 |
Published date grouping:February 2023 | Notice No.:2023-015 |
Action: SEC v. The Lifepay Group Group, LLC; Smdre, LLC; Clifton E. Stanley; and Michael E. Watts |
Notice Date:02/28/2023 | Claim Due Date:05/29/2023 |
Published date grouping:February 2023 | Notice No.:2023-016 |
Action: SEC v. Spot Tech House, Ltd; formerly known as, Spot Option Ltd; Malhaz Pinhas Patarkazishvili, also known as Pini Peter and Pinhas Peter, and Ran Amiran |
Notice Date:02/28/2023 | Claim Due Date:05/29/2023 |
Published date grouping:February 2023 | Notice No.:2023-017 |
Action: SEC v. Justin W. Keener d/b/a JMJ Financial |
Notice Date:02/28/2023 | Claim Due Date:05/29/2023 |
Published date grouping:February 2023 | Notice No.:2023-018 |
Action: In the Matter of Stephen J. Easterbrook and McDonald's Corporation |
Notice Date:02/28/2023 | Claim Due Date:05/29/2023 |
Published date grouping:February 2023 | Notice No.:2023-019 |
Action: SEC v. Jason Sugarman |
Notice Date:02/28/2023 | Claim Due Date:05/29/2023 |
Published date grouping:February 2023 | Notice No.:2023-020 |
Action: SEC v. Gregory Altieri |
Notice Date:02/28/2023 | Claim Due Date:05/29/2023 |
Published date grouping:February 2023 | Notice No.:2023-021 |
Action: SEC v. Archer Capital Management Group, Archer Growth Fund, Hdr Management LLC, and Silvermoon Group LLC |
Notice Date:02/28/2023 | Claim Due Date:05/29/2023 |
Published date grouping:February 2023 | Notice No.:2023-022 |
Action: SEC v. S-Ray Incorporated and Stephen Alexander Baird |
Notice Date:02/28/2023 | Claim Due Date:05/29/2023 |
Published date grouping:February 2023 | Notice No.:2023-023 |
Action: SEC v. Danske Bank A/S |
Notice Date:02/28/2023 | Claim Due Date:05/29/2023 |
Published date grouping:January 2023 | Notice No.:2023-001 |
Action: SEC v. Anthony Michael Holland |
Notice Date:01/31/2023 | Claim Due Date:05/01/2023 |
Published date grouping:January 2023 | Notice No.:2023-002 |
Action: SEC v. John J. Woods, Livingston Group Asset Management Company d/b/a Southport Capital, and Horizon Private Equity, III, LLC |
Notice Date:01/31/2023 | Claim Due Date:05/01/2023 |
Published date grouping:January 2023 | Notice No.:2023-003 |
Action: SEC v. Eric T. Landis and Ridgeview Capital Partners, LLC |
Notice Date:01/31/2023 | Claim Due Date:05/01/2023 |
Published date grouping:January 2023 | Notice No.:2023-004 |
Action: SEC v. Joseph Boulos |
Notice Date:01/31/2023 | Claim Due Date:05/01/2023 |
Published date grouping:January 2023 | Notice No.:2023-005 |
Action: In the Matter of ABB Ltd. |
Notice Date:01/31/2023 | Claim Due Date:05/01/2023 |
Published date grouping:January 2023 | Notice No.:2023-006 |
Action: In the Matter of Honeywell International, Inc. |
Notice Date:01/31/2023 | Claim Due Date:05/01/2023 |
Published date grouping:January 2023 | Notice No.:2023-007 |
Action: SEC v. AT&T, Inc., Christopher C. Womack, Kent D. Evans, and Michael J. Black |
Notice Date:01/31/2023 | Claim Due Date:05/01/2023 |
Published date grouping:December 2022 | Notice No.:2022-156 |
Action: SEC v. Taronis Technologies, Inc. (n/k/a BBHC, Inc.), Taronis Fuels, Inc., Scott David Mahoney and Tyler Burnett Wilson |
Notice Date:12/30/2022 | Claim Due Date:03/30/2023 |
Published date grouping:December 2022 | Notice No.:2022-157 |
Action: In the Matter of S&P Global Ratings |
Notice Date:12/30/2022 | Claim Due Date:03/30/2023 |
Published date grouping:December 2022 | Notice No.:2022-158 |
Action: In the Matter of Koppers Holdings Inc. |
Notice Date:12/30/2022 | Claim Due Date:03/30/2023 |
Published date grouping:December 2022 | Notice No.:2022-159 |
Action: SEC v. Jonathan William Mikula, Christian Fernandez, Amit Raj Beri, Sway Energy Corporation, Avtar Singh Dhillon, Emerald Health Pharmaceuticals Inc., and James M. Demesa |
Notice Date:12/30/2022 | Claim Due Date:03/30/2023 |
Published date grouping:December 2022 | Notice No.:2022-160 |
Action: SEC v. Roger Nils-Jonas Karlsson (a/k/a Euclid Diodorus, Steve Heyden, Joshua Millard, and Lars Georgsson) |
Notice Date:12/30/2022 | Claim Due Date:03/30/2023 |
Published date grouping:December 2022 | Notice No.:2022-161 |
Action: In the Matter of Goldman Sachs Asset Management, L.P. |
Notice Date:12/30/2022 | Claim Due Date:03/30/2023 |
Published date grouping:December 2022 | Notice No.:2022-162 |
Action: SEC v. William Sadleir |
Notice Date:12/30/2022 | Claim Due Date:03/30/2023 |
Published date grouping:December 2022 | Notice No.:2022-163 |
Action: SEC v. Donald G. Blakstad, Martha Patricia Bustos, and Robert J. Maron |
Notice Date:12/30/2022 | Claim Due Date:03/30/2023 |
Published date grouping:November 2022 | Notice No.:2022-138 |
Action: In the Matter of RSM US LLP |
Notice Date:11/30/2022 | Claim Due Date:02/28/2023 |
Published date grouping:November 2022 | Notice No.:2022-139 |
Action: In the Matter of Friedman LLP |
Notice Date:11/30/2022 | Claim Due Date:02/28/2023 |
Published date grouping:November 2022 | Notice No.:2022-140 |
Action: SEC v. Cetera Advisors LLC and Cetera Advisor Networks LLC |
Notice Date:11/30/2022 | Claim Due Date:02/28/2023 |
Published date grouping:November 2022 | Notice No.:2022-141 |
Action: SEC v. Ramiro Jose Sugranes UCB Financial Advisers, Inc. and USB Financial Services Limited |
Notice Date:11/30/2022 | Claim Due Date:02/28/2023 |
Published date grouping:November 2022 | Notice No.:2022-142 |
Action: SEC v. Property Income Investors LLC, Equinox Holdings Inc., Property Income Investors 26 LLC, Property Income Investors 304 LLC, Property Income Investors 201 LLC, Property Income Investors 3504 LLC, Property Income Investors 1361 LLC, Property Income Investors 4020 LLC, Property Income Investors 9007 LLC, Property Income Investors 417 LLC, Property Income Investors 4450 LLC, Property Income Investors 3050 LLC, Larry B. Broman, and Anthony Nicolosi (f/k/a Anthony Peluso) |
Notice Date:11/30/2022 | Claim Due Date:02/28/2023 |
Published date grouping:November 2022 | Notice No.:2022-143 |
Action: SEC v. Joseph Salvatore Devito (a/k/a Salvatore Devito) and Dean Anthony Esposito (a/k/a Dean Anthony) |
Notice Date:11/30/2022 | Claim Due Date:02/28/2023 |
Published date grouping:November 2022 | Notice No.:2022-144 |
Action: In the Matter of Oracle Corporation |
Notice Date:11/30/2022 | Claim Due Date:02/28/2023 |
Published date grouping:November 2022 | Notice No.:2022-145 |
Action: In the Matter of Deloitte Touche Tohmatsu Certified Public Accountants, LLP |
Notice Date:11/30/2022 | Claim Due Date:02/28/2023 |
Published date grouping:November 2022 | Notice No.:2022-146 |
Action: In the Matter of Mattel, Inc. |
Notice Date:11/30/2022 | Claim Due Date:02/28/2023 |
Published date grouping:November 2022 | Notice No.:2022-147 |
Action: In the Matter of Cemtrex Inc., and Saagar Govil |
Notice Date:11/30/2022 | Claim Due Date:02/28/2023 |
Published date grouping:November 2022 | Notice No.:2022-148 |
Action: SEC v. Lev Parnas and David Correia |
Notice Date:11/30/2022 | Claim Due Date:02/28/2023 |
Published date grouping:November 2022 | Notice No.:2022-149 |
Action: In the Matter of Deutsche Bank Securities Inc., DWS Investment Management Americas, Inc., and DWS Distributors, Inc. |
Notice Date:11/30/2022 | Claim Due Date:02/28/2023 |
Published date grouping:November 2022 | Notice No.:2022-150 |
Action: In the Matter of Cantor Fitzgerald & Co. |
Notice Date:11/30/2022 | Claim Due Date:02/28/2023 |
Published date grouping:November 2022 | Notice No.:2022-151 |
Action: In the Matter of Jefferies LLC |
Notice Date:11/30/2022 | Claim Due Date:02/28/2023 |
Published date grouping:November 2022 | Notice No.:2022-152 |
Action: In the Matter of Morgan Stanley & Co. LLC and Morgan Stanley Smith Barney LLC |
Notice Date:11/30/2022 | Claim Due Date:02/28/2023 |
Published date grouping:November 2022 | Notice No.:2022-153 |
Action: In the Matter of Kimberly Kardashian |
Notice Date:11/30/2022 | Claim Due Date:02/28/2023 |
Published date grouping:November 2022 | Notice No.:2022-154 |
Action: In the Matter of Barclays PLC and Barclays Bank PLC |
Notice Date:11/30/2022 | Claim Due Date:02/28/2023 |
Published date grouping:November 2022 | Notice No.:2022-155 |
Action: SEC v. Alexander Bevil, Richard McCall Bohnsack, Daniel Thomas Broyles, Charles Cary Davis, William James Roth, Glenn Joseph Story, and Harold Wasserman |
Notice Date:11/30/2022 | Claim Due Date:02/28/2023 |
Published date grouping:October 2022 | Notice No.:2022-119 |
Action: In the Matter of Sparkster, Ltd., and Sajjad Daya |
Notice Date:10/31/2022 | Claim Due Date:01/29/2023 |
Published date grouping:October 2022 | Notice No.:2022-112 |
Action: SEC v. Swapnil J. Rege and SwapStar Capital, LLC |
Notice Date:10/31/2022 | Claim Due Date:01/29/2023 |
Published date grouping:October 2022 | Notice No.:2022-113 |
Action: SEC v. Hartman Wright Group, LLC and Tytus W. Harkins |
Notice Date:10/31/2022 | Claim Due Date:01/29/2023 |
Published date grouping:October 2022 | Notice No.:2022-114 |
Action: In the Matter of GOL Linhas Aereas Inteligentes S.A. a/k/a GOL Intelligent Airlines Inc. |
Notice Date:10/31/2022 | Claim Due Date:01/29/2023 |
Published date grouping:October 2022 | Notice No.:2022-115 |
Action: SEC v. DeAndre P. Sears and Masears LLC d/b/a Picasso Group |
Notice Date:10/31/2022 | Claim Due Date:01/29/2023 |
Published date grouping:October 2022 | Notice No.:2022-116 |
Action: SEC v. GreneCo, LLC, Gene D. Larson, Gregory K. Womack, and Womack Investment Advisors, Inc. |
Notice Date:10/31/2022 | Claim Due Date:01/29/2023 |
Published date grouping:October 2022 | Notice No.:2022-117 |
Action: In the Matter of Hudson Advisors, L.P. and Lone Star Global Acquisitions, Ltd. |
Notice Date:10/31/2022 | Claim Due Date:01/29/2023 |
Published date grouping:October 2022 | Notice No.:2022-118 |
Action: In the Matter of Compass Minerals International, Inc. |
Notice Date:10/31/2022 | Claim Due Date:01/29/2023 |
Published date grouping:October 2022 | Notice No.:2022-120 |
Action: In the Matter of VMware, Inc. |
Notice Date:10/31/2022 | Claim Due Date:01/29/2023 |
Published date grouping:October 2022 | Notice No.:2022-121 |
Action: SEC v. Premier Links, Inc., Dwayne Malloy, Chris Damon, Theirry Ruffin a/k/a Theirry Regan |
Notice Date:10/31/2022 | Claim Due Date:01/29/2023 |
Published date grouping:October 2022 | Notice No.:2022-122 |
Action: SEC v. David Hu |
Notice Date:10/31/2022 | Claim Due Date:01/29/2023 |
Published date grouping:October 2022 | Notice No.:2022-123 |
Action: In the Matter of The Boeing Company |
Notice Date:10/31/2022 | Claim Due Date:01/29/2023 |
Published date grouping:October 2022 | Notice No.:2022-124 |
Action: SEC v. Scott Adam Brander |
Notice Date:10/31/2022 | Claim Due Date:01/29/2023 |
Published date grouping:October 2022 | Notice No.:2022-125 |
Action: In the Matter of Morgan Stanley Smith Barney LLC |
Notice Date:10/31/2022 | Claim Due Date:01/29/2023 |
Published date grouping:October 2022 | Notice No.:2022-126 |
Action: In the Matter of Barclays Capital Inc. |
Notice Date:10/31/2022 | Claim Due Date:01/29/2023 |
Published date grouping:October 2022 | Notice No.:2022-127 |
Action: In the Matter of BofA Securities, Inc. and Merrill Lynch, Pierce, Fenner & Smith Incorporated |
Notice Date:10/31/2022 | Claim Due Date:01/29/2023 |
Published date grouping:October 2022 | Notice No.:2022-128 |
Action: In the Matter of Credit Suisse Securities (USA) LLC |
Notice Date:10/31/2022 | Claim Due Date:01/29/2023 |
Published date grouping:October 2022 | Notice No.:2022-129 |
Action: In the Matter of Citigroup Global Markets Inc. |
Notice Date:10/31/2022 | Claim Due Date:01/29/2023 |
Published date grouping:October 2022 | Notice No.:2022-130 |
Action: In re Goldman Sachs & Co. LLC |
Notice Date:10/31/2022 | Claim Due Date:01/29/2023 |
Published date grouping:October 2022 | Notice No.:2022-131 |
Action: In the Matter of Nomura Securities International, Inc. |
Notice Date:10/31/2022 | Claim Due Date:01/29/2023 |
Published date grouping:October 2022 | Notice No.:2022-132 |
Action: In the Matter of UBS Financial Services, Inc. and UBS Securities, LLC |
Notice Date:10/31/2022 | Claim Due Date:01/29/2023 |
Published date grouping:October 2022 | Notice No.:2022-133 |
Action: SEC v. Kevin B. Merrill; Jay B. Ledford; Cameron R. Jezierski; Global Credit Recovery, LLC; Delmarva Capital, LLC; Rhino Capital Group, LLC; Deville Asset Management Ltd; and Riverwalk Financial Corporation |
Notice Date:10/31/2022 | Claim Due Date:01/29/2023 |
Published date grouping:October 2022 | Notice No.:2022-134 |
Action: SEC v. Ambassadors Advisors, LLC, Bernard I. Bostwick, Robert E. Kauffman, and Adrian E. Young |
Notice Date:10/31/2022 | Claim Due Date:01/29/2023 |
Published date grouping:October 2022 | Notice No.:2022-135 |
Action: In the Matter of Perceptive Advisors LLC |
Notice Date:10/31/2022 | Claim Due Date:01/29/2023 |
Published date grouping:October 2022 | Notice No.:2022-136 |
Action: SEC v. Granite Construction Inc. |
Notice Date:10/31/2022 | Claim Due Date:01/29/2023 |
Published date grouping:October 2022 | Notice No.:2022-137 |
Action: SEC v. Gaylen Dean Rust and Rust Rare Coin, Inc. |
Notice Date:10/31/2022 | Claim Due Date:01/29/2023 |
Published date grouping:September 2022 | Notice No.:2022-096 |
Action: SEC v. Naseem Salamah Mohammed |
Notice Date:09/30/2022 | Claim Due Date:12/29/2022 |
Published date grouping:September 2022 | Notice No.:2022-097 |
Action: SEC v. German Nino |
Notice Date:09/30/2022 | Claim Due Date:12/29/2022 |
Published date grouping:September 2022 | Notice No.:2022-098 |
Action: SEC v. William J. Milles, Jr., and Donald J. Lutzko |
Notice Date:09/30/2022 | Claim Due Date:12/29/2022 |
Published date grouping:September 2022 | Notice No.:2022-099 |
Action: SEC v. Victor Lee Farias and Integrity Aviation & Leasing, LLC |
Notice Date:09/30/2022 | Claim Due Date:12/29/2022 |
Published date grouping:September 2022 | Notice No.:2022-100 |
Action: In the Matter of Aegis Capital Corp. |
Notice Date:09/30/2022 | Claim Due Date:12/29/2022 |
Published date grouping:September 2022 | Notice No.:2022-101 |
Action: In the Matter of Eagle Bancorp., Inc. |
Notice Date:09/30/2022 | Claim Due Date:12/29/2022 |
Published date grouping:September 2022 | Notice No.:2022-102 |
Action: In the Matter of Surgalign Holdings, Inc., and Robert P. Jordheim |
Notice Date:09/30/2022 | Claim Due Date:12/29/2022 |
Published date grouping:September 2022 | Notice No.:2022-103 |
Action: SEC v. Crown Bridge Partners, LLC, Soheil Ahdoot, and Sepas Adhoot |
Notice Date:09/30/2022 | Claim Due Date:12/29/2022 |
Published date grouping:September 2022 | Notice No.:2022-104 |
Action: In the Matter of J.P. Morgan Securities, LLC |
Notice Date:09/30/2022 | Claim Due Date:12/29/2022 |
Published date grouping:September 2022 | Notice No.:2022-105 |
Action: In the Matter of Bancorp., Inc. |
Notice Date:09/30/2022 | Claim Due Date:12/29/2022 |
Published date grouping:September 2022 | Notice No.:2022-106 |
Action: In the Matter of Angel Oak Capital Advisors, LLC and Ashish Negandhi |
Notice Date:09/30/2022 | Claim Due Date:12/29/2022 |
Published date grouping:September 2022 | Notice No.:2022-107 |
Action: In the Matter of Deccan Value Investors, LP and Vinit Bodas |
Notice Date:09/30/2022 | Claim Due Date:12/29/2022 |
Published date grouping:September 2022 | Notice No.:2022-108 |
Action: SEC v. Sergei Polevikov and Maryna Arystava |
Notice Date:09/30/2022 | Claim Due Date:12/29/2022 |
Published date grouping:September 2022 | Notice No.:2022-109 |
Action: SEC v. Christopher D. Dougherty; C&D Professional Services, Inc. dba C&N Wealth Management; JTA Farm Enterprises, LLC; and JTA Real Estate Holdings, LLC |
Notice Date:09/30/2022 | Claim Due Date:12/29/2022 |
Published date grouping:September 2022 | Notice No.:2022-110 |
Action: SEC v. Aron Govil |
Notice Date:09/30/2022 | Claim Due Date:12/29/2022 |
Published date grouping:September 2022 | Notice No.:2022-111 |
Action: SEC v. Shimon Rosenfeld |
Notice Date:09/30/2022 | Claim Due Date:12/29/2022 |
Published date grouping:August 2022 | Notice No.:2022-083 |
Action: SEC v. Luis Jimenez Carrillo, Amar Bahadoorsingh, Justin Roger Wall, and Jamie Samuel Wilson |
Notice Date:08/31/2022 | Claim Due Date:11/29/2022 |
Published date grouping:August 2022 | Notice No.:2022-084 |
Action: SEC v. David P. Godwin and Anthony G. Roth |
Notice Date:08/31/2022 | Claim Due Date:11/29/2022 |
Published date grouping:August 2022 | Notice No.:2022-085 |
Action: SEC v. NIT Enterprises, Inc. (Delaware), NIT Enterprises, Inc. (Florida), NIT Enterprises FL, Inc., Gary R. Smith, Jason M. Ganton, and James E. Cleary |
Notice Date:08/31/2022 | Claim Due Date:11/29/2022 |
Published date grouping:August 2022 | Notice No.:2022-086 |
Action: SEC v. Sky Group USA, LLC, Efrain Betancourt, Jr. |
Notice Date:08/31/2022 | Claim Due Date:11/29/2022 |
Published date grouping:August 2022 | Notice No.:2022-087 |
Action: In the Matter of Health Insurance Innovations, Inc., now named Benefytt Technologies, Inc., and Gavin D. Southwell |
Notice Date:08/31/2022 | Claim Due Date:11/29/2022 |
Published date grouping:August 2022 | Notice No.:2022-088 |
Action: In the Matter of UBS Financial Services, Inc. |
Notice Date:08/31/2022 | Claim Due Date:11/29/2022 |
Published date grouping:August 2022 | Notice No.:2022-089 |
Action: In the Matter of Private Advisor Group, LLC |
Notice Date:08/31/2022 | Claim Due Date:11/29/2022 |
Published date grouping:August 2022 | Notice No.:2022-090 |
Action: SEC v. Zhuobin Hong and Caixia Jiang |
Notice Date:08/31/2022 | Claim Due Date:11/29/2022 |
Published date grouping:August 2022 | Notice No.:2022-091 |
Action: SEC v. Matthew J. Skinner, Empire West Equity, Inc., Longacre Estates, LP, Bayside Equity, LP, Freedom Equity Fund LLC, and Simple Growth, LLC |
Notice Date:08/31/2022 | Claim Due Date:11/29/2022 |
Published date grouping:August 2022 | Notice No.:2022-092 |
Action: In the Matter of Stephen G. Waldis |
Notice Date:08/31/2022 | Claim Due Date:11/29/2022 |
Published date grouping:August 2022 | Notice No.:2022-093 |
Action: In the Matter of Equitable Financial Life Insurance Company |
Notice Date:08/31/2022 | Claim Due Date:11/29/2022 |
Published date grouping:August 2022 | Notice No.:2022-094 |
Action: In the Matter of Charles Schwab & Co., Inc., Charles Schwab Investment Advisory, Inc., and Schwab Wealth Investment Advisory, Inc. |
Notice Date:08/31/2022 | Claim Due Date:11/29/2022 |
Published date grouping:August 2022 | Notice No.:2022-095 |
Action: SEC v. Alex Duain Forester; Michael Robert Hicks; Yarden Moshe Mony Krampf; Christopher Byungin Lee; Sean Andrew O'Neal, Michael Roy Raynor; Lee Sobel |
Notice Date:08/31/2022 | Claim Due Date:11/29/2022 |
Published date grouping:July 2022 | Notice No.:2022-064 |
Action: SEC v. Christopher W. Burns, Investus Advisers LLC d/b/a Dynamic Money LLC, Investus Financial LLC, and Peer Connect LLC |
Notice Date:07/29/2022 | Claim Due Date:10/27/2022 |
Published date grouping:July 2022 | Notice No.:2022-065 |
Action: SEC v. Patrick Churchville, Clearpath Wealth Management, LLC |
Notice Date:07/29/2022 | Claim Due Date:10/27/2022 |
Published date grouping:July 2022 | Notice No.:2022-066 |
Action: SEC v. Shuang Chen, Lirong Gao, Jing Guan, Tonghu Jia, Xuejie Jia, Vicky Liu, Shun Sui, Lujun Sun, Huailong Wang, Jiadong Wang, Jiafeng Want, Jiali Want, Xiaosong Wang, Linlin Wu, Lin Xing, Yong Yan, Jiancheng Zhao, and Forrest (HK) Co., Limited |
Notice Date:07/29/2022 | Claim Due Date:10/27/2022 |
Published date grouping:July 2022 | Notice No.:2022-067 |
Action: SEC v. Frederick L. Sharp, Zhiying Yvonne Gasarch, Courtney Kelln, Mike K. Veldhuis, Paul Sexton, Jackson T. Friesen, William T. Kaitz, Avtar S. Dhillon, and Graham R. Taylor |
Notice Date:07/29/2022 | Claim Due Date:10/27/2022 |
Published date grouping:July 2022 | Notice No.:2022-068 |
Action: In the Matter of Wells Fargo Clearing Services, LLC |
Notice Date:07/29/2022 | Claim Due Date:10/27/2022 |
Published date grouping:July 2022 | Notice No.:2022-069 |
Action: SEC v. Kenneth W. Crumbley, Jr. and Sedona Oil & Gas Corporation |
Notice Date:07/29/2022 | Claim Due Date:10/27/2022 |
Published date grouping:July 2022 | Notice No.:2022-070 |
Action: In the Matter of Petroteq Energy, Inc., and Aleksandr Blyumkin |
Notice Date:07/29/2022 | Claim Due Date:10/27/2022 |
Published date grouping:July 2022 | Notice No.:2022-071 |
Action: SEC v. Morningstar Credit Ratings, LLC |
Notice Date:07/29/2022 | Claim Due Date:10/27/2022 |
Published date grouping:July 2022 | Notice No.:2022-072 |
Action: In the Matter of Tenaris S.A. |
Notice Date:07/29/2022 | Claim Due Date:10/27/2022 |
Published date grouping:July 2022 | Notice No.:2022-073 |
Action: In the Matter of CohnReznick LLP |
Notice Date:07/29/2022 | Claim Due Date:10/27/2022 |
Published date grouping:July 2022 | Notice No.:2022-074 |
Action: In the Matter of Egan-Jones Ratings Company and Sean Egan |
Notice Date:07/29/2022 | Claim Due Date:10/27/2022 |
Published date grouping:July 2022 | Notice No.:2022-075 |
Action: In the Matter of Ernst & Young LLP |
Notice Date:07/29/2022 | Claim Due Date:10/27/2022 |
Published date grouping:July 2022 | Notice No.:2022-076 |
Action: In the Matter of Weiss Asset Management LP |
Notice Date:07/29/2022 | Claim Due Date:10/27/2022 |
Published date grouping:July 2022 | Notice No.:2022-077 |
Action: SEC v. Mohammed Pithapurwala, Ammar Kutiyanawalla, and Alifiya Kutiyanawalla |
Notice Date:07/29/2022 | Claim Due Date:10/27/2022 |
Published date grouping:July 2022 | Notice No.:2022-078 |
Action: SEC v. Carl Jensen and Stephen W. Gold |
Notice Date:07/29/2022 | Claim Due Date:10/27/2022 |
Published date grouping:July 2022 | Notice No.:2022-079 |
Action: In the Matter of Synchronoss Technologies, Inc. |
Notice Date:07/29/2022 | Claim Due Date:10/27/2022 |
Published date grouping:July 2022 | Notice No.:2022-080 |
Action: In the Matter of Kahn Brothers Advisors, LLC and Thomas Kahn |
Notice Date:07/29/2022 | Claim Due Date:10/27/2022 |
Published date grouping:July 2022 | Notice No.:2022-081 |
Action: In the Matter of Garrison Point Capital, LLC |
Notice Date:07/29/2022 | Claim Due Date:10/27/2022 |
Published date grouping:July 2022 | Notice No.:2022-082 |
Action: SEC v. United Health Products, Inc., Douglas Beplate, and Louis Schiliro |
Notice Date:07/29/2022 | Claim Due Date:10/27/2022 |
Published date grouping:June 2022 | Notice No.:2022-063 |
Action: SEC v. Donald E. MacCord, Jr., Shannon D. Doyle, and Digi Outdoor Media, Inc. |
Notice Date:06/30/2022 | Claim Due Date:09/28/2022 |
Published date grouping:June 2022 | Notice No.:2022-052 |
Action: In the Matter of BNY Mellon Investment Adviser, Inc. |
Notice Date:06/30/2022 | Claim Due Date:09/28/2022 |
Published date grouping:June 2022 | Notice No.:2022-053 |
Action: In the Matter of First Republic Investment Management, Inc. |
Notice Date:06/30/2022 | Claim Due Date:09/28/2022 |
Published date grouping:June 2022 | Notice No.:2022-054 |
Action: SEC v. Bernard L. Compton |
Notice Date:06/30/2022 | Claim Due Date:09/28/2022 |
Published date grouping:June 2022 | Notice No.:2022-055 |
Action: In the Matter of Kimberly D. Butler, Prosperity Economics Partners, LLC, and Partners for Prosperity, LLC |
Notice Date:06/30/2022 | Claim Due Date:09/28/2022 |
Published date grouping:June 2022 | Notice No.:2022-056 |
Action: In the Matter of RiverSource Distributors, Inc. |
Notice Date:06/30/2022 | Claim Due Date:09/28/2022 |
Published date grouping:June 2022 | Notice No.:2022-057 |
Action: In the Matter of Virtua Capital Management, LLC, Quynh Palomino, Jack D. Rose, and Derek Uldricks |
Notice Date:06/30/2022 | Claim Due Date:09/28/2022 |
Published date grouping:June 2022 | Notice No.:2022-058 |
Action: In the Matter of Allianz Global Investors U.S. LLC |
Notice Date:06/30/2022 | Claim Due Date:09/28/2022 |
Published date grouping:June 2022 | Notice No.:2022-059 |
Action: In the Matter of NVIDIA Corporation |
Notice Date:06/30/2022 | Claim Due Date:09/28/2022 |
Published date grouping:June 2022 | Notice No.:2022-060 |
Action: SEC v. Sohrab ("Sam") Sharma, Robert Farkas, and Raymond Trapani |
Notice Date:06/30/2022 | Claim Due Date:09/28/2022 |
Published date grouping:June 2022 | Notice No.:2022-061 |
Action: In the Matter of Medley Management Inc., Brook B. Taube and Seth B. Taube |
Notice Date:06/30/2022 | Claim Due Date:09/28/2022 |
Published date grouping:June 2022 | Notice No.:2022-062 |
Action: SEC v. Michael A. Liberty, Brittany Liberty; Paul Hess; Richard Liberty; George Marcus, Esq.; Mozido Invesco, LLC; Family Mobile, LLC; BRTMDO, LLC Brentwood Financial, LLC; and, TL Holdings Group, LLC |
Notice Date:06/30/2022 | Claim Due Date:09/28/2022 |
Published date grouping:May 2022 | Notice No.:2022-039 |
Action: SEC v. Joseph A. Meyer, Jr. and Statim Holdings, Inc. |
Notice Date:05/31/2022 | Claim Due Date:08/29/2022 |
Published date grouping:May 2022 | Notice No.:2022-040 |
Action: SEC v. Roger Knox, Wintercap SA, Michael T. Gastauer, WB21 US Inc., Silverton SA Inc., WB21 NA Inc., C Capital Corp., Wintercap SA Inc. and B2 Cap Inc. |
Notice Date:05/31/2022 | Claim Due Date:08/29/2022 |
Published date grouping:May 2022 | Notice No.:2022-041 |
Action: SEC v. Chatfield PCS Ltd., GO ECO Manufacturing, Inc., and Trajay Scarlett |
Notice Date:05/31/2022 | Claim Due Date:08/29/2022 |
Published date grouping:May 2022 | Notice No.:2022-042 |
Action: SEC v. Alan H. New, David N. Knuth, Synergy Investment Services, LLC |
Notice Date:05/31/2022 | Claim Due Date:08/29/2022 |
Published date grouping:May 2022 | Notice No.:2022-043 |
Action: In the Matter of Stericycle, Inc. |
Notice Date:05/31/2022 | Claim Due Date:08/29/2022 |
Published date grouping:May 2022 | Notice No.:2022-044 |
Action: SEC v. Airborne Wireless Network, Kalistratos Kabilafkas, Timoleon Kabilafkas, Chrysilios Chrysiliou, Panagiotis Bolovis, Jack Edward Daniels, Eric Scheffey, and Moshe Rabin |
Notice Date:05/31/2022 | Claim Due Date:08/29/2022 |
Published date grouping:May 2022 | Notice No.:2022-045 |
Action: SEC v. Nanotech Engineering, Inc., Michael James Sweaney, David Sweaney, and Jeffrey Gange |
Notice Date:05/31/2022 | Claim Due Date:08/29/2022 |
Published date grouping:May 2022 | Notice No.:2022-046 |
Action: In the Matter of Rollins, Inc., and Paul Edward Northen |
Notice Date:05/31/2022 | Claim Due Date:08/29/2022 |
Published date grouping:May 2022 | Notice No.:2022-047 |
Action: SEC v. Alexander C. Burns and Andrew B. Scherr |
Notice Date:05/31/2022 | Claim Due Date:08/29/2022 |
Published date grouping:May 2022 | Notice No.:2022-048 |
Action: SEC v. Eric C. Malley and MG Capital Management, LP |
Notice Date:05/31/2022 | Claim Due Date:08/29/2022 |
Published date grouping:May 2022 | Notice No.:2022-049 |
Action: SEC v. Phillip W. Conley |
Notice Date:05/31/2022 | Claim Due Date:08/29/2022 |
Published date grouping:May 2022 | Notice No.:2022-050 |
Action: SEC v. Jose Luis Casero Sanchez |
Notice Date:05/31/2022 | Claim Due Date:08/29/2022 |
Published date grouping:May 2022 | Notice No.:2022-051 |
Action: SEC v. Benja Incorporated and Andrew J. Chapin |
Notice Date:05/31/2022 | Claim Due Date:08/29/2022 |
Published date grouping:April 2022 | Notice No.:2022-029 |
Action: In the Matter of Educators Financial Services, Inc. |
Notice Date:04/29/2022 | Claim Due Date:07/28/2022 |
Published date grouping:April 2022 | Notice No.:2022-030 |
Action: In the Matter of Ameritas Advisory Services, LLC |
Notice Date:04/29/2022 | Claim Due Date:07/28/2022 |
Published date grouping:April 2022 | Notice No.:2022-031 |
Action: SEC v. Brothers Investment Group International, Inc. n/k/a Brothers International Group Inc., and Anson Jean-Pierre |
Notice Date:04/29/2022 | Claim Due Date:07/28/2022 |
Published date grouping:April 2022 | Notice No.:2022-032 |
Action: SEC v. Ronnie Lee Moss, Jr., Genesis E&P, Inc., Royal Oil, LLC, and Catalyst Operating, LLC |
Notice Date:04/29/2022 | Claim Due Date:07/28/2022 |
Published date grouping:April 2022 | Notice No.:2022-033 |
Action: In the Matter of Mark Alan Bourgeois |
Notice Date:04/29/2022 | Claim Due Date:07/28/2022 |
Published date grouping:April 2022 | Notice No.:2022-034 |
Action: In the Matter of City National Rochdale, LLC |
Notice Date:04/29/2022 | Claim Due Date:07/28/2022 |
Published date grouping:April 2022 | Notice No.:2022-035 |
Action: SEC v. Cavco Industries, Inc.; Joseph Stegmayer; and Daniel Urness |
Notice Date:04/29/2022 | Claim Due Date:07/28/2022 |
Published date grouping:April 2022 | Notice No.:2022-036 |
Action: SEC v. Martin Shkreli, Evan Greebel, MSMB Capital Management LLC, and MSMB Healthcare Management LLC |
Notice Date:04/29/2022 | Claim Due Date:07/28/2022 |
Published date grouping:April 2022 | Notice No.:2022-037 |
Action: SEC v. Global Investment Strategy UK Ltd. and John William Gunn |
Notice Date:04/29/2022 | Claim Due Date:07/28/2022 |
Published date grouping:April 2022 | Notice No.:2022-038 |
Action: SEC v. Stefan Qin, Virgil Technologies LLC, Montgomery Technologies LLC, Virgil Quantitative Research LLC, Virgil Capital LLC, and VQR Partners LLC |
Notice Date:04/29/2022 | Claim Due Date:07/28/2022 |
Published date grouping:March 2022 | Notice No.:2022-018 |
Action: SEC v. Ryan Gilbertson, Thomas Howells, and Douglas Hoskins |
Notice Date:03/31/2022 | Claim Due Date:06/29/2022 |
Published date grouping:March 2022 | Notice No.:2022-019 |
Action: SEC v. Seyed Taher Kameli, Chicagoland Foreign Investment Group, LLC, and American Enterprise Pioneers, Inc. |
Notice Date:03/31/2022 | Claim Due Date:06/29/2022 |
Published date grouping:March 2022 | Notice No.:2022-020 |
Action: SEC v. George S. Blakenbaker, StarGrower Commercial Bridge Loan Fund 1 LLC, StarGrower Asset Management LLC, Blankenbaker Investments Fund 17 LLC |
Notice Date:03/31/2022 | Claim Due Date:06/29/2022 |
Published date grouping:March 2022 | Notice No.:2022-021 |
Action: In the Matter of Baxter International Inc. |
Notice Date:03/31/2022 | Claim Due Date:06/29/2022 |
Published date grouping:March 2022 | Notice No.:2022-022 |
Action: SEC v. Viktor Gjonaj |
Notice Date:03/31/2022 | Claim Due Date:06/29/2022 |
Published date grouping:March 2022 | Notice No.:2022-023 |
Action: SEC v. Thunderbird Power Corp., Richard Hinds, Anthony Goldstein, and John Alexander Van Arem |
Notice Date:03/31/2022 | Claim Due Date:06/29/2022 |
Published date grouping:March 2022 | Notice No.:2022-024 |
Action: SEC v. Complete Business Solutions Group, Inc. d/b/a Par Funding, Full Spectrum Processing, Inc. ABetterFinancialPlan.com LLC d/b/a A Better Financial Plan, ABFP Management Company, LLC, f/k/a Pillar Life Settlement Management Company, LLC, ABFP Income Fund, LLC, ABFP Income Fund 2, L.P., United Fidelis Group Corp., Fidelis Financial Planning LLC, Retirement Evolution Group, LLC, Reirement Evolution Income Fund, LLC, f/k/a Re Income Fund, LLC, Re Income Fund 2, LLC, Lisa McElhone, Joseph Cole Barleta, a/k/a Joe Cole, Joseph W. LaForte, a/k/a Joe Mack, a/k/a Joe Macki, a/k/a Joe McElhone, Perry S. Abbonizio, Dean J. Vagnozzi, Michael C. Furman, and John Gissas |
Notice Date:03/31/2022 | Claim Due Date:06/29/2022 |
Published date grouping:March 2022 | Notice No.:2022-025 |
Action: In the Matter of KT Corporation |
Notice Date:03/31/2022 | Claim Due Date:06/29/2022 |
Published date grouping:March 2022 | Notice No.:2022-026 |
Action: SEC v. Ofer Abarbanel, Victor Chilelli, Income Collecting 1-3 Monts T-Bills Mutual Fund |
Notice Date:03/31/2022 | Claim Due Date:06/29/2022 |
Published date grouping:March 2022 | Notice No.:2022-027 |
Action: In the Matter of BlockFi Lending LLC |
Notice Date:03/31/2022 | Claim Due Date:06/29/2022 |
Published date grouping:March 2022 | Notice No.:2022-028 |
Action: SEC v. Dawn J. Bennett, Bradley Mascho, and DJB Holdings, LLC |
Notice Date:03/31/2022 | Claim Due Date:06/29/2022 |
Published date grouping:February 2022 | Notice No.:2022-013 |
Action: SEC v. Phillip Michael Carter, d/b/a North Forty Development Capital Account, Bobby Eugene Guess Richard Gregory TIlford, North-Forty Development LLC, North Forty Development, LLC, Texas Cash Cow, LLC, f/k/a Texas Cash Cow Investments LLC, and Texas First Financial, LLC |
Notice Date:02/28/2022 | Claim Due Date:05/29/2022 |
Published date grouping:February 2022 | Notice No.:2022-017 |
Action: SEC v. Justin Robert King and Elevate Investments LLC |
Notice Date:02/28/2022 | Claim Due Date:05/29/2022 |
Published date grouping:February 2022 | Notice No.:2022-014 |
Action: SEC v. Timothy Burroughs, Jay Holstine, John Griffin, and Michael Oswald Williams |
Notice Date:02/28/2022 | Claim Due Date:05/29/2022 |
Published date grouping:February 2022 | Notice No.:2022-015 |
Action: In the Matter of O.N. Investment Management Company |
Notice Date:02/28/2022 | Claim Due Date:05/29/2022 |
Published date grouping:February 2022 | Notice No.:2022-016 |
Action: SEC v. VerdeGroup Investment Partners, Inc.; Thomas Gaffney; and Lisa Gordon |
Notice Date:02/28/2022 | Claim Due Date:05/29/2022 |
Published date grouping:January 2022 | Notice No.:2022-002 |
Action: SEC v. James Siniscalchi |
Notice Date:01/31/2022 | Claim Due Date:05/01/2022 |
Published date grouping:January 2022 | Notice No.:2022-001 |
Action: In the Matter of Wedbush Securities Inc. |
Notice Date:01/31/2022 | Claim Due Date:05/01/2022 |
Published date grouping:January 2022 | Notice No.:2022-003 |
Action: SEC v. Gary F. Pryor, ZipRemit, Inc., and Lendaily, Inc. |
Notice Date:01/31/2022 | Claim Due Date:05/01/2022 |
Published date grouping:January 2022 | Notice No.:2022-004 |
Action: SEC v. Robert Samuel Shumake, Jr., Willard L. Jackson, Nicole T. Birch, 420 Real Estate, LLC, Vicent Petrescu aka Vincent Petrescu, and TruCrow, Inc. dba Fundanna |
Notice Date:01/31/2022 | Claim Due Date:05/01/2022 |
Published date grouping:January 2022 | Notice No.:2022-005 |
Action: In the Matter of 1st Global Advisors, Inc., now known as Avantax Advisory Services, Inc. |
Notice Date:01/31/2022 | Claim Due Date:05/01/2022 |
Published date grouping:January 2022 | Notice No.:2022-006 |
Action: SEC v. Ivan Acevedo and Dane R. Roseman a/k/a Dayne R. Roseman |
Notice Date:01/31/2022 | Claim Due Date:05/01/2022 |
Published date grouping:January 2022 | Notice No.:2022-007 |
Action: In the Matter of Nikola Corporation |
Notice Date:01/31/2022 | Claim Due Date:05/01/2022 |
Published date grouping:January 2022 | Notice No.:2022-008 |
Action: SEC v. Peter Baker, Prestige Global Trading, Ltd., Elizabeth Oharriz, Diversified Initiatives Consulting & Logistics, Inc., and Sienna Business Group, Inc. |
Notice Date:01/31/2022 | Claim Due Date:05/01/2022 |
Published date grouping:January 2022 | Notice No.:2022-009 |
Action: SEC v. American Renal Associates Holdings, Inc., Jonathan L. Wilcox, Jason M. Boucher and Karen J. Smith |
Notice Date:01/31/2022 | Claim Due Date:05/01/2022 |
Published date grouping:January 2022 | Notice No.:2022-010 |
Action: In the Matter of Steven Turner |
Notice Date:01/31/2022 | Claim Due Date:05/01/2022 |
Published date grouping:January 2022 | Notice No.:2022-011 |
Action: In the Matter of J.P. Morgan Securities LLC |
Notice Date:01/31/2022 | Claim Due Date:05/01/2022 |
Published date grouping:January 2022 | Notice No.:2022-012 |
Action: In the Matter of Global Infrastructure Management, LLC |
Notice Date:01/31/2022 | Claim Due Date:05/01/2022 |
Published date grouping:December 2021 | Notice No.:2021-129 |
Action: SEC v. Edward L. Wooten, Lee S. Rose, John L. Krcil, and Black Lion Investment Partners, Inc. |
Notice Date:12/30/2021 | Claim Due Date:03/30/2022 |
Published date grouping:December 2021 | Notice No.:2021-130 |
Action: SEC v. Kevin R. Kuhnash and Jason P. Jimerson |
Notice Date:12/30/2021 | Claim Due Date:03/30/2022 |
Published date grouping:December 2021 | Notice No.:2021-131 |
Action: SEC v. Isaiah Goodman |
Notice Date:12/30/2021 | Claim Due Date:03/30/2022 |
Published date grouping:December 2021 | Notice No.:2021-132 |
Action: SEC v. Ann M. Vick |
Notice Date:12/30/2021 | Claim Due Date:03/30/2022 |
Published date grouping:December 2021 | Notice No.:2021-133 |
Action: SEC v. Andres Fernandez and Edison Denizard |
Notice Date:12/30/2021 | Claim Due Date:03/30/2022 |
Published date grouping:December 2021 | Notice No.:2021-134 |
Action: SEC v. Andrew Dale Ledbetter |
Notice Date:12/30/2021 | Claim Due Date:03/30/2022 |
Published date grouping:December 2021 | Notice No.:2021-135 |
Action: In the Matter of United States Commodity Funds LLC and United States Oil Fund, LP |
Notice Date:12/30/2021 | Claim Due Date:03/30/2022 |
Published date grouping:December 2021 | Notice No.:2021-136 |
Action: SEC v. Akazoo S.A. |
Notice Date:12/30/2021 | Claim Due Date:03/30/2022 |
Published date grouping:December 2021 | Notice No.:2021-137 |
Action: SEC v. Russell Craig and Onestep Financial Services, LLC |
Notice Date:12/30/2021 | Claim Due Date:03/30/2022 |
Published date grouping:December 2021 | Notice No.:2021-138 |
Action: SEC v. Guy Scott Griffithe and Robert William Russell |
Notice Date:12/30/2021 | Claim Due Date:03/30/2022 |
Published date grouping:December 2021 | Notice No.:2021-139 |
Action: SEC v. Denis Georgiyevich Sotnikov, Adaptive Technology LLC, AGQ Business Group LLC, ATL Business Group LLC, BO&SA Corporation, DN Industrial LLC and Expert Digital LLC |
Notice Date:12/30/2021 | Claim Due Date:03/30/2022 |
Published date grouping:December 2021 | Notice No.:2021-140 |
Action: SEC v. Richard Vu Nguyen, a/k/a Nguyen Thanh Vu, and NTV Financial Group, Inc. |
Notice Date:12/30/2021 | Claim Due Date:03/30/2022 |
Published date grouping:December 2021 | Notice No.:2021-141 |
Action: SEC v. Tomer Feingold and Dov Malnik |
Notice Date:12/30/2021 | Claim Due Date:03/30/2022 |
Published date grouping:December 2021 | Notice No.:2021-142 |
Action: In the Matter of Fixed Income Clearing Corporation |
Notice Date:12/30/2021 | Claim Due Date:03/30/2022 |
Published date grouping:December 2021 | Notice No.:2021-143 |
Action: In the Matter of MIO Partners, Inc. |
Notice Date:12/30/2021 | Claim Due Date:03/30/2022 |
Published date grouping:December 2021 | Notice No.:2021-144 |
Action: In the Matter of Michael Margiotta |
Notice Date:12/30/2021 | Claim Due Date:03/30/2022 |
Published date grouping:December 2021 | Notice No.:2021-145 |
Action: SEC v. Alexander Rowland |
Notice Date:12/30/2021 | Claim Due Date:03/30/2022 |
Published date grouping:December 2021 | Notice No.:2021-146 |
Action: SEC v. Stephen Scott Moleski, David Michael, and Erik Christian Jones |
Notice Date:12/30/2021 | Claim Due Date:03/30/2022 |
Published date grouping:November 2021 | Notice No.:2021-119 |
Action: SEC v. Marcus Boggs |
Notice Date:11/30/2021 | Claim Due Date:02/28/2022 |
Published date grouping:November 2021 | Notice No.:2021-120 |
Action: In the Matter of Adam Heimann, Michael Perinotti, EGM Firm Inc., and MIDAM Ventures LLC |
Notice Date:11/30/2021 | Claim Due Date:02/28/2022 |
Published date grouping:November 2021 | Notice No.:2021-121 |
Action: In the Matter of Robert D. Press |
Notice Date:11/30/2021 | Claim Due Date:02/28/2022 |
Published date grouping:November 2021 | Notice No.:2021-122 |
Action: In the Matter of Credit Suisse Group AG |
Notice Date:11/30/2021 | Claim Due Date:02/28/2022 |
Published date grouping:November 2021 | Notice No.:2021-123 |
Action: In the Matter of VTB Capital plc |
Notice Date:11/30/2021 | Claim Due Date:02/28/2022 |
Published date grouping:November 2021 | Notice No.:2021-124 |
Action: SEC v. Steven Pagartanis |
Notice Date:11/30/2021 | Claim Due Date:02/28/2022 |
Published date grouping:November 2021 | Notice No.:2021-125 |
Action: In the Matter of Tradition Securities and Derivatives, LLC |
Notice Date:11/30/2021 | Claim Due Date:02/28/2022 |
Published date grouping:November 2021 | Notice No.:2021-126 |
Action: SEC v. DaRayl D. Davis |
Notice Date:11/30/2021 | Claim Due Date:02/28/2022 |
Published date grouping:November 2021 | Notice No.:2021-127 |
Action: In the Matter of Xuepeng Xie |
Notice Date:11/30/2021 | Claim Due Date:02/28/2022 |
Published date grouping:November 2021 | Notice No.:2021-128 |
Action: SEC v. Gregory Lamont Drake, Stephen Kenneth Grossman, Stephen Scott Moleski, Jason David St. Amour, and David Wolfson |
Notice Date:11/30/2021 | Claim Due Date:02/28/2022 |
Published date grouping:October 2021 | Notice No.:2021-103 |
Action: In the Matter of MML Investors Services, LLC |
Notice Date:10/29/2021 | Claim Due Date:01/27/2022 |
Published date grouping:October 2021 | Notice No.:2021-104 |
Action: In the Matter of Rothschild Investment Corporation |
Notice Date:10/29/2021 | Claim Due Date:01/27/2022 |
Published date grouping:October 2021 | Notice No.:2021-105 |
Action: SEC v. Thomas Gity, Sr., Thomas Gity, Jr., and Treasure Coast Property Enterprises, LLC |
Notice Date:10/29/2021 | Claim Due Date:01/27/2022 |
Published date grouping:October 2021 | Notice No.:2021-106 |
Action: SEC v. Paul Gilman; Oil Migration Group, LLC, WaveTech29, LLC; and GilmanSound, LLC |
Notice Date:10/29/2021 | Claim Due Date:01/27/2022 |
Published date grouping:October 2021 | Notice No.:2021-107 |
Action: In the Matter of WPP PLC |
Notice Date:10/29/2021 | Claim Due Date:01/27/2022 |
Published date grouping:October 2021 | Notice No.:2021-108 |
Action: SEC v. KRM Services, LLC and Roberto J. Clark, Jr. |
Notice Date:10/29/2021 | Claim Due Date:01/27/2022 |
Published date grouping:October 2021 | Notice No.:2021-109 |
Action: SEC v. Todd Elliott Hitt, Kiddar Capital LLC, and Kiddar Group Holdings, Inc. |
Notice Date:10/29/2021 | Claim Due Date:01/27/2022 |
Published date grouping:October 2021 | Notice No.:2021-110 |
Action: In the Matter of the Kraft Heinz Co., and Eduardo Pelleissone |
Notice Date:10/29/2021 | Claim Due Date:01/27/2022 |
Published date grouping:October 2021 | Notice No.:2021-111 |
Action: SEC v. Prosky, Inc. and Crystal A. Huang |
Notice Date:10/29/2021 | Claim Due Date:01/27/2022 |
Published date grouping:October 2021 | Notice No.:2021-112 |
Action: SEC v. Steven Fitzgerald Brown |
Notice Date:10/29/2021 | Claim Due Date:01/27/2022 |
Published date grouping:October 2021 | Notice No.:2021-113 |
Action: SEC v. Trevon Brown, Craig Grant, Joshua Jeppesen, Ryan Maasen, and Michael Noble |
Notice Date:10/29/2021 | Claim Due Date:01/27/2022 |
Published date grouping:October 2021 | Notice No.:2021-114 |
Action: In the Matter of Coda Markets, Inc. and Edward G. O'Malley |
Notice Date:10/29/2021 | Claim Due Date:01/27/2022 |
Published date grouping:October 2021 | Notice No.:2021-115 |
Action: In the Matter of GTV Media Group, Inc., Saraca Media Group, Inc., and Voice of Guo Media, Inc. |
Notice Date:10/29/2021 | Claim Due Date:01/27/2022 |
Published date grouping:October 2021 | Notice No.:2021-116 |
Action: In the Matter of App Annie Inc. and Bertrand Schmitt |
Notice Date:10/29/2021 | Claim Due Date:01/27/2022 |
Published date grouping:October 2021 | Notice No.:2021-117 |
Action: SEC v. Ibrahim Almagarby and Microcap Equity Group, LLC |
Notice Date:10/29/2021 | Claim Due Date:01/27/2022 |
Published date grouping:October 2021 | Notice No.:2021-118 |
Action: SEC v. Hughe Duwayne Graham, Donald Lee Howard, and Larry Louis Matyas |
Notice Date:10/29/2021 | Claim Due Date:01/27/2022 |
Published date grouping:September 2021 | Notice No.:2021-095 |
Action: SEC v. Brian Davison, Barry M. Rybicki, Equialt LLC, Equialt Fund, LLC, Equialt Fund II, LLC, Equialt III, LLC, EA SIP, LLC |
Notice Date:09/30/2021 | Claim Due Date:12/29/2021 |
Published date grouping:September 2021 | Notice No.:2021-091 |
Action: In the Matter of Blockchain Credit Partners d/b/a DeFi Money Market, Gregory Keough, and Derek Acree |
Notice Date:09/30/2021 | Claim Due Date:12/29/2021 |
Published date grouping:September 2021 | Notice No.:2021-092 |
Action: In the Matter of UBS Financial Services Inc. |
Notice Date:09/30/2021 | Claim Due Date:12/29/2021 |
Published date grouping:September 2021 | Notice No.:2021-093 |
Action: In the Matter of Jonathan Roberts Advisory Group, Inc. d/b/a J.W. Cole Advisors, Inc. |
Notice Date:09/30/2021 | Claim Due Date:12/29/2021 |
Published date grouping:September 2021 | Notice No.:2021-094 |
Action: Matter of First Heartland Consultants, Inc. |
Notice Date:09/30/2021 | Claim Due Date:12/29/2021 |
Published date grouping:September 2021 | Notice No.:2021-096 |
Action: SEC v. Oleksander Ieremenko, Spirit Trade, Ltd., Sungjin Cho, David Kwon, Igor Sabodakha, Victoria Vorochek, Ivan Olefir, Capyield Systems, Ltd., and Andrey Sarafanov |
Notice Date:09/30/2021 | Claim Due Date:12/29/2021 |
Published date grouping:September 2021 | Notice No.:2021-097 |
Action: In the Matter of Murchinson Ltd., Marc Bistricer, and Paul Zogala |
Notice Date:09/30/2021 | Claim Due Date:12/29/2021 |
Published date grouping:September 2021 | Notice No.:2021-098 |
Action: In the Matter of Healthcare Services Group, Inc., John C. Shea, CPA, and Derya D. Warner |
Notice Date:09/30/2021 | Claim Due Date:12/29/2021 |
Published date grouping:September 2021 | Notice No.:2021-099 |
Action: In the Matter of Ernst & Young LLP, James G. Herring, Jr., CPA, James A. Young, CPA, and Curt W. Fochtmann, CPA |
Notice Date:09/30/2021 | Claim Due Date:12/29/2021 |
Published date grouping:September 2021 | Notice No.:2021-100 |
Action: In the Matter of Poloniex, LLC |
Notice Date:09/30/2021 | Claim Due Date:12/29/2021 |
Published date grouping:September 2021 | Notice No.:2021-101 |
Action: In the Matter of Northwest Advisors, Inc. |
Notice Date:09/30/2021 | Claim Due Date:12/29/2021 |
Published date grouping:September 2021 | Notice No.:2021-102 |
Action: SEC v. Yellowstone Partners, LLC, David Henry Hansen, and Cameron G. High |
Notice Date:09/30/2021 | Claim Due Date:12/29/2021 |
Published date grouping:August 2021 | Notice No.:2021-076 |
Action: SEC v. Westport Capital Markets, LLC and Christopher McClure |
Notice Date:08/31/2021 | Claim Due Date:11/29/2021 |
Published date grouping:August 2021 | Notice No.:2021-077 |
Action: In the Matter of St. Germain Investment Management, Inc. |
Notice Date:08/31/2021 | Claim Due Date:11/29/2021 |
Published date grouping:August 2021 | Notice No.:2021-078 |
Action: In the Matter of Kestra Advisory Services, LLC |
Notice Date:08/31/2021 | Claim Due Date:11/29/2021 |
Published date grouping:August 2021 | Notice No.:2021-079 |
Action: SEC v. Steven L. Brickner |
Notice Date:08/31/2021 | Claim Due Date:11/29/2021 |
Published date grouping:August 2021 | Notice No.:2021-080 |
Action: SEC v. Frederick Alan Voight and Daystar Funding, LP |
Notice Date:08/31/2021 | Claim Due Date:11/29/2021 |
Published date grouping:August 2021 | Notice No.:2021-081 |
Action: SEC v. Gerardo De Nicolás Gutierrez, Carlos Javier Moctezuma Velasco, Ramón Lafarga Bátiz, and Noe Corrales Reyes |
Notice Date:08/31/2021 | Claim Due Date:11/29/2021 |
Published date grouping:August 2021 | Notice No.:2021-082 |
Action: In the Matter of AMEC Foster Wheeler Limited |
Notice Date:08/31/2021 | Claim Due Date:11/29/2021 |
Published date grouping:August 2021 | Notice No.:2021-083 |
Action: SEC v. Suneet Singal, First Capital Real Estate Trust, Inc, First Capital Real Estate Advisors, LP, and First Capital Real Estate Investments, LLC |
Notice Date:08/31/2021 | Claim Due Date:11/29/2021 |
Published date grouping:August 2021 | Notice No.:2021-084 |
Action: SEC v. Peter Szatmari |
Notice Date:08/31/2021 | Claim Due Date:11/29/2021 |
Published date grouping:August 2021 | Notice No.:2021-085 |
Action: In the Matter of TIAA-CREF Individual and Institutional Services, LLC |
Notice Date:08/31/2021 | Claim Due Date:11/29/2021 |
Published date grouping:August 2021 | Notice No.:2021-086 |
Action: In the Matter of Neovest, Inc. |
Notice Date:08/31/2021 | Claim Due Date:11/29/2021 |
Published date grouping:August 2021 | Notice No.:2021-087 |
Action: In the Matter of Momentus, Inc., Stable Road Acquisition Corp., SRC-NI Holdings, LLC, and Brian Kabot |
Notice Date:08/31/2021 | Claim Due Date:11/29/2021 |
Published date grouping:August 2021 | Notice No.:2021-088 |
Action: In the Matter of Securities America Advisors, Inc. |
Notice Date:08/31/2021 | Claim Due Date:11/29/2021 |
Published date grouping:August 2021 | Notice No.:2021-089 |
Action: SEC v. Michael Barry Carter |
Notice Date:08/31/2021 | Claim Due Date:11/29/2021 |
Published date grouping:August 2021 | Notice No.:2021-090 |
Action: SEC v. Daniel K. Boice and Trustify, Inc. |
Notice Date:08/31/2021 | Claim Due Date:11/29/2021 |
Published date grouping:July 2021 | Notice No.:2021-067 |
Action: In the Matter of Loci, Inc. and John Wise |
Notice Date:07/30/2021 | Claim Due Date:10/28/2021 |
Published date grouping:July 2021 | Notice No.:2021-071 |
Action: SEC v. Savraj Gata-Aura (a/k/a Samuel Aura a/k/a Sam Aura) and Core Agents, Ltd. (d/b/a Core Agents International, Ltd.) |
Notice Date:07/30/2021 | Claim Due Date:10/28/2021 |
Published date grouping:July 2021 | Notice No.:2021-069 |
Action: In the Matter of Centaurus Financial, Inc. |
Notice Date:07/30/2021 | Claim Due Date:10/28/2021 |
Published date grouping:July 2021 | Notice No.:2021-068 |
Action: SEC v. Eric Pulier |
Notice Date:07/30/2021 | Claim Due Date:10/28/2021 |
Published date grouping:July 2021 | Notice No.:2021-066 |
Action: SEC v. The Owings Group, LLC, Owings-1, LLC, Owings Capital Group, LLC, Owings Capital Funds, LLC, Mark Johnson, Kevin Drost, Brian Koslow, David Waltzer |
Notice Date:07/30/2021 | Claim Due Date:10/28/2021 |
Published date grouping:July 2021 | Notice No.:2021-074 |
Action: In the Matter of Gurprit Chandhoke and VII Peaks Capital, LLC |
Notice Date:07/30/2021 | Claim Due Date:10/28/2021 |
Published date grouping:July 2021 | Notice No.:2021-075 |
Action: SEC v. Hemp, Inc.; Bruce J. Perlowin; Barry K. Epling; Jed M. Perlowin; Ferris Holding, Inc.; Hobbes Equities Inc.; Diversified Investments LLC; and Quantum Economic Protocols LLC |
Notice Date:07/30/2021 | Claim Due Date:10/28/2021 |
Published date grouping:July 2021 | Notice No.:2021-073 |
Action: In the Matter of Maxwell Drever |
Notice Date:07/30/2021 | Claim Due Date:10/28/2021 |
Published date grouping:July 2021 | Notice No.:2021-072 |
Action: SEC v. Joseph Andrew Paul, John D. Ellis, Jr., James S. Quay, a/k/a "Stephen Jameson," and Donald H. Ellison |
Notice Date:07/30/2021 | Claim Due Date:10/28/2021 |
Published date grouping:July 2021 | Notice No.:2021-065 |
Action: SEC v. Emil Botvinnik |
Notice Date:07/30/2021 | Claim Due Date:10/28/2021 |
Published date grouping:July 2021 | Notice No.:2021-064 |
Action: SEC v. Sethi Petroleum, LLC and Sameer P. Sethi |
Notice Date:07/30/2021 | Claim Due Date:10/28/2021 |
Published date grouping:July 2021 | Notice No.:2021-063 |
Action: SEC v. The Legacy Group, Inc.; Colorado Ventures I, LLC; Radiant Holdings, LLC; Randy R. King; Matthew B. King; and Andrea S. Trout |
Notice Date:07/30/2021 | Claim Due Date:10/28/2021 |
Published date grouping:July 2021 | Notice No.:2021-070 |
Action: In the Matter of Crown Capital Securities, L.P. |
Notice Date:07/30/2021 | Claim Due Date:10/28/2021 |
Published date grouping:July 2021 | Notice No.:2021-062 |
Action: In the Matter of Gateway One Lending & Finance, LLC |
Notice Date:07/30/2021 | Claim Due Date:10/28/2021 |
Published date grouping:June 2021 | Notice No.:2021-061 |
Action: In the Matter of S&P Dow Jones Indices LLC |
Notice Date:06/30/2021 | Claim Due Date:09/28/2021 |
Published date grouping:June 2021 | Notice No.:2021-060 |
Action: SEC v. Kai Christian Petersen; Gil Beserglik; and Raz Beserglik |
Notice Date:06/30/2021 | Claim Due Date:09/28/2021 |
Published date grouping:June 2021 | Notice No.:2021-059 |
Action: SEC v. Onix Capital LLC, and Alberto Chang-Rajii |
Notice Date:06/30/2021 | Claim Due Date:09/28/2021 |
Published date grouping:June 2021 | Notice No.:2021-058 |
Action: In the Matter of GWFS Equities, Inc. |
Notice Date:06/30/2021 | Claim Due Date:09/28/2021 |
Published date grouping:June 2021 | Notice No.:2021-057 |
Action: SEC v. CapSource, Inc., Stephen J. Byrne, and Gregory P. Herlean |
Notice Date:06/30/2021 | Claim Due Date:09/28/2021 |
Published date grouping:June 2021 | Notice No.:2021-056 |
Action: In the Matter of Under Armour, Inc. |
Notice Date:06/30/2021 | Claim Due Date:09/28/2021 |
Published date grouping:May 2021 | Notice No.:2021-055 |
Action: SEC v. John F. Thomas, et al. |
Notice Date:05/31/2021 | Claim Due Date:08/29/2021 |
Published date grouping:May 2021 | Notice No.:2021-054 |
Action: SEC v. Imran Husain and Gregg Evan Jaclin |
Notice Date:05/31/2021 | Claim Due Date:08/29/2021 |
Published date grouping:May 2021 | Notice No.:2021-053 |
Action: SEC v. Kirbyjon Hines Caldwell and Gregory Alan Smith |
Notice Date:05/31/2021 | Claim Due Date:08/29/2021 |
Published date grouping:May 2021 | Notice No.:2021-052 |
Action: SEC v. William Skelley and Sohin S. Shah |
Notice Date:05/31/2021 | Claim Due Date:08/29/2021 |
Published date grouping:May 2021 | Notice No.:2021-051 |
Action: SEC v. Hai Khoa Dang |
Notice Date:05/31/2021 | Claim Due Date:08/29/2021 |
Published date grouping:May 2021 | Notice No.:2021-050 |
Action: SEC v. Clarence Dean Alford |
Notice Date:05/31/2021 | Claim Due Date:08/29/2021 |
Published date grouping:May 2021 | Notice No.:2021-049 |
Action: SEC v. Stephen C. Peters, VisionQuest Wealth Management, LLC, VisionQuest Capital, LLC, and VQ Wealth, LLC |
Notice Date:05/31/2021 | Claim Due Date:08/29/2021 |
Published date grouping:April 2021 | Notice No.:2021-040 |
Action: SEC v. Damon Elliott and Piptastic Limited |
Notice Date:04/30/2021 | Claim Due Date:07/29/2021 |
Published date grouping:April 2021 | Notice No.:2021-048 |
Action: SEC v. Craig A. Zabala |
Notice Date:04/30/2021 | Claim Due Date:07/29/2021 |
Published date grouping:April 2021 | Notice No.:2021-047 |
Action: SEC v. Deborah Duffy |
Notice Date:04/30/2021 | Claim Due Date:07/29/2021 |
Published date grouping:April 2021 | Notice No.:2021-046 |
Action: SEC v. Christopher Fulco (a/k/a Christian Anthony, Johnathan Stewart, and Michael Barron) and JM Capital Holdings LLC |
Notice Date:04/30/2021 | Claim Due Date:07/29/2021 |
Published date grouping:April 2021 | Notice No.:2021-045 |
Action: SEC v. AmeraTex Energy, Inc., Lewis Oil Corporation, Lewis Oil Company, Thomas A. Lewis, William R. Fort, Damon L. Fox, and Brian W. Bull |
Notice Date:04/30/2021 | Claim Due Date:07/29/2021 |
Published date grouping:April 2021 | Notice No.:2021-044 |
Action: SEC v. Christopher D. Dantin and Chris A. Dantin |
Notice Date:04/30/2021 | Claim Due Date:07/29/2021 |
Published date grouping:April 2021 | Notice No.:2021-043 |
Action: SEC v. Craig V. Sizer and Miguel Mesa |
Notice Date:04/30/2021 | Claim Due Date:07/29/2021 |
Published date grouping:April 2021 | Notice No.:2021-042 |
Action: In the Matter of William J. Sears |
Notice Date:04/30/2021 | Claim Due Date:07/29/2021 |
Published date grouping:April 2021 | Notice No.:2021-041 |
Action: SEC v. Jason R. Hyatt, Jay Johnson, and Hyatt Johnson Capital, LLC |
Notice Date:04/30/2021 | Claim Due Date:07/29/2021 |
Published date grouping:March 2021 | Notice No.:2021-039 |
Action: SEC v. Robert C. Morgan, Morgan Mezzanine Fund Manager LLC, and Morgan Acquisitions LLC |
Notice Date:03/31/2021 | Claim Due Date:06/29/2021 |
Published date grouping:March 2021 | Notice No.:2021-038 |
Action: In the Matter of Joseph Jackson and Colm Callan |
Notice Date:03/31/2021 | Claim Due Date:06/29/2021 |
Published date grouping:March 2021 | Notice No.:2021-037 |
Action: SEC v. Premier Holding Corporation, Randall Letcavage, and Joseph Greenblatt |
Notice Date:03/31/2021 | Claim Due Date:06/29/2021 |
Published date grouping:March 2021 | Notice No.:2021-036 |
Action: SEC v. Anthony Todd Johnson (aka Todd Johnson), et. al. |
Notice Date:03/31/2021 | Claim Due Date:06/29/2021 |
Published date grouping:March 2021 | Notice No.:2021-035 |
Action: SEC v. Luckin Coffee, Inc. |
Notice Date:03/31/2021 | Claim Due Date:06/29/2021 |
Published date grouping:March 2021 | Notice No.:2021-034 |
Action: SEC v. Meta 1 Coin Trust, Robert Dunlap, Clear International Trust, Nicole Bowdler, and David A. Schmidt |
Notice Date:03/31/2021 | Claim Due Date:06/29/2021 |
Published date grouping:March 2021 | Notice No.:2021-033 |
Action: SEC v. Patrick O. Howard; Howard Capital Holdings, LLC; and Optimal Economics Capital Partners, LLC |
Notice Date:03/31/2021 | Claim Due Date:06/29/2021 |
Published date grouping:March 2021 | Notice No.:2021-032 |
Action: SEC v. Minish “Joe” Hede and Kevin Graetz |
Notice Date:03/31/2021 | Claim Due Date:06/29/2021 |
Published date grouping:March 2021 | Notice No.:2021-031 |
Action: In the Matter of Winslow, Evans & Crocker, Inc. |
Notice Date:03/31/2021 | Claim Due Date:06/29/2021 |
Published date grouping:February 2021 | Notice No.:2021-030 |
Action: SEC v. ConTXT, Inc., Thomas J. Robbins, Daniel J. Merriman, Mark W. Wiseman, and Clark J. Madsen |
Notice Date:02/26/2021 | Claim Due Date:05/27/2021 |
Published date grouping:February 2021 | Notice No.:2021-029 |
Action: SEC v. William J. Bowser, Christopher J. Ashby, Scott W. Beynon, and Jordan S. Nelson |
Notice Date:02/26/2021 | Claim Due Date:05/27/2021 |
Published date grouping:February 2021 | Notice No.:2021-028 |
Action: SEC v. Traffic Monsoon, LLC, and Charles David Scoville |
Notice Date:02/26/2021 | Claim Due Date:05/27/2021 |
Published date grouping:February 2021 | Notice No.:2021-027 |
Action: In the Matter of Deutsche Bank AG |
Notice Date:02/26/2021 | Claim Due Date:05/27/2021 |
Published date grouping:February 2021 | Notice No.:2021-026 |
Action: SEC v. Paul Andrews Rinfret and Plandome Partners LLC |
Notice Date:02/26/2021 | Claim Due Date:05/27/2021 |
Published date grouping:February 2021 | Notice No.:2021-025 |
Action: SEC v. Bruce J. Fixelle, Aurora Capital Management, LLC, and Genesis Advisory Services Corp. |
Notice Date:02/26/2021 | Claim Due Date:05/27/2021 |
Published date grouping:February 2021 | Notice No.:2021-024 |
Action: In the Matter of Pruco Securities, LLC |
Notice Date:02/26/2021 | Claim Due Date:05/27/2021 |
Published date grouping:February 2021 | Notice No.:2021-023 |
Action: SEC v. Barry F. Connell |
Notice Date:02/26/2021 | Claim Due Date:05/27/2021 |
Published date grouping:February 2021 | Notice No.:2021-022 |
Action: SEC v. Joseph Taub and Elazar Shmalo |
Notice Date:02/26/2021 | Claim Due Date:05/27/2021 |
Published date grouping:February 2021 | Notice No.:2021-021 |
Action: SEC v. Benjamin Taylor, Darina Windsor, and Joseph Abdul Noor El-Khouri |
Notice Date:02/26/2021 | Claim Due Date:05/27/2021 |
Published date grouping:February 2021 | Notice No.:2021-020 |
Action: SEC v. Anthony J. Thompson Jr., Jay Fung, and Eric Van Nguyen |
Notice Date:02/26/2021 | Claim Due Date:05/27/2021 |
Published date grouping:February 2021 | Notice No.:2021-019 |
Action: SEC v. OwnZones Media Network, Inc., Daniel Goman and Joseph Goman |
Notice Date:02/26/2021 | Claim Due Date:05/27/2021 |
Published date grouping:February 2021 | Notice No.:2021-018 |
Action: In the Matter of Voya Financial Advisors, Inc. |
Notice Date:02/26/2021 | Claim Due Date:05/27/2021 |
Published date grouping:February 2021 | Notice No.:2021-017 |
Action: In the Matter of Covia Holdings Corp, and Fairmount Santrol Holdings Inc. now known as Bison Merger Sub I, LLC |
Notice Date:02/26/2021 | Claim Due Date:05/27/2021 |
Published date grouping:February 2021 | Notice No.:2021-016 |
Action: SEC v. RPM International Inc. and Edward W. Moore |
Notice Date:02/26/2021 | Claim Due Date:05/27/2021 |
Published date grouping:February 2021 | Notice No.:2021-015 |
Action: SEC v. Paul R. Montgomery Jr., Michael D. Fisher, and James H. Willingham, Jr. |
Notice Date:02/26/2021 | Claim Due Date:05/27/2021 |
Published date grouping:January 2021 | Notice No.:2021-014 |
Action: SEC v. Clinton Maurice Tucker II |
Notice Date:01/29/2021 | Claim Due Date:04/29/2021 |
Published date grouping:January 2021 | Notice No.:2021-013 |
Action: In the Matter of Robinhood Financial, LLC |
Notice Date:01/29/2021 | Claim Due Date:04/29/2021 |
Published date grouping:January 2021 | Notice No.:2021-012 |
Action: SEC v. Bernard M. Parker |
Notice Date:01/29/2021 | Claim Due Date:04/29/2021 |
Published date grouping:January 2021 | Notice No.:2021-011 |
Action: SEC v. Bryan Cohen and George Nikas |
Notice Date:01/29/2021 | Claim Due Date:04/29/2021 |
Published date grouping:January 2021 | Notice No.:2021-010 |
Action: SEC v. Craig Rumbaugh, Rumbaugh Financial, Inc, and Desert Strategic Equity, LLC |
Notice Date:01/29/2021 | Claim Due Date:04/29/2021 |
Published date grouping:January 2021 | Notice No.:2021-009 |
Action: In the Matter of ShipChain, Inc. |
Notice Date:01/29/2021 | Claim Due Date:04/29/2021 |
Published date grouping:January 2021 | Notice No.:2021-008 |
Action: In the Matter of BlueCrest Capital Management Limited |
Notice Date:01/29/2021 | Claim Due Date:04/29/2021 |
Published date grouping:January 2021 | Notice No.:2021-007 |
Action: In the Matter of Mancera, S.C., Alejandro Valdez Mendoza, C.P., and Angel Radames Corral Nieblas, C.P. |
Notice Date:01/29/2021 | Claim Due Date:04/29/2021 |
Published date grouping:January 2021 | Notice No.:2021-006 |
Action: SEC v. One or More Unknown Traders in the Securities of Bioverativ, Inc. |
Notice Date:01/29/2021 | Claim Due Date:04/29/2021 |
Published date grouping:January 2021 | Notice No.:2021-005 |
Action: In the Matter of ICE Data Pricing & Reference Data, LLC |
Notice Date:01/29/2021 | Claim Due Date:04/29/2021 |
Published date grouping:January 2021 | Notice No.:2021-004 |
Action: In the Matter of General Electric Company |
Notice Date:01/29/2021 | Claim Due Date:04/29/2021 |
Published date grouping:January 2021 | Notice No.:2021-003 |
Action: SEC v. Garrett M. O’Rourke and Michael J. Black |
Notice Date:01/29/2021 | Claim Due Date:04/29/2021 |
Published date grouping:January 2021 | Notice No.:2021-002 |
Action: SEC v. Nelson Gomes, Michael Luckhoo-Bouche, Shane Schmidt, Douglas Roe, Kelly Warawa, FFS Capital Limited, Paifang Trading Limited, Artefactor Limited, Atlantean Management Corporation, Meadow Asia Limited, and Thyme International Limited |
Notice Date:01/29/2021 | Claim Due Date:04/29/2021 |
Published date grouping:January 2021 | Notice No.:2021-001 |
Action: SEC v. Scana Corporation, Dominion Energy South Carolina, Inc (f/k/a South Carolina Electric & Gas Company), Kevin B. Marsh, and Stephen A. Bryne |
Notice Date:01/29/2021 | Claim Due Date:04/29/2021 |
Published date grouping:December 2020 | Notice No.:2020-146 |
Action: SEC v. Revolution Lighting Technologies, Inc., Robert LaPenta, James DePalma, Daniel O’Neal, and Allen Garner |
Notice Date:12/31/2020 | Claim Due Date:03/31/2021 |
Published date grouping:December 2020 | Notice No.:2020-153 |
Action: SEC v. Laksha Bohra, Viky Bohra, and Gotham Bohra |
Notice Date:12/31/2020 | Claim Due Date:03/31/2021 |
Published date grouping:December 2020 | Notice No.:2020-152 |
Action: In the Matter of John G. Stumpf |
Notice Date:12/31/2020 | Claim Due Date:03/31/2021 |
Published date grouping:December 2020 | Notice No.:2020-151 |
Action: In the Matter of Alexandre S. Clug, Aurum Mining, LLC, Panam Terra, Inc., and The Corsair Group, Inc. |
Notice Date:12/31/2020 | Claim Due Date:03/31/2021 |
Published date grouping:December 2020 | Notice No.:2020-150 |
Action: SEC v. Paul Horton Smith, Sr.; Northstar Communications, LLC; Planning Services, Inc.; and eGate, LLC |
Notice Date:12/31/2020 | Claim Due Date:03/31/2021 |
Published date grouping:December 2020 | Notice No.:2020-149 |
Action: SEC v. Kik Interactive, Inc |
Notice Date:12/31/2020 | Claim Due Date:03/31/2021 |
Published date grouping:December 2020 | Notice No.:2020-148 |
Action: SEC v. Curative Biosciences, Inc. f/k/a Healthient, Inc., William M. Alverson, Katherine West Alverson, Steven G. Patton |
Notice Date:12/31/2020 | Claim Due Date:03/31/2021 |
Published date grouping:December 2020 | Notice No.:2020-147 |
Action: SEC v. Daniel Rudden, Financial Visions Inc., Financial Visions West, LLC, Financial Visions West 1, LLC, and FV-2, LLC |
Notice Date:12/31/2020 | Claim Due Date:03/31/2021 |
Published date grouping:December 2020 | Notice No.:2020-145 |
Action: Commission Deferred Prosecution Agreement with Tenaris, S.A. |
Notice Date:12/07/2020 | Claim Due Date:03/07/2021 |
Published date grouping:December 2020 | Notice No.:2020-144 |
Action: Commission Deferred Prosecution Agreement with The PBSJ Corporation |
Notice Date:12/07/2020 | Claim Due Date:03/07/2021 |
Published date grouping:December 2020 | Notice No.:2020-143 |
Action: Commission Deferred Prosecution with Regions Financial Corp. |
Notice Date:12/07/2020 | Claim Due Date:03/07/2021 |
Published date grouping:November 2020 | Notice No.:2020-142 |
Action: In the Matter of EDG Management Company, LLC |
Notice Date:11/30/2020 | Claim Due Date:02/28/2021 |
Published date grouping:November 2020 | Notice No.:2020-141 |
Action: In the Matter of J.P. Morgan Securities, LLC |
Notice Date:11/30/2020 | Claim Due Date:02/28/2021 |
Published date grouping:November 2020 | Notice No.:2020-140 |
Action: In the Matter of Morgan Stanley & Co. LLC |
Notice Date:11/30/2020 | Claim Due Date:02/28/2021 |
Published date grouping:November 2020 | Notice No.:2020-139 |
Action: In the Matter of BGC Partners, Inc |
Notice Date:11/30/2020 | Claim Due Date:02/28/2021 |
Published date grouping:November 2020 | Notice No.:2020-138 |
Action: SEC v. Brian Weber and Bebida Beverage Co. |
Notice Date:11/30/2020 | Claim Due Date:02/28/2021 |
Published date grouping:November 2020 | Notice No.:2020-137 |
Action: SEC v. Steven Fishoff, Deshan Govender, Winson Tang, Featherwood Capital, Inc., and JSF Investment Capital Inc. |
Notice Date:11/30/2020 | Claim Due Date:02/28/2021 |
Published date grouping:November 2020 | Notice No.:2020-126 |
Action: In the Matter of Transamerica Asset Management, Inc. |
Notice Date:11/30/2020 | Claim Due Date:02/28/2021 |
Published date grouping:November 2020 | Notice No.:2020-125 |
Action: In the Matter of the Goldman Sachs Group, Inc. |
Notice Date:11/30/2020 | Claim Due Date:02/28/2021 |
Published date grouping:November 2020 | Notice No.:2020-136 |
Action: SEC v. Motty Mirzahi and MBIG Company |
Notice Date:11/30/2020 | Claim Due Date:02/28/2021 |
Published date grouping:November 2020 | Notice No.:2020-135 |
Action: SEC v. Remington Chase a/k/a William Westwood a/k/a William Elliot |
Notice Date:11/30/2020 | Claim Due Date:02/28/2021 |
Published date grouping:November 2020 | Notice No.:2020-134 |
Action: SEC v. Daniel Pacheco |
Notice Date:11/30/2020 | Claim Due Date:02/28/2021 |
Published date grouping:November 2020 | Notice No.:2020-133 |
Action: SEC v. Jeffrey Stebbins and Corbin Jones |
Notice Date:11/30/2020 | Claim Due Date:02/28/2021 |
Published date grouping:November 2020 | Notice No.:2020-132 |
Action: In the Matter of Andeavor LLC |
Notice Date:11/30/2020 | Claim Due Date:02/28/2021 |
Published date grouping:November 2020 | Notice No.:2020-131 |
Action: In the Matter of J&F Investimentos, S.A., JBS, S.A. Joesley Batista, Wesley Batista |
Notice Date:11/30/2020 | Claim Due Date:02/28/2021 |
Published date grouping:November 2020 | Notice No.:2020-130 |
Action: In the Matter of HP Inc |
Notice Date:11/30/2020 | Claim Due Date:02/28/2021 |
Published date grouping:November 2020 | Notice No.:2020-129 |
Action: In the Matter of Kroll Bond Rating Agency, LLC |
Notice Date:11/30/2020 | Claim Due Date:02/28/2021 |
Published date grouping:November 2020 | Notice No.:2020-128 |
Action: SEC v. Verley Lee Sembritzky, Jr., Bounty of the Ocean Inc., and Ocean Harvest LLC |
Notice Date:11/30/2020 | Claim Due Date:02/28/2021 |
Published date grouping:November 2020 | Notice No.:2020-127 |
Action: SEC v. Gary S. Wylke a/k/a Gary S. Wyckel and Alejandro Cortes |
Notice Date:11/30/2020 | Claim Due Date:02/28/2021 |
Published date grouping:October 2020 | Notice No.:2020-124 |
Action: In the Matter of Gilder Gagnon Howe & Co. LLC, and Bonnie M. Haupt |
Notice Date:10/30/2020 | Claim Due Date:01/28/2021 |
Published date grouping:October 2020 | Notice No.:2020-123 |
Action: SEC v. John Geraci |
Notice Date:10/30/2020 | Claim Due Date:01/28/2021 |
Published date grouping:October 2020 | Notice No.:2020-122 |
Action: SEC v. Mark P. Frissora |
Notice Date:10/30/2020 | Claim Due Date:01/28/2021 |
Published date grouping:October 2020 | Notice No.:2020-121 |
Action: SEC v. James M. Farinella, Integrated Capital Partners, Inc., Anthony Amado, Equities Awareness Group, LLC, and Carlo Palomino |
Notice Date:10/30/2020 | Claim Due Date:01/28/2021 |
Published date grouping:October 2020 | Notice No.:2020-120 |
Action: In the Matter of John Thomas Capital Management Group LLC, d/b/a Patriot 28 LLC, and George R. Jarkesy, Jr. |
Notice Date:10/30/2020 | Claim Due Date:01/28/2021 |
Published date grouping:October 2020 | Notice No.:2020-119 |
Action: In the Matter of Bayerische Motoren Werke Aktiengesslschaft, BMW of North America, LLC, and BMW US Capital, LLC |
Notice Date:10/30/2020 | Claim Due Date:01/28/2021 |
Published date grouping:October 2020 | Notice No.:2020-118 |
Action: In the Matter of Unikrn, Inc. |
Notice Date:10/30/2020 | Claim Due Date:01/28/2021 |
Published date grouping:October 2020 | Notice No.:2020-117 |
Action: In the Matter of Precigen, Inc. (f/k/a Intrexon Corporation) |
Notice Date:10/30/2020 | Claim Due Date:01/28/2021 |
Published date grouping:October 2020 | Notice No.:2020-116 |
Action: In the Matter of National Financial Services LLC |
Notice Date:10/30/2020 | Claim Due Date:01/28/2021 |
Published date grouping:October 2020 | Notice No.:2020-115 |
Action: In the Matter of Fulton Financial Corporation |
Notice Date:10/30/2020 | Claim Due Date:01/28/2021 |
Published date grouping:October 2020 | Notice No.:2020-114 |
Action: In the Matter of Interface, Inc., Gregory J. Bauer, CPA, and Patrick C. Lynch, CPA |
Notice Date:10/30/2020 | Claim Due Date:01/28/2021 |
Published date grouping:October 2020 | Notice No.:2020-113 |
Action: SEC v. Anton Senderov and Lior Babazara a/k/a Lior Bar |
Notice Date:10/30/2020 | Claim Due Date:01/28/2021 |
Published date grouping:October 2020 | Notice No.:2020-112 |
Action: SEC v. Francisco Abellan Vilena, Guillermo Ciupiak, James B, Panther, Jr., and Faiyaz Dean |
Notice Date:10/30/2020 | Claim Due Date:01/28/2021 |
Published date grouping:October 2020 | Notice No.:2020-111 |
Action: In the Matter of Platinum Wealth Partners, Inc. and David L. Potter |
Notice Date:10/30/2020 | Claim Due Date:01/28/2021 |
Published date grouping:October 2020 | Notice No.:2020-110 |
Action: SEC v. Richard M. Kirsch and Adam Terris |
Notice Date:10/30/2020 | Claim Due Date:01/28/2021 |
Published date grouping:October 2020 | Notice No.:2020-109 |
Action: In the Matter of Power Solutions International, Inc. |
Notice Date:10/30/2020 | Claim Due Date:01/28/2021 |
Published date grouping:October 2020 | Notice No.:2020-108 |
Action: In the Matter of Fiat Chrysler Automobiles N.V. |
Notice Date:10/30/2020 | Claim Due Date:01/28/2021 |
Published date grouping:October 2020 | Notice No.:2020-107 |
Action: In the Matter of Hancock Whitney Investment Services, Inc. |
Notice Date:10/30/2020 | Claim Due Date:01/28/2021 |
Published date grouping:October 2020 | Notice No.:2020-106 |
Action: In the Matter of Roosevelt & Cross, Inc. |
Notice Date:10/30/2020 | Claim Due Date:01/28/2021 |
Published date grouping:September 2020 | Notice No.:2020-105 |
Action: In the Matter of Charles Liang |
Notice Date:09/30/2020 | Claim Due Date:12/29/2020 |
Published date grouping:September 2020 | Notice No.:2020-104 |
Action: In the Matter of VALIC Financial Advisors, Inc. |
Notice Date:09/30/2020 | Claim Due Date:12/29/2020 |
Published date grouping:September 2020 | Notice No.:2020-103 |
Action: In the Matter of Kelvin Boon, LLC, and Rajesh Pavithran |
Notice Date:09/30/2020 | Claim Due Date:12/29/2020 |
Published date grouping:September 2020 | Notice No.:2020-102 |
Action: In the Matter of Interactive Brokers LLC |
Notice Date:09/30/2020 | Claim Due Date:12/29/2020 |
Published date grouping:September 2020 | Notice No.:2020-101 |
Action: In the Matter of Herbalife Nutrition, LTD. |
Notice Date:09/30/2020 | Claim Due Date:12/29/2020 |
Published date grouping:September 2020 | Notice No.:2020-100 |
Action: SEC v. WG Trading Investors, L.P., WG Trading Company, Limited Partnership, Westridge Capital Management, Inc., Paul Greenwood and Stephen Walsh |
Notice Date:09/30/2020 | Claim Due Date:12/29/2020 |
Published date grouping:September 2020 | Notice No.:2020-099 |
Action: In the Matter of NPB Financial Group, LLC |
Notice Date:09/30/2020 | Claim Due Date:12/29/2020 |
Published date grouping:September 2020 | Notice No.:2020-098 |
Action: SEC v. Moddha Interactive, Inc., Marianne Veronika Sandor, Edward Michael Porrazzo, and Spar Street |
Notice Date:09/30/2020 | Claim Due Date:12/29/2020 |
Published date grouping:September 2020 | Notice No.:2020-097 |
Action: In the Matter of World Acceptance Corporation |
Notice Date:09/30/2020 | Claim Due Date:12/29/2020 |
Published date grouping:September 2020 | Notice No.:2020-096 |
Action: SEC v. David Sims, Mario Procopio, Ralph C. Greaves, ALC Holdings, LLC, El Cether-Eloyown, and Sims Equities, Inc. |
Notice Date:09/30/2020 | Claim Due Date:12/29/2020 |
Published date grouping:September 2020 | Notice No.:2020-095 |
Action: In the Matter of Valeant Pharmaceuticals International, Inc., n/k/a Bausch Health Companies Inc. |
Notice Date:09/30/2020 | Claim Due Date:12/29/2020 |
Published date grouping:September 2020 | Notice No.:2020-094 |
Action: In the Matter of Super Micro Computer, Inc |
Notice Date:09/30/2020 | Claim Due Date:12/29/2020 |
Published date grouping:September 2020 | Notice No.:2020-093 |
Action: In the Matter of UBS Financial Services Inc. |
Notice Date:09/30/2020 | Claim Due Date:12/29/2020 |
Published date grouping:September 2020 | Notice No.:2020-092 |
Action: SEC v. Matthew S. Hilliard, Hilliard Oil Ventures, Inc. a/k/a Delta Western Company, Hilliard Helium Company, LLC, and Hilliard Land and Energy Corp. |
Notice Date:09/30/2020 | Claim Due Date:12/29/2020 |
Published date grouping:September 2020 | Notice No.:2020-091 |
Action: In the Matter of Scott M. Dittman, CPA |
Notice Date:09/30/2020 | Claim Due Date:12/29/2020 |
Published date grouping:September 2020 | Notice No.:2020-090 |
Action: SEC v. Zvi Feiner, FNR Healthcare, LLC, and Erez Baver |
Notice Date:09/30/2020 | Claim Due Date:12/29/2020 |
Published date grouping:August 2020 | Notice No.:2020-089 |
Action: SEC v. Telegram Group Inc. and TON Issuer Inc. |
Notice Date:08/31/2020 | Claim Due Date:11/29/2020 |
Published date grouping:August 2020 | Notice No.:2020-088 |
Action: SEC v. Commodore Financial Corporation, Christopher Schlegel, M&G Cap Services, and Andres Calvo |
Notice Date:08/31/2020 | Claim Due Date:11/29/2020 |
Published date grouping:August 2020 | Notice No.:2020-087 |
Action: In the Matter of Alexion Pharmaceuticals, Inc. |
Notice Date:08/31/2020 | Claim Due Date:11/29/2020 |
Published date grouping:August 2020 | Notice No.:2020-086 |
Action: In the Matter of VALIC Financial Advisors, Inc. |
Notice Date:08/31/2020 | Claim Due Date:11/29/2020 |
Published date grouping:August 2020 | Notice No.:2020-085 |
Action: SEC v. Kevin G. White, KGW Capital Management, LLC, Revelation Forex Fund, L.P., and RFF GP, LLC |
Notice Date:08/31/2020 | Claim Due Date:11/29/2020 |
Published date grouping:August 2020 | Notice No.:2020-084 |
Action: SEC v. Temenos Advisory, Inc., and George L. Taylor |
Notice Date:08/31/2020 | Claim Due Date:11/29/2020 |
Published date grouping:July 2020 | Notice No.:2020-083 |
Action: In the Matter of BitClave PTE Ltd. |
Notice Date:07/31/2020 | Claim Due Date:10/29/2020 |
Published date grouping:July 2020 | Notice No.:2020-082 |
Action: In the Matter of SG Americas Securities, LLC |
Notice Date:07/31/2020 | Claim Due Date:10/29/2020 |
Published date grouping:July 2020 | Notice No.:2020-081 |
Action: SEC v. Lisa Bershan, Barry B. Schwartz, and Joel J. Margulies |
Notice Date:07/31/2020 | Claim Due Date:10/29/2020 |
Published date grouping:July 2020 | Notice No.:2020-080 |
Action: In the Matter of VEREIT, Inc. |
Notice Date:07/31/2020 | Claim Due Date:10/29/2020 |
Published date grouping:July 2020 | Notice No.:2020-079 |
Action: SEC v. Robert Cortez Marshall |
Notice Date:07/31/2020 | Claim Due Date:10/29/2020 |
Published date grouping:July 2020 | Notice No.:2020-078 |
Action: In the Matter of Novartis AG |
Notice Date:07/31/2020 | Claim Due Date:10/29/2020 |
Published date grouping:July 2020 | Notice No.:2020-077 |
Action: SEC v. Giga Entertainment Media, Inc., Gary S. Nerlinger, Lawrence W. Silver, Alfred R. Colucci, Charles G. Noska, and Jarret M. Streiner |
Notice Date:07/31/2020 | Claim Due Date:10/29/2020 |
Published date grouping:July 2020 | Notice No.:2020-076 |
Action: SEC v. Todd Lahr and Thomas Megas |
Notice Date:07/31/2020 | Claim Due Date:10/29/2020 |
Published date grouping:July 2020 | Notice No.:2020-075 |
Action: SEC v. PowerTradersPress.com, Inc., et al. |
Notice Date:07/31/2020 | Claim Due Date:10/29/2020 |
Published date grouping:July 2020 | Notice No.:2020-074 |
Action: SEC v. Amtrust Financial Services, Inc. and Ronald E. Pipoly, Jr. |
Notice Date:07/31/2020 | Claim Due Date:10/29/2020 |
Published date grouping:July 2020 | Notice No.:2020-073 |
Action: SEC v. Stiefel Laboratories Inc. and Charles W. Stiefel |
Notice Date:07/31/2020 | Claim Due Date:10/29/2020 |
Published date grouping:July 2020 | Notice No.:2020-072 |
Action: In the Matter of US Bancorp Investments, Inc. |
Notice Date:07/31/2020 | Claim Due Date:10/29/2020 |
Published date grouping:July 2020 | Notice No.:2020-071 |
Action: SEC v. Douglas Leighton, Bass Point Capital, LLC, Azure Capital Corp., Michael Sullivan, David Hall, Zachary Harvey, Paul Dutra, Jason Harman, and Jessica Geran |
Notice Date:07/31/2020 | Claim Due Date:10/29/2020 |
Published date grouping:July 2020 | Notice No.:2020-070 |
Action: SEC v. Steve M. Bajic, et al. |
Notice Date:07/31/2020 | Claim Due Date:10/29/2020 |
Published date grouping:July 2020 | Notice No.:2020-069 |
Action: SEC v. Navellier & Associates, Inc., and Louis Navellier |
Notice Date:07/31/2020 | Claim Due Date:10/29/2020 |
Published date grouping:June 2020 | Notice No.:2020-067 |
Action: SEC v. Aequitas Management, LLC; Aequitas Holdings, LLC; Aequitas Commercial Finance, LLC; Aequitas Capital Management, Inc.; Aequitas Investment Management, LLC; Robert J. Jesenik; Brian A. Oliver; and N. Scott Gillis |
Notice Date:06/30/2020 | Claim Due Date:09/28/2020 |
Published date grouping:June 2020 | Notice No.:2020-066 |
Action: In the Matter of Bloomberg Tradebook LLC |
Notice Date:06/30/2020 | Claim Due Date:09/28/2020 |
Published date grouping:June 2020 | Notice No.:2020-065 |
Action: In the Matter of Morgan Stanley Smith Barney LLC |
Notice Date:06/30/2020 | Claim Due Date:09/28/2020 |
Published date grouping:June 2020 | Notice No.:2020-064 |
Action: SEC v. Brian Robert Sodi, Capital Financial Media, LLC, and List Data Solutions LLC |
Notice Date:06/30/2020 | Claim Due Date:09/28/2020 |
Published date grouping:June 2020 | Notice No.:2020-063 |
Action: SEC v. Renew Spinal Care, Inc., Laserscopic Medical Clinic, LLC, Joe Samuel Bailey, Barry Edward Mitchell, Laurence Grossnickle, and Charles Clement Goubert, Jr. |
Notice Date:06/30/2020 | Claim Due Date:09/28/2020 |
Published date grouping:June 2020 | Notice No.:2020-062 |
Action: In the Matter of Everest Capital LLC and Marko Dimitrijevic |
Notice Date:06/30/2020 | Claim Due Date:09/28/2020 |
Published date grouping:June 2020 | Notice No.:2020-061 |
Action: In the Matter of Morningstar Credit Ratings, LLC |
Notice Date:06/30/2020 | Claim Due Date:09/28/2020 |
Published date grouping:June 2020 | Notice No.:2020-068 |
Action: In the Matter of Tim Leissner |
Notice Date:06/30/2020 | Claim Due Date:09/28/2020 |
Published date grouping:May 2020 | Notice No.:2020-060 |
Action: In the Matter of Cantor Fitzgerald & Co. |
Notice Date:05/29/2020 | Claim Due Date:08/27/2020 |
Published date grouping:May 2020 | Notice No.:2020-059 |
Action: SEC v. Marvin Mychal-Christopher Kendricks, a/k/a “Mychal Kendricks,” and Damilare Sonoiki |
Notice Date:05/29/2020 | Claim Due Date:08/27/2020 |
Published date grouping:May 2020 | Notice No.:2020-058 |
Action: SEC v. International Investment Group, LLC. |
Notice Date:05/29/2020 | Claim Due Date:08/27/2020 |
Published date grouping:May 2020 | Notice No.:2020-057 |
Action: In the Matter of Monomoy Capital Management, L.P. |
Notice Date:05/29/2020 | Claim Due Date:08/27/2020 |
Published date grouping:May 2020 | Notice No.:2020-056 |
Action: In the Matter of RBC Capital Markets LLC |
Notice Date:05/29/2020 | Claim Due Date:08/27/2020 |
Published date grouping:May 2020 | Notice No.:2020-055 |
Action: SEC v. Joseph A. Fiore, Berkshire Capital Management Company, Inc., and Eat At Joe’s, LTD. n/k/a SPYR, Inc. |
Notice Date:05/29/2020 | Claim Due Date:08/27/2020 |
Published date grouping:May 2020 | Notice No.:2020-054 |
Action: In the Matter of Eni S.p.A. |
Notice Date:05/29/2020 | Claim Due Date:08/27/2020 |
Published date grouping:May 2020 | Notice No.:2020-053 |
Action: SEC v. Ronald L. Blackburn, Andrew V. Reid, Bruce A. Gwyn, Michael A. Mulshine, Lee C. Schlesinger, Samuel E. Whitley, and Treaty Energy Corporation |
Notice Date:05/29/2020 | Claim Due Date:08/27/2020 |
Published date grouping:May 2020 | Notice No.:2020-052 |
Action: SEC v. Castleberry Financial Services Group, LLC, T. Jonathon Turner, f/k/a/ “Jon Barri Brothers,” and Norman M. Strell |
Notice Date:05/29/2020 | Claim Due Date:08/27/2020 |
Published date grouping:May 2020 | Notice No.:2020-051 |
Action: SEC v. Scott O. Hirsch and Kenneth L. Friedman |
Notice Date:05/29/2020 | Claim Due Date:08/27/2020 |
Published date grouping:May 2020 | Notice No.:2020-050 |
Action: SEC v. The End of the Rainbow Partners, LLC., the Estate of Michael F. Anderson |
Notice Date:05/29/2020 | Claim Due Date:08/27/2020 |
Published date grouping:May 2020 | Notice No.:2020-049 |
Action: SEC v. Jeffrey E. Wall and The Lighthouse Events, LLC |
Notice Date:05/29/2020 | Claim Due Date:08/27/2020 |
Published date grouping:April 2020 | Notice No.:2020-048 |
Action: SEC v. Philip E. Riehl |
Notice Date:04/30/2020 | Claim Due Date:07/29/2020 |
Published date grouping:April 2020 | Notice No.:2020-047 |
Action: SEC v. PTG Capital Partners LTD, PST Capital Group LTD, Nedko Nedev, Strategic Capital Partners Muster Limited, and Strategic Wealth Investments, Inc. |
Notice Date:04/30/2020 | Claim Due Date:07/29/2020 |
Published date grouping:April 2020 | Notice No.:2020-046 |
Action: SEC v. Evegenii Zavodchiko, Extra Trading Company, Andrey Bokarev, Radion Panko, Green Road Corporation, Natalia Andreevna Alepko, Solar Line Inc., Anton Maslov, Tarek Investors Inc. |
Notice Date:04/30/2020 | Claim Due Date:07/29/2020 |
Published date grouping:April 2020 | Notice No.:2020-045 |
Action: SEC v. Henry Ford f/k/a Cleothus Lefty Jackson and Fallcatcher, Inc. |
Notice Date:04/30/2020 | Claim Due Date:07/29/2020 |
Published date grouping:April 2020 | Notice No.:2020-044 |
Action: SEC v. Gregory T. Dean and Donald J. Fowler |
Notice Date:04/30/2020 | Claim Due Date:07/29/2020 |
Published date grouping:April 2020 | Notice No.:2020-043 |
Action: SEC v. ICOBox and Nikolay Evdokimov |
Notice Date:04/30/2020 | Claim Due Date:07/29/2020 |
Published date grouping:April 2020 | Notice No.:2020-042 |
Action: SEC v. Neil Burkholz, Frank Bianco, Palm Financial Management, LLC, and Shore Management Systems, LLC |
Notice Date:04/30/2020 | Claim Due Date:07/29/2020 |
Published date grouping:April 2020 | Notice No.:2020-041 |
Action: In the Matter of Cardinal Health, Inc. |
Notice Date:04/30/2020 | Claim Due Date:07/29/2020 |
Published date grouping:April 2020 | Notice No.:2020-040 |
Action: In the Matter of Wells Fargo Clearing Services, LLC, and Wells Fargo Advisors Financial Network, LLC |
Notice Date:04/30/2020 | Claim Due Date:07/29/2020 |
Published date grouping:April 2020 | Notice No.:2020-039 |
Action: SEC v. Francis J. van Steenberge and Nicolas Zanen |
Notice Date:04/30/2020 | Claim Due Date:07/29/2020 |
Published date grouping:April 2020 | Notice No.:2020-038 |
Action: SEC v. Alexander Charles White and Paul Douglas Vandivier |
Notice Date:04/30/2020 | Claim Due Date:07/29/2020 |
Published date grouping:April 2020 | Notice No.:2020-037 |
Action: SEC v. Gregg D. Caplitz and Insight Onsite Strategic Management, LLC |
Notice Date:04/30/2020 | Claim Due Date:07/29/2020 |
Published date grouping:March 2020 | Notice No.:2020-036 |
Action: In the Matter of Wells Fargo & Company |
Notice Date:03/31/2020 | Claim Due Date:06/29/2020 |
Published date grouping:March 2020 | Notice No.:2020-035 |
Action: SEC v. James W. Self, Jr., and Stephen R. Goldfield |
Notice Date:03/31/2020 | Claim Due Date:06/29/2020 |
Published date grouping:March 2020 | Notice No.:2020-034 |
Action: SEC v. Kit Mun Chan, Lau Kean Chong, Chong Poui Fan, Binji Lu, and Youn Chien Wong |
Notice Date:03/31/2020 | Claim Due Date:06/29/2020 |
Published date grouping:March 2020 | Notice No.:2020-033 |
Action: SEC v. Nicholas Lattanzio, Black Diamond Investments, LP, Black Diamond GP, LLC, Black Diamond Investments LLC, and Black Diamond Capital Appreciation Fund, L.P. |
Notice Date:03/31/2020 | Claim Due Date:06/29/2020 |
Published date grouping:March 2020 | Notice No.:2020-032 |
Action: SEC v. Christopher Freeman Brogdon |
Notice Date:03/31/2020 | Claim Due Date:06/29/2020 |
Published date grouping:March 2020 | Notice No.:2020-031 |
Action: SEC v. Robert A. Ferrante and Marilyn R. Thomassen |
Notice Date:03/31/2020 | Claim Due Date:06/29/2020 |
Published date grouping:March 2020 | Notice No.:2020-030 |
Action: In the Matter of Diageo, plc. |
Notice Date:03/31/2020 | Claim Due Date:06/29/2020 |
Published date grouping:March 2020 | Notice No.:2020-029 |
Action: In the Matter of Catalyst Capital Advisors, LLC and Jerry Szilagyi |
Notice Date:03/31/2020 | Claim Due Date:06/29/2020 |
Published date grouping:March 2020 | Notice No.:2020-028 |
Action: SEC v. John Abio, also known as Tre Brandenberg, and Abio Financial Group, Inc. |
Notice Date:03/31/2020 | Claim Due Date:06/29/2020 |
Published date grouping:March 2020 | Notice No.:2020-027 |
Action: SEC v. Tennstar Energy, Inc. f/k/a Black Gold Resources, Inc. David R. Greenlee, David A. Stewart, Jr., and Richard “Ric” P. Underwood |
Notice Date:03/31/2020 | Claim Due Date:06/29/2020 |
Published date grouping:February 2020 | Notice No.:2020-025 |
Action: SEC v. Scott Charles Messier and Jay Zola Scoratow |
Notice Date:02/28/2020 | Claim Due Date:05/28/2020 |
Published date grouping:February 2020 | Notice No.:2020-026 |
Action: SEC v. Landon M. Smith |
Notice Date:02/28/2020 | Claim Due Date:05/28/2020 |
Published date grouping:February 2020 | Notice No.:2020-024 |
Action: SEC v. James B. Catledge, Derek F. C. Elliot, EMI Resorts (S.V.G) INC., EMI Sun Village, Inc., Sun Village Juan Dolio, Inc. |
Notice Date:02/28/2020 | Claim Due Date:05/28/2020 |
Published date grouping:February 2020 | Notice No.:2020-023 |
Action: SEC v. Michael B. Rothenberg, and Rothenberg Ventures LLC (f/k/a Frontier Technology Venture Capital LLC and Rothenberg Ventures Management Company, LLC) |
Notice Date:02/28/2020 | Claim Due Date:05/28/2020 |
Published date grouping:February 2020 | Notice No.:2020-022 |
Action: In the Matter of J.P. Morgan Securities LLC |
Notice Date:02/28/2020 | Claim Due Date:05/28/2020 |
Published date grouping:February 2020 | Notice No.:2020-021 |
Action: SEC v. Carlos Ghosn and Gregory L. Kelly |
Notice Date:02/28/2020 | Claim Due Date:05/28/2020 |
Published date grouping:February 2020 | Notice No.:2020-020 |
Action: SEC v. Jeffrey O. Friedland, Global Corporate Strategies LLC, and Intiva Pharma LLC |
Notice Date:02/28/2020 | Claim Due Date:05/28/2020 |
Published date grouping:February 2020 | Notice No.:2020-019 |
Action: SEC v. Jay Costa Kelter |
Notice Date:02/28/2020 | Claim Due Date:05/28/2020 |
Published date grouping:February 2020 | Notice No.:2020-018 |
Action: SEC v. Lidingo Holdings, LLC, Kamilla Bjorlin, Andrew Hodge, Brian Nichols, and Vincent Cassano |
Notice Date:02/28/2020 | Claim Due Date:05/28/2020 |
Published date grouping:February 2020 | Notice No.:2020-017 |
Action: SEC v. Guardian Oil & Gas, Inc., Guardian Oil & Natural Gas, Inc., and Rick D. Mullins |
Notice Date:02/28/2020 | Claim Due Date:05/28/2020 |
Published date grouping:February 2020 | Notice No.:2020-016 |
Action: SEC v. Ariel Darvasi and Amir Waldman |
Notice Date:02/28/2020 | Claim Due Date:05/28/2020 |
Published date grouping:February 2020 | Notice No.:2020-015 |
Action: SEC v. Robert G. Pearson and Illinois Stock Transfer Company (d/b/a IST Shareholder Services) |
Notice Date:02/28/2020 | Claim Due Date:05/28/2020 |
Published date grouping:January 2020 | Notice No.:2020-014 |
Action: SEC v. Loren W. Holzhueter, and ISC, Inc. (d/b/a Insurance Service Center) |
Notice Date:01/31/2020 | Claim Due Date:04/30/2020 |
Published date grouping:January 2020 | Notice No.:2020-013 |
Action: SEC v. Richard Johnathan Eden and Christopher Michael Neumann |
Notice Date:01/31/2020 | Claim Due Date:04/30/2020 |
Published date grouping:January 2020 | Notice No.:2020-012 |
Action: SEC v. Richard T. Cunniffe |
Notice Date:01/31/2020 | Claim Due Date:04/30/2020 |
Published date grouping:January 2020 | Notice No.:2020-011 |
Action: In the Matter of MetLife, Inc. |
Notice Date:01/31/2020 | Claim Due Date:04/30/2020 |
Published date grouping:January 2020 | Notice No.:2020-010 |
Action: In the Matter of Jefferies LLC |
Notice Date:01/31/2020 | Claim Due Date:04/30/2020 |
Published date grouping:January 2020 | Notice No.:2020-009 |
Action: SEC v. Telefonaktiebolaget LM Ericsson |
Notice Date:01/31/2020 | Claim Due Date:04/30/2020 |
Published date grouping:January 2020 | Notice No.:2020-008 |
Action: SEC v. Iconix Brand Group, Inc. |
Notice Date:01/31/2020 | Claim Due Date:04/30/2020 |
Published date grouping:January 2020 | Notice No.:2020-007 |
Action: SEC v. John Special |
Notice Date:01/31/2020 | Claim Due Date:04/30/2020 |
Published date grouping:January 2020 | Notice No.:2020-006 |
Action: SEC v. Michael E. Cone and Greenview Investment Partners, L.P. |
Notice Date:01/31/2020 | Claim Due Date:04/30/2020 |
Published date grouping:January 2020 | Notice No.:2020-005 |
Action: SEC v. Natural Diamonds Investment Co., Eagle Financial Diamond Group Inc a/k/a Diamante Atelier, Argyle Coin, LLC, Jose Angel Aman, Harold Seigel, and Jonathan H. Seigel |
Notice Date:01/31/2020 | Claim Due Date:04/30/2020 |
Published date grouping:January 2020 | Notice No.:2020-004 |
Action: In the Matter of Kornitzer Capital Management, Inc. and John C. Kornitzer |
Notice Date:01/31/2020 | Claim Due Date:04/30/2020 |
Published date grouping:January 2020 | Notice No.:2020-003 |
Action: SEC v. MiMedx Group, Inc., Parker H. Petit, William C. Taylor, Michael J. Senken |
Notice Date:01/31/2020 | Claim Due Date:04/30/2020 |
Published date grouping:January 2020 | Notice No.:2020-002 |
Action: SEC v. Micheal A. Skerry |
Notice Date:01/31/2020 | Claim Due Date:04/30/2020 |
Published date grouping:January 2020 | Notice No.:2020-001 |
Action: SEC v. Navnoor S. Kang, Gregg Z. Schonhorn, and Deborah D. Kelley |
Notice Date:01/31/2020 | Claim Due Date:04/30/2020 |
Published date grouping:December 2019 | Notice No.:2019-204 |
Action: SEC v. Zhunrize, Inc., and Jeff Pan |
Notice Date:12/31/2019 | Claim Due Date:03/30/2020 |
Published date grouping:December 2019 | Notice No.:2019-210 |
Action: In the Matter of Morgan Stanley Smith Barney LLC |
Notice Date:12/31/2019 | Claim Due Date:03/30/2020 |
Published date grouping:December 2019 | Notice No.:2019-209 |
Action: SEC v. Toon Goggles, Inc., and Ira Warkol |
Notice Date:12/31/2019 | Claim Due Date:03/30/2020 |
Published date grouping:December 2019 | Notice No.:2019-211 |
Action: SEC v. Reginald (“Reggie”) Middleton, Veritaseum, Inc., and Veritaseum, LLC |
Notice Date:12/31/2019 | Claim Due Date:03/30/2020 |
Published date grouping:December 2019 | Notice No.:2019-208 |
Action: SEC v. David N. Osegueda, Ishmail Calvin Ross, aka Calvin Ross, Zachary R. Logan, and Jessica Snyder, fka Jessica Gutierrez |
Notice Date:12/31/2019 | Claim Due Date:03/30/2020 |
Published date grouping:December 2019 | Notice No.:2019-207 |
Action: SEC v. David Sechovicz |
Notice Date:12/31/2019 | Claim Due Date:03/30/2020 |
Published date grouping:December 2019 | Notice No.:2019-206 |
Action: In the Matter of Bethany Liou and Golden California Regional Center, LLC |
Notice Date:12/31/2019 | Claim Due Date:03/30/2020 |
Published date grouping:December 2019 | Notice No.:2019-205 |
Action: SEC v. Palm House Hotel LLLP, South Atlantic Regional Center, LLC, Joseph J. Walsh, Sr., and Robert V. Matthews |
Notice Date:12/31/2019 | Claim Due Date:03/30/2020 |
Published date grouping:December 2019 | Notice No.:2019-203 |
Action: SEC v. The Nutmeg Group, LLC, Randall Goulding, and David Goulding |
Notice Date:12/31/2019 | Claim Due Date:03/30/2020 |
Published date grouping:November 2019 | Notice No.:2019-172 |
Action: SEC v. Earl D. Miller, 5 Star Commercial, LLC, and 5 Star Capital Fund, LLC |
Notice Date:11/29/2019 | Claim Due Date:02/27/2020 |
Published date grouping:November 2019 | Notice No.:2019-202 |
Action: In the Matter of Mid Atlantic Financial Management, Inc. |
Notice Date:11/29/2019 | Claim Due Date:02/27/2020 |
Published date grouping:November 2019 | Notice No.:2019-201 |
Action: In the Matter of Founders Financial Securities, LLC |
Notice Date:11/29/2019 | Claim Due Date:02/27/2020 |
Published date grouping:November 2019 | Notice No.:2019-200 |
Action: In the Matter of IC Advisory Services, Inc. |
Notice Date:11/29/2019 | Claim Due Date:02/27/2020 |
Published date grouping:November 2019 | Notice No.:2019-199 |
Action: In the Matter of Block.one |
Notice Date:11/29/2019 | Claim Due Date:02/27/2020 |
Published date grouping:November 2019 | Notice No.:2019-198 |
Action: SEC v. PlexCorps (a/k/a and d/b/a PlexCoin and Sidepay.ca), Dominic Lacroix and Sabrina Paradis-Royer |
Notice Date:11/29/2019 | Claim Due Date:02/27/2020 |
Published date grouping:November 2019 | Notice No.:2019-197 |
Action: In the Matter of Omgeo Matching Services US, LLC (n/k/a DTCC ITP Matching (US) LLC) |
Notice Date:11/29/2019 | Claim Due Date:02/27/2020 |
Published date grouping:November 2019 | Notice No.:2019-196 |
Action: SEC v. Sandy J. Masselli, J.R., Carlyle Gaming & Entertainment Ltd., Intercapital Partners Ltd. (a/k/a Intercapital Partners Ltd. Liability Companyand Intercapital Partners, LLC), Intercapital Management Ltd., and Appnostiq Interactive Ltd. |
Notice Date:11/29/2019 | Claim Due Date:02/27/2020 |
Published date grouping:November 2019 | Notice No.:2019-195 |
Action: In the Matter of GFI Securities LLC |
Notice Date:11/29/2019 | Claim Due Date:02/27/2020 |
Published date grouping:November 2019 | Notice No.:2019-194 |
Action: SEC v. American Growth Funding II, LLC, Portfolio Advisors Alliance, Inc., Howard J. Allen III and Kerri L. Wasserman |
Notice Date:11/29/2019 | Claim Due Date:02/27/2020 |
Published date grouping:November 2019 | Notice No.:2019-193 |
Action: In the Matter of Herbalife Nutrition, Ltd. |
Notice Date:11/29/2019 | Claim Due Date:02/27/2020 |
Published date grouping:November 2019 | Notice No.:2019-192 |
Action: In the Matter of Independent Financial Group LLC |
Notice Date:11/29/2019 | Claim Due Date:02/27/2020 |
Published date grouping:November 2019 | Notice No.:2019-191 |
Action: In the Matter of Wedbush Securities |
Notice Date:11/29/2019 | Claim Due Date:02/27/2020 |
Published date grouping:November 2019 | Notice No.:2019-190 |
Action: In the Matter of Westport Fuel Systems, Inc. and Nancy Gougarty |
Notice Date:11/29/2019 | Claim Due Date:02/27/2020 |
Published date grouping:November 2019 | Notice No.:2019-189 |
Action: In the Matter of Essex Financial Services, Inc. |
Notice Date:11/29/2019 | Claim Due Date:02/27/2020 |
Published date grouping:November 2019 | Notice No.:2019-188 |
Action: In the Matter of Bill Few Associates, Inc. |
Notice Date:11/29/2019 | Claim Due Date:02/27/2020 |
Published date grouping:November 2019 | Notice No.:2019-187 |
Action: SEC v. Mylan N.V. |
Notice Date:11/29/2019 | Claim Due Date:02/27/2020 |
Published date grouping:November 2019 | Notice No.:2019-186 |
Action: In the Matter of FCA US LLC and Fiat Chrysler Automobiles N.V. |
Notice Date:11/29/2019 | Claim Due Date:02/27/2020 |
Published date grouping:November 2019 | Notice No.:2019-185 |
Action: In the Matter of Serge Matta |
Notice Date:11/29/2019 | Claim Due Date:02/27/2020 |
Published date grouping:November 2019 | Notice No.:2019-184 |
Action: In the Matter of BMO Harris Financial Advisors, Inc. and BMO Asset Management Corp. |
Notice Date:11/29/2019 | Claim Due Date:02/27/2020 |
Published date grouping:November 2019 | Notice No.:2019-183 |
Action: SEC v. Lek Securities Corporation, Samuel Lek, Vali Managemtn Partners dba Avalon FA Ltd, Nathan Fayyer, and Sergey Pustelnik a/k/a Serge Pustelnik |
Notice Date:11/29/2019 | Claim Due Date:02/27/2020 |
Published date grouping:November 2019 | Notice No.:2019-182 |
Action: SEC v. Victory Ho |
Notice Date:11/29/2019 | Claim Due Date:02/27/2020 |
Published date grouping:November 2019 | Notice No.:2019-181 |
Action: In the Matter of Barclays PLC |
Notice Date:11/29/2019 | Claim Due Date:02/27/2020 |
Published date grouping:November 2019 | Notice No.:2019-180 |
Action: In the Matter of Leonardo Cornide and Jorge Falcon |
Notice Date:11/29/2019 | Claim Due Date:02/27/2020 |
Published date grouping:November 2019 | Notice No.:2019-179 |
Action: In the Matter of Tyler T. Tysdal, Grant M. Carter, Impact Opportunities Fund Management, LLC, TitleCard Capital Group, LLC, and TitleCard Capital Management, LLC |
Notice Date:11/29/2019 | Claim Due Date:02/27/2020 |
Published date grouping:November 2019 | Notice No.:2019-178 |
Action: SEC v. Alpine Securities Corporation |
Notice Date:11/29/2019 | Claim Due Date:02/27/2020 |
Published date grouping:November 2019 | Notice No.:2019-177 |
Action: SEC v. Taj Jerry Mahabub, GenAudio, Inc., and Astound Holdings, Inc. |
Notice Date:11/29/2019 | Claim Due Date:02/27/2020 |
Published date grouping:November 2019 | Notice No.:2019-176 |
Action: In the Matter of Virtu Americas LLC (f/k/a KCG Americas LLC) |
Notice Date:11/29/2019 | Claim Due Date:02/27/2020 |
Published date grouping:November 2019 | Notice No.:2019-175 |
Action: In the Matter of Gary F. Pryor and The Pinnacle Companies, LLC |
Notice Date:11/29/2019 | Claim Due Date:02/27/2020 |
Published date grouping:November 2019 | Notice No.:2019-174 |
Action: SEC v. Equitybuild, Inc., Equitybuild Finance, LLC, Jerome H. Cohen, and Shaun D. Cohen |
Notice Date:11/29/2019 | Claim Due Date:02/27/2020 |
Published date grouping:November 2019 | Notice No.:2019-173 |
Action: SEC v. Scott Stacy Phelps and James Michael Harper |
Notice Date:11/29/2019 | Claim Due Date:02/27/2020 |
Published date grouping:October 2019 | Notice No.:2019-152 |
Action: SEC v. Samuel DelPresto, MLF Group, LLC, Donald Toomer, Jr., and Darren Goodrich |
Notice Date:10/31/2019 | Claim Due Date:01/29/2020 |
Published date grouping:October 2019 | Notice No.:2019-153 |
Action: SEC v. Bio Defense Corporation, Michael Lu, May’s International Corporation, Jonathan Morrone d/b/a/ JM International, Inc., Z. Paul Jurberg d/b/a Brookline Capital Partners, Inc., Brett Hamburger, d/b/a JCBH Consulting, LLC, Anthony Orth d/b/a Grand Traverse Equities, Inc. |
Notice Date:10/31/2019 | Claim Due Date:01/29/2020 |
Published date grouping:October 2019 | Notice No.:2019-154 |
Action: SEC v. Strategic Capital Management, LLC and Michael J. Breton |
Notice Date:10/31/2019 | Claim Due Date:01/29/2020 |
Published date grouping:October 2019 | Notice No.:2019-155 |
Action: In the Matter of Kenneth Wruk |
Notice Date:10/31/2019 | Claim Due Date:01/29/2020 |
Published date grouping:October 2019 | Notice No.:2019-156 |
Action: SEC v. John C. Maccoll |
Notice Date:10/31/2019 | Claim Due Date:01/29/2020 |
Published date grouping:October 2019 | Notice No.:2019-157 |
Action: In the Matter of Raymond James & Associates Inc., Raymond James Financial Services, Inc., and Raymond James Financial Services Advisors, Inc. |
Notice Date:10/31/2019 | Claim Due Date:01/29/2020 |
Published date grouping:October 2019 | Notice No.:2019-158 |
Action: In the Matter of TechnipFMC, plc |
Notice Date:10/31/2019 | Claim Due Date:01/29/2020 |
Published date grouping:October 2019 | Notice No.:2019-159 |
Action: In the Matter of PricewaterhouseCoopers LLP |
Notice Date:10/31/2019 | Claim Due Date:01/29/2020 |
Published date grouping:October 2019 | Notice No.:2019-160 |
Action: In the Matter of The Bancorp, Inc. |
Notice Date:10/31/2019 | Claim Due Date:01/29/2020 |
Published date grouping:October 2019 | Notice No.:2019-161 |
Action: In the Matter of Marvell Technology Group, Ltd. |
Notice Date:10/31/2019 | Claim Due Date:01/29/2020 |
Published date grouping:October 2019 | Notice No.:2019-162 |
Action: In the Matter of Comscore, Inc. |
Notice Date:10/31/2019 | Claim Due Date:01/29/2020 |
Published date grouping:October 2019 | Notice No.:2019-164 |
Action: In the Matter of Quad/Graphics, Inc. |
Notice Date:10/31/2019 | Claim Due Date:01/29/2020 |
Published date grouping:October 2019 | Notice No.:2019-165 |
Action: In the Matter of Sigma Planning Corp. |
Notice Date:10/31/2019 | Claim Due Date:01/29/2020 |
Published date grouping:October 2019 | Notice No.:2019-166 |
Action: SEC v. Longfin Corp., and Venkata S. Meenavalli |
Notice Date:10/31/2019 | Claim Due Date:01/29/2020 |
Published date grouping:October 2019 | Notice No.:2019-167 |
Action: In the Matter of Nissan Motor Co., LTD. |
Notice Date:10/31/2019 | Claim Due Date:01/29/2020 |
Published date grouping:October 2019 | Notice No.:2019-168 |
Action: In the Matter of AST Investment Services, Inc. and PGIM Investments LLC |
Notice Date:10/31/2019 | Claim Due Date:01/29/2020 |
Published date grouping:October 2019 | Notice No.:2019-169 |
Action: In the Matter of BMO Capital Markets Corp. |
Notice Date:10/31/2019 | Claim Due Date:01/29/2020 |
Published date grouping:October 2019 | Notice No.:2019-170 |
Action: In the Matter of Stifel, Nicolaus & Company, Incorporated |
Notice Date:10/31/2019 | Claim Due Date:01/29/2020 |
Published date grouping:October 2019 | Notice No.:2019-171 |
Action: SEC v. Daniel Rivas, James Moodhe, Roberto Rodriquez, Rodolfo Sablon, Jhonatan Zoquier, Michael Siva, and Jeffert Rogiers |
Notice Date:10/31/2019 | Claim Due Date:01/29/2020 |
Published date grouping:October 2019 | Notice No.:2019-163 |
Action: In the Matter of TMC Bonds LLC |
Notice Date:10/24/2019 | Claim Due Date:01/22/2020 |
Published date grouping:September 2019 | Notice No.:2019-151 |
Action: In the Matter of Juniper Networks, Inc. |
Notice Date:09/30/2019 | Claim Due Date:12/29/2019 |
Published date grouping:September 2019 | Notice No.:2019-150 |
Action: In the Matter of Deutsche Bank AG |
Notice Date:09/30/2019 | Claim Due Date:12/29/2019 |
Published date grouping:September 2019 | Notice No.:2019-149 |
Action: SEC v. Facebook, Inc. |
Notice Date:09/30/2019 | Claim Due Date:12/29/2019 |
Published date grouping:September 2019 | Notice No.:2019-148 |
Action: In the Matter of Brixmor Property Group Inc. |
Notice Date:09/30/2019 | Claim Due Date:12/29/2019 |
Published date grouping:September 2019 | Notice No.:2019-147 |
Action: In the Matter of BMO Capital Markets Corporation |
Notice Date:09/30/2019 | Claim Due Date:12/29/2019 |
Published date grouping:September 2019 | Notice No.:2019-146 |
Action: SEC v. Equal Earth, Inc., Andrew J. Duggan, and Ghassan Hamade a/k/a Mark Hamade |
Notice Date:09/30/2019 | Claim Due Date:12/29/2019 |
Published date grouping:September 2019 | Notice No.:2019-145 |
Action: SEC v. Andrew I. Farmer, Eddie D. Austin, Jr., Scott R. Sieck, Carolyn P. Austin, and John D. Brotherton |
Notice Date:09/30/2019 | Claim Due Date:12/29/2019 |
Published date grouping:September 2019 | Notice No.:2019-144 |
Action: SEC v. John T. Place, Paul G. Kirk, John P. Kirk, Global Transition Solutions, Inc. and Global Transition Solutions, LLC |
Notice Date:09/30/2019 | Claim Due Date:12/29/2019 |
Published date grouping:September 2019 | Notice No.:2019-143 |
Action: SEC v. BitQyck, Inc., Bruce E. Bise, and Samuel J. Mendez |
Notice Date:09/30/2019 | Claim Due Date:12/29/2019 |
Published date grouping:September 2019 | Notice No.:2019-142 |
Action: In the Matter of Alfred C. Teran |
Notice Date:09/30/2019 | Claim Due Date:12/29/2019 |
Published date grouping:September 2019 | Notice No.:2019-141 |
Action: SEC v. 1 Global Capital LLC, and Carl Ruderman |
Notice Date:09/30/2019 | Claim Due Date:12/29/2019 |
Published date grouping:September 2019 | Notice No.:2019-140 |
Action: SEC v. Henry J. Wieniewitz, and Wieniewitz Financial, LLC |
Notice Date:09/30/2019 | Claim Due Date:12/29/2019 |
Published date grouping:September 2019 | Notice No.:2019-139 |
Action: In the Matter of Lefavi Wealth Management, Inc. |
Notice Date:09/30/2019 | Claim Due Date:12/29/2019 |
Published date grouping:September 2019 | Notice No.:2019-138 |
Action: In the Matter of The Options Clearing Corporation |
Notice Date:09/30/2019 | Claim Due Date:12/29/2019 |
Published date grouping:September 2019 | Notice No.:2019-137 |
Action: SEC v. Sean Kelly; Lion’s Share & Associates, Inc; Lionsshare Tax Services, LLC; and Lion’s Share Financial of East Cobb, Inc. |
Notice Date:09/30/2019 | Claim Due Date:12/29/2019 |
Published date grouping:September 2019 | Notice No.:2019-136 |
Action: SEC v. Donald Watkins Sr., Esq., Watkins Pencor, LLC, Masada Resource Group, LLC |
Notice Date:09/30/2019 | Claim Due Date:12/29/2019 |
Published date grouping:September 2019 | Notice No.:2019-135 |
Action: SEC v. Strong Investment Management, Joseph B. Bronson (f/k/a Joseph B. Engebretson), and John B. Engebretson |
Notice Date:09/30/2019 | Claim Due Date:12/29/2019 |
Published date grouping:September 2019 | Notice No.:2019-134 |
Action: SEC v. Terminus Energy, Inc. Danny B. Pratte, Joseph L. Pittera, George Doumanis, Emanuel Pantelakis, and Joseph Alborano |
Notice Date:09/30/2019 | Claim Due Date:12/29/2019 |
Published date grouping:August 2019 | Notice No.:2019-133 |
Action: In the Matter of Microsoft Corporation |
Notice Date:08/30/2019 | Claim Due Date:11/28/2019 |
Published date grouping:August 2019 | Notice No.:2019-132 |
Action: In the Matter of Nomura Securities International, Inc. |
Notice Date:08/30/2019 | Claim Due Date:11/28/2019 |
Published date grouping:August 2019 | Notice No.:2019-131 |
Action: SEC v. AR Capital, LLC, Nicholas S. Schorsch, and Brian S. Block |
Notice Date:08/30/2019 | Claim Due Date:11/28/2019 |
Published date grouping:August 2019 | Notice No.:2019-130 |
Action: SEC v. Robert Donald Bruce Genovese, B.G. Capital Group, LTD., Abraham “Avi” Mirman |
Notice Date:08/30/2019 | Claim Due Date:11/28/2019 |
Published date grouping:August 2019 | Notice No.:2019-129 |
Action: SEC v. Conn’s, Inc. and Michael J. Poppe |
Notice Date:08/30/2019 | Claim Due Date:11/28/2019 |
Published date grouping:August 2019 | Notice No.:2019-128 |
Action: In the Matter of Robert L. Baker, Jacob B. Herrera, Michael D. Bowen, and Terrence A. Ballard |
Notice Date:08/30/2019 | Claim Due Date:11/28/2019 |
Published date grouping:August 2019 | Notice No.:2019-127 |
Action: SEC v. Thomas H. Laws |
Notice Date:08/30/2019 | Claim Due Date:11/28/2019 |
Published date grouping:August 2019 | Notice No.:2019-126 |
Action: SEC v. Ernest J. Romer, III |
Notice Date:08/30/2019 | Claim Due Date:11/28/2019 |
Published date grouping:August 2019 | Notice No.:2019-125 |
Action: SEC v. Ronald Van Den Heuvel, and Green Box NA Detroit, LLC |
Notice Date:08/30/2019 | Claim Due Date:11/28/2019 |
Published date grouping:August 2019 | Notice No.:2019-124 |
Action: In the Matter of Nomura Securities International, Inc. |
Notice Date:08/30/2019 | Claim Due Date:11/28/2019 |
Published date grouping:August 2019 | Notice No.:2019-123 |
Action: SEC v. Dwayne Edwards, Todd Barker, Senior Solutions of Social Circle, LLC, Oxton Place of Douglas, LLC d/b/a Oxton Real Estate of Douglass, LLC, Rome Alf, LLC, Savannah ALF, LLC, Gainesville ALF, LLC, Waterford Place ALF, LLC, Montgomery ALF, LLC, Columbus ALF, LLC, and Opelika ALF, LLC |
Notice Date:08/30/2019 | Claim Due Date:11/28/2019 |
Published date grouping:August 2019 | Notice No.:2019-122 |
Action: SEC v. Amit Kanodia and Iftikar Ahmed |
Notice Date:08/30/2019 | Claim Due Date:11/28/2019 |
Published date grouping:July 2019 | Notice No.:2019-115 |
Action: In the Matter of Industrial and Commercial Bank of China Financial Services LLC |
Notice Date:07/31/2019 | Claim Due Date:10/29/2019 |
Published date grouping:July 2019 | Notice No.:2019-114 |
Action: In the Matter of Wedbush Securities, Inc. |
Notice Date:07/31/2019 | Claim Due Date:10/29/2019 |
Published date grouping:July 2019 | Notice No.:2019-113 |
Action: SEC v. Carol Ann Pedersen |
Notice Date:07/31/2019 | Claim Due Date:10/29/2019 |
Published date grouping:July 2019 | Notice No.:2019-112 |
Action: SEC v. Ralph T. Iannelli and Essex Capital Corporation |
Notice Date:07/31/2019 | Claim Due Date:10/29/2019 |
Published date grouping:July 2019 | Notice No.:2019-111 |
Action: SEC v. Longfin Corp., Venkata S. Meenavalli, Amro Izzelden Altahwi a/k/a Andy Altahawi, Suresh Tammineedi, and Dorababu Penumarthi |
Notice Date:07/31/2019 | Claim Due Date:10/29/2019 |
Published date grouping:July 2019 | Notice No.:2019-110 |
Action: SEC v. James E. Hocker |
Notice Date:07/31/2019 | Claim Due Date:10/29/2019 |
Published date grouping:July 2019 | Notice No.:2019-109 |
Action: SEC v. Edward Lee Moody, Jr. and CM Capital Management, LLC |
Notice Date:07/31/2019 | Claim Due Date:10/29/2019 |
Published date grouping:July 2019 | Notice No.:2019-108 |
Action: In the Matter of KPMG LLP |
Notice Date:07/31/2019 | Claim Due Date:10/29/2019 |
Published date grouping:July 2019 | Notice No.:2019-107 |
Action: In the Matter of Walmart Inc. |
Notice Date:07/31/2019 | Claim Due Date:10/29/2019 |
Published date grouping:July 2019 | Notice No.:2019-106 |
Action: SEC v. Jose G. Ramirez, Jr. |
Notice Date:07/31/2019 | Claim Due Date:10/29/2019 |
Published date grouping:July 2019 | Notice No.:2019-105 |
Action: SEC v. Daniel Dirk Coddington, Michael B. Columbia, Jesse W. Erwin Jr., Merlyn Curt Geisler, Marshall D. Gunn, Jr., CPA, Seth A. Leyton, Lewis P. Malouf, Extreme Capital Ltd., Fidelity Asset Services Corp., Geisco FNF, LLC, Golden Summit Investors Group Ltd., SouthCom Management LLC, Stonerock Capital Group LLC |
Notice Date:07/31/2019 | Claim Due Date:10/29/2019 |
Published date grouping:July 2019 | Notice No.:2019-104 |
Action: SEC v. Celadon Group, Inc. |
Notice Date:07/31/2019 | Claim Due Date:10/29/2019 |
Published date grouping:July 2019 | Notice No.:2019-103 |
Action: SEC v. Daniel H. Glick and Financial Management Strategies, Inc. |
Notice Date:07/31/2019 | Claim Due Date:10/29/2019 |
Published date grouping:July 2019 | Notice No.:2019-102 |
Action: SEC v. Kimberly Pine Kitts |
Notice Date:07/31/2019 | Claim Due Date:10/29/2019 |
Published date grouping:July 2019 | Notice No.:2019-101 |
Action: SEC v. Zev Saltsman, Menachem Eitan, Martin E. Weisberg, Edward G. Newman, Steven A. Newman, and Andrew Brown |
Notice Date:07/31/2019 | Claim Due Date:10/29/2019 |
Published date grouping:July 2019 | Notice No.:2019-100 |
Action: SEC v. Timothy J. Atkinson, Jay Passerino, All In Publishing, LLC, William E. Berry, Berry MediaWorks, LLC, and Shmuel Pollen |
Notice Date:07/31/2019 | Claim Due Date:10/29/2019 |
Published date grouping:July 2019 | Notice No.:2019-99 |
Action: Wealth Strategy Partners, LLP, Harvey Altholtz, Stevens Resources Group, LLC, George Q. Stevens, and Wealth Strategy Partners, LC |
Notice Date:07/31/2019 | Claim Due Date:10/29/2019 |
Published date grouping:July 2019 | Notice No.:2019-98 |
Action: In the Matter of State Street Bank and Trust Company |
Notice Date:07/31/2019 | Claim Due Date:10/29/2019 |
Published date grouping:July 2019 | Notice No.:2019-121 |
Action: In the Matter of Fieldstone Financial Management Group, LLC and Kristofor R. Behn |
Notice Date:07/31/2019 | Claim Due Date:10/29/2019 |
Published date grouping:July 2019 | Notice No.:2019-120 |
Action: SEC v. Amrit J. S. Chahal |
Notice Date:07/31/2019 | Claim Due Date:10/29/2019 |
Published date grouping:July 2019 | Notice No.:2019-119 |
Action: SEC v. Donald Milne III and Instaprin Pharmaceuticals, Inc. |
Notice Date:07/31/2019 | Claim Due Date:10/29/2019 |
Published date grouping:July 2019 | Notice No.:2019-118 |
Action: SEC v. Matthew A. Krimm and Krimm Financial Services, LLC |
Notice Date:07/31/2019 | Claim Due Date:10/29/2019 |
Published date grouping:July 2019 | Notice No.:2019-117 |
Action: In the Matter of Deer Park Road Management Company, LP, and Scott E. Burg |
Notice Date:07/31/2019 | Claim Due Date:10/29/2019 |
Published date grouping:July 2019 | Notice No.:2019-116 |
Action: SEC v. Devon D. Archer, Bevan T. Cooney, Hugh Dunkerley, Jason W. Galanis, John P. Galanis, Gary T. Hirst, Michelle A. Morton, and Francisco Martin |
Notice Date:07/31/2019 | Claim Due Date:10/29/2019 |
Published date grouping:June 2019 | Notice No.:2019-88 |
Action: SEC v. Robert S. “Lute” Davis, Jr., Donald Anthony Mackenzie, Aaron R. Andrew, Jeffrey L. Wendel, Randy T. Rondberg, Richard Fritts, Marcus Bradford Bray, Gregory W. Anderson, Claude Steve Mosley, Gregory A. Koch, Old Security Financial Group, Inc., Paramount Financial Services, Inc., d/b/a Live Abundant, Wendel Financial Network, LLC, a/k/a Wendel Retirement Planning, Trager LLC, Fritts Financial, LLC, Bradford Solutions, LLC, Balanced Financial, LLC, Security Financial, LLC, and Koch Insurance Brokers, LLC |
Notice Date:06/28/2019 | Claim Due Date:09/26/2019 |
Published date grouping:June 2019 | Notice No.:2019-87 |
Action: In the Matter of Telefônica Brasil S.A. |
Notice Date:06/28/2019 | Claim Due Date:09/26/2019 |
Published date grouping:June 2019 | Notice No.:2019-86 |
Action: SEC v. Jeffrey D. Martin, Thomas L. Tedrow, Christian T. Tedrow, Tyler T. Tedrow, Beaufort Capital Partners LLC, and Robert P. Marino |
Notice Date:06/28/2019 | Claim Due Date:09/26/2019 |
Published date grouping:June 2019 | Notice No.:2019-85 |
Action: SEC v. Sonya D. Camarco |
Notice Date:06/28/2019 | Claim Due Date:09/26/2019 |
Published date grouping:June 2019 | Notice No.:2019-84 |
Action: SEC v. Cash Capital, LLC, America’s Strategic Ore Properties, LLC, and Robert W. Wilson |
Notice Date:06/28/2019 | Claim Due Date:09/26/2019 |
Published date grouping:June 2019 | Notice No.:2019-83 |
Action: SEC v. Kristine L. Johnson, Tory A. Barnes, and Work with Troy Barnes, Inc. (d/b/a The Achieve Community) |
Notice Date:06/28/2019 | Claim Due Date:09/26/2019 |
Published date grouping:June 2019 | Notice No.:2019-82 |
Action: SEC v. DFRF Enterprises LLC, DFRF Enterprises, LLC; Daniel Fernandes Rojo Filho, Wanderley M. Dalman, Gaspar C. Jesus, Eduardo N. Da Silva, Heriberto C. Perez Valdes, Jeffrey A. Feldman and Romildo Da Cunha |
Notice Date:06/28/2019 | Claim Due Date:09/26/2019 |
Published date grouping:June 2019 | Notice No.:2019-97 |
Action: SEC v. Blackbird Capital Partners, LLC, Andrew D. Kelley, and Paul H. Shumway |
Notice Date:06/28/2019 | Claim Due Date:09/26/2019 |
Published date grouping:June 2019 | Notice No.:2019-96 |
Action: SEC v. Daniel Mattes |
Notice Date:06/28/2019 | Claim Due Date:09/26/2019 |
Published date grouping:June 2019 | Notice No.:2019-95 |
Action: SEC v. Howard M. Appel |
Notice Date:06/28/2019 | Claim Due Date:09/26/2019 |
Published date grouping:June 2019 | Notice No.:2019-94 |
Action: SEC v. 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 |
Notice Date:06/28/2019 | Claim Due Date:09/26/2019 |
Published date grouping:June 2019 | Notice No.:2019-93 |
Action: SEC v. Carol J. Wayland, John C. Mueller, Kentucky-Tennessee 50 Wells/400 BBLPD Block, Limited Partnership, HP Operations, LLC, C.A.R. Leasing, LLC, Mitchell B. Dow, Barry Liss, and Steve G. Blasko |
Notice Date:06/28/2019 | Claim Due Date:09/26/2019 |
Published date grouping:June 2019 | Notice No.:2019-91 |
Action: SEC v. Walter C. Little and Andrew M. Berke |
Notice Date:06/28/2019 | Claim Due Date:09/26/2019 |
Published date grouping:June 2019 | Notice No.:2019-90 |
Action: SEC v. Harry Craig Dees |
Notice Date:06/28/2019 | Claim Due Date:09/26/2019 |
Published date grouping:June 2019 | Notice No.:2019-89 |
Action: SEC v. Home Solutions of America, Inc. Frank J. Fradella, Brian M. Marshall, Jeffrey M. Mattich, Rick J. O’Brien, Stephen C. Gingrich, Thomas L. Davis, and Jeffrey T. Craft |
Notice Date:06/28/2019 | Claim Due Date:09/26/2019 |
Published date grouping:June 2019 | Notice No.:2019-92 |
Action: SEC v. Nationwide Automated Systems, Inc., Joel Gillis, and Edward Wishner |
Notice Date:06/28/2019 | Claim Due Date:09/26/2019 |
Published date grouping:May 2019 | Notice No.:2019-75 |
Action: In the Matter of Fresenius Medical Care AG & Co. KGaA |
Notice Date:05/31/2019 | Claim Due Date:08/29/2019 |
Published date grouping:May 2019 | Notice No.:2019-74 |
Action: In the Matter of Next Financial Group, Inc. |
Notice Date:05/31/2019 | Claim Due Date:08/29/2019 |
Published date grouping:May 2019 | Notice No.:2019-73 |
Action: In the Matter of Prosper Funding LLC |
Notice Date:05/31/2019 | Claim Due Date:08/29/2019 |
Published date grouping:May 2019 | Notice No.:2019-72 |
Action: SEC v. Craig H. Carton, Joseph G. Meli, Advance Entertainment, LLC, Advancem LTD, Misoluki, Inc., Misoluki, LLC, Ticket Jones LLC, and Tier One Tickets, LLC |
Notice Date:05/31/2019 | Claim Due Date:08/29/2019 |
Published date grouping:May 2019 | Notice No.:2019-71 |
Action: SEC v. Timothy S. Batchelor |
Notice Date:05/31/2019 | Claim Due Date:08/29/2019 |
Published date grouping:May 2019 | Notice No.:2019-70 |
Action: SEC v. Michael T. Rand |
Notice Date:05/31/2019 | Claim Due Date:08/29/2019 |
Published date grouping:May 2019 | Notice No.:2019-81 |
Action: SEC v. Michael Allen Duke, Martin Delaine Lewis, Mark Christopher Parman, Kenneth Edward Shelton, and Billy Ray Statham, Jr. |
Notice Date:05/31/2019 | Claim Due Date:08/29/2019 |
Published date grouping:May 2019 | Notice No.:2019-80 |
Action: In the Matter of Dennis Gibbs and Sweetwater Investments, Inc. |
Notice Date:05/31/2019 | Claim Due Date:08/29/2019 |
Published date grouping:May 2019 | Notice No.:2019-79 |
Action: In the Matter of Stephens Inc. |
Notice Date:05/31/2019 | Claim Due Date:08/29/2019 |
Published date grouping:May 2019 | Notice No.:2019-78 |
Action: SEC v. Edward Durante, Abida Khan, Larry Werbel, Christopher Cervino, Walter Reissman, Kenneth Wise, and Evolution Partners Wealth Management LLC |
Notice Date:05/31/2019 | Claim Due Date:08/29/2019 |
Published date grouping:May 2019 | Notice No.:2019-77 |
Action: SEC v. North Star Finance LLC, Thomas G. Ellis, Yasuo Oda, Thomas H. Vetter, Michael K. Martin, Sharon L. Salinas, Capital Source Funding LLC, and Capital Source Lending LLC |
Notice Date:05/31/2019 | Claim Due Date:08/29/2019 |
Published date grouping:May 2019 | Notice No.:2019-76 |
Action: SEC v. Adam C. Derbyshire |
Notice Date:05/31/2019 | Claim Due Date:08/29/2019 |
Published date grouping:April 2019 | Notice No.:2019-52 |
Action: In the Matter of Summit Financial Group, Inc. |
Notice Date:04/30/2019 | Claim Due Date:07/29/2019 |
Published date grouping:April 2019 | Notice No.:2019-51 |
Action: SEC v. Ronald C. Montano, Travis Stephenson, Antonio Giacca and Michael Wright |
Notice Date:04/30/2019 | Claim Due Date:07/29/2019 |
Published date grouping:April 2019 | Notice No.:2019-50 |
Action: In the Matter of Mobile TeleSystems PJSC |
Notice Date:04/30/2019 | Claim Due Date:07/29/2019 |
Published date grouping:April 2019 | Notice No.:2019-49 |
Action: SEC v. Pedro Fort Berbel, Fort Marketing Group LLC |
Notice Date:04/30/2019 | Claim Due Date:07/29/2019 |
Published date grouping:April 2019 | Notice No.:2019-48 |
Action: In the Matter of Ameritas Investment Corp. |
Notice Date:04/30/2019 | Claim Due Date:07/29/2019 |
Published date grouping:April 2019 | Notice No.:2019-47 |
Action: SEC v. Chad C. McGinnis and Sergey Pugach |
Notice Date:04/30/2019 | Claim Due Date:07/29/2019 |
Published date grouping:April 2019 | Notice No.:2019-46 |
Action: In the Matter of Principal Securities, Inc. |
Notice Date:04/30/2019 | Claim Due Date:07/29/2019 |
Published date grouping:April 2019 | Notice No.:2019-45 |
Action: In the Matter of Benjamin F. Edwards & Co., Inc. |
Notice Date:04/30/2019 | Claim Due Date:07/29/2019 |
Published date grouping:April 2019 | Notice No.:2019-44 |
Action: In the Matter of Transamerica Financial Advisors, Inc. |
Notice Date:04/30/2019 | Claim Due Date:07/29/2019 |
Published date grouping:April 2019 | Notice No.:2019-43 |
Action: In the Matter of Robert W. Baird & Co. Incorporated |
Notice Date:04/30/2019 | Claim Due Date:07/29/2019 |
Published date grouping:April 2019 | Notice No.:2019-42 |
Action: In the Matter of Cambridge Investment Research Advisors, Inc. |
Notice Date:04/30/2019 | Claim Due Date:07/29/2019 |
Published date grouping:April 2019 | Notice No.:2019-41 |
Action: SEC v. John Gregory Schmidt |
Notice Date:04/30/2019 | Claim Due Date:07/29/2019 |
Published date grouping:April 2019 | Notice No.:2019-40 |
Action: In the Matter of Oppenheimer & Co. Inc. and Oppenheimer Asset Management Inc. |
Notice Date:04/30/2019 | Claim Due Date:07/29/2019 |
Published date grouping:April 2019 | Notice No.:2019-39 |
Action: In the Matter of LPL Financial LLC |
Notice Date:04/30/2019 | Claim Due Date:07/29/2019 |
Published date grouping:April 2019 | Notice No.:2019-38 |
Action: In the Matter of Commonwealth Equity Services, LLC |
Notice Date:04/30/2019 | Claim Due Date:07/29/2019 |
Published date grouping:April 2019 | Notice No.:2019-56 |
Action: In the Matter of AXA Advisors, LLC |
Notice Date:04/30/2019 | Claim Due Date:07/29/2019 |
Published date grouping:April 2019 | Notice No.:2019-69 |
Action: In the Matter of Wells Fargo Clearing Services, LLC and Wells Fargo Advisors Financial Network, LLC |
Notice Date:04/30/2019 | Claim Due Date:07/29/2019 |
Published date grouping:April 2019 | Notice No.:2019-55 |
Action: In the Matter of SSN Advisory, Inc. |
Notice Date:04/30/2019 | Claim Due Date:07/29/2019 |
Published date grouping:April 2019 | Notice No.:2019-68 |
Action: In the Matter of M Holdings Securities, Inc. |
Notice Date:04/30/2019 | Claim Due Date:07/29/2019 |
Published date grouping:April 2019 | Notice No.:2019-67 |
Action: In the Matter of First Republic Investment Management, Inc. |
Notice Date:04/30/2019 | Claim Due Date:07/29/2019 |
Published date grouping:April 2019 | Notice No.:2019-66 |
Action: In the Matter of Stifel, Nicolaus & Company, Incorporated |
Notice Date:04/30/2019 | Claim Due Date:07/29/2019 |
Published date grouping:April 2019 | Notice No.:2019-65 |
Action: In the Matter of Kestra Advisory Services, LLC |
Notice Date:04/30/2019 | Claim Due Date:07/29/2019 |
Published date grouping:April 2019 | Notice No.:2019-63 |
Action: In the Matter of BB&T Securities, LLC |
Notice Date:04/30/2019 | Claim Due Date:07/29/2019 |
Published date grouping:April 2019 | Notice No.:2019-62 |
Action: In the Matter of RBC Capital Markets, LLC |
Notice Date:04/30/2019 | Claim Due Date:07/29/2019 |
Published date grouping:April 2019 | Notice No.:2019-61 |
Action: SEC v. Scott Newsholme |
Notice Date:04/30/2019 | Claim Due Date:07/29/2019 |
Published date grouping:April 2019 | Notice No.:2019-60 |
Action: In the Matter of Lumber Liquidators Holdings, Inc. |
Notice Date:04/30/2019 | Claim Due Date:07/29/2019 |
Published date grouping:April 2019 | Notice No.:2019-59 |
Action: In the Matter of Merrill Lynch, Pierce, Fenner & Smith Incorporated |
Notice Date:04/30/2019 | Claim Due Date:07/29/2019 |
Published date grouping:April 2019 | Notice No.:2019-37 |
Action: In the Matter of ProEquities, Inc. |
Notice Date:04/30/2019 | Claim Due Date:07/29/2019 |
Published date grouping:April 2019 | Notice No.:2019-36 |
Action: In the Matter of Raymond James Financial Services Advisors, Inc. |
Notice Date:04/30/2019 | Claim Due Date:07/29/2019 |
Published date grouping:April 2019 | Notice No.:2019-64 |
Action: In the Matter of Deutsche Bank Securities Inc. |
Notice Date:04/30/2019 | Claim Due Date:07/29/2019 |
Published date grouping:April 2019 | Notice No.:2019-58 |
Action: SEC v. Robert P. DePalo, Joshua B. Gladtke, Gregg A. Lerman, Pangaea Trading Partners LLC, Arjent LLC, Arjent Limited, and Excalibur Asset Management LLC |
Notice Date:04/30/2019 | Claim Due Date:07/29/2019 |
Published date grouping:April 2019 | Notice No.:2019-57 |
Action: In the Matter of PlanMember Securities Corporation |
Notice Date:04/30/2019 | Claim Due Date:07/29/2019 |
Published date grouping:April 2019 | Notice No.:2019-54 |
Action: In the Matter of Woodbury Financial Services, Inc. |
Notice Date:04/30/2019 | Claim Due Date:07/29/2019 |
Published date grouping:April 2019 | Notice No.:2019-53 |
Action: In the Matter of TIAA-CREF Individual & Institutional Services, LLC |
Notice Date:04/30/2019 | Claim Due Date:07/29/2019 |
Published date grouping:March 2019 | Notice No.:2019-35 |
Action: SEC v. Jersey Consulting LLC, Marc Andrew Tager, Matthew Earl Mangum, Suzanne Aileen Gagnier, Kenneth Stephen Gross, Jeffrey Rowland Lebarton, Jonathan Edward Shoucair, Edward Dean Goss, Dana Kenton Harrloe, and Nicholi Mandracken |
Notice Date:03/29/2019 | Claim Due Date:06/27/2019 |
Published date grouping:March 2019 | Notice No.:2019-34 |
Action: SEC v. Michael Scronic |
Notice Date:03/29/2019 | Claim Due Date:06/27/2019 |
Published date grouping:March 2019 | Notice No.:2019-33 |
Action: SEC v. Barry C. Honig, John Stetson, Michael Brauser, John R. O’Rourke III, Mark Groussman, Phillip Frost, Robert Ladd, Elliot Maza, Brian Keller, John H. Ford, Alpha Capital Anstalt, ATG Capital LLC, Frost Gamma Investments Trust, GRQ Consultants, Inc., HS Contrarian Investments, LLC, Grander Holdings, Inc., Melechdavid, Inc., Opko Health, Inc., Southern Biotech, Inc., and Stetson Capital Investments Inc. |
Notice Date:03/29/2019 | Claim Due Date:06/27/2019 |
Published date grouping:March 2019 | Notice No.:2019-32 |
Action: SEC v. 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 |
Notice Date:03/29/2019 | Claim Due Date:06/27/2019 |
Published date grouping:March 2019 | Notice No.:2019-31 |
Action: SEC v. Troy Joseph Flowers, Sean Paul Nevett, and Fruition, Inc. (f/k/a Seacoast Advisors, Inc.) |
Notice Date:03/29/2019 | Claim Due Date:06/27/2019 |
Published date grouping:March 2019 | Notice No.:2019-30 |
Action: In the Matter of Cognizant Technology Solutions Corporation |
Notice Date:03/29/2019 | Claim Due Date:06/27/2019 |
Published date grouping:March 2019 | Notice No.:2019-29 |
Action: In the Matter of Andrew F. Nicoletta, Bella Industries LLC, Cranberry Rock Investments, Inc., and J.J. Newport Group, Inc. |
Notice Date:03/29/2019 | Claim Due Date:06/27/2019 |
Published date grouping:March 2019 | Notice No.:2019-28 |
Action: In the Matter of Deloitte Touche Tohmatsu LLC, Futomichi Amano, and Yuji Itagaki |
Notice Date:03/29/2019 | Claim Due Date:06/27/2019 |
Published date grouping:March 2019 | Notice No.:2019-27 |
Action: In the Matter of Crowe Horwath LLP, Joseph C. Macina, CPA, and Kevin V. Wydra, CPA |
Notice Date:03/29/2019 | Claim Due Date:06/27/2019 |
Published date grouping:March 2019 | Notice No.:2019-26 |
Action: SEC v. AriseBank, Jared Rice Sr., and Stanley Ford |
Notice Date:03/29/2019 | Claim Due Date:06/27/2019 |
Published date grouping:March 2019 | Notice No.:2019-25 |
Action: SEC v. Tycoon Energy, Inc. and Matthew Dee Nerbonne |
Notice Date:03/29/2019 | Claim Due Date:06/27/2019 |
Published date grouping:March 2019 | Notice No.:2019-24 |
Action: SEC v. Barry M. Kornfeld, Ferne Kornfeld, FEK Enterprises, Inc., d/b/a First Financial Tax Group, Andrew G. Costa, Costa Financial Insurance Services, Corp., Albert D. Klager, and Atlantic Insurance & Financial Services, Inc. |
Notice Date:03/29/2019 | Claim Due Date:06/27/2019 |
Published date grouping:March 2019 | Notice No.:2019-23 |
Action: SEC v. Robert H. Shapiro, Woodbridge Group of Companies, LLC, d/b/a Woodbridge Wealth, RS Protection Trust, WMF Management, LLC, Woodbridge Structured Funding, LLC, Woodbridge Mortgage Investment Fund 1, LLC, Woodbridge Mortgage Investment Fund 2, LLC, Woodbridge Mortgage Investment Fund 3, LLC, Woodbridge Mortgage Investment Fund 3A, LLC, Woodbridge Mortgage Investment Fund 4, LLC, Woodbridge Commercial Bridge Loan Fund 1, LLC, Woodbridge Commercial Bridge Loan Fund 2, LLC, 144 Woodbridge-Affiliated Property Limited Liability Companies, 131 Woodbridge-Affiliated Holding Limited Liability Companies |
Notice Date:03/29/2019 | Claim Due Date:06/27/2019 |
Published date grouping:March 2019 | Notice No.:2019-22 |
Action: SEC v. Robert Yang, Claudia Kano, Suncor Fontana, LLC, Suncor Hesperia, LLC, and Suncor Care Lynwood, LLC |
Notice Date:03/29/2019 | Claim Due Date:06/27/2019 |
Published date grouping:February 2019 | Notice No.:2019-10 |
Action: In the Matter of Agria Corporation |
Notice Date:02/28/2019 | Claim Due Date:05/29/2019 |
Published date grouping:February 2019 | Notice No.:2019-11 |
Action: In the Matter of UBS Financial Services Inc. |
Notice Date:02/28/2019 | Claim Due Date:05/29/2019 |
Published date grouping:February 2019 | Notice No.:2019-12 |
Action: In the Matter of Yucaipa Master Manager, LLC |
Notice Date:02/28/2019 | Claim Due Date:05/29/2019 |
Published date grouping:February 2019 | Notice No.:2019-5 |
Action: In the Matter of Thoroughbred Financial Services, LLC, Thomas Jenkins Parker, and Lawrence Randal “Randy” Hartley |
Notice Date:02/28/2019 | Claim Due Date:05/29/2019 |
Published date grouping:February 2019 | Notice No.:2019-6 |
Action: In the Matter of Santander Consumer USA Holdings, Inc. |
Notice Date:02/28/2019 | Claim Due Date:05/29/2019 |
Published date grouping:February 2019 | Notice No.:2019-7 |
Action: SEC v. David H. Brooks |
Notice Date:02/28/2019 | Claim Due Date:05/29/2019 |
Published date grouping:February 2019 | Notice No.:2019-8 |
Action: In the Matter of Centrais Elétricas Brasileiras S.A. |
Notice Date:02/28/2019 | Claim Due Date:05/29/2019 |
Published date grouping:February 2019 | Notice No.:2019-9 |
Action: SEC v. Jordan E. Goodman |
Notice Date:02/28/2019 | Claim Due Date:05/29/2019 |
Published date grouping:February 2019 | Notice No.:2019-21 |
Action: In the Matter of Polycom, Inc. |
Notice Date:02/28/2019 | Claim Due Date:05/29/2019 |
Published date grouping:February 2019 | Notice No.:2019-20 |
Action: SEC v. John Afriyie and Lawrencia Afriyie |
Notice Date:02/28/2019 | Claim Due Date:05/29/2019 |
Published date grouping:February 2019 | Notice No.:2019-19 |
Action: SEC v. Sunwest Management, Inc. Canyon Creek Development, Inc., Canyon Creek Financial, LLC and Jon M. Harder |
Notice Date:02/28/2019 | Claim Due Date:05/29/2019 |
Published date grouping:February 2019 | Notice No.:2019-18 |
Action: SEC v. James V. Mazzo, David L. Parker, and Eddie C. Murray |
Notice Date:02/28/2019 | Claim Due Date:05/29/2019 |
Published date grouping:February 2019 | Notice No.:2019-17 |
Action: In the Matter of NB Alternatives Advisers LLC |
Notice Date:02/28/2019 | Claim Due Date:05/29/2019 |
Published date grouping:February 2019 | Notice No.:2019-16 |
Action: In the Matter of American Portfolios Advisors, Inc. |
Notice Date:02/28/2019 | Claim Due Date:05/29/2019 |
Published date grouping:February 2019 | Notice No.:2019-15 |
Action: In the Matter of Hertz Global Holdings, Inc. and The Hertz Corporation |
Notice Date:02/28/2019 | Claim Due Date:05/29/2019 |
Published date grouping:February 2019 | Notice No.:2019-14 |
Action: In the Matter of JP Morgan Chase Bank, N.A. |
Notice Date:02/28/2019 | Claim Due Date:05/29/2019 |
Published date grouping:February 2019 | Notice No.:2019-13 |
Action: In the Matter of Bank of New York Mellon |
Notice Date:02/28/2019 | Claim Due Date:05/29/2019 |
Published date grouping:January 2019 | Notice No.:2019-1 |
Action: In the Matter of America Modern Green Senior (Houston) LLC, America Modern Green Community (Houston) LLC, and America Modern Green Residential (Houston) LLC |
Notice Date:01/31/2019 | Claim Due Date:05/01/2019 |
Published date grouping:January 2019 | Notice No.:2019-2 |
Action: In the Matter of Citadel Securities LLC |
Notice Date:01/31/2019 | Claim Due Date:05/01/2019 |
Published date grouping:January 2019 | Notice No.:2019-3 |
Action: In the Matter of Natixis Securities Americas LLC |
Notice Date:01/31/2019 | Claim Due Date:05/01/2019 |
Published date grouping:January 2019 | Notice No.:2019-4 |
Action: In the Matter of MUFG Securities Americas Inc. |
Notice Date:01/31/2019 | Claim Due Date:05/01/2019 |
Published date grouping:December 2018 | Notice No.:2018-162 |
Action: SEC v. Douglas P. Simanski |
Notice Date:12/31/2018 | Claim Due Date:03/31/2019 |
Published date grouping:December 2018 | Notice No.:2018-161 |
Action: SEC v. Keenan Gracey |
Notice Date:12/31/2018 | Claim Due Date:03/31/2019 |
Published date grouping:December 2018 | Notice No.:2018-160 |
Action: SEC v. Edward Chen, Jean Chen, Home Paradise Investment Center LLC, GH Investment LP, GH Design Group, LLC, Golden Galaxy LP, and Mega Home, LLC |
Notice Date:12/31/2018 | Claim Due Date:03/31/2019 |
Published date grouping:December 2018 | Notice No.:2018-159 |
Action: SEC v. Eric Lesak, Global Research, LLC (PA), and Global Research, LLC (NY) |
Notice Date:12/31/2018 | Claim Due Date:03/31/2019 |
Published date grouping:December 2018 | Notice No.:2018-154 |
Action: SEC v. Charles A. Banks, IV |
Notice Date:12/31/2018 | Claim Due Date:03/31/2019 |
Published date grouping:December 2018 | Notice No.:2018-155 |
Action: SEC v. John Sherman Jumper, Alluvion Securities, LLC, American Investments Fund, II, LLC, Speedee Brakes, LLC, Thousand Hills Capital, LLC and Evertone Records, LLC |
Notice Date:12/31/2018 | Claim Due Date:03/31/2019 |
Published date grouping:December 2018 | Notice No.:2018-156 |
Action: In the Matter of Vantage Drilling International |
Notice Date:12/31/2018 | Claim Due Date:03/31/2019 |
Published date grouping:December 2018 | Notice No.:2018-157 |
Action: SEC v. Steve Qi and Law Offices of Steve Qi & Associates, A Professional Corporation |
Notice Date:12/31/2018 | Claim Due Date:03/31/2019 |
Published date grouping:December 2018 | Notice No.:2018-158 |
Action: In the Matter of Fifth Street Management, LLC |
Notice Date:12/31/2018 | Claim Due Date:03/31/2019 |
Published date grouping:November 2018 | Notice No.:2018-153 |
Action: SEC v. Tesla, Inc. |
Notice Date:11/30/2018 | Claim Due Date:02/28/2019 |
Published date grouping:November 2018 | Notice No.:2018-152 |
Action: SEC v. Elon Musk |
Notice Date:11/30/2018 | Claim Due Date:02/28/2019 |
Published date grouping:November 2018 | Notice No.:2018-151 |
Action: In the Matter of ITG Inc. and AlterNet Securities, Inc. |
Notice Date:11/30/2018 | Claim Due Date:02/28/2019 |
Published date grouping:November 2018 | Notice No.:2018-150 |
Action: SEC v. Lawrence P. Schmidt; Futuregen Company d/b/a Futuregen Capital Commercial Equity Partners, LTD.; 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 |
Notice Date:11/30/2018 | Claim Due Date:02/28/2019 |
Published date grouping:November 2018 | Notice No.:2018-149 |
Action: In the Matter of Citibank, N.A. |
Notice Date:11/30/2018 | Claim Due Date:02/28/2019 |
Published date grouping:November 2018 | Notice No.:2018-148 |
Action: SEC v. Lawrence E. Penn, III, Michael St. Altura Ewers, Camelot Acquisitions Secondary Opportunities Management, LLC, The Camelot Group International, LLC, and Ssecurion, LLC |
Notice Date:11/30/2018 | Claim Due Date:02/28/2019 |
Published date grouping:November 2018 | Notice No.:2018-147 |
Action: SEC v. Emilio Francisco; PDC Capital Group, LLC; Caffe Primo International, Inc.; Sal Assisted Living, LP; Sal Carmichael, LP; Sal Citrus Heights, LP; Sal Kern Canyon, LP; Sal Phoenix, LP; Sal Westgate, LP; Summer place at Sarasota, LP; Summerplace at Clearwater, LP; Summerplace at Correll Palms, LP; TRC Tucson, LP; Clear Currents West, LP; Caffe Primo Management, LP; Caffe Primo Management 102, LP; Caffe Primo Management 103, LP; Caffe Primo Management 104, LP; Caffe Primo Management 105, LP; Caffe Primo Management 106, LP; Caffe Primo Management 107, LP; Caffe Primo Management 108, LP |
Notice Date:11/30/2018 | Claim Due Date:02/28/2019 |
Published date grouping:November 2018 | Notice No.:2018-138 |
Action: SEC v. Tangoe, Inc., Albert R. Subbloie, Gary R. Martino, Donald J. Farias, and Thomas H. Beach |
Notice Date:11/30/2018 | Claim Due Date:02/28/2019 |
Published date grouping:November 2018 | Notice No.:2018-139 |
Action: SEC v. William M. Apostelos, WMA Enterprises, LLC, Midwest Green Resources, LLC, and Ovo Wealth Management, LLC |
Notice Date:11/30/2018 | Claim Due Date:02/28/2019 |
Published date grouping:November 2018 | Notice No.:2018-140 |
Action: SEC v. Iftikar Ahmed |
Notice Date:11/30/2018 | Claim Due Date:02/28/2019 |
Published date grouping:November 2018 | Notice No.:2018-141 |
Action: SEC v. SeaWorld Entertainment, Inc., and James Atchison |
Notice Date:11/30/2018 | Claim Due Date:02/28/2019 |
Published date grouping:November 2018 | Notice No.:2018-142 |
Action: SEC v. Isaac Grossman, Adriana Grossman, Dragon-Click Corp., and Dragon Management, LLC |
Notice Date:11/30/2018 | Claim Due Date:02/28/2019 |
Published date grouping:November 2018 | Notice No.:2018-143 |
Action: SEC v. Matthew Carl Griffin and William Daniel Griffin
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Notice Date:11/30/2018 | Claim Due Date:02/28/2019 |
Published date grouping:November 2018 | Notice No.:2018-144 |
Action: SEC v. Thurman P. Bryant, III, and Bryant United Capital Funding, Inc. |
Notice Date:11/30/2018 | Claim Due Date:02/28/2019 |
Published date grouping:November 2018 | Notice No.:2018-145 |
Action:
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Notice Date:11/30/2018 | Claim Due Date:02/28/2019 |
Published date grouping:November 2018 | Notice No.:2018-146 |
Action: SEC v. Jason McDiarmid, Kenneth George Cedric Telford and Stop Sleep Go. Inc., fka Interactive Multi-Media Auction Corp. |
Notice Date:11/30/2018 | Claim Due Date:02/28/2019 |
Published date grouping:October 2018 | Notice No.:2018-137 |
Action: SEC v. Peter C. Chang |
Notice Date:10/31/2018 | Claim Due Date:01/29/2019 |
Published date grouping:October 2018 | Notice No.:2018-136 |
Action: SEC v. San Francisco Regional Center, LLC; Thomas M. Henderson; California Gold Medal, L.P.; CallSocket, L.P; CallSocket II, L.P; CallSocket III, L.P.; Comprehensive Care of Oakland, L.P.; NA3PL, L.P.; West Oakland Plaza, L.P.; CallSocket, LLC; CallSocket II, LLC; CallSocket III, LLC; Comprehensive Care of California, LLC; Immedia, LLC: and North America 3PL, LLC |
Notice Date:10/31/2018 | Claim Due Date:01/29/2019 |
Published date grouping:October 2018 | Notice No.:2018-135 |
Action: In the Matter of Barrett Business Services, Inc. and Mark Cannon, CPA |
Notice Date:10/31/2018 | Claim Due Date:01/29/2019 |
Published date grouping:October 2018 | Notice No.:2018-134 |
Action: In the Matter of Capital Analysts, LLC |
Notice Date:10/31/2018 | Claim Due Date:01/29/2019 |
Published date grouping:October 2018 | Notice No.:2018-133 |
Action: SEC v. Dennis Wayne Hamilton |
Notice Date:10/31/2018 | Claim Due Date:01/29/2019 |
Published date grouping:October 2018 | Notice No.:2018-132 |
Action: In the Matter of Citigroup Global Markets, Inc. and Citi Order Routing and Execution, LLC |
Notice Date:10/31/2018 | Claim Due Date:01/29/2019 |
Published date grouping:October 2018 | Notice No.:2018-131 |
Action: In the Matter of Credit Suisse Securities (USA) LLC |
Notice Date:10/31/2018 | Claim Due Date:01/29/2019 |
Published date grouping:October 2018 | Notice No.:2018-130 |
Action: In the Matter of Stryker Corporation |
Notice Date:10/31/2018 | Claim Due Date:01/29/2019 |
Published date grouping:October 2018 | Notice No.:2018-129 |
Action: SEC v. Sharone Perlstein, Aric Yerusalem Swartz a/k/a Eric Yerusalem Swartz and Hadas Miriam Yaron |
Notice Date:10/31/2018 | Claim Due Date:01/29/2019 |
Published date grouping:October 2018 | Notice No.:2018-128 |
Action: SEC v. Arista Power, Inc., Peter Kolokouris, William A. Schmitz, Michael T. Hughes, Janice Papapanu, Michael Papapanu, Ekaterini Kolokouris, Demitrios Kolokouris, Anastasios Kolokouris, Ioannis “John” Kolokouris, Sophia Kolokouris, Terry Bechakas, 100 Demetrios, Inc., 200 Anastasios, Inc., 300 Ioannis, Inc., 400 Terry, Inc., 500 Sophia, Inc., Just Sell Gold, Inc., and Express Gold Cash, Inc. |
Notice Date:10/31/2018 | Claim Due Date:01/29/2019 |
Published date grouping:October 2018 | Notice No.:2018-127 |
Action: SEC v. NL Technology, LLC, Jonny Ngo, and Donato Baca, Jr. |
Notice Date:10/31/2018 | Claim Due Date:01/29/2019 |
Published date grouping:October 2018 | Notice No.:2018-126 |
Action: In the Matter of Convergex Execution Solutions, LLC, now known as Cowen Execution Services LLC |
Notice Date:10/31/2018 | Claim Due Date:01/29/2019 |
Published date grouping:October 2018 | Notice No.:2018-125 |
Action: In the Matter of Petróleo Brasileiro S.A. – Petrobras |
Notice Date:10/31/2018 | Claim Due Date:01/29/2019 |
Published date grouping:October 2018 | Notice No.:2018-124 |
Action: In the Matter of Heartland Payment Systems, LLC, f/k/a Heartland Payment Systems, Inc. and Robert O. Carr |
Notice Date:10/31/2018 | Claim Due Date:01/29/2019 |
Published date grouping:October 2018 | Notice No.:2018-123 |
Action: SEC v. Steve H. Karroum a/k/a Mustapha Karroum, and FX & Beyond Corporation |
Notice Date:10/31/2018 | Claim Due Date:01/29/2019 |
Published date grouping:October 2018 | Notice No.:2018-122 |
Action: In the Matter of Walgreens Boots Alliance, Inc., Gregory D. Wasson and Wade D. Miquelon |
Notice Date:10/31/2018 | Claim Due Date:01/29/2019 |
Published date grouping:October 2018 | Notice No.:2018-121 |
Action: In the Matter of United Technologies Corporation |
Notice Date:10/31/2018 | Claim Due Date:01/29/2019 |
Published date grouping:October 2018 | Notice No.:2018-120 |
Action: In the Matter of Sanofi |
Notice Date:10/31/2018 | Claim Due Date:01/29/2019 |
Published date grouping:October 2018 | Notice No.:2018-119 |
Action: SEC v. Commodities Online, LLC and Commodities Online Management, LLC |
Notice Date:10/31/2018 | Claim Due Date:01/29/2019 |
Published date grouping:October 2018 | Notice No.:2018-118 |
Action: In the Matter of Mark R. Graham, Blue Capital Management, Inc., and Blue Alternative Asset Management, LLC |
Notice Date:10/31/2018 | Claim Due Date:01/29/2019 |
Published date grouping:October 2018 | Notice No.:2018-117 |
Action: In the Matter of LendingClub Asset Management, LLC, f/k/a LC Advisors, LLC, Renaud LaPlanche |
Notice Date:10/31/2018 | Claim Due Date:01/29/2019 |
Published date grouping:October 2018 | Notice No.:2018-116 |
Action: SEC v. Clovis Oncology, Inc., Patrick J. Mahaffy, and Erle T. Mast |
Notice Date:10/31/2018 | Claim Due Date:01/29/2019 |
Published date grouping:October 2018 | Notice No.:2018-115 |
Action: In the Matter of Putnam Investment Management, LLC and Zachary Harrison |
Notice Date:10/31/2018 | Claim Due Date:01/29/2019 |
Published date grouping:October 2018 | Notice No.:2018-114 |
Action: SEC v. Hope Advisors, LLC, and Karen Bruton |
Notice Date:10/31/2018 | Claim Due Date:01/29/2019 |
Published date grouping:October 2018 | Notice No.:2018-113 |
Action: SEC v. CAUSwave, Inc., Jeffrey L. Riggs, and Diane R. Baldwin |
Notice Date:10/31/2018 | Claim Due Date:01/29/2019 |
Published date grouping:September 2018 | Notice No.:2018-112 |
Action: SEC v. Intertech Solutions, Inc., William Scott Marshall, and David Michael Naylor |
Notice Date:09/28/2018 | Claim Due Date:12/27/2018 |
Published date grouping:September 2018 | Notice No.:2018-111 |
Action: In the Matter of Merrill Lynch, Pierce, Fenner & Smith Incorporated |
Notice Date:09/28/2018 | Claim Due Date:12/27/2018 |
Published date grouping:September 2018 | Notice No.:2018-110 |
Action: In the Matter of Citigroup Global Markets Inc. and Citigroup Inc. |
Notice Date:09/28/2018 | Claim Due Date:12/27/2018 |
Published date grouping:September 2018 | Notice No.:2018-109 |
Action: In the Matter of Citigroup, Inc. |
Notice Date:09/28/2018 | Claim Due Date:12/27/2018 |
Published date grouping:September 2018 | Notice No.:2018-108 |
Action: SEC v. Jason W. Galanis, John P. Galanis, Jared M. Galanis, Derek M. Galanis, Gary T. Hirst, and Gavin L. Hamels |
Notice Date:09/28/2018 | Claim Due Date:12/27/2018 |
Published date grouping:September 2018 | Notice No.:2018-107 |
Action: SEC v. David A. Harbour |
Notice Date:09/28/2018 | Claim Due Date:12/27/2018 |
Published date grouping:September 2018 | Notice No.:2018-106 |
Action: SEC v. William Z. (“Billy”) McFarland, Frye Media, Inc., Magnises, Inc., Grant Margolin, and Daniel Simon |
Notice Date:09/28/2018 | Claim Due Date:12/27/2018 |
Published date grouping:September 2018 | Notice No.:2018-105 |
Action: In the Matter of Moody’s Investors Service, Inc. |
Notice Date:09/28/2018 | Claim Due Date:12/27/2018 |
Published date grouping:September 2018 | Notice No.:2018-104 |
Action: In the Matter of Ribbon Communications Inc., Mark Greenquist, and Michael Swade |
Notice Date:09/28/2018 | Claim Due Date:12/27/2018 |
Published date grouping:September 2018 | Notice No.:2018-103 |
Action: In the Matter of Moody’s Investors Service, Inc. |
Notice Date:09/28/2018 | Claim Due Date:12/27/2018 |
Published date grouping:September 2018 | Notice No.:2018-102 |
Action: SEC v. RMR Asset Management Company, Bruce A. Broekhuizen, Douglas J. Derryberry, David R. Frost, Richard C. Gounaud, Neil P. Kelly, John M. Kirschenbaum, David S. Luttbeg, Timothy J. McAloon, Jocelyn M. Murphy, Michael S. Murphy, Ralph M. Riccardi, Dewey T. Tran, and Philip A. Weiner |
Notice Date:09/28/2018 | Claim Due Date:12/27/2018 |
Published date grouping:September 2018 | Notice No.:2018-101 |
Action: SEC v. Core Performance Management, LLC, James P. Scherr, Deborah B. Dora, Sharlene F. Mesite, James O’Neil, and Anadel R. Pinzon |
Notice Date:09/28/2018 | Claim Due Date:12/27/2018 |
Published date grouping:September 2018 | Notice No.:2018-100 |
Action: In the Matter of Ameriprise Financial Services, Inc. |
Notice Date:09/28/2018 | Claim Due Date:12/27/2018 |
Published date grouping:September 2018 | Notice No.:2018-99 |
Action: In the Matter of Jinesh P. Brahmbhatt |
Notice Date:09/28/2018 | Claim Due Date:12/27/2018 |
Published date grouping:September 2018 | Notice No.:2018-98 |
Action: SEC v. Mieka Energy Corporation, Vadda Energy Corporation, Daro Ray Blankenship, Robert William Myers, Jr., and Stephen Romo |
Notice Date:09/28/2018 | Claim Due Date:12/27/2018 |
Published date grouping:September 2018 | Notice No.:2018-97 |
Action: SEC v. Lynette M. Robbins and Knowles Systems, Inc. |
Notice Date:09/28/2018 | Claim Due Date:12/27/2018 |
Published date grouping:September 2018 | Notice No.:2018-96 |
Action: In the Matter of AEGON USA Investment Management, LLC, Transamerica Asset Management, Inc., Transamerica Capital, Inc., and Transamerica Financial Advisors, Inc. In the Matter of Bradley J. Beman In the Matter of Kevin A. Giles |
Notice Date:09/28/2018 | Claim Due Date:12/27/2018 |
Published date grouping:September 2018 | Notice No.:2018-95 |
Action: SEC v. Gary S. Williky |
Notice Date:09/28/2018 | Claim Due Date:12/27/2018 |
Published date grouping:September 2018 | Notice No.:2018-94 |
Action: In the Matter of Massachusetts Financial Services Company |
Notice Date:09/28/2018 | Claim Due Date:12/27/2018 |
Published date grouping:September 2018 | Notice No.:2018-93 |
Action: In the Matter of Hari K. Ravichandran In the Matter of Waruna Tivanka Ellawala |
Notice Date:09/28/2018 | Claim Due Date:12/27/2018 |
Published date grouping:September 2018 | Notice No.:2018-92 |
Action: In the Matter of Legg Mason, Inc. |
Notice Date:09/28/2018 | Claim Due Date:12/27/2018 |
Published date grouping:September 2018 | Notice No.:2018-91 |
Action: SEC v. Medient Studios, Inc., FONU2, Inc., Manu Kumaran, Joel A. “Jake” Shapiro, and Roger Miguel |
Notice Date:09/28/2018 | Claim Due Date:12/27/2018 |
Published date grouping:August 2018 | Notice No.:2018-90 |
Action: SEC v. T.J. Jesky, Esq. and Mark DeStefano |
Notice Date:08/31/2018 | Claim Due Date:11/29/2018 |
Published date grouping:August 2018 | Notice No.:2018-89 |
Action: SEC v. Paul Z. Singer and Singer Financial Corp. |
Notice Date:08/31/2018 | Claim Due Date:11/29/2018 |
Published date grouping:August 2018 | Notice No.:2018-87 |
Action: In the Matter of Deutsche Bank Trust Company Americas |
Notice Date:08/31/2018 | Claim Due Date:11/29/2018 |
Published date grouping:August 2018 | Notice No.:2018-86 |
Action: In the Matter of BGC Financial, L.P. |
Notice Date:08/31/2018 | Claim Due Date:11/29/2018 |
Published date grouping:August 2018 | Notice No.:2018-85 |
Action: SEC v. Charles Schwab & Co. Inc. |
Notice Date:08/31/2018 | Claim Due Date:11/29/2018 |
Published date grouping:August 2018 | Notice No.:2018-84 |
Action: In the Matter of Advanced Drainage Systems, Inc. and Mark B Sturgeon, CPA |
Notice Date:08/31/2018 | Claim Due Date:11/29/2018 |
Published date grouping:August 2018 | Notice No.:2018-83 |
Action: In the Matter of Mizuho Securities USA LLC |
Notice Date:08/31/2018 | Claim Due Date:11/29/2018 |
Published date grouping:August 2018 | Notice No.:2018-82 |
Action: SEC v. Robert Gadimian (a/k/a Robert Ghadimian) |
Notice Date:08/31/2018 | Claim Due Date:11/29/2018 |
Published date grouping:August 2018 | Notice No.:2018-81 |
Action: SEC v. James VanBlaricum, Rodney L. Pope, Chet Inglis, Matthew Leaverton, William Hill, Erik Rhodes, and Robert Gilliam |
Notice Date:08/31/2018 | Claim Due Date:11/29/2018 |
Published date grouping:August 2018 | Notice No.:2018-80 |
Action: SEC v. Eldrick E. Woodley d/b/a Woodley & Co. Wealth Strategies |
Notice Date:08/31/2018 | Claim Due Date:11/29/2018 |
Published date grouping:August 2018 | Notice No.:2018-79 |
Action: SEC v. 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 |
Notice Date:08/31/2018 | Claim Due Date:11/29/2018 |
Published date grouping:August 2018 | Notice No.:2018-78 |
Action: SEC v. Erick Laszlo Mathe and Ashif Jiwa |
Notice Date:08/31/2018 | Claim Due Date:11/29/2018 |
Published date grouping:August 2018 | Notice No.:2018-77 |
Action: In the Matter of The Dow Chemical Company |
Notice Date:08/31/2018 | Claim Due Date:11/29/2018 |
Published date grouping:August 2018 | Notice No.:2018-76 |
Action: SEC v. Providence Financial Investments, Inc., Providence Fixed Income Fund, LLC, Jeffory Churchfield, and Jack Jarrell |
Notice Date:08/31/2018 | Claim Due Date:11/29/2018 |
Published date grouping:August 2018 | Notice No.:2018-75 |
Action: SEC v. Yasuna Murakami; Avi Chiat; MC2 Capital Management, LLC; MC2 Canada Capital Management, LLC |
Notice Date:08/31/2018 | Claim Due Date:11/29/2018 |
Published date grouping:August 2018 | Notice No.:2018-74 |
Action: SEC v. Joseph Meli, Matthew Harriton, 875 Holdings, LLC, 127 Holdings LLC, Advance Entertainment, LLC, and Advance Entertainment II, LLC |
Notice Date:08/31/2018 | Claim Due Date:11/29/2018 |
Published date grouping:August 2018 | Notice No.:2018-73 |
Action: In the Matter of THL Managers V, LLC and THL Managers VI, LLC |
Notice Date:08/31/2018 | Claim Due Date:11/29/2018 |
Published date grouping:August 2018 | Notice No.:2018-72 |
Action: SEC v. Christopher A. Faulkner, Breitling Energy Corporation, Jeremy S. Wagers, Judson F. (“Rick”) Hoover, Parker R. Hallam, Joseph Simo, Dustin Michael Miller Rodriguez, Beth C. Handkins, Gilbert Steedley, Breitling Oil & Gas Corporation, Crude Energy, LLC, Patriot Energy, Inc. |
Notice Date:08/31/2018 | Claim Due Date:11/29/2018 |
Published date grouping:August 2018 | Notice No.:2018-88 |
Action: In the Matter of Deutsche Bank Securities Inc. |
Notice Date:08/31/2018 | Claim Due Date:11/29/2018 |
Published date grouping:July 2018 | Notice No.:2018-71 |
Action: In the Matter of Stanley Smith Barney LLC |
Notice Date:07/31/2018 | Claim Due Date:10/29/2018 |
Published date grouping:July 2018 | Notice No.:2018-70 |
Action: In the Matter of deVere USA, Inc. |
Notice Date:07/31/2018 | Claim Due Date:10/29/2018 |
Published date grouping:July 2018 | Notice No.:2018-69 |
Action: In the Matter of Cantor Fitzgerald & Co. |
Notice Date:07/31/2018 | Claim Due Date:10/29/2018 |
Published date grouping:July 2018 | Notice No.:2018-68 |
Action: SEC v. Pacific West Capital Group, Inc.; Andrew B Calhoun IV; PWCG Trust; Brenda Christine Barry; Bak West, Inc.; Andrew B Calhoun Jr.; Eric Christopher Cannon; Century Point, LLC; Michael Wayne Dotta; and Caleb Austin Moody (dba Sky Stone) |
Notice Date:07/31/2018 | Claim Due Date:10/29/2018 |
Published date grouping:July 2018 | Notice No.:2018-67 |
Action: In the Matter of Merrill Lynch, Pierce, Fenner & Smith Incorporated |
Notice Date:07/31/2018 | Claim Due Date:10/29/2018 |
Published date grouping:July 2018 | Notice No.:2018-66 |
Action: In the Matter of Merrill Lynch, Pierce, Fenner & Smith Incorporated |
Notice Date:07/31/2018 | Claim Due Date:10/29/2018 |
Published date grouping:July 2018 | Notice No.:2018-65 |
Action: In the Matter of Beam Inc., n/k/a Beam Suntory Inc. |
Notice Date:07/31/2018 | Claim Due Date:10/29/2018 |
Published date grouping:July 2018 | Notice No.:2018-64 |
Action: SEC v. Texas Coastal Energy Company, LLC and Jefferey A. Gordon |
Notice Date:07/31/2018 | Claim Due Date:10/29/2018 |
Published date grouping:July 2018 | Notice No.:2018-63 |
Action: In the Matter of KBR, Inc. |
Notice Date:07/31/2018 | Claim Due Date:10/29/2018 |
Published date grouping:July 2018 | Notice No.:2018-62 |
Action: SEC v. Ronald A. Fossum, Jr. and Alonzo R. Cahoon |
Notice Date:07/31/2018 | Claim Due Date:10/29/2018 |
Published date grouping:July 2018 | Notice No.:2018-61 |
Action: SEC v. David Howard Welch, Marc Jay Bryant, John Charles Knight, Perry Douglas West, Bio-Global Resources, Inc., Diversified Equities, Inc., Diversified Equities Development, Inc., and New Global Energy, Inc. |
Notice Date:07/31/2018 | Claim Due Date:10/29/2018 |
Published date grouping:July 2018 | Notice No.:2018-60 |
Action: SEC v. Quadrant 4 System Corp., Nandu Thondavadi, and Dhru Desai |
Notice Date:07/31/2018 | Claim Due Date:10/29/2018 |
Published date grouping:July 2018 | Notice No.:2018-59 |
Action: In the Matter of Wells Fargo Advisors, LLC |
Notice Date:07/31/2018 | Claim Due Date:10/29/2018 |
Published date grouping:July 2018 | Notice No.:2018-58 |
Action: In the Matter of Constant Contact, Inc. and Endurance International Group Holdings, Inc. |
Notice Date:07/31/2018 | Claim Due Date:10/29/2018 |
Published date grouping:July 2018 | Notice No.:2018-57 |
Action: In the Matter of Credit Suisse Group AG |
Notice Date:07/31/2018 | Claim Due Date:10/29/2018 |
Published date grouping:June 2018 | Notice No.:2018-56 |
Action: In the Matter of Visium Asset Management, LP |
Notice Date:06/29/2018 | Claim Due Date:09/27/2018 |
Published date grouping:June 2018 | Notice No.:2018-55 |
Action: SEC v. SW Argyll Investments, LLC (d/b/a Argyll Investments, LLC), James T. Miceli, Douglas A. McClain, Jr., Amerifund Capital Finance, LLC, and Jeffrey Spanier |
Notice Date:06/29/2018 | Claim Due Date:09/27/2018 |
Published date grouping:June 2018 | Notice No.:2018-54 |
Action: SEC v. GC Resources, LLC and Brian J. Polito |
Notice Date:06/29/2018 | Claim Due Date:09/27/2018 |
Published date grouping:May 2018 | Notice No.:2018-53 |
Action: In the Matter of Altaba Inc., f/d/b/a Yahoo! Inc. |
Notice Date:05/31/2018 | Claim Due Date:08/29/2018 |
Published date grouping:May 2018 | Notice No.:2018-52 |
Action: In the Matter of PNC Investments LLC |
Notice Date:05/31/2018 | Claim Due Date:08/29/2018 |
Published date grouping:May 2018 | Notice No.:2018-51 |
Action: SEC v. Merrill Robertson, Jr., Sherman C. Vaughn, Jr., and Cavalier Union Investments, LLC |
Notice Date:05/31/2018 | Claim Due Date:08/29/2018 |
Published date grouping:May 2018 | Notice No.:2018-50 |
Action: SEC v. Capital Cover Bancorp LLC; Christopher M. Less aka Rashid K. Khalfani |
Notice Date:05/31/2018 | Claim Due Date:08/29/2018 |
Published date grouping:May 2018 | Notice No.:2018-49 |
Action: In the Matter of The Dun & Bradstreet Corporation |
Notice Date:05/31/2018 | Claim Due Date:08/29/2018 |
Published date grouping:May 2018 | Notice No.:2018-48 |
Action: In the Matter of Panasonic Corporation |
Notice Date:05/31/2018 | Claim Due Date:08/29/2018 |
Published date grouping:May 2018 | Notice No.:2018-47 |
Action: In the Matter of Geneos Wealth Management, Inc. |
Notice Date:05/31/2018 | Claim Due Date:08/29/2018 |
Published date grouping:May 2018 | Notice No.:2018-46 |
Action: In the Matter of Securities America Advisors, Inc. |
Notice Date:05/31/2018 | Claim Due Date:08/29/2018 |
Published date grouping:May 2018 | Notice No.:2018-45 |
Action: SEC v. North Dakota Developments, LLC, Robert L. Gavin, and Daniel J. Hogan |
Notice Date:05/31/2018 | Claim Due Date:08/29/2018 |
Published date grouping:April 2018 | Notice No.:2018-44 |
Action: SEC v. Lucita A. Zamoras |
Notice Date:04/30/2018 | Claim Due Date:07/29/2018 |
Published date grouping:April 2018 | Notice No.:2018-43 |
Action: SEC v. McKinley Mortgage Co. LLC, McKinley Mortgage Company, LLC, Tobias J. Preston, Charles G. Preston, Caleb J. Preston, and Laura A. Sanford |
Notice Date:04/30/2018 | Claim Due Date:07/29/2018 |
Published date grouping:April 2018 | Notice No.:2018-42 |
Action: In the Matter of Voya Investments, LLC and Direct Services LLC |
Notice Date:04/30/2018 | Claim Due Date:07/29/2018 |
Published date grouping:April 2018 | Notice No.:2018-41 |
Action: In the Matter of Maxwell Technologies, Inc., Van M. Andrews, David J. Schramm, and James W. DeWitt, Jr., CPA |
Notice Date:04/30/2018 | Claim Due Date:07/29/2018 |
Published date grouping:April 2018 | Notice No.:2018-40 |
Action: In the Matter of Steven Zoernack and EquityStar Capital Management, LLC |
Notice Date:04/30/2018 | Claim Due Date:07/29/2018 |
Published date grouping:April 2018 | Notice No.:2018-39 |
Action: In the Matter of Merrill Lynch, Pierce, Fenner & Smith Incorporated |
Notice Date:04/30/2018 | Claim Due Date:07/29/2018 |
Published date grouping:April 2018 | Notice No.:2018-38 |
Action: Matthew W. Fox and Wayne Energy, LLC |
Notice Date:04/30/2018 | Claim Due Date:07/29/2018 |
Published date grouping:April 2018 | Notice No.:2018-37 |
Action: SEC v. Howard B. Present |
Notice Date:04/30/2018 | Claim Due Date:07/29/2018 |
Published date grouping:April 2018 | Notice No.:2018-36 |
Action: SEC v. James Hugh Brennan III; Douglas Albert Dyer; and Broad Street Ventures, LLC |
Notice Date:04/30/2018 | Claim Due Date:07/29/2018 |
Published date grouping:April 2018 | Notice No.:2018-35 |
Action: SEC v. Revolutions Medical Corp. and Rondald L. Wheet |
Notice Date:04/30/2018 | Claim Due Date:07/29/2018 |
Published date grouping:March 2018 | Notice No.:2018-34 |
Action: SEC v. JSG Capital Investments, LLC, JSG Capital, LLC, JSG Capital, LLC, JSG Enterprises, LLC, Jaswants S. Gill, and Javier Rios |
Notice Date:03/30/2018 | Claim Due Date:06/28/2018 |
Published date grouping:March 2018 | Notice No.:2018-33 |
Action: SEC v. Kevin J. Amell |
Notice Date:03/30/2018 | Claim Due Date:06/28/2018 |
Published date grouping:March 2018 | Notice No.:2018-32 |
Action: In the Matter of New York Stock Exchange LLC, NYSE American LLC, and NYSE Arca, Inc. |
Notice Date:03/30/2018 | Claim Due Date:06/28/2018 |
Published date grouping:March 2018 | Notice No.:2018-31 |
Action: In the Matter of Deutsche Bank Securities Inc. and Benjamin Solomon |
Notice Date:03/30/2018 | Claim Due Date:06/28/2018 |
Published date grouping:March 2018 | Notice No.:2018-30 |
Action: SEC v. James P. Griffin, John Wolle, 54Freedom Inc., 54Freedom Securities Inc., 54Freedom Tele Inc., MoneyIns Inc., 54Freedom Foundation Inc., 5 Ledyard Avenue LLC, 5 Ledyard Corporation, and IICNet LLC |
Notice Date:03/30/2018 | Claim Due Date:06/28/2018 |
Published date grouping:March 2018 | Notice No.:2018-29 |
Action: SEC v. Steven Ventre, Dedicated Sound and Audio, Inc., Eric Lovy f/k/a Eric Beltran, and Choice Equity |
Notice Date:03/30/2018 | Claim Due Date:06/28/2018 |
Published date grouping:March 2018 | Notice No.:2018-28 |
Action: In the Matter of Wedbush Securities Inc. |
Notice Date:03/30/2018 | Claim Due Date:06/28/2018 |
Published date grouping:March 2018 | Notice No.:2018-27 |
Action: SEC v. Matthew D. Sample |
Notice Date:03/30/2018 | Claim Due Date:06/28/2018 |
Published date grouping:March 2018 | Notice No.:2018-26 |
Action: SEC v. LottoNet Operating Corp., David Gray, Joseph Vitale a/k/a Donovan Kelly |
Notice Date:03/30/2018 | Claim Due Date:06/28/2018 |
Published date grouping:March 2018 | Notice No.:2018-25 |
Action: SEC v. Daniel P. McKelvey, Alvin S. Mirman, Steven Sanders, Scott F. Hughes, Jeffrey L. Lamson, and Edward G. Sanders |
Notice Date:03/30/2018 | Claim Due Date:06/28/2018 |
Published date grouping:March 2018 | Notice No.:2018-24 |
Action: SEC v. Ariel Quiros, William Stenger, Jay Peak, Inc., Q Resorts, Inc., Jay Peak Hotel Suites L.P., Jay Peak Hotel Suites Phase II L.P., Jay Peak Management, Inc., Jay Peak Penthouse Suites L.P., Jay Peak GP Services, Inc., Jay Peak Golf and Mountain Suites L.P., Jay Peak GP Services Golf, Inc., Jay Peak Lodge and Townhouses L.P., Jay Peak GP Services Lodge, Inc., Jay Peak Hotel Suites Stateside L.P., Jay Peak GP Services Stateside, Inc., Jay Peak Biomedical Research Park, L.P., AnC Bio Vermont GP Services, LLC |
Notice Date:03/30/2018 | Claim Due Date:06/28/2018 |
Published date grouping:March 2018 | Notice No.:2018-23 |
Action: SEC v. James C. Howard III, Michael R. Casey, and Louis N. Gallo III |
Notice Date:03/30/2018 | Claim Due Date:06/28/2018 |
Published date grouping:February 2018 | Notice No.:2018-17 |
Action: SEC v. U.S. EB-5 Investments LLC, Oakland Office Holdings LLC, B.X Wok Construction LLC, US Investment LLC d/b/a US Investment FL LLC, Top Sun Energy LLC, Ocean Blvd. Family Limited Partnership, Ltd., B.X Property Management LLC, US1 Real Estate Developments, LLC, and Investor Asset Protection, LLC |
Notice Date:02/28/2018 | Claim Due Date:05/29/2018 |
Published date grouping:February 2018 | Notice No.:2018-21 |
Action: SEC v. Thomas Edward Andrews and Scott Walter Christensen |
Notice Date:02/28/2018 | Claim Due Date:05/29/2018 |
Published date grouping:February 2018 | Notice No.:2018-20 |
Action: SEC v. Marquis Properties, LLC, Chad Deucher, and Richard Clatfelter |
Notice Date:02/28/2018 | Claim Due Date:05/29/2018 |
Published date grouping:February 2018 | Notice No.:2018-19 |
Action: SEC v. Peter R. Kohli, DMS Advisors, Inc., Marshad Capital Group, Inc. |
Notice Date:02/28/2018 | Claim Due Date:05/29/2018 |
Published date grouping:February 2018 | Notice No.:2018-18 |
Action: SEC v. Brian A. Bjork; Estate of Joel David Salinas; J. David Group of Companies, Inc.; J. David Financial Group, L.P.; Select Asset Management, LLC; Select Capital Management, LLC; Select Asset Fund I, LLC; and Select Asset Prime Index Fund, LLC |
Notice Date:02/28/2018 | Claim Due Date:05/29/2018 |
Published date grouping:February 2018 | Notice No.:2018-22 |
Action: SEC v. Michael L. Hudson |
Notice Date:02/28/2018 | Claim Due Date:05/29/2018 |
Published date grouping:February 2018 | Notice No.:2018-16 |
Action: In the Matter of Industrial and Commercial Bank of China Financial Services LLC |
Notice Date:02/28/2018 | Claim Due Date:05/29/2018 |
Published date grouping:February 2018 | Notice No.:2018-15 |
Action: SEC v. David B. Kaplan, Esq., Synchronized Organizational Solutions, LLC, Synchronized Organizational Solutions International, Ltd., and Manna International Enterprises, Inc. |
Notice Date:02/28/2018 | Claim Due Date:05/29/2018 |
Published date grouping:February 2018 | Notice No.:2018-14 |
Action: SEC v. Hadsell Chemical Processing, LLC and Robert Walton, Jr. |
Notice Date:02/28/2018 | Claim Due Date:05/29/2018 |
Published date grouping:February 2018 | Notice No.:2018-13 |
Action: SEC v. Geoffrey H. Lunn, Darlene A. Bishop, and Vincent G. Curry |
Notice Date:02/28/2018 | Claim Due Date:05/29/2018 |
Published date grouping:February 2018 | Notice No.:2018-12 |
Action:
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Notice Date:02/28/2018 | Claim Due Date:05/29/2018 |
Published date grouping:February 2018 | Notice No.:2018-11 |
Action: SEC v. Eric J. McPhail, Douglas A. Parigian, John J. Gilmartin, Douglas Clapp, James A. Drohen, John C. Drohen, and Jamie A. Meadows |
Notice Date:02/28/2018 | Claim Due Date:05/29/2018 |
Published date grouping:January 2018 | Notice No.:2018-10 |
Action: SEC v. John V. Bivona; Saddle River Advisors, LLC; SRA Management Associates, LLC; Frank Gregory Mazzola |
Notice Date:01/31/2018 | Claim Due Date:05/01/2018 |
Published date grouping:January 2018 | Notice No.:2018-9 |
Action: In the Matter of Train, Babcock Advisors LLC |
Notice Date:01/31/2018 | Claim Due Date:05/01/2018 |
Published date grouping:January 2018 | Notice No.:2018-8 |
Action: SEC v. Enviro Board Corporation, Glenn B. Camp, William J. Peiffer, and Joshua D. Mosshart |
Notice Date:01/31/2018 | Claim Due Date:05/01/2018 |
Published date grouping:January 2018 | Notice No.:2018-7 |
Action: In the Matter of Merrill Lynch, Pierce, Fenner & Smith Incorporated |
Notice Date:01/31/2018 | Claim Due Date:05/01/2018 |
Published date grouping:January 2018 | Notice No.:2018-6 |
Action: In the Matter of Ameriprise Financial Services, Inc. |
Notice Date:01/31/2018 | Claim Due Date:05/01/2018 |
Published date grouping:January 2018 | Notice No.:2018-5 |
Action: In the Matter of TPG Capital Advisors, LLC |
Notice Date:01/31/2018 | Claim Due Date:05/01/2018 |
Published date grouping:January 2018 | Notice No.:2018-4 |
Action: SEC v. Jason A. Halek, Joshua D. Spivey, Patrick J. Booths, and Steven J. Little |
Notice Date:01/31/2018 | Claim Due Date:05/01/2018 |
Published date grouping:January 2018 | Notice No.:2018-3 |
Action: SEC v. Team Resources, Inc., Fossil Energy Corporation, Kevin A. Boyles, Philip A. Dressner, Michael Eppy, Andrew Stitt, and John Olivia |
Notice Date:01/31/2018 | Claim Due Date:05/01/2018 |
Published date grouping:January 2018 | Notice No.:2018-2 |
Action: SEC v. Thomas J. Buck |
Notice Date:01/31/2018 | Claim Due Date:05/01/2018 |
Published date grouping:January 2018 | Notice No.:2018-1 |
Action: SEC v. Boston Trading and Research, LLC, Ahmet Devrim Akyil, and Craig Karlis |
Notice Date:01/31/2018 | Claim Due Date:05/01/2018 |
Published date grouping:December 2017 | Notice No.:2017-175 |
Action: SEC v. Naris Chamroonrat, Yaniv Avnon, Ran Armon, G Six Trading Y.R. Ltd., and Adam L. Plumer, and NKO Holdings Co. Ltd. |
Notice Date:12/29/2017 | Claim Due Date:03/29/2018 |
Published date grouping:December 2017 | Notice No.:2017-174 |
Action: SEC v. Ming Zhao and Liping Zhu |
Notice Date:12/29/2017 | Claim Due Date:03/29/2018 |
Published date grouping:December 2017 | Notice No.:2017-173 |
Action: SEC v. Penn West Petroleum Ltd., d/b/a Obsidian Energy Ltd., Todd H. Takeyasu, Jeffery A. Curran, and Waldemar Grab |
Notice Date:12/29/2017 | Claim Due Date:03/29/2018 |
Published date grouping:December 2017 | Notice No.:2017-172 |
Action: SEC v. Osiris Therapeutics, Inc., Philip R. Jacoby, Jr., Gregory I. Law, Lode B. Debrabandere, Bobby Dwayne Montgomery |
Notice Date:12/29/2017 | Claim Due Date:03/29/2018 |
Published date grouping:December 2017 | Notice No.:2017-171 |
Action: In the Matter of Wells Fargo Advisors, LLC |
Notice Date:12/29/2017 | Claim Due Date:03/29/2018 |
Published date grouping:December 2017 | Notice No.:2017-170 |
Action: SEC v. Imperial Petroleum, Inc., Jeffrey Wilson, Craig Ducey, Chad Ducey, Brian Carmichael, Joseph Furando, Evelyn Katirina Pattison (a/k/a Katirina Tracy), Caravan Trading, LLC, CIMA Green, LLC, and CIMA Energy Group |
Notice Date:12/29/2017 | Claim Due Date:03/29/2018 |
Published date grouping:December 2017 | Notice No.:2017-169 |
Action: SEC v. Capital Financial Partners, LLC, Capital Financial Holdings, LLC, Capital Financial Partners Enterprises, LLC, William D. Allen and Susan C. Daub |
Notice Date:12/29/2017 | Claim Due Date:03/29/2018 |
Published date grouping:November 2017 | Notice No.:2017-168 |
Action: SEC v. Dwight Shane Baldwin and Silverleaf Financial, LLC |
Notice Date:11/30/2017 | Claim Due Date:02/28/2018 |
Published date grouping:November 2017 | Notice No.:2017-167 |
Action: In the Matter of Henry Lin-Han Jan In the Matter of Artemus Mayor |
Notice Date:11/30/2017 | Claim Due Date:02/28/2018 |
Published date grouping:November 2017 | Notice No.:2017-166 |
Action: SEC v. Renwick Haddow, Bar Works, Inc., Bar Works 7th Avenue, Inc., and Bitcoin Store, Inc. |
Notice Date:11/30/2017 | Claim Due Date:02/28/2018 |
Published date grouping:November 2017 | Notice No.:2017-165 |
Action: SEC v. Haena Park |
Notice Date:11/30/2017 | Claim Due Date:02/28/2018 |
Published date grouping:November 2017 | Notice No.:2017-164 |
Action: In the Matter of UBS Financial Services Inc. |
Notice Date:11/30/2017 | Claim Due Date:02/28/2018 |
Published date grouping:November 2017 | Notice No.:2017-163 |
Action: SEC v. The Leonard Vincent Group, Leonard Vincent Lombardo, and Brian A. Hudlin |
Notice Date:11/30/2017 | Claim Due Date:02/28/2018 |
Published date grouping:November 2017 | Notice No.:2017-162 |
Action: SEC v. International Stock Transfer, Inc., and Cecil Franklin Speight |
Notice Date:11/30/2017 | Claim Due Date:02/28/2018 |
Published date grouping:November 2017 | Notice No.:2017-161 |
Action: SEC v. JustInfo LLC, David Weddle, and Scott Allensworth |
Notice Date:11/30/2017 | Claim Due Date:02/28/2018 |
Published date grouping:November 2017 | Notice No.:2017-160 |
Action: In the Matter of Augustine Capital Management, LLC (f/k/a Augustine Capital Management, Inc.), John T. Porter, and Thomas F. Duszynski, CPA |
Notice Date:11/30/2017 | Claim Due Date:02/28/2018 |
Published date grouping:November 2017 | Notice No.:2017-159 |
Action: SEC v. The Estate of Vincent James Saviano and Palmetto Investments, LLC |
Notice Date:11/30/2017 | Claim Due Date:02/28/2018 |
Published date grouping:October 2017 | Notice No.:2017-158 |
Action: SEC v. Louis Martin Blazer, III |
Notice Date:10/31/2017 | Claim Due Date:01/29/2018 |
Published date grouping:October 2017 | Notice No.:2017-157 |
Action: SEC v. Edward Bronson and E-Lionheart Associates, LLC d/b/a Fairhills Capital |
Notice Date:10/31/2017 | Claim Due Date:01/29/2018 |
Published date grouping:October 2017 | Notice No.:2017-156 |
Action: SEC v. Charles C. Liu; Xin Wang a/k/a Lisa Want; Pacific Proton Therapy Regional Center, LLC; Pacific Proton EB-5 Fund, LLC; and Beverly Proton Center, LLC f/k/a Los Angeles Country Proton Therapy, LLC |
Notice Date:10/31/2017 | Claim Due Date:01/29/2018 |
Published date grouping:October 2017 | Notice No.:2017-155 |
Action: In the Matter of Platinum Equity Advisors, LLC |
Notice Date:10/31/2017 | Claim Due Date:01/29/2018 |
Published date grouping:October 2017 | Notice No.:2017-154 |
Action: SEC v. Peter L. Jensen and Thomas C. Tekulve, Jr. |
Notice Date:10/31/2017 | Claim Due Date:01/29/2018 |
Published date grouping:October 2017 | Notice No.:2017-153 |
Action: In the Matter of Telia Company AB |
Notice Date:10/31/2017 | Claim Due Date:01/29/2018 |
Published date grouping:October 2017 | Notice No.:2017-152 |
Action: SEC v. Ahmad Fnaikher Alyasin and Optima Global Financial, Inc. |
Notice Date:10/31/2017 | Claim Due Date:01/29/2018 |
Published date grouping:October 2017 | Notice No.:2017-151 |
Action: SEC v. James G. Temme, and Stewardship Funds, LP |
Notice Date:10/31/2017 | Claim Due Date:01/29/2018 |
Published date grouping:October 2017 | Notice No.:2017-150 |
Action: SEC v. Thomas Abdallah (a.k.a. Tom Abraham), Kenneth Grant, KGTA Petroleum, Ltd., Mark M. George, Jeffrey L. Gainer, and Jerry A. Cicolani, Jr. |
Notice Date:10/31/2017 | Claim Due Date:01/29/2018 |
Published date grouping:October 2017 | Notice No.:2017-149 |
Action: In the Matter of Alere Inc. |
Notice Date:10/31/2017 | Claim Due Date:01/29/2018 |
Published date grouping:October 2017 | Notice No.:2017-148 |
Action: SEC v. Aegerion Pharmaceuticals, Inc. |
Notice Date:10/31/2017 | Claim Due Date:01/29/2018 |
Published date grouping:October 2017 | Notice No.:2017-147 |
Action: In the Matter of SunTrust Investment Services, Inc. |
Notice Date:10/31/2017 | Claim Due Date:01/29/2018 |
Published date grouping:October 2017 | Notice No.:2017-146 |
Action: SEC v. Optimum Income Property, LLC, Optimum Property Investments, LLC and Frank E. Lleras |
Notice Date:10/31/2017 | Claim Due Date:01/29/2018 |
Published date grouping:September 2017 | Notice No.:2017-145 |
Action: SEC v. Wensheng Lin and Sheng Li Chen |
Notice Date:09/29/2017 | Claim Due Date:12/28/2017 |
Published date grouping:September 2017 | Notice No.:2017-144 |
Action: In the Matter of Banca IMI Securities Corp. |
Notice Date:09/29/2017 | Claim Due Date:12/28/2017 |
Published date grouping:September 2017 | Notice No.:2017-143 |
Action: SEC v. Jay Belson, Smarte Real Estate Investments, Inc., Jack Rockman, LLC, John Blackstone LLC, Residence at St. Ives, LLC, and Bellagio Place Residence, LLC |
Notice Date:09/29/2017 | Claim Due Date:12/28/2017 |
Published date grouping:September 2017 | Notice No.:2017-142 |
Action: SEC v. Hui Feng and Law Offices of Feng & Associates P.C. |
Notice Date:09/29/2017 | Claim Due Date:12/28/2017 |
Published date grouping:September 2017 | Notice No.:2017-141 |
Action: In the Matter of Vertical Capital Asset Management, LLC, Vertical Fund Group, Inc., Vertical Recovery Management, LLC, Gustavo A. Altuzarra, and Christopher R. Chase |
Notice Date:09/29/2017 | Claim Due Date:12/28/2017 |
Published date grouping:September 2017 | Notice No.:2017-140 |
Action: In the Matter of Deerfield Management Company, L.P. |
Notice Date:09/29/2017 | Claim Due Date:12/28/2017 |
Published date grouping:September 2017 | Notice No.:2017-139 |
Action: SEC v. Inteligentry, Ltd., PlasmERG, Inc., and John P. Rohner |
Notice Date:09/29/2017 | Claim Due Date:12/28/2017 |
Published date grouping:September 2017 | Notice No.:2017-138 |
Action: SEC v. Darrell Glenn Hardaway and Hardaway Net-Works, Inc. |
Notice Date:09/29/2017 | Claim Due Date:12/28/2017 |
Published date grouping:September 2017 | Notice No.:2017-137 |
Action: SEC v. Hidalgo Mining Corp., John W. Boyer, and Joshua F. McAlees |
Notice Date:09/29/2017 | Claim Due Date:12/28/2017 |
Published date grouping:September 2017 | Notice No.:2017-136 |
Action: In the Matter of Allen Chi |
Notice Date:09/29/2017 | Claim Due Date:12/28/2017 |
Published date grouping:September 2017 | Notice No.:2017-128 |
Action: In the Matter of KPMG LLP and John Riordan, CPA |
Notice Date:09/29/2017 | Claim Due Date:12/28/2017 |
Published date grouping:September 2017 | Notice No.:2017-129 |
Action: In the Matter of Ironridge Global Partners, LLC, and Ironridge Global IV, Ltd. |
Notice Date:09/29/2017 | Claim Due Date:12/28/2017 |
Published date grouping:September 2017 | Notice No.:2017-130 |
Action: SEC v. Southridge Capital Management LLC, Southridge Advisors LLC, and Stephen M. Hicks |
Notice Date:09/29/2017 | Claim Due Date:12/28/2017 |
Published date grouping:September 2017 | Notice No.:2017-131 |
Action: In the Matter of State Street Global Markets, LLC, State Street Global Advisors Funds Distributors, LLC, and State Street Bank and Trust Company |
Notice Date:09/29/2017 | Claim Due Date:12/28/2017 |
Published date grouping:September 2017 | Notice No.:2017-132 |
Action: In the Matter of State Street Bank and Trust Company |
Notice Date:09/29/2017 | Claim Due Date:12/28/2017 |
Published date grouping:September 2017 | Notice No.:2017-133 |
Action: SEC v. Louis T. Buonocore, Jeremy R. Draper, Frank J. Morelli, III, Berardino “Dino” Paolucci, Jr., and Don L. Rose |
Notice Date:09/29/2017 | Claim Due Date:12/28/2017 |
Published date grouping:September 2017 | Notice No.:2017-134 |
Action: SEC v. Donald J. Lester, Rubicon Alliance, LLC, CFI Fund, LLC, and NuPower, LLC |
Notice Date:09/29/2017 | Claim Due Date:12/28/2017 |
Published date grouping:September 2017 | Notice No.:2017-135 |
Action: In the Matter of Coachman Energy Partners LLC and Randall D. Kenworthy |
Notice Date:09/29/2017 | Claim Due Date:12/28/2017 |
Published date grouping:August 2017 | Notice No.:2017-123 |
Action: SEC v. Trudy R. Gilmond |
Notice Date:08/31/2017 | Claim Due Date:11/29/2017 |
Published date grouping:August 2017 | Notice No.:2017-122 |
Action: SEC v. Andrew I. Farmer, Charles E. Grob, Jr., Carolyn Austin, Baldemar P. Rios, and Chimera Energy Corp. |
Notice Date:08/31/2017 | Claim Due Date:11/29/2017 |
Published date grouping:August 2017 | Notice No.:2017-121 |
Action: SEC v. Joey Stanton Dodson |
Notice Date:08/31/2017 | Claim Due Date:11/29/2017 |
Published date grouping:August 2017 | Notice No.:2017-120 |
Action: SEC v. Thomas J. Lawler and Freedom Foundation USA LLC dba Freedom Club USA |
Notice Date:08/31/2017 | Claim Due Date:11/29/2017 |
Published date grouping:August 2017 | Notice No.:2017-124 |
Action: SEC v. Christopher J. Hall |
Notice Date:08/31/2017 | Claim Due Date:11/29/2017 |
Published date grouping:August 2017 | Notice No.:2017-125 |
Action: In the Matter of Halliburton Company and Jeannot Lorenz |
Notice Date:08/31/2017 | Claim Due Date:11/29/2017 |
Published date grouping:August 2017 | Notice No.:2017-126 |
Action: SEC v. Marcus A Luna, Norrell L. Walker, Paul L. Gomez, and Dustin S. Smith |
Notice Date:08/31/2017 | Claim Due Date:11/29/2017 |
Published date grouping:August 2017 | Notice No.:2017-127 |
Action: In the Matter of Cadaret, Grant & Co., Inc. |
Notice Date:08/31/2017 | Claim Due Date:11/29/2017 |
Published date grouping:July 2017 | Notice No.:2017-118 |
Action: SEC v. Marc D. Broidy and Broidy Wealth Advisors, LLC |
Notice Date:07/31/2017 | Claim Due Date:10/29/2017 |
Published date grouping:July 2017 | Notice No.:2017-117 |
Action: SEC v. Sigma Capital Management, LLC |
Notice Date:07/31/2017 | Claim Due Date:10/29/2017 |
Published date grouping:July 2017 | Notice No.:2017-116 |
Action: SEC v. Renato Rodriguez and Gutemberg Dos Santos |
Notice Date:07/31/2017 | Claim Due Date:10/29/2017 |
Published date grouping:July 2017 | Notice No.:2017-115 |
Action: SEC v. Yu-Cheng Lin, a/k/a Believe Lin |
Notice Date:07/31/2017 | Claim Due Date:10/29/2017 |
Published date grouping:July 2017 | Notice No.:2017-114 |
Action: SEC v. Ascenergy LLC and Joseph (a/k/a Joey) Gabaldon |
Notice Date:07/31/2017 | Claim Due Date:10/29/2017 |
Published date grouping:July 2017 | Notice No.:2017-113 |
Action: SEC v. Kingdom Legacy General Partner, LLC and Mark C. Northrop |
Notice Date:07/31/2017 | Claim Due Date:10/29/2017 |
Published date grouping:July 2017 | Notice No.:2017-112 |
Action: SEC v. Thomas D. Melvin, Michael S. Cain, Joel C. Jinks and Peter C. Doffing |
Notice Date:07/31/2017 | Claim Due Date:10/29/2017 |
Published date grouping:July 2017 | Notice No.:2017-119 |
Action: In the Matter of Joel Corenman In the Matter of Galena Biopharma, Inc. and Mark J. Ahn In the Matter of Craig Keolanui In the Matter of Lion Biotechnologies, Inc. In the Matter of Edward Borrelli and Dunedin, Inc. In the Matter of Stephen Ramey In the Matter of Michael A. McCarthy, The DreamTeam Group, LLC, Mission Investor Relations, LLC, and QualityStocks LLC In the Matter of Ciaran Thornton In the Matter of Manish Singh and Lavos, LLC In the Matter of Christopher French |
Notice Date:07/31/2017 | Claim Due Date:10/29/2017 |
Published date grouping:June 2017 | Notice No.:2017-111 |
Action: SEC v. Charles C. Slowey, Jr. Endeavor Partners, LLC; Endeavor Capital Management Group, LLC; Edward D. Puttick, Sr.; Advanced Planning Securities, Inc. Gregory L. Oldham; Glenn R. Harris; and Oldham Harris, Inc. |
Notice Date:06/30/2017 | Claim Due Date:09/28/2017 |
Published date grouping:June 2017 | Notice No.:2017-110 |
Action: SEC v. Diversified Lending Group, Inc.; Applied Equities, Inc. and Bruce Friedman |
Notice Date:06/30/2017 | Claim Due Date:09/28/2017 |
Published date grouping:June 2017 | Notice No.:2017-109 |
Action: SEC v. Serofim Muroff, Blackhawk Manager, LLC, ISR Capital, LLC, Equity Recap Account, LLC and Debra L. Riddle |
Notice Date:06/30/2017 | Claim Due Date:09/28/2017 |
Published date grouping:June 2017 | Notice No.:2017-108 |
Action: In the Matter of Miles S. Nadal |
Notice Date:06/30/2017 | Claim Due Date:09/28/2017 |
Published date grouping:June 2017 | Notice No.:2017-107 |
Action: SEC v. Leon G. Cooperman and Omega Advisors, Inc. |
Notice Date:06/30/2017 | Claim Due Date:09/28/2017 |
Published date grouping:June 2017 | Notice No.:2017-106 |
Action: SEC v. William R. Schantz III and Verto Capital Management LLC |
Notice Date:06/30/2017 | Claim Due Date:09/28/2017 |
Published date grouping:June 2017 | Notice No.:2017-105 |
Action: In the Matter of Barclays Capital, Inc. |
Notice Date:06/30/2017 | Claim Due Date:09/28/2017 |
Published date grouping:June 2017 | Notice No.:2017-104 |
Action: SEC v. BIC Real Estate Development Corporation and Daniel R. Nase, indivudally and d/b/a Bakersfield Investment Club |
Notice Date:06/30/2017 | Claim Due Date:09/28/2017 |
Published date grouping:June 2017 | Notice No.:2017-103 |
Action: SEC v. Iat Hong, Bo Zheng, and Hung Chin |
Notice Date:06/30/2017 | Claim Due Date:09/28/2017 |
Published date grouping:June 2017 | Notice No.:2017-102 |
Action: In the Matter of Barclays Capital Inc. In the Matter of Yoon Seok Lee In the Matter of David F. Wong |
Notice Date:06/30/2017 | Claim Due Date:09/28/2017 |
Published date grouping:June 2017 | Notice No.:2017-101 |
Action: SEC v. Carl Keith Battie |
Notice Date:06/30/2017 | Claim Due Date:09/28/2017 |
Published date grouping:June 2017 | Notice No.:2017-100 |
Action: SEC v. Seth Eber, Howard Ettelman, Ronny J. Halperin, Charles Hansen, III, Melissa K. Rice, Luz Rodriguez, and Kevin D. Sepe |
Notice Date:06/30/2017 | Claim Due Date:09/28/2017 |
Published date grouping:June 2017 | Notice No.:2017-99 |
Action: SEC v. Homero Joshua Garza, GAW Miners, LLC and ZenMiner (d/b/a Zen Cloud) |
Notice Date:06/30/2017 | Claim Due Date:09/28/2017 |
Published date grouping:June 2017 | Notice No.:2017-98 |
Action: SEC v. TelexFree, Inc., TelexFree, LLC, James M. Merrill, Carlos N. Wanzeler, Steven M. Labriola, Joseph H. Craft, Sanderley Rodrigues de Vasconcelos, Santiago de al Rosa, Randy N. Crosby and Faith R. Sloan |
Notice Date:06/30/2017 | Claim Due Date:09/28/2017 |
Published date grouping:June 2017 | Notice No.:2017-97 |
Action: SEC v. Francisco Illarramendi and Michael Kenwood Capital Management, LLC |
Notice Date:06/30/2017 | Claim Due Date:09/28/2017 |
Published date grouping:May 2017 | Notice No.:2017-96 |
Action: In the Matter of MagnaChip Semiconductor Corporation and Maragret Hye-Ryoung Sakai, CPA |
Notice Date:05/31/2017 | Claim Due Date:08/29/2017 |
Published date grouping:May 2017 | Notice No.:2017-95 |
Action: In the Matter of BlackRock Fund Advisors |
Notice Date:05/31/2017 | Claim Due Date:08/29/2017 |
Published date grouping:May 2017 | Notice No.:2017-94 |
Action: In the Matter of Calvert Investment Distributors, Inc. and Calvert Investment Management, Inc. |
Notice Date:05/31/2017 | Claim Due Date:08/29/2017 |
Published date grouping:May 2017 | Notice No.:2017-93 |
Action: SEC v. McGinn Smith & Co., Inc., McGinn Smith Advisors, LLC, McGinn, Smith Capital Holdings Corp., First Advisory Income Notes, LLC, First Excelsior Income Notes LLC, Third Albany Income Notes, LLC, Timothy M. McGinn, David L. Smith, Lynn A. Smith, Geoffrey R. Smith, Lauren T. Smith, and Nancy McGinn |
Notice Date:05/31/2017 | Claim Due Date:08/29/2017 |
Published date grouping:May 2017 | Notice No.:2017-92 |
Action: SEC v. Scott Allen and John Michael Bennett |
Notice Date:05/31/2017 | Claim Due Date:08/29/2017 |
Published date grouping:May 2017 | Notice No.:2017-91 |
Action: SEC v. Janus Spectrum LLC; David Alcorn; Kent Maerki; Dominion Private Client Group, LLC; Janus Spectrum Group, LLC; Spectrum Management, LLC; Spectrum 100, LLC; Spectrum 100 Management, LLC; Prime Spectrum, LLC; Prime Spectrum Management, LLC; Daryl G. Bank; Premier Spectrum Group, PMA; Bobby D. Jones; Innovative Group, PMA; Premier Group, PMA; Prosperity Group, PMA; Terry W. Johnson; and Raymon G. Chadwick, Jr. |
Notice Date:05/31/2017 | Claim Due Date:08/29/2017 |
Published date grouping:May 2017 | Notice No.:2017-90 |
Action: SEC v. Global Express Capital Real Estate Investment Fund I, LLC; Global Express Capital Mortgage Corp.; Global Express Securities, Inc.; Connie S. Farris; and Dawn M. Reese |
Notice Date:05/31/2017 | Claim Due Date:08/29/2017 |
Published date grouping:May 2017 | Notice No.:2017-89 |
Action: SEC v. Herman Ronnie Young, Jr. d/b/a Race Cycler |
Notice Date:05/31/2017 | Claim Due Date:08/29/2017 |
Published date grouping:May 2017 | Notice No.:2017-87 |
Action: SEC v. Michael Andre Jones |
Notice Date:05/31/2017 | Claim Due Date:08/29/2017 |
Published date grouping:May 2017 | Notice No.:2017-86 |
Action: SEC v. Provident Capital Indemnity, LTD., Minor Vargas Calvo, and Jorge L. Castillo |
Notice Date:05/31/2017 | Claim Due Date:08/29/2017 |
Published date grouping:May 2017 | Notice No.:2017-85 |
Action: SEC v. Todd Farha, Paul Behrens, and Thaddeus Bereday |
Notice Date:05/31/2017 | Claim Due Date:08/29/2017 |
Published date grouping:May 2017 | Notice No.:2017-88 |
Action: In the Matter of Credit Suisse Securities (USA) LLC In the Matter of Sanford Michael Katz |
Notice Date:05/31/2017 | Claim Due Date:08/29/2017 |
Published date grouping:May 2017 | Notice No.:2017-84 |
Action: SEC v. Mercury Interactive, LLC (F/K/A Mercury Interactive, Inc.), Amnon Landan, Sharlene Abrams, Douglas Smith and Susan Skaer |
Notice Date:05/31/2017 | Claim Due Date:08/29/2017 |
Published date grouping:May 2017 | Notice No.:2017-83 |
Action: SEC v. Jeffrey A. McCollum and JNL Oilfield Instruments, LLC |
Notice Date:05/31/2017 | Claim Due Date:08/29/2017 |
Published date grouping:May 2017 | Notice No.:2017-82 |
Action: SEC v. Marco A. Ramirez; Bebe Ramirez; USA Now, LLC, USA Now Energy Capital Group, LP; and Now Co. Loan Services LLC |
Notice Date:05/31/2017 | Claim Due Date:08/29/2017 |
Published date grouping:May 2017 | Notice No.:2017-81 |
Action: In the Matter of William Blair & Company, LLC |
Notice Date:05/31/2017 | Claim Due Date:08/29/2017 |
Published date grouping:May 2017 | Notice No.:2017-80 |
Action: SEC v. Thomas J. Connerton and Safety Technologies, LLC |
Notice Date:05/31/2017 | Claim Due Date:08/29/2017 |
Published date grouping:April 2017 | Notice No.:2017-79 |
Action: In the Matter of Voya Financial Advisors, Inc. |
Notice Date:04/28/2017 | Claim Due Date:07/27/2017 |
Published date grouping:April 2017 | Notice No.:2017-78 |
Action: SEC v. Path America, LLC; Path America SnoCo LLC; Path America Farmer's Market, LP; Path America KingCo LLC; Path America Tower, LP; Path Tower Seattle, LP; Potala Tower Seattle, LLC; and Lobsang Dargey |
Notice Date:04/28/2017 | Claim Due Date:07/27/2017 |
Published date grouping:April 2017 | Notice No.:2017-77 |
Action: In the Matter of Bennett Group Financial Services, LLC, and Dawn J. Bennett |
Notice Date:04/28/2017 | Claim Due Date:07/27/2017 |
Published date grouping:April 2017 | Notice No.:2017-76 |
Action: In the Matter of Louis Capital Markets, LP |
Notice Date:04/28/2017 | Claim Due Date:07/27/2017 |
Published date grouping:April 2017 | Notice No.:2017-75 |
Action: SEC vs. Gregory W. Gray, Jr., Archipel Capital LLC, BIM Management LP |
Notice Date:04/28/2017 | Claim Due Date:07/27/2017 |
Published date grouping:April 2017 | Notice No.:2017-74 |
Action: SEC vs. Harold Bailey "B.J." Gallison, II (A.K.A. Bart Williams, Moneyline Brokers, Bastille Advisors, Inc., Club Consultants Inc., Jurojin, Inc., Sandias Azucaradas CR, S.A., Vanilla Sky, S.A., Roger G. Coleman, Sr., Ann "Anna" M. Hiskey, Robin M. Rushing, David K. Rushing, Michael J. Randles, Warrior Girl Corp., Carl H. Kruse, Sr., Carl H. Kruse Jr., (A.K.A. Carl Kruse-Velasquez), Allan M. Migdall, Nature's Peak F.K.A. Everock, Inc., Frank J. Zangara, Mark S. Dresner, Charles "Chuck" S. Moeller, Robert S. Oppenheimer, Antonio ("Tony" or "Anthony") J. Katz, Richard S. Roon, Fryn Canyon Corporation, L.F. Technology Group LLC, Starburst Innovations LLC, Tachion Projects, Inc., B.H.I. Group, Inc., U D F Consulting Inc., Digital Edge Marketing LLC, Core Business One, Inc., Spectrum Research Group Inc., Oceanic Consulting LLC, and Akat Global LLC |
Notice Date:04/28/2017 | Claim Due Date:07/27/2017 |
Published date grouping:April 2017 | Notice No.:2017-73 |
Action: SEC v. Warren D. Nadel, Warren D. Nadel & Co. and Registered Investment Advisers, LLC |
Notice Date:04/28/2017 | Claim Due Date:07/27/2017 |
Published date grouping:April 2017 | Notice No.:2017-72 |
Action: SEC v. Steve Chen, USFIA, Inc., Alliance Financial Group, Inc., Amauction, Inc., Aborell MGMT I, LLC, Aborell Advisors I, LLC, Aborell REIT II, LLC, Ahome Real Estate, LLC, Alliance NGN, Inc., Apollo REIT I, Inc., Apollo REIT II, LLC, Amkey Inc., US China Consultation Association, and Quail Ranch Golf Course, LLC |
Notice Date:04/28/2017 | Claim Due Date:07/27/2017 |
Published date grouping:April 2017 | Notice No.:2017-71 |
Action: SEC v. Notis Global, Inc. (f/k/a MedBox, Inc.), Vincent Mehdizadeh, Bruce Bedrick, Yocelin Legaspi, and New-Age Investment Consulting, Inc. |
Notice Date:04/28/2017 | Claim Due Date:07/27/2017 |
Published date grouping:April 2017 | Notice No.:2017-70 |
Action: SEC v. Nathan Halsey and TexStar Oil Co., Ltd. |
Notice Date:04/28/2017 | Claim Due Date:07/27/2017 |
Published date grouping:April 2017 | Notice No.:2017-69 |
Action: SEC v. Arcturus Corporation, Aschere Energy, LLC, Leon Ali Parvizian a/k/a Alex Parvizian, Alfredo Gonzalez, AMG Energy, LLC, Robert J. Balunas, and R. Thomas & Co., LLC |
Notice Date:04/28/2017 | Claim Due Date:07/27/2017 |
Published date grouping:April 2017 | Notice No.:2017-68 |
Action: In the Matter of Sheldon Rose and MKJJ Consulting LLC |
Notice Date:04/28/2017 | Claim Due Date:07/27/2017 |
Published date grouping:April 2017 | Notice No.:2017-65 |
Action: SEC v. Mark A. Jones |
Notice Date:04/28/2017 | Claim Due Date:07/27/2017 |
Published date grouping:April 2017 | Notice No.:2017-66 |
Action: SEC v. Oscar F. Villarreal |
Notice Date:04/28/2017 | Claim Due Date:07/27/2017 |
Published date grouping:April 2017 | Notice No.:2017-67 |
Action: SEC v. Clayton A. Cohn and Marketaction Advisors, LLC |
Notice Date:04/28/2017 | Claim Due Date:07/27/2017 |
Published date grouping:April 2017 | Notice No.:2017-64 |
Action: SEC v. Matthew E. White, Rodney A. Zehner, Daniel J. Merandi, White Investment Groups and Equities, LLC, the Grand Empire Palace and Resort, LLC, GEPR Investments Trust No. 1, GEPR Investments, LLC, M&M Financial, LLC, and Mountaineer Development & Construction Group, LLC |
Notice Date:04/28/2017 | Claim Due Date:07/27/2017 |
Published date grouping:April 2017 | Notice No.:2017-63 |
Action: SEC v. Lonny S. Bernath |
Notice Date:04/28/2017 | Claim Due Date:07/27/2017 |
Published date grouping:March 2017 | Notice No.:2017-58 |
Action: SEC v. Bruce A. Cole |
Notice Date:03/31/2017 | Claim Due Date:06/29/2017 |
Published date grouping:March 2017 | Notice No.:2017-59 |
Action: SEC v. Robert Seibert, a.k.a. John Grey |
Notice Date:03/31/2017 | Claim Due Date:06/29/2017 |
Published date grouping:March 2017 | Notice No.:2017-60 |
Action: SEC v. Jason Cope, Izak Zirk de Maison (F/K/A Izak Zirk Engelbrecht), Gregory Goldstein, Stephen Wilshinsky, Talman Harris, William Scholander, Jack Tagliaferro, Victor Alfaya, Justin Esposito, Kona Jones Barbera, Louis Mastromatteo, Angelique de Maison, Trish Malone, Kieran T. Kuhn, Peter Voutsas, Ronald Loshin, Gepco, Ltd., Sunatco Ltd., Suprafin Ltd., Worldbridge Partners, Traverse International, and Small Cap Resource Corp. |
Notice Date:03/31/2017 | Claim Due Date:06/29/2017 |
Published date grouping:March 2017 | Notice No.:2017-61 |
Action: SEC v. Raymond H. Barton, William G. Goode, Mathew Charles Briggs, Kenneth Manzo, and Justin Sindelman |
Notice Date:03/31/2017 | Claim Due Date:06/29/2017 |
Published date grouping:March 2017 | Notice No.:2017-62 |
Action: SEC v. Paul A. Garcia, Caliber Capital Management, LLC, Partner Medical Solutions, LLC, Richard T. Woods, and Caliber Partnership I, LLC |
Notice Date:03/31/2017 | Claim Due Date:06/29/2017 |
Published date grouping:March 2017 | Notice No.:2017-57 |
Action: In the Matter of SLRA Inc. as successor entity to Liquid Realty Advisors III, LLC and Scott M. Landress |
Notice Date:03/31/2017 | Claim Due Date:06/29/2017 |
Published date grouping:March 2017 | Notice No.:2017-49 |
Action: In the Matter of Thomas R. Stanley, II |
Notice Date:03/31/2017 | Claim Due Date:06/29/2017 |
Published date grouping:March 2017 | Notice No.:2017-50 |
Action: SEC v. Brian S. Hudnall and JBH Consulting Group LLC |
Notice Date:03/31/2017 | Claim Due Date:06/29/2017 |
Published date grouping:March 2017 | Notice No.:2017-51 |
Action: SEC v. Braskem S.A. |
Notice Date:03/31/2017 | Claim Due Date:06/29/2017 |
Published date grouping:March 2017 | Notice No.:2017-52 |
Action: In the Matter of Jay T. Comeaux |
Notice Date:03/31/2017 | Claim Due Date:06/29/2017 |
Published date grouping:March 2017 | Notice No.:2017-53 |
Action: SEC v. Harrison Schumacher; Paul Mysyk; Quaneco, LLC; and Quantum Energy, LLC |
Notice Date:03/31/2017 | Claim Due Date:06/29/2017 |
Published date grouping:March 2017 | Notice No.:2017-54 |
Action: In the Matter of Overseas Shipholding Group, Inc. and Myles Robert Itkin |
Notice Date:03/31/2017 | Claim Due Date:06/29/2017 |
Published date grouping:March 2017 | Notice No.:2017-55 |
Action: In the Matter of Angel Oak Capital Partners, LLC, Peraza Capital & Investment, LLC, Sreeniwas Prabhu, and David W. Wells |
Notice Date:03/31/2017 | Claim Due Date:06/29/2017 |
Published date grouping:March 2017 | Notice No.:2017-56 |
Action: In the Matter of Morgan Stanley Smith Barney, LLC |
Notice Date:03/31/2017 | Claim Due Date:06/29/2017 |
Published date grouping:February 2017 | Notice No.:2017-26 |
Action: SEC v. Vu H. Le a/k/a Vinh H. Le, and TeamVinh.com LLC |
Notice Date:02/28/2017 | Claim Due Date:05/29/2017 |
Published date grouping:February 2017 | Notice No.:2017-25 |
Action: In the Matter of the Bank of New York Mellon Corporation |
Notice Date:02/28/2017 | Claim Due Date:05/29/2017 |
Published date grouping:February 2017 | Notice No.:2017-24 |
Action: SEC v. Christopher R. Esposito, Anthony Jay Pignatello, James Gondolfe, Renee Galizio, Lionshare Ventures LLC, and Cannabiz Mobile, Inc. |
Notice Date:02/28/2017 | Claim Due Date:05/29/2017 |
Published date grouping:February 2017 | Notice No.:2017-27 |
Action: SEC v. James M. Louks and FiberPoP Solutions, Inc. |
Notice Date:02/28/2017 | Claim Due Date:05/29/2017 |
Published date grouping:February 2017 | Notice No.:2017-28 |
Action: SEC v. Robert DeWayne Milligan |
Notice Date:02/28/2017 | Claim Due Date:05/29/2017 |
Published date grouping:February 2017 | Notice No.:2017-29 |
Action: In the Matter of Citigroup Global Markets, Inc. |
Notice Date:02/28/2017 | Claim Due Date:05/29/2017 |
Published date grouping:February 2017 | Notice No.:2017-30 |
Action: SEC v. AJN Investments, LLC and Jason Adam Ogden |
Notice Date:02/28/2017 | Claim Due Date:05/29/2017 |
Published date grouping:February 2017 | Notice No.:2017-31 |
Action: In the Matter of Cadbury Limited and Mondelēz International, Inc |
Notice Date:02/28/2017 | Claim Due Date:05/29/2017 |
Published date grouping:February 2017 | Notice No.:2017-32 |
Action: In the Matter of Orthofix International N.V. |
Notice Date:02/28/2017 | Claim Due Date:05/29/2017 |
Published date grouping:February 2017 | Notice No.:2017-33 |
Action: SEC v. Oxford City Football Club, Inc., and Thomas Anthony Guerriero |
Notice Date:02/28/2017 | Claim Due Date:05/29/2017 |
Published date grouping:February 2017 | Notice No.:2017-34 |
Action: In the Matter of Citadel Securities LLC |
Notice Date:02/28/2017 | Claim Due Date:05/29/2017 |
Published date grouping:February 2017 | Notice No.:2017-35 |
Action: In the Matter of Biomet, Inc. |
Notice Date:02/28/2017 | Claim Due Date:05/29/2017 |
Published date grouping:February 2017 | Notice No.:2017-36 |
Action: SEC v. Gregg R. Mulholland |
Notice Date:02/28/2017 | Claim Due Date:05/29/2017 |
Published date grouping:February 2017 | Notice No.:2017-37 |
Action: In the Matter of Orthofix International N.V. |
Notice Date:02/28/2017 | Claim Due Date:05/29/2017 |
Published date grouping:February 2017 | Notice No.:2017-38 |
Action: In the Matter of Harding Advisory LLC and Wing F. Chau |
Notice Date:02/28/2017 | Claim Due Date:05/29/2017 |
Published date grouping:February 2017 | Notice No.:2017-39 |
Action: In the Matter of Citigroup Global Markets, Inc. |
Notice Date:02/28/2017 | Claim Due Date:05/29/2017 |
Published date grouping:February 2017 | Notice No.:2017-40 |
Action: In the Matter of ITG Inc. |
Notice Date:02/28/2017 | Claim Due Date:05/29/2017 |
Published date grouping:February 2017 | Notice No.:2017-41 |
Action: In the Matter of Allergan, Inc. |
Notice Date:02/28/2017 | Claim Due Date:05/29/2017 |
Published date grouping:February 2017 | Notice No.:2017-42 |
Action: In the Matter of L3 Technologies, Inc. |
Notice Date:02/28/2017 | Claim Due Date:05/29/2017 |
Published date grouping:February 2017 | Notice No.:2017-43 |
Action: In the Matter of Morgan Stanley Smith Barney, LLC |
Notice Date:02/28/2017 | Claim Due Date:05/29/2017 |
Published date grouping:February 2017 | Notice No.:2017-44 |
Action: SEC v. Charles A. Bennett |
Notice Date:02/28/2017 | Claim Due Date:05/29/2017 |
Published date grouping:February 2017 | Notice No.:2017-45 |
Action: SEC v. Andrew W.W. Caspersen and Irving Place III SPV, LLC |
Notice Date:02/28/2017 | Claim Due Date:05/29/2017 |
Published date grouping:February 2017 | Notice No.:2017-46 |
Action: SEC v. Timothy S. Durham, James F. Cochran, and Rick D. Snow |
Notice Date:02/28/2017 | Claim Due Date:05/29/2017 |
Published date grouping:February 2017 | Notice No.:2017-47 |
Action: In the Matter of MDC Partners Inc. |
Notice Date:02/28/2017 | Claim Due Date:05/29/2017 |
Published date grouping:February 2017 | Notice No.:2017-48 |
Action: In the Matter of Sociedad Quimica y Minera de Chile, S.A. |
Notice Date:02/28/2017 | Claim Due Date:05/29/2017 |
Published date grouping:January 2017 | Notice No.:2017-23 |
Action: SEC v. Randal Kent Hansen, RAHFCO Management Group, LLC, Vincent Puma, and Hudson Capital Partners Corporation |
Notice Date:01/31/2017 | Claim Due Date:05/01/2017 |
Published date grouping:January 2017 | Notice No.:2017-22 |
Action: In the Matter of Morgan Stanley & Co. LLC |
Notice Date:01/31/2017 | Claim Due Date:05/01/2017 |
Published date grouping:January 2017 | Notice No.:2017-21 |
Action: In the Matter of United Continental Holdings, Inc. |
Notice Date:01/31/2017 | Claim Due Date:05/01/2017 |
Published date grouping:January 2017 | Notice No.:2017-20 |
Action: SEC v. David L. Fleet |
Notice Date:01/31/2017 | Claim Due Date:05/01/2017 |
Published date grouping:January 2017 | Notice No.:2017-19 |
Action: In the Matter of Harold D. Garrison |
Notice Date:01/31/2017 | Claim Due Date:05/01/2017 |
Published date grouping:January 2017 | Notice No.:2017-18 |
Action: SEC v. Patrick S. Carter, 808 Renewable Energy Corporation, 808 Investments, LLC, Martin J. Kinchloe, Peter Kirkbride, West Coast Commodities, LLC, Thomas A. Flowers, and T.A. Flowers LLC |
Notice Date:01/31/2017 | Claim Due Date:05/01/2017 |
Published date grouping:January 2017 | Notice No.:2017-17 |
Action: SEC v. Diverse Financial Corporation, Roy Dekel, and David Kandell |
Notice Date:01/31/2017 | Claim Due Date:05/01/2017 |
Published date grouping:January 2017 | Notice No.:2017-16 |
Action: In the Matter of Pacific Investment Management Company, LLC |
Notice Date:01/31/2017 | Claim Due Date:05/01/2017 |
Published date grouping:January 2017 | Notice No.:2017-15 |
Action: SEC v. 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. |
Notice Date:01/31/2017 | Claim Due Date:05/01/2017 |
Published date grouping:January 2017 | Notice No.:2017-14 |
Action: In the Matter of Deutsche Bank Securities Inc. |
Notice Date:01/31/2017 | Claim Due Date:05/01/2017 |
Published date grouping:January 2017 | Notice No.:2017-13 |
Action: SEC v. Edward F. Panos |
Notice Date:01/31/2017 | Claim Due Date:05/01/2017 |
Published date grouping:January 2017 | Notice No.:2017-12 |
Action: SEC v. Caledonian Bank, LTD., Caledonian Securities LTD., Clear Water Securities, Inc., Legacy Global Markets S.A., and Verdmont Capital, S.A. |
Notice Date:01/31/2017 | Claim Due Date:05/01/2017 |
Published date grouping:January 2017 | Notice No.:2017-11 |
Action: In the Matter of General Cable Corporation |
Notice Date:01/31/2017 | Claim Due Date:05/01/2017 |
Published date grouping:January 2017 | Notice No.:2017-10 |
Action: In the Matter of General Cable Corporation |
Notice Date:01/31/2017 | Claim Due Date:05/01/2017 |
Published date grouping:January 2017 | Notice No.:2017-9 |
Action: In the Matter of Badree Komandur, ACA, Satish Arunachalam, CA, and Wipro Limited In the Matter of Alok Saraf, CA |
Notice Date:01/31/2017 | Claim Due Date:05/01/2017 |
Published date grouping:January 2017 | Notice No.:2017-8 |
Action: In the Matter of Dennis Ira Ringer |
Notice Date:01/31/2017 | Claim Due Date:05/01/2017 |
Published date grouping:January 2017 | Notice No.:2017-7 |
Action: SEC v. Ash Narayan, The Ticket Reserve Inc. a/k/a/ Forward Market Media, Inc., Richard M. Harmon, and John A. Kaptrosky |
Notice Date:01/31/2017 | Claim Due Date:05/01/2017 |
Published date grouping:January 2017 | Notice No.:2017-6 |
Action: In the Matter of SandRidge Energy, Inc. |
Notice Date:01/31/2017 | Claim Due Date:05/01/2017 |
Published date grouping:January 2017 | Notice No.:2017-1 |
Action: SEC v. John W. Femenia, Shawn C. Hegedus, Danielle C. Laurenti, Coram Real Estate Holding, Inc., Goldstar P.S. Inc., Roger A. Williams, Kenneth M. Raby, Frank M. Burgess, James A. Hayes, Matthew J. Musante, Anthony C. Musante, and Aaron M. Wens |
Notice Date:01/31/2017 | Claim Due Date:05/01/2017 |
Published date grouping:January 2017 | Notice No.:2017-5 |
Action: SEC v. Teva Pharmaceuticals, LTD. |
Notice Date:01/31/2017 | Claim Due Date:05/01/2017 |
Published date grouping:January 2017 | Notice No.:2017-2 |
Action: In the Matter of State Street Bank and Trust Company |
Notice Date:01/31/2017 | Claim Due Date:05/01/2017 |
Published date grouping:January 2017 | Notice No.:2017-4 |
Action: SEC v. City of Miami, Florida and Michael Boudreaux |
Notice Date:01/31/2017 | Claim Due Date:05/01/2017 |
Published date grouping:January 2017 | Notice No.:2017-3 |
Action: SEC v. Interinvest Corporation, Inc., and Hans Peter Black |
Notice Date:01/31/2017 | Claim Due Date:05/01/2017 |
Published date grouping:December 2016 | Notice No.:2016-164 |
Action: In the Matter of Credit Suisse AG, Inc. |
Notice Date:12/31/2016 | Claim Due Date:03/31/2017 |
Published date grouping:December 2016 | Notice No.:2016-165 |
Action: SEC v. Stifel Nicolaus & Company, Incorporated and David W. Noack |
Notice Date:12/31/2016 | Claim Due Date:03/31/2017 |
Published date grouping:December 2016 | Notice No.:2016-166 |
Action: In the Matter of Ernst & Young LLP, Craig R. Fronckiewicz, CPA, and Sarah E. Adams, CPA |
Notice Date:12/31/2016 | Claim Due Date:03/31/2017 |
Published date grouping:December 2016 | Notice No.:2016-167 |
Action: In the Matter of JP Morgan Chase & Co., |
Notice Date:12/31/2016 | Claim Due Date:03/31/2017 |
Published date grouping:December 2016 | Notice No.:2016-168 |
Action: In the Matter of Michael L. Reger |
Notice Date:12/31/2016 | Claim Due Date:03/31/2017 |
Published date grouping:December 2016 | Notice No.:2016-169 |
Action: In the Matter of Ronald D. Morley and The New Wealth, LLC |
Notice Date:12/31/2016 | Claim Due Date:03/31/2017 |
Published date grouping:December 2016 | Notice No.:2016-170 |
Action: SEC v. Embraer, S.A. |
Notice Date:12/31/2016 | Claim Due Date:03/31/2017 |
Published date grouping:December 2016 | Notice No.:2016-171 |
Action: SEC v. Southlake Resources Group, LLC, Cody M. Winters, and Nicholas R. Hamilton |
Notice Date:12/31/2016 | Claim Due Date:03/31/2017 |
Published date grouping:December 2016 | Notice No.:2016-172 |
Action: In the Matter of EZTD Inc. |
Notice Date:12/31/2016 | Claim Due Date:03/31/2017 |
Published date grouping:November 2016 | Notice No.:2016-149 |
Action: SEC v. Richard Weed, Thomas Brazil and Coleman Flaherty III |
Notice Date:11/30/2016 | Claim Due Date:02/28/2017 |
Published date grouping:November 2016 | Notice No.:2016-150 |
Action: SEC v. Yossef Kahlon, a/k/a Jossef Kahlon, and TJ Management Group, LLC |
Notice Date:11/30/2016 | Claim Due Date:02/28/2017 |
Published date grouping:November 2016 | Notice No.:2016-151 |
Action: SEC v. Zenergy International, Inc., Bosko R. Gasich, Robert J. Luiten, Scott H. Wilding, Skyline Capital, Inc., Ronald Martino, and Diane D. Dalmy |
Notice Date:11/30/2016 | Claim Due Date:02/28/2017 |
Published date grouping:November 2016 | Notice No.:2016-152 |
Action: SEC v. JCS Enterprises, Inc. d/b/a JCS Enterprises Services, Inc., T.B.T.I. Inc., Joseph Signore, and Paul L. Schumack, II |
Notice Date:11/30/2016 | Claim Due Date:02/28/2017 |
Published date grouping:November 2016 | Notice No.:2016-153 |
Action: SEC v. Aegis Oil, LLC, and Patrick Reagan Beason |
Notice Date:11/30/2016 | Claim Due Date:02/28/2017 |
Published date grouping:November 2016 | Notice No.:2016-154 |
Action: SEC v. Paul R. Downey, Jeffry P. Downey, and John M. Leonard |
Notice Date:11/30/2016 | Claim Due Date:02/28/2017 |
Published date grouping:November 2016 | Notice No.:2016-155 |
Action: SEC v. Anthony C. Zufelt, Joseph A. Nelson, David M. Decker, Jr., Cache D. Decker, Zufelt Business Services, Inc. (d/b/a Zufelt, Inc.), Silver Leaf Investments, Inc. JCN, Inc., JCN Capital, LLC, and JCN International, LLC |
Notice Date:11/30/2016 | Claim Due Date:02/28/2017 |
Published date grouping:November 2016 | Notice No.:2016-156 |
Action: SEC v. Lime Energy Co., James G. Smith, Julianne M. Chandler, Joaquin Alberto Dos Santos Almeida, and Karan Raina |
Notice Date:11/30/2016 | Claim Due Date:02/28/2017 |
Published date grouping:November 2016 | Notice No.:2016-157 |
Action: In the Matter of Deutsche Bank Securities Inc. |
Notice Date:11/30/2016 | Claim Due Date:02/28/2017 |
Published date grouping:November 2016 | Notice No.:2016-158 |
Action: In the Matter of FMC Technologies, Inc., Jeffrey Favret, CPA, and Steven K. Croft, CPA |
Notice Date:11/30/2016 | Claim Due Date:02/28/2017 |
Published date grouping:November 2016 | Notice No.:2016-159 |
Action: In the Matter of GlaxoSmithKline plc |
Notice Date:11/30/2016 | Claim Due Date:02/28/2017 |
Published date grouping:November 2016 | Notice No.:2016-160 |
Action: In the Matter of Bank Leumi le-Israel B.M., Leumi Private Bank, and Bank Leumi (Luxembourg) S.A. |
Notice Date:11/30/2016 | Claim Due Date:02/28/2017 |
Published date grouping:November 2016 | Notice No.:2016-161 |
Action: SEC v. Charles P. Copeland, Copeland Wealth Management, a Financial Advisory Corporation, and Copeland Wealth Management, a Real Estate Corporation |
Notice Date:11/30/2016 | Claim Due Date:02/28/2017 |
Published date grouping:November 2016 | Notice No.:2016-162 |
Action: In the Matter of Artis Capital Management, L.P. and Michael W. Harden |
Notice Date:11/30/2016 | Claim Due Date:02/28/2017 |
Published date grouping:November 2016 | Notice No.:2016-163 |
Action: In the Matter of Calvert Investment Management, Inc. |
Notice Date:11/30/2016 | Claim Due Date:02/28/2017 |
Published date grouping:October 2016 | Notice No.:2016-125 |
Action: SEC v. James M. Donnan, III and Gregory L. Crabtree |
Notice Date:10/31/2016 | Claim Due Date:01/29/2017 |
Published date grouping:October 2016 | Notice No.:2016-126 |
Action: In the Matter of Och-Ziff Capital Management Group LLC, OZ Management LP, Daniel S. Och, and Joel M. Frank |
Notice Date:10/31/2016 | Claim Due Date:01/29/2017 |
Published date grouping:October 2016 | Notice No.:2016-127 |
Action: SEC v. Daniel Thibeault, GL Capital Partners, LLC, GL Investment Services, LLC, Graduate Leverage, LLC (d/b/a GL Advisor and GL Holdings Corp.), and Taft Financial Services, LLC |
Notice Date:10/31/2016 | Claim Due Date:01/29/2017 |
Published date grouping:October 2016 | Notice No.:2016-128 |
Action: In the Matter of First Reserve Management, L.P. |
Notice Date:10/31/2016 | Claim Due Date:01/29/2017 |
Published date grouping:October 2016 | Notice No.:2016-129 |
Action: SEC v. Veros Partners, Inc., Matthew D. Haab, Jeffrey B. Risinger, Veros Farm Loan Holding LLC, Tobin J. Senefeld, FarmGrowCap LLC, PinCap LLC |
Notice Date:10/31/2016 | Claim Due Date:01/29/2017 |
Published date grouping:October 2016 | Notice No.:2016-130 |
Action: SEC v. Projaris Management, LLC, Victory Partners Financial, Joe G. Lawler, Brandt A. Lawler, Michael S. Lawler, Ryan G. Lawler, Timothy J. Lawler, and Pamela M. Hass |
Notice Date:10/31/2016 | Claim Due Date:01/29/2017 |
Published date grouping:October 2016 | Notice No.:2016-131 |
Action: In the Matter of Michael A. Horowitz and Moshe Marc Cohen |
Notice Date:10/31/2016 | Claim Due Date:01/29/2017 |
Published date grouping:October 2016 | Notice No.:2016-132 |
Action: SEC v. China Northeast Petroleum Holdings Limited; Wang Hongjun (a/k/a Hongjun Wang); Ju Guizhi (a/k/a Guizhi Ju); and Jiang Chao (a/k/a Chao Jiang) |
Notice Date:10/31/2016 | Claim Due Date:01/29/2017 |
Published date grouping:October 2016 | Notice No.:2016-133 |
Action: In the Matter of Russell C. Schalk, Jr. |
Notice Date:10/31/2016 | Claim Due Date:01/29/2017 |
Published date grouping:October 2016 | Notice No.:2016-134 |
Action: In the Matter of Weatherford International PLC, f/k/a Weatherford International Ltd, James Hudgins, CPA, and Darryl Kitay, CPA |
Notice Date:10/31/2016 | Claim Due Date:01/29/2017 |
Published date grouping:October 2016 | Notice No.:2016-135 |
Action: In the Matter of Merrill Lynch, Pierce, Fenner & Smith Incorporated |
Notice Date:10/31/2016 | Claim Due Date:01/29/2017 |
Published date grouping:October 2016 | Notice No.:2016-136 |
Action: In the Matter of Ernst & Young LLP, Robert J. Brehl, CPA, Pamela J. Hartford, CPA, and Michael T. Kamienski, CPA |
Notice Date:10/31/2016 | Claim Due Date:01/29/2017 |
Published date grouping:October 2016 | Notice No.:2016-137 |
Action: In the Matter of UBS Financial Services Inc. |
Notice Date:10/31/2016 | Claim Due Date:01/29/2017 |
Published date grouping:October 2016 | Notice No.:2016-138 |
Action: In the Matter of Anheuser-Busch InBev SA/NV |
Notice Date:10/31/2016 | Claim Due Date:01/29/2017 |
Published date grouping:October 2016 | Notice No.:2016-139 |
Action: SEC v. Manuel E. Jesus aka Manny Backus, et al. |
Notice Date:10/31/2016 | Claim Due Date:01/29/2017 |
Published date grouping:October 2016 | Notice No.:2016-140 |
Action: In the Matter of Portugal Telecom, SGPS, S.A., now known as Pharol SGPS, S.A. |
Notice Date:10/31/2016 | Claim Due Date:01/29/2017 |
Published date grouping:October 2016 | Notice No.:2016-141 |
Action: SEC v. PLCMGMT LLC, dba Prometheus Law, James A. Catipay, and David A. Aldrich |
Notice Date:10/31/2016 | Claim Due Date:01/29/2017 |
Published date grouping:October 2016 | Notice No.:2016-142 |
Action: SEC v. North Hills Management, LLC, and Mark Evan Bloom |
Notice Date:10/31/2016 | Claim Due Date:01/29/2017 |
Published date grouping:October 2016 | Notice No.:2016-143 |
Action: SEC v. Christopher Plummer, Lex M. Cowsert, and Cytogenix, Inc. |
Notice Date:10/31/2016 | Claim Due Date:01/29/2017 |
Published date grouping:October 2016 | Notice No.:2016-144 |
Action: SEC v. Norstra Energy Inc., Glen Landry and Eric Dany |
Notice Date:10/31/2016 | Claim Due Date:01/29/2017 |
Published date grouping:October 2016 | Notice No.:2016-145 |
Action: In the Matter of Ernst & Young LLP and Gregory S. Bednar, CPA |
Notice Date:10/31/2016 | Claim Due Date:01/29/2017 |
Published date grouping:October 2016 | Notice No.:2016-146 |
Action: In the Matter of BOKF, NA |
Notice Date:10/31/2016 | Claim Due Date:01/29/2017 |
Published date grouping:October 2016 | Notice No.:2016-147 |
Action: In the Matter of Orrstown Financial Services, Inc., Thomas R. Quinn, Bradley S. Everly, CPA, Jeffrey W. Embly and Douglas P. Barton, CPA |
Notice Date:10/31/2016 | Claim Due Date:01/29/2017 |
Published date grouping:October 2016 | Notice No.:2016-148 |
Action: SEC v. Saleem Khan, Ammar Akbari, Roshanlal Chaganlal and Ranjan Mendonsa |
Notice Date:10/31/2016 | Claim Due Date:01/29/2017 |
Published date grouping:September 2016 | Notice No.:2016-113 |
Action: SEC v. Cedric Cañas Maillard |
Notice Date:09/30/2016 | Claim Due Date:12/29/2016 |
Published date grouping:September 2016 | Notice No.:2016-114 |
Action: SEC v. Southern Cross Resources Group, Inc., Michael A. Nasatir, and Andrew L. Madenberg |
Notice Date:09/30/2016 | Claim Due Date:12/29/2016 |
Published date grouping:September 2016 | Notice No.:2016-115 |
Action: SEC v. Gary C. Snisky |
Notice Date:09/30/2016 | Claim Due Date:12/29/2016 |
Published date grouping:September 2016 | Notice No.:2016-116 |
Action: SEC v. Secured Income Reserve, Inc., Ilona A. Mandelbaum, David A. Zimmerman, Tamda Marketing, Inc., and Matthew H. Sage |
Notice Date:09/30/2016 | Claim Due Date:12/29/2016 |
Published date grouping:September 2016 | Notice No.:2016-117 |
Action: SEC v. Robert L. Sonfield, Donald C. Bradley, Jeffrey W. Bradley, Jason Landess, Marc Lane, Roger Brewer |
Notice Date:09/30/2016 | Claim Due Date:12/29/2016 |
Published date grouping:September 2016 | Notice No.:2016-118 |
Action: In the Matter of Key Energy Services, Inc. |
Notice Date:09/30/2016 | Claim Due Date:12/29/2016 |
Published date grouping:September 2016 | Notice No.:2016-119 |
Action: In the Matter of optionsXpress, Inc., and Jonathan I. Feldman |
Notice Date:09/30/2016 | Claim Due Date:12/29/2016 |
Published date grouping:September 2016 | Notice No.:2016-120 |
Action: In the Matter of AstraZeneca PLC |
Notice Date:09/30/2016 | Claim Due Date:12/29/2016 |
Published date grouping:September 2016 | Notice No.:2016-121 |
Action: In the Matter of RBC Capital Markets, LLC |
Notice Date:09/30/2016 | Claim Due Date:12/29/2016 |
Published date grouping:September 2016 | Notice No.:2016-122 |
Action: In the Matter of Apollo Management V, L.P., Apollo Management VI, L.P., Apollo Management VII, L.P., and Apollo Commodities Management, L.P. |
Notice Date:09/30/2016 | Claim Due Date:12/29/2016 |
Published date grouping:September 2016 | Notice No.:2016-123 |
Action: In the Matter of Barry B. Clare |
Notice Date:09/30/2016 | Claim Due Date:12/29/2016 |
Published date grouping:September 2016 | Notice No.:2016-124 |
Action: In the Matter of WL Ross & Co. LLC |
Notice Date:09/30/2016 | Claim Due Date:12/29/2016 |
Published date grouping:August 2016 | Notice No.:2016-100 |
Action: SEC v. James Y. Lee |
Notice Date:08/31/2016 | Claim Due Date:11/29/2016 |
Published date grouping:August 2016 | Notice No.:2016-101 |
Action: SEC v. First Mortgage Corporation, Inc., Clement Ziroli, Sr., Clement Ziroli, Jr., Pac W. Dong, Ronald T. Vargus, Scott Lehrer, and Edward Joseph Sanders |
Notice Date:08/31/2016 | Claim Due Date:11/29/2016 |
Published date grouping:August 2016 | Notice No.:2016-102 |
Action: In the Matter of LAN Airlines S. A. |
Notice Date:08/31/2016 | Claim Due Date:11/29/2016 |
Published date grouping:August 2016 | Notice No.:2016-103 |
Action: SEC v. CKB168 Holdings LTD., WIN168 Biz Solutions LTD., CKB168 LTD., CKB168 Biz Solution, Inc., Cyber Kids Best Education LTD., Rayla Melcher Santos, Hung Wai ("Howard") Shern, Rui ling ("Florence") Leung, Daliang ("David") Guo, Yao Lin, Chih Hsuan "Kiki" Lin, Wen Chen Hwang (aka "Wendy Lee"), Toni Tong Chen, Cheongwha "Heywood" Chang, Joan Congyi Ma (aka "JC Ma"), and Heidi Mao Liu (aka "Heidi Mao") |
Notice Date:08/31/2016 | Claim Due Date:11/29/2016 |
Published date grouping:August 2016 | Notice No.:2016-104 |
Action: In the Matter of Johnson Controls, Inc. |
Notice Date:08/31/2016 | Claim Due Date:11/29/2016 |
Published date grouping:August 2016 | Notice No.:2016-105 |
Action: SEC v. Lee D. Weiss, Family Endowment Partners, LP |
Notice Date:08/31/2016 | Claim Due Date:11/29/2016 |
Published date grouping:August 2016 | Notice No.:2016-106 |
Action: In the Matter of Citigroup Global Markets, Inc. |
Notice Date:08/31/2016 | Claim Due Date:11/29/2016 |
Published date grouping:August 2016 | Notice No.:2016-107 |
Action: SEC v. Carrillo Huettel LLP, Luis J. Carrillo, Wade D. Huettel, Gibraltar Global Securities, Warren Davis, John B. Kirk, Benjamin T. Kirk, Dylan L. Boyle, James K. Hinton Jr., Luniel de Beer, Joel P. Franklin, Pacific Blue Energy Corporation, Tradeshow Marketing Company Ltd., and Dr. Luis Carrillo |
Notice Date:08/31/2016 | Claim Due Date:11/29/2016 |
Published date grouping:August 2016 | Notice No.:2016-108 |
Action: SEC v. Michael J. Oppenheim |
Notice Date:08/31/2016 | Claim Due Date:11/29/2016 |
Published date grouping:August 2016 | Notice No.:2016-109 |
Action: SEC v. Thomas C. Conradt, David J. Weishaus, and Trent Martin |
Notice Date:08/31/2016 | Claim Due Date:11/29/2016 |
Published date grouping:August 2016 | Notice No.:2016-110 |
Action: SEC v. Malcolm Segal |
Notice Date:08/31/2016 | Claim Due Date:11/29/2016 |
Published date grouping:August 2016 | Notice No.:2016-111 |
Action: SEC v. Luca International Group, LLC; Luca Resources Group, LLC; Luca Energy Fund, LLC; Entholpy EMC, Inc.; Bingqing Yang; Lei (Lily) Lei; Anthony V. Pollace; and Yong (Michael) Chen |
Notice Date:08/31/2016 | Claim Due Date:11/29/2016 |
Published date grouping:August 2016 | Notice No.:2016-112 |
Action: SEC v. Tyson D. Williams and Stanley D. Parrish |
Notice Date:08/31/2016 | Claim Due Date:11/29/2016 |
Published date grouping:August 2016 | Notice No.:2016-99 |
Action: SEC v. Jammin' Java Corp., dba Marley Coffee, Shane G. Whittle, Wayne S. P. Weaver, Michael K. Sun, Rene Berlinger, Stephen B. Wheatley, Kevin P. Miller, Mohammed A. Al-Barwani, Alexander J. Hunter, and Thomas E. Hunter |
Notice Date:08/31/2016 | Claim Due Date:11/29/2016 |
Published date grouping:July 2016 | Notice No.:2016-85 |
Action: In the Matter of Analogic Corporation and Lars Frost |
Notice Date:07/29/2016 | Claim Due Date:10/27/2016 |
Published date grouping:July 2016 | Notice No.:2016-86 |
Action: In the Matter of Bank of New York Mellon |
Notice Date:07/29/2016 | Claim Due Date:10/27/2016 |
Published date grouping:July 2016 | Notice No.:2016-87 |
Action: In the Matter of Merrill Lynch, Pierce, Fenner & Smith Incorporated |
Notice Date:07/29/2016 | Claim Due Date:10/27/2016 |
Published date grouping:July 2016 | Notice No.:2016-88 |
Action: In the Matter of American Life, Inc. and Henry Liebman |
Notice Date:07/29/2016 | Claim Due Date:10/27/2016 |
Published date grouping:July 2016 | Notice No.:2016-89 |
Action: In the Matter of Ethiopian Electric Power |
Notice Date:07/29/2016 | Claim Due Date:10/27/2016 |
Published date grouping:July 2016 | Notice No.:2016-90 |
Action: In the Matter of 2 West, Inc., Mijust, Inc., KAKids, Inc., Alton Partners, Inc., Old Farm, Inc., Bloomfield, Inc., Katz Imports, Inc., and Todd B. Katz |
Notice Date:07/29/2016 | Claim Due Date:10/27/2016 |
Published date grouping:July 2016 | Notice No.:2016-91 |
Action: In the Matter of Behruz Afshar, Shahryar Afshar, Richard F. Kenny, IV, Fineline Trading Group LLC, and Makin Capital LLC |
Notice Date:07/29/2016 | Claim Due Date:10/27/2016 |
Published date grouping:July 2016 | Notice No.:2016-92 |
Action: In the Matter of J.S. Oliver Capital Management, L.P., and Ian O. Mausner |
Notice Date:07/29/2016 | Claim Due Date:10/27/2016 |
Published date grouping:July 2016 | Notice No.:2016-93 |
Action: SEC v. Paul Mata, David Kayatta, Mario Pincheira, Secured Capital Investments, LLC., Logos Real Estate Holdings, LLC., Logos Wealth Advisors, Inc., Lifetime Enterprises, LLC (dba Logos Lifetime University) |
Notice Date:07/29/2016 | Claim Due Date:10/27/2016 |
Published date grouping:July 2016 | Notice No.:2016-94 |
Action: In the Matter of Merrill Lynch, Pierce, Fenner & Smith Incorporated and Merrill Lynch Professional Clearing Corp. |
Notice Date:07/29/2016 | Claim Due Date:10/27/2016 |
Published date grouping:July 2016 | Notice No.:2016-95 |
Action: SEC v. Daryl M. Payton, and Benjamin Durant, III |
Notice Date:07/29/2016 | Claim Due Date:10/27/2016 |
Published date grouping:July 2016 | Notice No.:2016-96 |
Action: SEC v. Wilfred T. Azar, III, Joseph A. Giordano, and Empire Corporation |
Notice Date:07/29/2016 | Claim Due Date:10/27/2016 |
Published date grouping:July 2016 | Notice No.:2016-97 |
Action: SEC v. Andrew K. Proctor and Atlas JG, LLC |
Notice Date:07/29/2016 | Claim Due Date:10/27/2016 |
Published date grouping:July 2016 | Notice No.:2016-98 |
Action: SEC v. Keith Greenberg |
Notice Date:07/29/2016 | Claim Due Date:10/27/2016 |
Published date grouping:June 2016 | Notice No.:2016-76 |
Action: In the Matter of Ireeco, LLC, and Ireeco Limited |
Notice Date:06/30/2016 | Claim Due Date:09/28/2016 |
Published date grouping:June 2016 | Notice No.:2016-77 |
Action: SEC v. Sanctum Publishing and Marketing, Limited, Sanctum Media Group, Inc., and Salvatore Renaldi |
Notice Date:06/30/2016 | Claim Due Date:09/28/2016 |
Published date grouping:June 2016 | Notice No.:2016-78 |
Action: SEC v. Charles Couch and Couch Oil & Gas, Inc. |
Notice Date:06/30/2016 | Claim Due Date:09/28/2016 |
Published date grouping:June 2016 | Notice No.:2016-79 |
Action: SEC v. China Infrastructure Investment Corporation, Li Xipeng, and Wang Feng |
Notice Date:06/30/2016 | Claim Due Date:09/28/2016 |
Published date grouping:June 2016 | Notice No.:2016-80 |
Action: In the Matter of James Caird Asset Management LLP and Timothy G. Leslie |
Notice Date:06/30/2016 | Claim Due Date:09/28/2016 |
Published date grouping:June 2016 | Notice No.:2016-81 |
Action: In the Matter of Blackstreet Capital Management, LLC and Murry N. Gunty |
Notice Date:06/30/2016 | Claim Due Date:09/28/2016 |
Published date grouping:June 2016 | Notice No.:2016-82 |
Action: In the Matter of Edgar R. Page and PageOne Financial, Inc. |
Notice Date:06/30/2016 | Claim Due Date:09/28/2016 |
Published date grouping:June 2016 | Notice No.:2016-83 |
Action: In the Matter of Federated Global Investment Management Corp. |
Notice Date:06/30/2016 | Claim Due Date:09/28/2016 |
Published date grouping:June 2016 | Notice No.:2016-84 |
Action: SEC v. John Scott Clark |
Notice Date:06/30/2016 | Claim Due Date:09/28/2016 |
Published date grouping:May 2016 | Notice No.:2016-66 |
Action: SEC v. Inter Reef Ltd dba Profitable Sunrise |
Notice Date:05/31/2016 | Claim Due Date:08/29/2016 |
Published date grouping:May 2016 | Notice No.:2016-67 |
Action: SEC v. Steven R. Maruksen, Jay C. Cope, Archer Advisors LLC |
Notice Date:05/31/2016 | Claim Due Date:08/29/2016 |
Published date grouping:May 2016 | Notice No.:2016-68 |
Action: In the Matter of Cabela's Incorporated and Ralph W. Castner, CPA |
Notice Date:05/31/2016 | Claim Due Date:08/29/2016 |
Published date grouping:May 2016 | Notice No.:2016-69 |
Action: SEC v. Frederic Elm f/k/a Frederic Elmaleh, Elm Tree Investment Advisors LLC, Elm Tree Investment Fund LP, Elm Tree 'e'Conomy Fund LP, and Elm Tree Motion Opportunity LP |
Notice Date:05/31/2016 | Claim Due Date:08/29/2016 |
Published date grouping:May 2016 | Notice No.:2016-70 |
Action: In the Matter of L & L Energy, Inc. |
Notice Date:05/31/2016 | Claim Due Date:08/29/2016 |
Published date grouping:May 2016 | Notice No.:2016-71 |
Action: In the Matter of Logitech International, S.A., Michael Doktorczyk, and Sherralyn Bolles, CPA |
Notice Date:05/31/2016 | Claim Due Date:08/29/2016 |
Published date grouping:May 2016 | Notice No.:2016-72 |
Action: SEC v. Laidlaw Energy Group, Inc. and Michael B. Bartoszek |
Notice Date:05/31/2016 | Claim Due Date:08/29/2016 |
Published date grouping:May 2016 | Notice No.:2016-73 |
Action: SEC v. Tomas Alberto Clarke Bethancourt, Jose Alejandro Hurtado, Haydee Leticia Pabon, Iuri Rodolfo Bethancourt, Ernesto Lujan, Benito Chinea and Joseph Flores Demeneses Jr. |
Notice Date:05/31/2016 | Claim Due Date:08/29/2016 |
Published date grouping:May 2016 | Notice No.:2016-74 |
Action: SEC v. American Pension Services, Inc., and Curtis L. De Young |
Notice Date:05/31/2016 | Claim Due Date:08/29/2016 |
Published date grouping:May 2016 | Notice No.:2016-75 |
Action: SEC v. Roger S. Bliss, an individual and Roger S. Bliss d/b/a Roger Bliss and Associates Equities, LLC, a Utah Limited Liability Company, d/b/a Roger Bliss and Associates Club LLC, d/b/a Bliss Club LLC |
Notice Date:05/31/2016 | Claim Due Date:08/29/2016 |
Published date grouping:April 2016 | Notice No.:2016-51 |
Action: SEC v. Bruce D. Strebinger, Brent Howard Chapman, and Muskateer Investments, Inc. |
Notice Date:04/29/2016 | Claim Due Date:07/28/2016 |
Published date grouping:April 2016 | Notice No.:2016-52 |
Action: In the Matter of ModusLink Global Solutions, Inc., Joseph C. Lawler, Steven G. Crane, and Catherine L. Venable |
Notice Date:04/29/2016 | Claim Due Date:07/28/2016 |
Published date grouping:April 2016 | Notice No.:2016-53 |
Action: SEC v. Aveo Pharmaceuticals, Inc., Tuan Ha-Ngoc, David Johnston, and William Slichenmyer |
Notice Date:04/29/2016 | Claim Due Date:07/28/2016 |
Published date grouping:April 2016 | Notice No.:2016-54 |
Action: In the Matter of Navistar International Corporation |
Notice Date:04/29/2016 | Claim Due Date:07/28/2016 |
Published date grouping:April 2016 | Notice No.:2016-55 |
Action: SEC v. Neal V. Goyal, Caldera Advisors, LLC, and Blue Horizon Asset Management, LLC |
Notice Date:04/29/2016 | Claim Due Date:07/28/2016 |
Published date grouping:April 2016 | Notice No.:2016-56 |
Action: SEC v. eCareer Holding, Inc., eCareer, Inc., Joseph J. Azzata, Dean A. Esposito, Joseph DeVito, and Frederick J. Birks |
Notice Date:04/29/2016 | Claim Due Date:07/28/2016 |
Published date grouping:April 2016 | Notice No.:2016-57 |
Action: SEC v. Gregory G. Jones |
Notice Date:04/29/2016 | Claim Due Date:07/28/2016 |
Published date grouping:April 2016 | Notice No.:2016-58 |
Action: In the Matter of Las Vegas Sands Corp. |
Notice Date:04/29/2016 | Claim Due Date:07/28/2016 |
Published date grouping:April 2016 | Notice No.:2016-59 |
Action: In the Matter of Novartis AG |
Notice Date:04/29/2016 | Claim Due Date:07/28/2016 |
Published date grouping:April 2016 | Notice No.:2016-60 |
Action: SEC v. Daniel Rivera, Matthew Rivera and Robbins Lane Properties Inc. |
Notice Date:04/29/2016 | Claim Due Date:07/28/2016 |
Published date grouping:April 2016 | Notice No.:2016-61 |
Action: SEC v. Medical Capital Holdings, Inc.; Medical Capital Corporation; Medical Provider Funding Corporation VI; Sidney M. Field; and Joseph J. Lampariello |
Notice Date:04/29/2016 | Claim Due Date:07/28/2016 |
Published date grouping:April 2016 | Notice No.:2016-62 |
Action: SEC v. Banc de Binary Ltd, Oren Shabat Laurent (f/k/a Oren Shabat), Et Binary Options Ltd., Bo Systes Ltd., Seychelles and BDB Services Ltd. Seychelles |
Notice Date:04/29/2016 | Claim Due Date:07/28/2016 |
Published date grouping:April 2016 | Notice No.:2016-63 |
Action: In the Matter of Royal Alliance Associates, Inc., SagePoint Financial, Inc. and FSC Securities Corporation |
Notice Date:04/29/2016 | Claim Due Date:07/28/2016 |
Published date grouping:April 2016 | Notice No.:2016-64 |
Action: In the Matter of Burrill Capital Management, LLC; G. Steven Burrill, CPA; Victor A. Hebert Esq.; and Helena C. Sen, CPA |
Notice Date:04/29/2016 | Claim Due Date:07/28/2016 |
Published date grouping:April 2016 | Notice No.:2016-65 |
Action: SEC v. Marrone Bio Innovations, Inc. |
Notice Date:04/29/2016 | Claim Due Date:07/28/2016 |
Published date grouping:March 2016 | Notice No.:2016-40 |
Action: In the Matter of IBC Funds, LLC |
Notice Date:03/31/2016 | Claim Due Date:06/29/2016 |
Published date grouping:March 2016 | Notice No.:2016-41 |
Action: In the Matter of PTC Inc. |
Notice Date:03/31/2016 | Claim Due Date:06/29/2016 |
Published date grouping:March 2016 | Notice No.:2016-42 |
Action: SEC v. Trevor G. Cook, Patrick J. Kiley, UBS Diversified Growth, LLC, Universal Brokerage FX Management, LLC, Oxford Global Advisors, LLC, and Oxford Global Partners, LLC |
Notice Date:03/31/2016 | Claim Due Date:06/29/2016 |
Published date grouping:March 2016 | Notice No.:2016-43 |
Action: In the Matter of George N. Krinos, Krinos Holdings, Inc., and Fordgate Acquisition Corp. |
Notice Date:03/31/2016 | Claim Due Date:06/29/2016 |
Published date grouping:March 2016 | Notice No.:2016-44 |
Action: SEC v. VimpelCom Ltd |
Notice Date:03/31/2016 | Claim Due Date:06/29/2016 |
Published date grouping:March 2016 | Notice No.:2016-45 |
Action: SEC v. Newpoint Financial Services, Inc.; John Farahi; Gissou Rastegar Farahi; and Elaheh Amouei |
Notice Date:03/31/2016 | Claim Due Date:06/29/2016 |
Published date grouping:March 2016 | Notice No.:2016-46 |
Action: In the Matter of Qualcomm Incorporated |
Notice Date:03/31/2016 | Claim Due Date:06/29/2016 |
Published date grouping:March 2016 | Notice No.:2016-47 |
Action: SEC v. Moazzam "Mark" Malik and American Bridge Investment Group, LLC, d/b/a Wolf Hedge LLC |
Notice Date:03/31/2016 | Claim Due Date:06/29/2016 |
Published date grouping:March 2016 | Notice No.:2016-48 |
Action: SEC v. Scott Valente and The Eliv Group, LLC |
Notice Date:03/31/2016 | Claim Due Date:06/29/2016 |
Published date grouping:March 2016 | Notice No.:2016-49 |
Action: SEC v. eAdGear, Inc., eAdGear Holdings Limited, Charles S. Wang, Francis Y. Yuen, and Qian Cathy Zhang |
Notice Date:03/31/2016 | Claim Due Date:06/29/2016 |
Published date grouping:March 2016 | Notice No.:2016-50 |
Action: In the Matter of Peter Kuperman and QED Benchmark Management, L.L.C. |
Notice Date:03/31/2016 | Claim Due Date:06/29/2016 |
Published date grouping:February 2016 | Notice No.:2016-17 |
Action: SEC v. Vineet Kalucha, George Palathinkal, and Aphelion Fund Management, LLC |
Notice Date:02/29/2016 | Claim Due Date:05/29/2016 |
Published date grouping:February 2016 | Notice No.:2016-18 |
Action: In the Matter of Monsanto Company, Sara M. Brunnquell, CPA, Anthony P. Hartke, CPA, and Jonathan W. Nienas |
Notice Date:02/29/2016 | Claim Due Date:05/29/2016 |
Published date grouping:February 2016 | Notice No.:2016-19 |
Action: In the Matter of Miller Energy Resources, Inc., Paul W. Boyd, CPA, David M. Hall, and Carlton M. Vogt, III, CPA |
Notice Date:02/29/2016 | Claim Due Date:05/29/2016 |
Published date grouping:February 2016 | Notice No.:2016-20 |
Action: SEC v. Gary A. Collyard, Collyard Group, LLC, Paul D. Crawford, Crawford Capital Corp., Ronald Musich, Joshua J. Singer, Michael B. Spadino, Marketing Concepts, Inc., and Christopher C. Weides |
Notice Date:02/29/2016 | Claim Due Date:05/29/2016 |
Published date grouping:February 2016 | Notice No.:2016-21 |
Action: In the Matter of Credit Suisse Securities (USA) LLC |
Notice Date:02/29/2016 | Claim Due Date:05/29/2016 |
Published date grouping:February 2016 | Notice No.:2016-22 |
Action: In the Matter of State Street Bank and Trust Company |
Notice Date:02/29/2016 | Claim Due Date:05/29/2016 |
Published date grouping:February 2016 | Notice No.:2016-23 |
Action: In the Matter of Equinox Fund Management, LLC |
Notice Date:02/29/2016 | Claim Due Date:05/29/2016 |
Published date grouping:February 2016 | Notice No.:2016-24 |
Action: In the Matter of Barclays Capital Inc. |
Notice Date:02/29/2016 | Claim Due Date:05/29/2016 |
Published date grouping:February 2016 | Notice No.:2016-25 |
Action: SEC v. e-Smart Technologies, Inc., IVI Smart Technologies, Inc., n/k/a e-Smart Technologies International, Inc., Intermarket Ventures, Inc., Mary A. Grace, Tamio Saito, Kenneth A. Wolkoff, George Sobol, and Robert J. Rowen |
Notice Date:02/29/2016 | Claim Due Date:05/29/2016 |
Published date grouping:February 2016 | Notice No.:2016-26 |
Action: SEC v. Gibraltar Global Securities, Inc. and Warren A. Davis |
Notice Date:02/29/2016 | Claim Due Date:05/29/2016 |
Published date grouping:February 2016 | Notice No.:2016-27 |
Action: In the Matter of SciClone Pharmaceuticals, Inc |
Notice Date:02/29/2016 | Claim Due Date:05/29/2016 |
Published date grouping:February 2016 | Notice No.:2016-28 |
Action: SEC v. Louis v. Schooler and First Financial Planning Corporation d/b/a Western Financial Planning Corporation |
Notice Date:02/29/2016 | Claim Due Date:05/29/2016 |
Published date grouping:February 2016 | Notice No.:2016-29 |
Action: In the Matter of SAP SE |
Notice Date:02/29/2016 | Claim Due Date:05/29/2016 |
Published date grouping:February 2016 | Notice No.:2016-30 |
Action: SEC v. Eric Lipkin |
Notice Date:02/29/2016 | Claim Due Date:05/29/2016 |
Published date grouping:February 2016 | Notice No.:2016-31 |
Action: SEC v. Enrica Cotellessa-Pitz |
Notice Date:02/29/2016 | Claim Due Date:05/29/2016 |
Published date grouping:February 2016 | Notice No.:2016-32 |
Action: In the Matter of Credit Suisse Securities (USA) LLC |
Notice Date:02/29/2016 | Claim Due Date:05/29/2016 |
Published date grouping:February 2016 | Notice No.:2016-33 |
Action: In the Matter of Goldman, Sachs & Co. |
Notice Date:02/29/2016 | Claim Due Date:05/29/2016 |
Published date grouping:February 2016 | Notice No.:2016-34 |
Action: In the Matter of Ocwen Financial Corp. |
Notice Date:02/29/2016 | Claim Due Date:05/29/2016 |
Published date grouping:February 2016 | Notice No.:2016-35 |
Action: SEC v. Michael Donnelly |
Notice Date:02/29/2016 | Claim Due Date:05/29/2016 |
Published date grouping:February 2016 | Notice No.:2016-36 |
Action: SEC v. JSW Financial Inc., James S. Ward, David S. Lee, Edward G. Locker, Richard F. Tipton, and David C. Lin |
Notice Date:02/29/2016 | Claim Due Date:05/29/2016 |
Published date grouping:February 2016 | Notice No.:2016-37 |
Action: SEC v. Ryan L. Cook, an individual, and HelpMed, Inc. a Utah Corporation |
Notice Date:02/29/2016 | Claim Due Date:05/29/2016 |
Published date grouping:February 2016 | Notice No.:2016-38 |
Action: SEC v. Stephen C. Bond |
Notice Date:02/29/2016 | Claim Due Date:05/29/2016 |
Published date grouping:February 2016 | Notice No.:2016-39 |
Action: SEC v. Premco Western, Inc., a Texas Corporation, and Rodney Scott Ratheal, an individual |
Notice Date:02/29/2016 | Claim Due Date:05/29/2016 |
Published date grouping:January 2016 | Notice No.:2016-16 |
Action: In the Matter of SuttonBrook Capital Management LP |
Notice Date:01/29/2016 | Claim Due Date:04/28/2016 |
Published date grouping:January 2016 | Notice No.:2016-15 |
Action: SEC v. M. "Shi" Shailendra |
Notice Date:01/29/2016 | Claim Due Date:04/28/2016 |
Published date grouping:January 2016 | Notice No.:2016-14 |
Action: SEC v. Jon C. Ginder, Northamerican Energy Group, Inc., and Northamerican Energy Group, Corp. |
Notice Date:01/29/2016 | Claim Due Date:04/28/2016 |
Published date grouping:January 2016 | Notice No.:2016-13 |
Action: SEC v. American Settlement Associates, LLC, Charles Jordan, and Kelly Gipson |
Notice Date:01/29/2016 | Claim Due Date:04/28/2016 |
Published date grouping:January 2016 | Notice No.:2016-12 |
Action: SEC v. King Chuen Tang a/k/a Chen Tang, Ronald Yee, Zisen Yu, Joseph Seto, Ming Siu, King S. Tang a/k/a James K. Tang, and Ying Kit Yu a/k/a Eddie Yu |
Notice Date:01/29/2016 | Claim Due Date:04/28/2016 |
Published date grouping:January 2016 | Notice No.:2016-11 |
Action: In the Matter of William M. Stephens |
Notice Date:01/29/2016 | Claim Due Date:04/28/2016 |
Published date grouping:January 2016 | Notice No.:2016-10 |
Action: SEC v. Juan Cruz Bilbao Hormaeche |
Notice Date:01/29/2016 | Claim Due Date:04/28/2016 |
Published date grouping:January 2016 | Notice No.:2016-9 |
Action: SEC v. Alternate Energy Holdings, Inc., Donald L. Gillispie, and Jennifer Ransom |
Notice Date:01/29/2016 | Claim Due Date:04/28/2016 |
Published date grouping:January 2016 | Notice No.:2016-8 |
Action: In the Matter of Owen Li and Canarsie Capital, LLC |
Notice Date:01/29/2016 | Claim Due Date:04/28/2016 |
Published date grouping:January 2016 | Notice No.:2016-7 |
Action: In the Matter of SG Americas Securities LLC and Yimin Ge |
Notice Date:01/29/2016 | Claim Due Date:04/28/2016 |
Published date grouping:January 2016 | Notice No.:2016-5 |
Action: In the Matter of KCG Americas LLC |
Notice Date:01/29/2016 | Claim Due Date:04/28/2016 |
Published date grouping:January 2016 | Notice No.:2016-6 |
Action: In the Matter of Morgan Stanley Investment Management Inc. and Sheila Huang |
Notice Date:01/29/2016 | Claim Due Date:04/28/2016 |
Published date grouping:January 2016 | Notice No.:2016-4 |
Action: SEC v. New Stream Capital, LLC |
Notice Date:01/29/2016 | Claim Due Date:04/28/2016 |
Published date grouping:January 2016 | Notice No.:2016-3 |
Action: In the Matter of J.P. Morgan Securities LLC |
Notice Date:01/29/2016 | Claim Due Date:04/28/2016 |
Published date grouping:January 2016 | Notice No.:2016-2 |
Action: SEC v. John Clifford Williams |
Notice Date:01/29/2016 | Claim Due Date:04/28/2016 |
Published date grouping:January 2016 | Notice No.:2016-1 |
Action: SEC v. Douglas E. Cowgill and Professional Investment Management, Inc. |
Notice Date:01/29/2016 | Claim Due Date:04/28/2016 |
Published date grouping:December 2015 | Notice No.:2015-136 |
Action: SEC v. Tropikgadget FZE, et al. |
Notice Date:12/23/2015 | Claim Due Date:03/22/2016 |
Published date grouping:December 2015 | Notice No.:2015-137 |
Action: In the Matter of Grant Thornton, LLP In the Matter of Melissa K. Koeppel, CPA, and Jeffrey J. Robinson, CPA |
Notice Date:12/23/2015 | Claim Due Date:03/22/2016 |
Published date grouping:December 2015 | Notice No.:2015-138 |
Action: SEC v. Summit Trust Company, Rampart Capital Management, LLC, Trust Counselors Network, Inc., Brown Investment Advisors, Inc., Kevin C. Brown, and George P. Brown |
Notice Date:12/23/2015 | Claim Due Date:03/22/2016 |
Published date grouping:December 2015 | Notice No.:2015-139 |
Action: SEC v. Hitachi, LTD. |
Notice Date:12/23/2015 | Claim Due Date:03/22/2016 |
Published date grouping:December 2015 | Notice No.:2015-140 |
Action: SEC v. Vladimir Eydelman |
Notice Date:12/23/2015 | Claim Due Date:03/22/2016 |
Published date grouping:December 2015 | Notice No.:2015-141 |
Action: SEC v. Brett A. Cooper, et al. |
Notice Date:12/23/2015 | Claim Due Date:03/22/2016 |
Published date grouping:December 2015 | Notice No.:2015-142 |
Action: In the Matter of Standard Bank PLC |
Notice Date:12/23/2015 | Claim Due Date:03/22/2016 |
Published date grouping:December 2015 | Notice No.:2015-143 |
Action: In the Matter of Sands Brothers Asset Management, LLC, Steven Sands, Martin Sands, and Christopher Kelly |
Notice Date:12/23/2015 | Claim Due Date:03/22/2016 |
Published date grouping:December 2015 | Notice No.:2015-144 |
Action: SEC v. Bonan Huang, et al. |
Notice Date:12/23/2015 | Claim Due Date:03/22/2016 |
Published date grouping:December 2015 | Notice No.:2015-145 |
Action: SEC v. Summit Asset Strategies Investment Management, LLC; Summit Asset Strategies Wealth Management, LLC; and Chris Yoo |
Notice Date:12/23/2015 | Claim Due Date:03/22/2016 |
Published date grouping:December 2015 | Notice No.:2015-146 |
Action: SEC v. National Note of Utah, LC, a Utah Limited Liability Company and Wayne LaMar Palmer, an individual |
Notice Date:12/23/2015 | Claim Due Date:03/22/2016 |
Published date grouping:December 2015 | Notice No.:2015-147 |
Action: In the Matter of JPMorgan Chase Bank, N.A. and J.P. Morgan Securities LLC |
Notice Date:12/23/2015 | Claim Due Date:03/22/2016 |
Published date grouping:December 2015 | Notice No.:2015-148 |
Action: SEC v. Enviratrands, Inc. and Russell F. Haraburda |
Notice Date:12/23/2015 | Claim Due Date:03/22/2016 |
Published date grouping:December 2015 | Notice No.:2015-135 |
Action: In the Matter of Virtus Investment Advisers, Inc. |
Notice Date:12/01/2015 | Claim Due Date:02/29/2016 |
Published date grouping:November 2015 | Notice No.:2015-120 |
Action: SEC v. Billy Wayne McClintock, individually, and dba MSC Holdings, Dianne Alexander aka Linda Dianne Alexander |
Notice Date:11/30/2015 | Claim Due Date:02/28/2016 |
Published date grouping:November 2015 | Notice No.:2015-121 |
Action: In the Matter of David F. Bandimere and John O. Young |
Notice Date:11/30/2015 | Claim Due Date:02/28/2016 |
Published date grouping:November 2015 | Notice No.:2015-122 |
Action: In the Matter of Gary M. Arford |
Notice Date:11/30/2015 | Claim Due Date:02/28/2016 |
Published date grouping:November 2015 | Notice No.:2015-123 |
Action: SEC v. Robert A. Helms, et al. |
Notice Date:11/30/2015 | Claim Due Date:02/28/2016 |
Published date grouping:November 2015 | Notice No.:2015-124 |
Action: In the Matter of the St. Joe Company, Wm. Britton Greene, William S. McCalmont, Janna L. Connolly, CPA, J. Brian Salter, CPA, and Phillip B. Jones, CPA |
Notice Date:11/30/2015 | Claim Due Date:02/28/2016 |
Published date grouping:November 2015 | Notice No.:2015-125 |
Action: In the Matter of DBRS, Inc. |
Notice Date:11/30/2015 | Claim Due Date:02/28/2016 |
Published date grouping:November 2015 | Notice No.:2015-126 |
Action: In the Matter of UBS Willow Management LLC and UBS Fund Advisor LLC |
Notice Date:11/30/2015 | Claim Due Date:02/28/2016 |
Published date grouping:November 2015 | Notice No.:2015-127 |
Action: SEC v. Premiere Power, LLC; John Jankovic; and Jerry Jankovic |
Notice Date:11/30/2015 | Claim Due Date:02/28/2016 |
Published date grouping:November 2015 | Notice No.:2015-128 |
Action: In the Matter of J.P. Morgan Investment Management Inc. |
Notice Date:11/30/2015 | Claim Due Date:02/28/2016 |
Published date grouping:November 2015 | Notice No.:2015-129 |
Action: In the Matter of Blackstone Management Partners L.L.C., Blackstone Management Partners III L.L.C. and Blackstone Management Partners IV L.L.C. |
Notice Date:11/30/2015 | Claim Due Date:02/28/2016 |
Published date grouping:November 2015 | Notice No.:2015-130 |
Action: SEC v. Justin Moongyu Lee; Rebecca Taewon Lee; Thomas Edward Kent; American Immigrant Investment Fund I, LLC; Biofuel Venture IV, LLC; Biofuel Venture V, LLC; Nexland, Inc., dba Nexland Investment Group; and Nexsun Ethanol, LLC |
Notice Date:11/30/2015 | Claim Due Date:02/28/2016 |
Published date grouping:November 2015 | Notice No.:2015-131 |
Action: In the Matter of Total Wealth Management, Inc., Jacob Keith Cooper, Mathan McNamee, and Douglas David Shoemaker |
Notice Date:11/30/2015 | Claim Due Date:02/28/2016 |
Published date grouping:November 2015 | Notice No.:2015-132 |
Action: In the Matter of Wolverine Trading, LLC and Wolverine Asset Management, LLC |
Notice Date:11/30/2015 | Claim Due Date:02/28/2016 |
Published date grouping:November 2015 | Notice No.:2015-133 |
Action: In the Matter of Briargate Trading, LLC and Eric Oscher |
Notice Date:11/30/2015 | Claim Due Date:02/28/2016 |
Published date grouping:November 2015 | Notice No.:2015-134 |
Action: In the Matter of Fenway Partners, LLC, Peter Lamm, William Gregory Smart, Timothy Mayhew, Jr., and Walter Wiacek, CPA |
Notice Date:11/30/2015 | Claim Due Date:02/28/2016 |
Published date grouping:October 2015 | Notice No.:2015-96 |
Action: SEC v. James A. Evans, Jr., d/b/a/ Cashflowbot.com, d/b/a Dollarmonster |
Notice Date:10/30/2015 | Claim Due Date:01/28/2016 |
Published date grouping:October 2015 | Notice No.:2015-97 |
Action: SEC v. Spencer Pharmaceutical Inc., Jean-François Amyot, Maximilien Arella, Ian Morrice, IAB Media Inc. and Hilbroy Advisory Inc. |
Notice Date:10/30/2015 | Claim Due Date:01/28/2016 |
Published date grouping:October 2015 | Notice No.:2015-98 |
Action: In the Matter of Bankrate, Inc. |
Notice Date:10/30/2015 | Claim Due Date:01/28/2016 |
Published date grouping:October 2015 | Notice No.:2015-99 |
Action: In the Matter of Trinity Capital Corporation |
Notice Date:10/30/2015 | Claim Due Date:01/28/2016 |
Published date grouping:October 2015 | Notice No.:2015-100 |
Action: SEC v. Xiaoyu Xia and Yanting Hu |
Notice Date:10/30/2015 | Claim Due Date:01/28/2016 |
Published date grouping:October 2015 | Notice No.:2015-101 |
Action: SEC v. Bankatlantic Bancorp, Inc. and Alan B. Levan |
Notice Date:10/30/2015 | Claim Due Date:01/28/2016 |
Published date grouping:October 2015 | Notice No.:2015-102 |
Action: In the Matter of UBS Financial Services Incorporated of Puerto Rico |
Notice Date:10/30/2015 | Claim Due Date:01/28/2016 |
Published date grouping:October 2015 | Notice No.:2015-103 |
Action: SEC v. Evolution Capital Advisors, LLC, Evolution Investment Group I, LLC, and Damian Omar Valdez |
Notice Date:10/30/2015 | Claim Due Date:01/28/2016 |
Published date grouping:October 2015 | Notice No.:2015-104 |
Action: In the Matter of Bristol-Myers Squibb Company |
Notice Date:10/30/2015 | Claim Due Date:01/28/2016 |
Published date grouping:October 2015 | Notice No.:2015-105 |
Action: In the Matter of Edward T. Borg and Brian J. Mulkeen |
Notice Date:10/30/2015 | Claim Due Date:01/28/2016 |
Published date grouping:October 2015 | Notice No.:2015-106 |
Action: In the Matter of First Eagle Investment Management, LLC and FEF Distributors, LLC |
Notice Date:10/30/2015 | Claim Due Date:01/28/2016 |
Published date grouping:October 2015 | Notice No.:2015-107 |
Action: In the Matter of Latour Trading LLC |
Notice Date:10/30/2015 | Claim Due Date:01/28/2016 |
Published date grouping:October 2015 | Notice No.:2015-108 |
Action: SEC v. ABS Manager, LLC and George Charles Cody Price |
Notice Date:10/30/2015 | Claim Due Date:01/28/2016 |
Published date grouping:October 2015 | Notice No.:2015-109 |
Action: SEC v. Efstratios "Elias" D. Argryropoulos and Prima Capital Group, Inc. |
Notice Date:10/30/2015 | Claim Due Date:01/28/2016 |
Published date grouping:October 2015 | Notice No.:2015-110 |
Action: SEC v. iShopNoMarkup.com, Inc., Scott W. Brockop, Anthony M. Knight, and Moussa Yeroushalmi a/k/a Mike Yeroush |
Notice Date:10/30/2015 | Claim Due Date:01/28/2016 |
Published date grouping:October 2015 | Notice No.:2015-111 |
Action: In the Matter of Focus Media Holding Limited and Jason Jiang |
Notice Date:10/30/2015 | Claim Due Date:01/28/2016 |
Published date grouping:October 2015 | Notice No.:2015-112 |
Action: In the Matter of Home Loan Servicing Solutions, Ltd. |
Notice Date:10/30/2015 | Claim Due Date:01/28/2016 |
Published date grouping:October 2015 | Notice No.:2015-113 |
Action: In the Matter of William B. Fretz, Jr., John P. Freeman, Covenant Capital Management Partners, L.P., and Covenant Partners, L.P. |
Notice Date:10/30/2015 | Claim Due Date:01/28/2016 |
Published date grouping:October 2015 | Notice No.:2015-114 |
Action: SEC v. Arkadiy Dubovoy, Igor Dubovoy, Pavel Dubovoy, Nelia Dubova, David Amaryan, Alexander Redoseev, Aleksandr Garkusha, Oleksander Ieremenko (a.k.a. Aleksander Eremenko), Vladislav Khalupsky, Vitaly Korchevsky, Roman Lavlinskiy, Oleksandr Makarov, Leonid Momtok, Nikolai Slepenkov, Andriy Supranonok, Ivan Turchynov, Maxim Zakharchenko, APD Developers, LLC, Beratto Group LTD., Bering Explorer Fund LTD., Concorde Bermuda LTD., Escada Logistics LTD., Exante LTD, Global Hedge Capital Group, Guibor S.A., Intertrade Pacific S.A., Memelland Investments LTD, Jaspen Capital Partners Limited, NTS Capital Fund, Ocean Prime Inc., Omega 26 Investments LTD, and Southeastern Holding and Investment Company LLC |
Notice Date:10/30/2015 | Claim Due Date:01/28/2016 |
Published date grouping:October 2015 | Notice No.:2015-115 |
Action: In the Matter of Credit Suisse Securities (USA) LLC |
Notice Date:10/30/2015 | Claim Due Date:01/28/2016 |
Published date grouping:October 2015 | Notice No.:2015-116 |
Action: In the Matter of UBS AG |
Notice Date:10/30/2015 | Claim Due Date:01/28/2016 |
Published date grouping:October 2015 | Notice No.:2015-117 |
Action: SEC v. Jeffory D. Shields (a/k/a Jeffrey D. Shields) and Geodynamics, Inc. (f/k/a or d/b/a Geodynamics Exploration, Inc.) |
Notice Date:10/30/2015 | Claim Due Date:01/28/2016 |
Published date grouping:October 2015 | Notice No.:2015-118 |
Action: SEC v. Spongetech Delivery Systems, Inc., RM Enterprises International, Inc., Steven Y. Moskowitz, Michael E. Metter, George Speranza, Joel Pensley, and Jack Halperin |
Notice Date:10/30/2015 | Claim Due Date:01/28/2016 |
Published date grouping:October 2015 | Notice No.:2015-119 |
Action: SEC v. Daniel Bergin |
Notice Date:10/30/2015 | Claim Due Date:01/28/2016 |
Published date grouping:September 2015 | Notice No.:2015-86 |
Action: In the Matter of the Bank of New York Mellon Corporation |
Notice Date:09/30/2015 | Claim Due Date:12/29/2015 |
Published date grouping:September 2015 | Notice No.:2015-87 |
Action: In the Matter of Citigroup Global Markets, Inc. |
Notice Date:09/30/2015 | Claim Due Date:12/29/2015 |
Published date grouping:September 2015 | Notice No.:2015-88 |
Action: In the Matter of Taberna Capital Management, LLC, Michael Fralin and Raphael Licht |
Notice Date:09/30/2015 | Claim Due Date:12/29/2015 |
Published date grouping:September 2015 | Notice No.:2015-89 |
Action: In the Matter of Success Trade, Inc., Success Trade Securities, Inc., and Fuad Ahmed |
Notice Date:09/30/2015 | Claim Due Date:12/29/2015 |
Published date grouping:September 2015 | Notice No.:2015-90 |
Action: In the Matter of Edward D. Jones & Co., L.P. |
Notice Date:09/30/2015 | Claim Due Date:12/29/2015 |
Published date grouping:September 2015 | Notice No.:2015-91 |
Action: SEC v. John Thornes |
Notice Date:09/30/2015 | Claim Due Date:12/29/2015 |
Published date grouping:September 2015 | Notice No.:2015-92 |
Action: In the Matter of Citigroup Alternative Investments LLC and Citigroup Global Markets Inc. |
Notice Date:09/30/2015 | Claim Due Date:12/29/2015 |
Published date grouping:September 2015 | Notice No.:2015-93 |
Action: In the Matter of BDO USA, LLP |
Notice Date:09/30/2015 | Claim Due Date:12/29/2015 |
Published date grouping:September 2015 | Notice No.:2015-94 |
Action: SEC v. David Craven and Alexander J. Craven |
Notice Date:09/30/2015 | Claim Due Date:12/29/2015 |
Published date grouping:September 2015 | Notice No.:2015-95 |
Action: SEC v. Colonial Tidewater Realty Income Partners, LLC, James R. Glover, and Sherman T. Hill |
Notice Date:09/30/2015 | Claim Due Date:12/29/2015 |
Published date grouping:August 2015 | Notice No.:2015-77 |
Action: SEC v. George G. Levin and Frank J. Preve |
Notice Date:08/31/2015 | Claim Due Date:11/29/2015 |
Published date grouping:August 2015 | Notice No.:2015-78 |
Action: SEC v. Frank Tamayo |
Notice Date:08/31/2015 | Claim Due Date:11/29/2015 |
Published date grouping:August 2015 | Notice No.:2015-79 |
Action: In the Matter of Guggenheim Partners Investment Management, LLC |
Notice Date:08/31/2015 | Claim Due Date:11/29/2015 |
Published date grouping:August 2015 | Notice No.:2015-80 |
Action: SEC v. Mikhail Galas, Alexander Hawatmeh, Christopher Mwroca, and Tovy Pustovit |
Notice Date:08/31/2015 | Claim Due Date:11/29/2015 |
Published date grouping:August 2015 | Notice No.:2015-81 |
Action: In the Matter of VERO Capital Management, LLC, Robert Geiger, George Barbaresi, Esq, and Steven Downey, CPA |
Notice Date:08/31/2015 | Claim Due Date:11/29/2015 |
Published date grouping:August 2015 | Notice No.:2015-82 |
Action: In the Matter of OZ Management, LP |
Notice Date:08/31/2015 | Claim Due Date:11/29/2015 |
Published date grouping:August 2015 | Notice No.:2015-83 |
Action: In the Matter of ITG Inc. and AlterNet Securities, Inc. |
Notice Date:08/31/2015 | Claim Due Date:11/29/2015 |
Published date grouping:August 2015 | Notice No.:2015-84 |
Action: In the Matter of Wisteria Global, Inc. and Hiroshi Fujigami |
Notice Date:08/31/2015 | Claim Due Date:11/29/2015 |
Published date grouping:August 2015 | Notice No.:2015-85 |
Action: In the Matter of Mead Johnson Nutrition Company |
Notice Date:08/31/2015 | Claim Due Date:11/29/2015 |
Published date grouping:July 2015 | Notice No.:2015-70 |
Action: In the Matter of Computer Sciences Corporation, Michael Laphen, Michael Mancuso, Wayne Banks, Claus Zilmer, and Paul Wakefield |
Notice Date:07/31/2015 | Claim Due Date:10/29/2015 |
Published date grouping:July 2015 | Notice No.:2015-71 |
Action: In the Matter of Deloitte & Touche LLP, ALPS Fund Services, Inc. and Andrew C. Boynton |
Notice Date:07/31/2015 | Claim Due Date:10/29/2015 |
Published date grouping:July 2015 | Notice No.:2015-72 |
Action: In the Matter of Goldman, Sachs & Co. |
Notice Date:07/31/2015 | Claim Due Date:10/29/2015 |
Published date grouping:July 2015 | Notice No.:2015-73 |
Action: In the Matter of Kohlberg Kravis Roberts & Co. L.P. |
Notice Date:07/31/2015 | Claim Due Date:10/29/2015 |
Published date grouping:July 2015 | Notice No.:2015-74 |
Action: SEC v. Andrew L. Evans |
Notice Date:07/31/2015 | Claim Due Date:10/29/2015 |
Published date grouping:July 2015 | Notice No.:2015-75 |
Action: SEC v. Joshua A. Yudell |
Notice Date:07/31/2015 | Claim Due Date:10/29/2015 |
Published date grouping:July 2015 | Notice No.:2015-76 |
Action: SEC v. Aletheia Research and Management, Inc. and Peter J. Eichler, Jr. |
Notice Date:07/31/2015 | Claim Due Date:10/29/2015 |
Published date grouping:July 2015 | Notice No.:2015-66 |
Action: In the Matter of Alphabridge Capital Management, LLC, Thomas T. Kutzen, and Michael J. Carino |
Notice Date:07/31/2015 | Claim Due Date:10/29/2015 |
Published date grouping:July 2015 | Notice No.:2015-67 |
Action: SEC v. Weston Capital Asset Management LLC, Albert Hallac, and Keith Wellner |
Notice Date:07/31/2015 | Claim Due Date:10/29/2015 |
Published date grouping:July 2015 | Notice No.:2015-68 |
Action: In the Matter of Helmut Anscheringer |
Notice Date:07/31/2015 | Claim Due Date:10/29/2015 |
Published date grouping:July 2015 | Notice No.:2015-69 |
Action: SEC v. Gregory Geswein, Kevin Krakora, and Sandra Miller |
Notice Date:07/31/2015 | Claim Due Date:10/29/2015 |
Published date grouping:June 2015 | Notice No.:2015-54 |
Action: In the Matter of Spectrum Concepts, LLC, Donald James Worswick, Michael Nicholas Grosso, and Michael Patrick Brown |
Notice Date:06/30/2015 | Claim Due Date:09/28/2015 |
Published date grouping:June 2015 | Notice No.:2015-55 |
Action: SEC v. Charles H. Merchant, Sr. and Southern USA Resources, Inc. |
Notice Date:06/30/2015 | Claim Due Date:09/28/2015 |
Published date grouping:June 2015 | Notice No.:2015-56 |
Action: SEC v. Robert A. Gist and Gist, Kennedy & Associates, Inc. |
Notice Date:06/30/2015 | Claim Due Date:09/28/2015 |
Published date grouping:June 2015 | Notice No.:2015-57 |
Action: SEC v. Charles Raymond Langston III, CRL Management, LLC, and Guarantee Reinsurance, Ltd. |
Notice Date:06/30/2015 | Claim Due Date:09/28/2015 |
Published date grouping:June 2015 | Notice No.:2015-58 |
Action: In the Matter of David B. Havanich, Jr., Carmine A. DellaSala, Matthew D. Welch, Richard Hampton Scurlock, III, RTAG Inc. d/b/a Retirement Tax Advisory Group, Jose F. Carrio, Dennis K. Karasik, Carrio, Karasik & Associates, LLP, and Michael J. Salovay |
Notice Date:06/30/2015 | Claim Due Date:09/28/2015 |
Published date grouping:June 2015 | Notice No.:2015-59 |
Action: SEC v. Radius Capital Corp. and Robert A. DiGiorgio |
Notice Date:06/30/2015 | Claim Due Date:09/28/2015 |
Published date grouping:June 2015 | Notice No.:2015-60 |
Action: In the Matter of BHP Billiton Ltd. And BHP Billton Plc |
Notice Date:06/30/2015 | Claim Due Date:09/28/2015 |
Published date grouping:June 2015 | Notice No.:2015-61 |
Action: In the Matter of Deutsche Bank AG |
Notice Date:06/30/2015 | Claim Due Date:09/28/2015 |
Published date grouping:June 2015 | Notice No.:2015-62 |
Action: SEC v. Luis Chang and Everbright Development Overseas Limited |
Notice Date:06/30/2015 | Claim Due Date:09/28/2015 |
Published date grouping:June 2015 | Notice No.:2015-63 |
Action: In the Matter of Merrill Lynch, Pierce, Fenner & Smith Incorporated, and Merrill Lynch Professional Clearing Corporation |
Notice Date:06/30/2015 | Claim Due Date:09/28/2015 |
Published date grouping:June 2015 | Notice No.:2015-64 |
Action: SEC v. Adam S. Gottbetter, Mitchell G. Adam, and K. David Stevenson |
Notice Date:06/30/2015 | Claim Due Date:09/28/2015 |
Published date grouping:June 2015 | Notice No.:2015-65 |
Action: In the Matter of Nationwide Life Insurance Company |
Notice Date:06/30/2015 | Claim Due Date:09/28/2015 |
Published date grouping:May 2015 | Notice No.:2015-45 |
Action: SEC v. Eric William Johnson |
Notice Date:05/29/2015 | Claim Due Date:08/27/2015 |
Published date grouping:May 2015 | Notice No.:2015-46 |
Action: In the Matter of Larry C. Grossman and Gregory J. Adams |
Notice Date:05/29/2015 | Claim Due Date:08/27/2015 |
Published date grouping:May 2015 | Notice No.:2015-47 |
Action: SEC v. Frank Perkins Hixon, Jr. |
Notice Date:05/29/2015 | Claim Due Date:08/27/2015 |
Published date grouping:May 2015 | Notice No.:2015-48 |
Action: In the Matter of Jonathan Fortenberry (A/K/A S.J. Fortenberry, John Fortenberry, and Johnny Fortenberry) |
Notice Date:05/29/2015 | Claim Due Date:08/27/2015 |
Published date grouping:May 2015 | Notice No.:2015-49 |
Action: SEC v. Rudolf Pameijer, Lindsay R. Sayer, Ryan W. Koester, Rykoworks Capital Group, LLC |
Notice Date:05/29/2015 | Claim Due Date:08/27/2015 |
Published date grouping:May 2015 | Notice No.:2015-50 |
Action: In the Matter of BlackRock Advisors, LLC and Bartholomew A. Battista |
Notice Date:05/29/2015 | Claim Due Date:08/27/2015 |
Published date grouping:May 2015 | Notice No.:2015-51 |
Action: SEC v. Macquarie Capital (USA), Inc., Aaron Black and William Fang |
Notice Date:05/29/2015 | Claim Due Date:08/27/2015 |
Published date grouping:May 2015 | Notice No.:2015-52 |
Action: SEC v. Guy M. Jean-Pierre, a/k/a "Marcelo Dominguez de Guerra" |
Notice Date:05/29/2015 | Claim Due Date:08/27/2015 |
Published date grouping:May 2015 | Notice No.:2015-53 |
Action: In the Matter of Julieann Palmer Martin |
Notice Date:05/29/2015 | Claim Due Date:08/27/2015 |
Published date grouping:April 2015 | Notice No.:2015-37 |
Action: SEC v. 8000, Inc., Johnathan E. Bryant, Thomas J. Kelly, and Carl N. Duncan |
Notice Date:04/30/2015 | Claim Due Date:07/29/2015 |
Published date grouping:April 2015 | Notice No.:2015-38 |
Action: SEC v. BioChemics, Inc., John J. Masiz, Craig Medoff and Gregory Kroning |
Notice Date:04/30/2015 | Claim Due Date:07/29/2015 |
Published date grouping:April 2015 | Notice No.:2015-39 |
Action: SEC v. Robert D. Falor |
Notice Date:04/30/2015 | Claim Due Date:07/29/2015 |
Published date grouping:April 2015 | Notice No.:2015-40 |
Action: SEC vs. Charles R. Kokesh |
Notice Date:04/30/2015 | Claim Due Date:07/29/2015 |
Published date grouping:April 2015 | Notice No.:2015-41 |
Action: SEC vs. StratoComm Corporation, Roger D. Shearer, and Craig Danzig |
Notice Date:04/30/2015 | Claim Due Date:07/29/2015 |
Published date grouping:April 2015 | Notice No.:2015-42 |
Action: In the Matter of Global Fixed Income, LLC, Charles Perlitz Kempf, AGS Capital Group, LLC, Allen Gabriel Silberstein, Banes Capital Management, LLC, Joel Leigh Banes, Michael Warner Kochman, Big Star Capital, LLC, Ryan Patrick Mcguinness, Esso Ventures, LLC, Mark Leonard Lechler, Etek Investment Management, Inc., Kevin Gregory Haley, Finmark Resources, LLC, Peter Eric Baker, Joseph Michael Araiz, Parker Paschal & Company, LLC, Andrew Parker Shook, PMK Capital Management, LLC, Roger Kumar, Jr., RLJ Fixed Income, LLC, and Corey Antwuan Printup |
Notice Date:04/30/2015 | Claim Due Date:07/29/2015 |
Published date grouping:April 2015 | Notice No.:2015-43 |
Action: SEC vs. Ronald Feldstein, Mara Capital Management LLC, and Vita Health of America, LLC |
Notice Date:04/30/2015 | Claim Due Date:07/29/2015 |
Published date grouping:April 2015 | Notice No.:2015-44 |
Action: In the Matter of FLIR Systems, Inc. |
Notice Date:04/30/2015 | Claim Due Date:07/29/2015 |
Published date grouping:April 2015 | Notice No.:2015-36 |
Action: SEC v. Life Partners Holdings, Inc., Brian Pardo, R. Scott Peden, and David M. Martin |
Notice Date:04/01/2015 | Claim Due Date:06/30/2015 |
Published date grouping:March 2015 | Notice No.:2015-23 |
Action: SEC v. Broadwind Energy, Inc., J. Cameron Drecoll, and Stephanie K. Kushner |
Notice Date:03/31/2015 | Claim Due Date:06/29/2015 |
Published date grouping:March 2015 | Notice No.:2015-24 |
Action: SEC v. Lee Chi Ling |
Notice Date:03/31/2015 | Claim Due Date:06/29/2015 |
Published date grouping:March 2015 | Notice No.:2015-25 |
Action: In the Matter of BDO China Dahua CPA Co., Ltd.; Deloitte Touche Tohmatsu Certified Public Accountants Ltd.; Ernst & Young Hua Ming LLP; KPMG Huazhen (Special General Partnership); PricewaterhouseCoopers Zhong Tian CPAs Limited |
Notice Date:03/31/2015 | Claim Due Date:06/29/2015 |
Published date grouping:March 2015 | Notice No.:2015-26 |
Action: In the Matter of The Goodyear Tire & Rubber Company |
Notice Date:03/31/2015 | Claim Due Date:06/29/2015 |
Published date grouping:March 2015 | Notice No.:2015-27 |
Action: SEC v. Edwin Yoshihiro Fujinaga and MRI International, Inc. |
Notice Date:03/31/2015 | Claim Due Date:06/29/2015 |
Published date grouping:March 2015 | Notice No.:2015-28 |
Action: In the Matter of Sandra Dyche |
Notice Date:03/31/2015 | Claim Due Date:06/29/2015 |
Published date grouping:March 2015 | Notice No.:2015-29 |
Action: SEC v. China Sky One Medical, Inc., and Yan-Qing Liu |
Notice Date:03/31/2015 | Claim Due Date:06/29/2015 |
Published date grouping:March 2015 | Notice No.:2015-30 |
Action: SEC v. World Capital Market Inc.; WCM777 Inc.; WCM777 Ltd. d/b/a WCM777 Enterprises, Inc.; and Ming Xu a/k/a Phil Ming Xu |
Notice Date:03/31/2015 | Claim Due Date:06/29/2015 |
Published date grouping:March 2015 | Notice No.:2015-31 |
Action: SEC v. John Gray, Christian Keller, Kyle Martin, and Aaron Shepard |
Notice Date:03/31/2015 | Claim Due Date:06/29/2015 |
Published date grouping:March 2015 | Notice No.:2015-32 |
Action: SEC vs. Mark F. Spangler and The Spangler Group, Inc. |
Notice Date:03/31/2015 | Claim Due Date:06/29/2015 |
Published date grouping:March 2015 | Notice No.:2015-33 |
Action: SEC v. Robert A Walker, Dennis L. DeSender, and DLD Financial, LTD |
Notice Date:03/31/2015 | Claim Due Date:06/29/2015 |
Published date grouping:March 2015 | Notice No.:2015-34 |
Action: SEC v. Steven Scoppetuolo, Robert Tocci, Sarang Ahuja, Richard White and Eric Gordon |
Notice Date:03/31/2015 | Claim Due Date:06/29/2015 |
Published date grouping:March 2015 | Notice No.:2015-35 |
Action: SEC v. Lawrence "Lee" Loomis, Loomis Wealth Solutions, LLC, John Hagener, and Lismar Financial Services, LLC |
Notice Date:03/31/2015 | Claim Due Date:06/29/2015 |
Published date grouping:February 2015 | Notice No.:2015-13 |
Action: In the Matter of International Capital Group, LLC, Brian R. Nord, Larry Russell, Jr., and Todd J. Bergeron |
Notice Date:02/27/2015 | Claim Due Date:05/28/2015 |
Published date grouping:February 2015 | Notice No.:2015-14 |
Action: SEC v. Advanced Equity Partners, LLC, Premiere Consulting, LLC, Peter D. Kirschner, and Stuart M. Rubens |
Notice Date:02/27/2015 | Claim Due Date:05/28/2015 |
Published date grouping:February 2015 | Notice No.:2015-15 |
Action: SEC v. Avon Products, Inc. |
Notice Date:02/27/2015 | Claim Due Date:05/28/2015 |
Published date grouping:February 2015 | Notice No.:2015-16 |
Action: In the Matter of Oppenheimer & Co. Inc. |
Notice Date:02/27/2015 | Claim Due Date:05/28/2015 |
Published date grouping:February 2015 | Notice No.:2015-17 |
Action: SEC v. Magdalena Tavella, Andres Horacio Ficicchia, Gonzalo Garcia Blaya, Lucia Mariana Hernando, Cecilia de Lorenzo, Adriana Rosa Bagattin, Daniella Patricia Goldman, Mariano Pablo Ferrari, Mariano Graciarena, and Fernando Loureyro |
Notice Date:02/27/2015 | Claim Due Date:05/28/2015 |
Published date grouping:February 2015 | Notice No.:2015-18 |
Action: SEC v. Wwebnet, Inc. and Robert L. Kelly |
Notice Date:02/27/2015 | Claim Due Date:05/28/2015 |
Published date grouping:February 2015 | Notice No.:2015-19 |
Action: In the Matter of UBS Securities LLC |
Notice Date:02/27/2015 | Claim Due Date:05/28/2015 |
Published date grouping:February 2015 | Notice No.:2015-20 |
Action: SEC v. Chan Tze Ngon and Jiang Xiangyuan |
Notice Date:02/27/2015 | Claim Due Date:05/28/2015 |
Published date grouping:February 2015 | Notice No.:2015-21 |
Action: SEC v. GLR Capital Management, LLC, GLR Advisors, LLC, Geringer, Luck & Rode LLC, and John A. Geringer |
Notice Date:02/27/2015 | Claim Due Date:05/28/2015 |
Published date grouping:February 2015 | Notice No.:2015-22 |
Action: In the Matter of VCAP Securities, LLC, and Brett Thomas Graham |
Notice Date:02/27/2015 | Claim Due Date:05/28/2015 |
Published date grouping:January 2015 | Notice No.:2015-1 |
Action: In the Matter of Bruker Corporation |
Notice Date:01/27/2015 | Claim Due Date:04/27/2015 |
Published date grouping:January 2015 | Notice No.:2015-2 |
Action: In the Matter of Morgan Stanley & Co. LLC |
Notice Date:01/27/2015 | Claim Due Date:04/27/2015 |
Published date grouping:January 2015 | Notice No.:2015-3 |
Action: SEC vs. Brian N. Hollnagel and BCI Aircraft Leasing, Inc. |
Notice Date:01/27/2015 | Claim Due Date:04/27/2015 |
Published date grouping:January 2015 | Notice No.:2015-4 |
Action: SEC v. Heart Tronics, Inc., Mitchell Jay Stein, Willie James Gault, J. Rowland Perkins, II, Martin Bert Carter, Mark Crosby Nevdahl, and Ryan Allan Rauch |
Notice Date:01/27/2015 | Claim Due Date:04/27/2015 |
Published date grouping:January 2015 | Notice No.:2015-5 |
Action: SEC v. Bill C. (Billy) Crafton, Jr. |
Notice Date:01/27/2015 | Claim Due Date:04/27/2015 |
Published date grouping:January 2015 | Notice No.:2015-6 |
Action: SEC v. Larry R. Polhill |
Notice Date:01/27/2015 | Claim Due Date:04/27/2015 |
Published date grouping:January 2015 | Notice No.:2015-7 |
Action: SEC v. Alternative Green Technologies, Inc., Mitchell Segal, Belmont Partners, LLC, Joseph Meuse, Howard Borg, David Ryan, Vikram Khanna, and Panascope Capital Inc. |
Notice Date:01/27/2015 | Claim Due Date:04/27/2015 |
Published date grouping:January 2015 | Notice No.:2015-8 |
Action: SEC v. John N. Irwin, CPA and Jacklin Associates, Inc. |
Notice Date:01/27/2015 | Claim Due Date:04/27/2015 |
Published date grouping:January 2015 | Notice No.:2015-9 |
Action: SEC v. Michael B. Ferguson and Transactions Unlimited |
Notice Date:01/27/2015 | Claim Due Date:04/27/2015 |
Published date grouping:January 2015 | Notice No.:2015-10 |
Action: In the Matter of EDGA Exchange, Inc., and EDGX Exchange, Inc. |
Notice Date:01/27/2015 | Claim Due Date:04/27/2015 |
Published date grouping:January 2015 | Notice No.:2015-11 |
Action: In the Matter of Standard & Poor's Rating Services |
Notice Date:01/27/2015 | Claim Due Date:04/27/2015 |
Published date grouping:January 2015 | Notice No.:2015-12 |
Action: In the Matter of Standard & Poor's Rating Services |
Notice Date:01/27/2015 | Claim Due Date:04/27/2015 |
Published date grouping:December 2014 | Notice No.:2014-146 |
Action: In the Matter of F-Squared Investments, Inc. |
Notice Date:12/29/2014 | Claim Due Date:03/29/2015 |
Published date grouping:December 2014 | Notice No.:2014-136 |
Action: SEC vs. Bank of America, N.A., Banc of America Mortgage Securities, Inc., and Merrill Lynch, Pierce, Fenner & Smith, Inc. f/k/a Banc of America Securities LLC |
Notice Date:12/22/2014 | Claim Due Date:03/22/2015 |
Published date grouping:December 2014 | Notice No.:2014-137 |
Action: SEC vs. Edward M. Laborio, Jonathan Fraiman, Matthew K. Lazar, Envit Capital, LLC, Envit Capital Group, Inc., Envit Capital Holdings, Inc., Envit Capital Private Wealth Management, LLC, Envit Capital Multi Strategy Mixed Investment Fund I LP, Aetius Group, PLC, and Aetius Group, LLC |
Notice Date:12/22/2014 | Claim Due Date:03/22/2015 |
Published date grouping:December 2014 | Notice No.:2014-138 |
Action: SEC vs. John K. Marcum and Guaranty Reserves Trust, LLC |
Notice Date:12/22/2014 | Claim Due Date:03/22/2015 |
Published date grouping:December 2014 | Notice No.:2014-139 |
Action: SEC vs. Matthew O. Madison, Dwight McGhee, and Infinity Exploration, LLC |
Notice Date:12/22/2014 | Claim Due Date:03/22/2015 |
Published date grouping:December 2014 | Notice No.:2014-141 |
Action: In the Matter of HSBC Private Bank (Suisse), SA |
Notice Date:12/22/2014 | Claim Due Date:03/22/2015 |
Published date grouping:December 2014 | Notice No.:2014-142 |
Action: In the Matter of Alan Gavornik, Nicholas Mariniello and Lee Argush |
Notice Date:12/22/2014 | Claim Due Date:03/22/2015 |
Published date grouping:December 2014 | Notice No.:2014-143 |
Action: In the Matter of Wedbush Securities Inc., Jeffrey Bell, and Christina Fillhart |
Notice Date:12/22/2014 | Claim Due Date:03/22/2015 |
Published date grouping:December 2014 | Notice No.:2014-144 |
Action: SEC vs. Garfield Taylor, Incorporated, Gibraltar Asset Management Group, LLC, Garfield M. Taylor, Benjamin C. Dalley, Jeffrey A. King, Randolph M. Taylor, Maurice G. Taylor, and William B. Mitchell |
Notice Date:12/22/2014 | Claim Due Date:03/22/2015 |
Published date grouping:December 2014 | Notice No.:2014-145 |
Action: SEC vs. Rex Venture Group, LLC d/b/a ZeekRewards.com, and Paul R. Burks |
Notice Date:12/22/2014 | Claim Due Date:03/22/2015 |
Published date grouping:December 2014 | Notice No.:2014-140 |
Action: SEC vs. Larry J. Dearman, Sr. and Marya Gray |
Notice Date:12/20/2014 | Claim Due Date:03/20/2015 |
Published date grouping:November 2014 | Notice No.:2014-120 |
Action: SEC vs. Marlon Quan, Acorn Capital Group, LLC and Stewardship Investment Advisors, LLC |
Notice Date:11/26/2014 | Claim Due Date:02/24/2015 |
Published date grouping:November 2014 | Notice No.:2014-121 |
Action: SEC vs. Resources Planning Group, Inc., and Joseph J. Hennessy |
Notice Date:11/26/2014 | Claim Due Date:02/24/2015 |
Published date grouping:November 2014 | Notice No.:2014-122 |
Action: SEC v. Nikolai S. Battoo, BC Capital Group S.A. (Panama), BC Capital Group Limited (Hong Kong), and Tracy Lee Sunderlage |
Notice Date:11/26/2014 | Claim Due Date:02/24/2015 |
Published date grouping:November 2014 | Notice No.:2014-123 |
Action: SEC v. Agfeed Industries, Inc., Junhong Xiong, Selina Jin, Songyan Li, Shaobo Ouyang, Edward J. Pazdro, K. Ivan Gothner In the Matter of John A. Stadler In the Matter of Clayton T. Marshall |
Notice Date:11/26/2014 | Claim Due Date:02/24/2015 |
Published date grouping:November 2014 | Notice No.:2014-124 |
Action: SEC v. Stanley B. McDuffie (f/k/a Stanley Roberson and Stanley Battle), and Jilapuhn, Inc. (d/b/a Her Majesty's Credit Union) |
Notice Date:11/26/2014 | Claim Due Date:02/24/2015 |
Published date grouping:November 2014 | Notice No.:2014-125 |
Action: SEC v. Abatement Corp. Holding Company Limited |
Notice Date:11/26/2014 | Claim Due Date:02/24/2015 |
Published date grouping:November 2014 | Notice No.:2014-126 |
Action: In the Matter of Layne Christensen Company |
Notice Date:11/26/2014 | Claim Due Date:02/24/2015 |
Published date grouping:November 2014 | Notice No.:2014-127 |
Action: In the Matter of E*Trade Securities, LLC, and G1 Execution Services, LLC |
Notice Date:11/26/2014 | Claim Due Date:02/24/2015 |
Published date grouping:November 2014 | Notice No.:2014-128 |
Action: SEC v. Timothy J. Coughlin, OICU LTD., and OICU Investments Corp. (both d/b/a "Oxford International Credit Union" and/or "Oxford International Cooperative Union") |
Notice Date:11/26/2014 | Claim Due Date:02/24/2015 |
Published date grouping:November 2014 | Notice No.:2014-129 |
Action: SEC v. Malom Group AG, Martin U. Schläpfer, Hans-Jürg Lips, James C. Warras, Joseph N. Micelli, M.Y. Consultants, Inc., Anthony B. Brandel, M. Dwyer, LLC, and Sean P. Finn |
Notice Date:11/26/2014 | Claim Due Date:02/24/2015 |
Published date grouping:November 2014 | Notice No.:2014-130 |
Action: In the Matter of Bio-Rad Laboratories, Inc. |
Notice Date:11/26/2014 | Claim Due Date:02/24/2015 |
Published date grouping:November 2014 | Notice No.:2014-131 |
Action: In the Matter of Clean Energy Capital, LLC and Scott A. Brittenham |
Notice Date:11/26/2014 | Claim Due Date:02/24/2015 |
Published date grouping:November 2014 | Notice No.:2014-132 |
Action: SEC v. Christopher Wheeler and OTCStockExchange.com |
Notice Date:11/26/2014 | Claim Due Date:02/24/2015 |
Published date grouping:November 2014 | Notice No.:2014-133 |
Action: SEC v. Lee Cole, Linden Boyne, Kevin B. Donovan, and Timothy Quintanilla |
Notice Date:11/26/2014 | Claim Due Date:02/24/2015 |
Published date grouping:November 2014 | Notice No.:2014-134 |
Action: SEC v. Dennis F. Wright |
Notice Date:11/26/2014 | Claim Due Date:02/24/2015 |
Published date grouping:November 2014 | Notice No.:2014-135 |
Action: In the Matter of China Ruitai International Holdings Co., LTD., Dian Min Ma, Gang Ma, and Jin Tian |
Notice Date:11/26/2014 | Claim Due Date:02/24/2015 |
Published date grouping:October 2014 | Notice No.:2014-103 |
Action: SEC v. Paul Marshall, Bridge Securities, LLC a/k/a/ Bridge Financial, Bridge Equity, Inc., and FOGfuels, Inc. |
Notice Date:10/23/2014 | Claim Due Date:01/21/2015 |
Published date grouping:October 2014 | Notice No.:2014-104 |
Action: In the Matter of RA Capital Management, LLC |
Notice Date:10/23/2014 | Claim Due Date:01/21/2015 |
Published date grouping:October 2014 | Notice No.:2014-105 |
Action: SEC v. Thomas D. Coldicutt, Jr., Elizabeth L. Coldicutt, Robert C. Weaver, Jr., Christopher C. Greenwood, Linda S. Farrell, and Susana Gomez |
Notice Date:10/23/2014 | Claim Due Date:01/21/2015 |
Published date grouping:October 2014 | Notice No.:2014-106 |
Action: SEC v. Gordon A. Driver and Axcess Automation, LLC |
Notice Date:10/23/2014 | Claim Due Date:01/21/2015 |
Published date grouping:October 2014 | Notice No.:2014-107 |
Action: SEC v. Trendon T. Shavers and Bitcoin Savings and Trust |
Notice Date:10/23/2014 | Claim Due Date:01/21/2015 |
Published date grouping:October 2014 | Notice No.:2014-108 |
Action: SEC v. AIC, Inc., Community Bankers Securities, LLC, Nicholas D. Skaltsounis, John B. Guyette, and John R. Graves |
Notice Date:10/23/2014 | Claim Due Date:01/21/2015 |
Published date grouping:October 2014 | Notice No.:2014-109 |
Action: SEC v. Tyrone L. Gilliams, Jr. and TL Gilliams, LLC |
Notice Date:10/23/2014 | Claim Due Date:01/21/2015 |
Published date grouping:October 2014 | Notice No.:2014-110 |
Action: In the Matter of Lincolnshire Management, Inc. |
Notice Date:10/23/2014 | Claim Due Date:01/21/2015 |
Published date grouping:October 2014 | Notice No.:2014-111 |
Action: In the Matter of BlackRock Institutional Trust Company, N.A. |
Notice Date:10/23/2014 | Claim Due Date:01/21/2015 |
Published date grouping:October 2014 | Notice No.:2014-112 |
Action: In the Matter of Whitebox Advisors LLC |
Notice Date:10/23/2014 | Claim Due Date:01/21/2015 |
Published date grouping:October 2014 | Notice No.:2014-113 |
Action: In the Matter of Wilmington Trust Corporation |
Notice Date:10/23/2014 | Claim Due Date:01/21/2015 |
Published date grouping:October 2014 | Notice No.:2014-114 |
Action: In the Matter of Latour Trading LLC and Nicolas Niquet |
Notice Date:10/23/2014 | Claim Due Date:01/21/2015 |
Published date grouping:October 2014 | Notice No.:2014-115 |
Action: In the Matter of Barclays Capital Inc. |
Notice Date:10/23/2014 | Claim Due Date:01/21/2015 |
Published date grouping:October 2014 | Notice No.:2014-116 |
Action: In the Matter of Bank of America Corporation |
Notice Date:10/23/2014 | Claim Due Date:01/21/2015 |
Published date grouping:October 2014 | Notice No.:2014-117 |
Action: In the Matter of Saba Software, Inc., Patrick Farrell and Sajeev Menon |
Notice Date:10/23/2014 | Claim Due Date:01/21/2015 |
Published date grouping:October 2014 | Notice No.:2014-118 |
Action: In the Matter of Babak ("Bobby") Yazdani |
Notice Date:10/23/2014 | Claim Due Date:01/21/2015 |
Published date grouping:October 2014 | Notice No.:2014-119 |
Action: In the Matter of Wells Fargo Advisors, LLC |
Notice Date:10/23/2014 | Claim Due Date:01/21/2015 |
Published date grouping:September 2014 | Notice No.:2014-96 |
Action: SEC v. Blake B. Richards |
Notice Date:09/24/2014 | Claim Due Date:12/23/2014 |
Published date grouping:September 2014 | Notice No.:2014-97 |
Action: In the Matter of Bank of America Corporation |
Notice Date:09/24/2014 | Claim Due Date:12/23/2014 |
Published date grouping:September 2014 | Notice No.:2014-98 |
Action: In the Matter of Keith MacDonald Summers |
Notice Date:09/24/2014 | Claim Due Date:12/23/2014 |
Published date grouping:September 2014 | Notice No.:2014-99 |
Action: SEC v. James M. Peister and Northstar International Group Inc. |
Notice Date:09/24/2014 | Claim Due Date:12/23/2014 |
Published date grouping:September 2014 | Notice No.:2014-100 |
Action: SEC v. Fleet Mutual Wealth Limited, and MWF Financial Limited, d/b/a Mutual Wealth |
Notice Date:09/24/2014 | Claim Due Date:12/23/2014 |
Published date grouping:September 2014 | Notice No.:2014-101 |
Action: SEC v. Troy Lyndon and Ronald Zaucha |
Notice Date:09/24/2014 | Claim Due Date:12/23/2014 |
Published date grouping:September 2014 | Notice No.:2014-102 |
Action: SEC v. 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 LLC, Perlinda Enterprises LLC, Rio Sterling Holdings LLC, Slow Train Holdings LLC, and Spartan Group Holdings LLC |
Notice Date:09/24/2014 | Claim Due Date:12/23/2014 |
Published date grouping:September 2014 | Notice No.:2014-94 |
Action: SEC v. Rajat K. Gupta and Raj Rajaratnam |
Notice Date:09/05/2014 | Claim Due Date:12/04/2014 |
Published date grouping:September 2014 | Notice No.:2014-95 |
Action: SEC v. Universal Travel Group, Jiangping Jiang and Jing Xie In the Matter of EFP Rotenberg, LLP and Nicholas R. Bottini, CPA |
Notice Date:09/05/2014 | Claim Due Date:12/04/2014 |
Published date grouping:August 2014 | Notice No.:2014-80 |
Action: SEC v. Patrick G. Rooney and Solaris Management, LLC |
Notice Date:08/21/2014 | Claim Due Date:11/19/2014 |
Published date grouping:August 2014 | Notice No.:2014-81 |
Action: SEC v. Cedric Cañas Maillard and Julio Marín Ugedo |
Notice Date:08/21/2014 | Claim Due Date:11/19/2014 |
Published date grouping:August 2014 | Notice No.:2014-82 |
Action: SEC v. Bernard H. Butts, Jr., Fotios Geivelis, Jr., also known as Frank Anastasio, Worldwide Funding III Limited LLC, Douglas J. Anisky, Sidney Banner, Express Commercial Capital LLC, James Baggs |
Notice Date:08/21/2014 | Claim Due Date:11/19/2014 |
Published date grouping:August 2014 | Notice No.:2014-83 |
Action: SEC v. DDBO Consulting, Inc., DBBG Consulting, Inc., Dean R. Baker, and Bret A. Grove |
Notice Date:08/21/2014 | Claim Due Date:11/19/2014 |
Published date grouping:August 2014 | Notice No.:2014-84 |
Action: SEC v. Scott Ashton Riggs, Darrell Parlee, Steven Manderfeld, Ashton Oilfield Services, LLC, Ashton Equipment, LLC, AOS 1-A, L.P., and AOS 1-B, L.P. |
Notice Date:08/21/2014 | Claim Due Date:11/19/2014 |
Published date grouping:August 2014 | Notice No.:2014-85 |
Action: SEC v. Citigroup Global Markets Inc. |
Notice Date:08/21/2014 | Claim Due Date:11/19/2014 |
Published date grouping:August 2014 | Notice No.:2014-86 |
Action: SEC v. Bryan S. Behrens and National Investments, Inc. |
Notice Date:08/21/2014 | Claim Due Date:11/19/2014 |
Published date grouping:August 2014 | Notice No.:2014-87 |
Action: SEC v. John Babikian |
Notice Date:08/21/2014 | Claim Due Date:11/19/2014 |
Published date grouping:August 2014 | Notice No.:2014-88 |
Action: SEC v. Walter Ng, Kelly Ng, Bruce Horwitz, and The Mortgage Fund, LLC |
Notice Date:08/21/2014 | Claim Due Date:11/19/2014 |
Published date grouping:August 2014 | Notice No.:2014-89 |
Action: In the Matter of Smith & Wesson Holding Corporation |
Notice Date:08/21/2014 | Claim Due Date:11/19/2014 |
Published date grouping:August 2014 | Notice No.:2014-90 |
Action: In the Matter of Morgan Stanley and Co. LLC; Morgan Stanley ABS Capital I Inc.; and Morgan Stanley Mortgage Capital Holdings LLC |
Notice Date:08/21/2014 | Claim Due Date:11/19/2014 |
Published date grouping:August 2014 | Notice No.:2014-91 |
Action: In the Matter of Ernst & Young LLP |
Notice Date:08/21/2014 | Claim Due Date:11/19/2014 |
Published date grouping:August 2014 | Notice No.:2014-92 |
Action: In the Matter of LavaFlow, Inc. |
Notice Date:08/21/2014 | Claim Due Date:11/19/2014 |
Published date grouping:August 2014 | Notice No.:2014-93 |
Action: In the Matter of Linkbrokers Derivatives LLC |
Notice Date:08/21/2014 | Claim Due Date:11/19/2014 |
Published date grouping:July 2014 | Notice No.:2014-72 |
Action: SEC v. 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 |
Notice Date:07/21/2014 | Claim Due Date:10/19/2014 |
Published date grouping:July 2014 | Notice No.:2014-73 |
Action: SEC v. Robert Hurd, Your Best Memories International, Inc., and Kenneth Gross |
Notice Date:07/21/2014 | Claim Due Date:10/19/2014 |
Published date grouping:July 2014 | Notice No.:2014-74 |
Action: SEC v. Marcus A. Luna; Nathan Montgomery; Adam Daskivich; David Murtha; St. Paul Venture Fund, LLC; Minnesota Venture Capital, Inc.; Real Estate of Minnesota, Inc.; and Matrix Venture Capital, Inc. |
Notice Date:07/21/2014 | Claim Due Date:10/19/2014 |
Published date grouping:July 2014 | Notice No.:2014-75 |
Action: SEC v. Charles J. Dushek, Charles S. Dushek, and Capital Management Associates, Inc. |
Notice Date:07/21/2014 | Claim Due Date:10/19/2014 |
Published date grouping:July 2014 | Notice No.:2014-76 |
Action: SEC v. Christopher A.T. Pedras (aka Chris Pedras aka Antone Thomas Pedras); Sylvester M. Gray II; Alicia Bryan; Maxum Gold Bnk Holdings Limited; Maxum Gold Bnk Holdings LLC; FMP Medical Services Limited; and FMP Medical Services LLC |
Notice Date:07/21/2014 | Claim Due Date:10/19/2014 |
Published date grouping:July 2014 | Notice No.:2014-77 |
Action: SEC v. Thomas Fletcher & Co. Inc., Thomas Fletcher & Company, Inc., Sergei Voronchenko, Roman Thaker, Alex Berg, John Donadio and Padraig McGlynn |
Notice Date:07/21/2014 | Claim Due Date:10/19/2014 |
Published date grouping:July 2014 | Notice No.:2014-78 |
Action: SEC v. John Lazorchak, Mark S. Cupo, Mark D. Foldy, Michael L. Castelli, Lawrence D. Grum, Michael T. Pendolino, and James N. Deprado |
Notice Date:07/21/2014 | Claim Due Date:10/19/2014 |
Published date grouping:July 2014 | Notice No.:2014-79 |
Action: SEC v. CR Intrinsic Investors, LLC, Mathew Martoma, and Dr. Sidney Gilman |
Notice Date:07/21/2014 | Claim Due Date:10/19/2014 |
Published date grouping:June 2014 | Notice No.:2014-70 |
Action: SEC v. Avanti Capital Partners, LLC, a Utah Limited Liability Company, Highland Residential, LLC, a Utah Limited Liability Company, and Ivan Wade Brown, an Individual |
Notice Date:06/19/2014 | Claim Due Date:09/17/2014 |
Published date grouping:June 2014 | Notice No.:2014-71 |
Action: In the Matter of Paradigm Capital Management, Inc. and Candace King Weir |
Notice Date:06/19/2014 | Claim Due Date:09/17/2014 |
Published date grouping:June 2014 | Notice No.:2014-58 |
Action: In the Matter of George B. Franz III and Ruby Corporation |
Notice Date:06/19/2014 | Claim Due Date:09/17/2014 |
Published date grouping:June 2014 | Notice No.:2014-59 |
Action: In the Matter of Diego F. Hernandez, The Wealth Management Partners, LLC, Wealth Financial, Limited Liability Company, DFHR Investments, Inc., and HD Mile High Marketing, Inc. |
Notice Date:06/19/2014 | Claim Due Date:09/17/2014 |
Published date grouping:June 2014 | Notice No.:2014-60 |
Action: In the Matter of Genesis Advisory Services Corp., ABJ Societe Anonyme Corp., and Bruce J. Fixelle |
Notice Date:06/19/2014 | Claim Due Date:09/17/2014 |
Published date grouping:June 2014 | Notice No.:2014-61 |
Action: SEC v. Yuhe International, Inc. and Gao Zhentao |
Notice Date:06/19/2014 | Claim Due Date:09/17/2014 |
Published date grouping:June 2014 | Notice No.:2014-62 |
Action: SEC v. S. Paul Kelley, George Tazbaz, Roger D. Lockhart, Robert S. Agriogianis, and Shawn A. Becker |
Notice Date:06/19/2014 | Claim Due Date:09/17/2014 |
Published date grouping:June 2014 | Notice No.:2014-63 |
Action: SEC v. Richard Olive and Susan Olive |
Notice Date:06/19/2014 | Claim Due Date:09/17/2014 |
Published date grouping:June 2014 | Notice No.:2014-64 |
Action: SEC v. OM Investment Management LLC, Gignesh Movalia, and Edwin V. Gaw |
Notice Date:06/19/2014 | Claim Due Date:09/17/2014 |
Published date grouping:June 2014 | Notice No.:2014-65 |
Action: SEC v. Herbert Richard Lawson, William B. Lawson, and John J. Cerullo |
Notice Date:06/19/2014 | Claim Due Date:09/17/2014 |
Published date grouping:June 2014 | Notice No.:2014-66 |
Action: SEC v. Behrooz Sarafraz |
Notice Date:06/19/2014 | Claim Due Date:09/17/2014 |
Published date grouping:June 2014 | Notice No.:2014-67 |
Action: SEC v. Alberto William Vilar, and Gary Alan Tanaka |
Notice Date:06/19/2014 | Claim Due Date:09/17/2014 |
Published date grouping:June 2014 | Notice No.:2014-68 |
Action: SEC v. Charles Vista, LLC |
Notice Date:06/19/2014 | Claim Due Date:09/17/2014 |
Published date grouping:June 2014 | Notice No.:2014-69 |
Action: SEC v. Anthony Vassallo, Kenneth Kenitzer and Equity Investment Management and Trading, Inc. |
Notice Date:06/19/2014 | Claim Due Date:09/17/2014 |
Published date grouping:June 2014 | Notice No.:2014-57 |
Action: In the Matter of Liquidnet, Inc. |
Notice Date:06/06/2014 | Claim Due Date:09/04/2014 |
Published date grouping:May 2014 | Notice No.:2014-48 |
Action: SEC v. CVS Caremark Corp. |
Notice Date:05/22/2014 | Claim Due Date:08/20/2014 |
Published date grouping:May 2014 | Notice No.:2014-49 |
Action: SEC v. Seven Palm Investments, LLC, Peter P. Veugeler, Cardiovascular Sciences, Inc., and Lawrence H. Hooper, Jr. |
Notice Date:05/22/2014 | Claim Due Date:08/20/2014 |
Published date grouping:May 2014 | Notice No.:2014-50 |
Action: In the Matter of Visionary Trading LLC, Lightspeed Trading LLC, Andrew Actman, Joseph Dondero, Eugene Giaquinto, Lee Heiss, and Jason Medvin |
Notice Date:05/22/2014 | Claim Due Date:08/20/2014 |
Published date grouping:May 2014 | Notice No.:2014-51 |
Action: SEC v. Glenn Hoppes, United States Energy Corp., TN-KY Development Fund LP, TN-KY Development Fund II LP, and TN-KY Development Fund III LP |
Notice Date:05/22/2014 | Claim Due Date:08/20/2014 |
Published date grouping:May 2014 | Notice No.:2014-52 |
Action: SEC v. Armand R. Franquelin and Martin A. Pool |
Notice Date:05/22/2014 | Claim Due Date:08/20/2014 |
Published date grouping:May 2014 | Notice No.:2014-53 |
Action: SEC v. S. Paul Kelley, George Tazbaz, Roger D. Lockhart, Robert S. Agriogianis, and Shawn A. Becker |
Notice Date:05/22/2014 | Claim Due Date:08/20/2014 |
Published date grouping:May 2014 | Notice No.:2014-54 |
Action: SEC v. Steven B. Heinz and S.B. Heinz & Associates, Inc. |
Notice Date:05/22/2014 | Claim Due Date:08/20/2014 |
Published date grouping:May 2014 | Notice No.:2014-55 |
Action: In the Matter of Hewlett-Packard Company |
Notice Date:05/22/2014 | Claim Due Date:08/20/2014 |
Published date grouping:May 2014 | Notice No.:2014-56 |
Action: In the Matter of New York Stock Exchange LLC, NYSE Arca, Inc., NYSE MKT LLC f/k/a NYSE Amex LLC, and Archipelago Securities, L.L.C. |
Notice Date:05/22/2014 | Claim Due Date:08/20/2014 |
Published date grouping:April 2014 | Notice No.:2014-35 |
Action: SEC v. Onyx Capital Advisors, LLC, Roy Dixon, Jr., and Michael A. Farr |
Notice Date:04/22/2014 | Claim Due Date:07/21/2014 |
Published date grouping:April 2014 | Notice No.:2014-36 |
Action: In the Matter of Jefferies LLC (formerly known as Jefferies & Company, Inc.) |
Notice Date:04/22/2014 | Claim Due Date:07/21/2014 |
Published date grouping:April 2014 | Notice No.:2014-37 |
Action: SEC v. John S. Morgan, Marian I. Morgan, Morgan European Holdings ApS a/k/a Money Talks, Inc., ApS, Stephen E. Bowman, Bowman Marketing Group, Inc., and Thomas D. Woodcock, Jr. |
Notice Date:04/22/2014 | Claim Due Date:07/21/2014 |
Published date grouping:April 2014 | Notice No.:2014-38 |
Action: SEC v. Joseph Hilton f/k/a Joseph Yurkin, Pacific Northwestern Energy LLC, Rock Castle Drilling Fund LP, Rock Castle Drilling Fund II LP, and New Horizon Publishing Inc. |
Notice Date:04/22/2014 | Claim Due Date:07/21/2014 |
Published date grouping:April 2014 | Notice No.:2014-39 |
Action: SEC v. Samuel E. Wyly, Charles J. Wyly, Jr., Michael C. French, and Louis J. Schaufele III |
Notice Date:04/22/2014 | Claim Due Date:07/21/2014 |
Published date grouping:April 2014 | Notice No.:2014-40 |
Action: In the Matter of Howard Feder and BDL Manager LLC |
Notice Date:04/22/2014 | Claim Due Date:07/21/2014 |
Published date grouping:April 2014 | Notice No.:2014-41 |
Action: SEC v. Dawn Wright-Olivares and Daniel Olivares |
Notice Date:04/22/2014 | Claim Due Date:07/21/2014 |
Published date grouping:April 2014 | Notice No.:2014-42 |
Action: In the Matter of Lions Gate Entertainment Corp. |
Notice Date:04/22/2014 | Claim Due Date:07/21/2014 |
Published date grouping:April 2014 | Notice No.:2014-43 |
Action: SEC v. Certain Unknown Traders in the Securities of H.J. Heinz Company |
Notice Date:04/22/2014 | Claim Due Date:07/21/2014 |
Published date grouping:April 2014 | Notice No.:2014-44 |
Action: SEC v. Juno Mother Earth Asset Management, LLC, Eugenio Verzili and Arturo Allan Rodriguez Lopez a/k/a Arturo Rodriguez |
Notice Date:04/22/2014 | Claim Due Date:07/21/2014 |
Published date grouping:April 2014 | Notice No.:2014-45 |
Action: SEC v. John Kinnucan and Broadband Research Corporation |
Notice Date:04/22/2014 | Claim Due Date:07/21/2014 |
Published date grouping:April 2014 | Notice No.:2014-46 |
Action: In the Matter of Worldwide Capital, Inc. and Jeffrey W. Lynn |
Notice Date:04/22/2014 | Claim Due Date:07/21/2014 |
Published date grouping:April 2014 | Notice No.:2014-47 |
Action: SEC v. Syndicated Food Service International, Inc., Nick Pirgousis, Frank Dolney, William Brown, Gary Todd, Mario Casias, Delta Asset Management Company, LLC, William Keeler, William Scott, Iain H.T. Brown, Iain Brown, Fidra Holdings LTD., Jeffrey Richardson, Peter Moulinos, Michelle Kramish Kain, Joseph Ferragamo, Adam Klein, Christopher Quintana, and Thomas Tanis |
Notice Date:04/22/2014 | Claim Due Date:07/21/2014 |
Published date grouping:March 2014 | Notice No.:2014-23 |
Action: SEC v. Jerry S. Williams, Monk's Den, LLC, and First in Awareness, LLC |
Notice Date:03/24/2014 | Claim Due Date:06/22/2014 |
Published date grouping:March 2014 | Notice No.:2014-24 |
Action: SEC v. John J. Bravata, Richard J. Trabulsy, Antonio M. Bravata, BBC Equities, LLC, and Bravata Financial Group, LLC |
Notice Date:03/24/2014 | Claim Due Date:06/22/2014 |
Published date grouping:March 2014 | Notice No.:2014-25 |
Action: SEC v. Jeremy S. Fisher, The Good Life Financial Group, Inc., and The Good Life Global Enterprises, LLC |
Notice Date:03/24/2014 | Claim Due Date:06/22/2014 |
Published date grouping:March 2014 | Notice No.:2014-26 |
Action: SEC v. Recycle Tech, Inc., Keven Sepe, Ronny J. Halperin, Ryan Gonzalez, OTC Solutions LLC, Anthony Thompson, Pudong LLC, Jay Fung and David Rees |
Notice Date:03/24/2014 | Claim Due Date:06/22/2014 |
Published date grouping:March 2014 | Notice No.:2014-27 |
Action: SEC v. Delsa U. Thomas; The D. Christopher Capital Management Group, LLC; and The Solomon Fund, LP |
Notice Date:03/24/2014 | Claim Due Date:06/22/2014 |
Published date grouping:March 2014 | Notice No.:2014-28 |
Action: In the Matter of Apple REIT Six, Inc.; Apple REIT Seven, Inc.; Apple REIT Eight, Inc.; Apple REIT Nine, Inc.; Apple Six Advisors, Inc.; Apple Seven Advisors, Inc., Apple Eight Advisors, Inc.; Apple Nine Advisors, Inc.; Glade M. Knight; and Bryan F. Peery, CPA |
Notice Date:03/24/2014 | Claim Due Date:06/22/2014 |
Published date grouping:March 2014 | Notice No.:2014-29 |
Action: SEC v. China Intelligent Lighting and Electronics, Inc., NIVS Intellimedia Technology Group, Inc., Tianfu Li, and Xuemei Li |
Notice Date:03/24/2014 | Claim Due Date:06/22/2014 |
Published date grouping:March 2014 | Notice No.:2014-32 |
Action: SEC v. George Garcy a/k/a Jorge Garcia, and Angelo Cuomo |
Notice Date:03/24/2014 | Claim Due Date:06/22/2014 |
Published date grouping:March 2014 | Notice No.:2014-34 |
Action: In the Matter of Ronald S. Bloomfield, Robert Gorgia, and John Earl Martin, Sr. |
Notice Date:03/24/2014 | Claim Due Date:06/22/2014 |
Published date grouping:March 2014 | Notice No.:2014-30 |
Action: SEC v. Secure Capital Funding Corporation, Bertram Augustus Hill, PP&M Trade Partners, and Kiavanni Pringle |
Notice Date:03/22/2014 | Claim Due Date:06/20/2014 |
Published date grouping:March 2014 | Notice No.:2014-31 |
Action: SEC v. Dean P. Gross and Gregory W. Laser |
Notice Date:03/22/2014 | Claim Due Date:06/20/2014 |
Published date grouping:March 2014 | Notice No.:2014-33 |
Action: SEC v. Henry Morris, David J. Loglisci, Nosemote LLC, Pantigo Emerging LLC, and Purpose LLC |
Notice Date:03/22/2014 | Claim Due Date:06/20/2014 |
Published date grouping:March 2014 | Notice No.:2014-22 |
Action: SEC v. Burton Douglas Morriss, Acartha Group, LLC, MIC VII, LLC, Acartha Technology Partners, LP, and Gryphon Investments III, LLC |
Notice Date:03/07/2014 | Claim Due Date:06/05/2014 |
Published date grouping:February 2014 | Notice No.:2014-9 |
Action: In the Matter of Credit Suisse Group AG |
Notice Date:02/24/2014 | Claim Due Date:05/25/2014 |
Published date grouping:February 2014 | Notice No.:2014-10 |
Action: In the Matter of KPMG LLP |
Notice Date:02/24/2014 | Claim Due Date:05/25/2014 |
Published date grouping:February 2014 | Notice No.:2014-11 |
Action: In the Matter of Alcoa Inc. |
Notice Date:02/24/2014 | Claim Due Date:05/25/2014 |
Published date grouping:February 2014 | Notice No.:2014-12 |
Action: In the Matter of Western Asset Management Company |
Notice Date:02/24/2014 | Claim Due Date:05/25/2014 |
Published date grouping:February 2014 | Notice No.:2014-13 |
Action: In the Matter of Scottrade, Inc. |
Notice Date:02/24/2014 | Claim Due Date:05/25/2014 |
Published date grouping:February 2014 | Notice No.:2014-14 |
Action: SEC v. Joseph Paul Zada and Zada Enterprises, LLC |
Notice Date:02/24/2014 | Claim Due Date:05/25/2014 |
Published date grouping:February 2014 | Notice No.:2014-15 |
Action: SEC v. Uriel Sharef, Ulrich Bock, Carlos Sergi, Stephan Signer, Herbert Steffen, Andres Truppel, and Bernd Regendantz |
Notice Date:02/24/2014 | Claim Due Date:05/25/2014 |
Published date grouping:February 2014 | Notice No.:2014-16 |
Action: SEC v. Thomas Rubin, Christopher Scott, BGLR Enterprises, LLC, and E-Info Solutions LLC |
Notice Date:02/24/2014 | Claim Due Date:05/25/2014 |
Published date grouping:February 2014 | Notice No.:2014-17 |
Action: SEC v. Mark A. Lefkowitz, Compass Capital Group, Inc., Mark A. Lopez, Unico, Inc., Steven R. Peacock, Shane H. Traveller, and Advanced Cell Technology, Inc. |
Notice Date:02/24/2014 | Claim Due Date:05/25/2014 |
Published date grouping:February 2014 | Notice No.:2014-18 |
Action: SEC v. Archer-Daniels-Midland Company |
Notice Date:02/24/2014 | Claim Due Date:05/25/2014 |
Published date grouping:February 2014 | Notice No.:2014-19 |
Action: SEC v. Kareem Serageldin, David Higgs, Faisal Siddiqui and Salmaan Siddiqui |
Notice Date:02/24/2014 | Claim Due Date:05/25/2014 |
Published date grouping:February 2014 | Notice No.:2014-20 |
Action: SEC v. David Blech and Margaret Chassman |
Notice Date:02/24/2014 | Claim Due Date:05/25/2014 |
Published date grouping:February 2014 | Notice No.:2014-21 |
Action: SEC v. Diamond Foods, Inc. |
Notice Date:02/24/2014 | Claim Due Date:05/25/2014 |
Published date grouping:January 2014 | Notice No.:2014-1 |
Action: In the Matter of GLG Partners, Inc. and GLG Partners, L.P. |
Notice Date:01/17/2014 | Claim Due Date:04/17/2014 |
Published date grouping:January 2014 | Notice No.:2014-2 |
Action: In the Matter of Merrill Lynch, Pierce, Fenner & Smith Inc. |
Notice Date:01/17/2014 | Claim Due Date:04/17/2014 |
Published date grouping:January 2014 | Notice No.:2014-3 |
Action: SEC v. Weatherford International Ltd. |
Notice Date:01/17/2014 | Claim Due Date:04/17/2014 |
Published date grouping:January 2014 | Notice No.:2014-4 |
Action: SEC v. Waldyr Da Silva Prado Neto |
Notice Date:01/17/2014 | Claim Due Date:04/17/2014 |
Published date grouping:January 2014 | Notice No.:2014-5 |
Action: SEC v. Lawrence J. Robbins |
Notice Date:01/17/2014 | Claim Due Date:04/17/2014 |
Published date grouping:January 2014 | Notice No.:2014-6 |
Action: SEC v. William Landberg, Kevin Kramer, Steven Gould, Janis Barsuk, West End Financial Advisors LLC, West End Capital Management LLC, and Sentinel Investment Management Corporation |
Notice Date:01/17/2014 | Claim Due Date:04/17/2014 |
Published date grouping:January 2014 | Notice No.:2014-7 |
Action: In the Matter of Daniel Bogar, Bernerd E. Young, and Jason T. Green |
Notice Date:01/17/2014 | Claim Due Date:04/17/2014 |
Published date grouping:January 2014 | Notice No.:2014-8 |
Action: SEC v. Marek Leszczynski, Benjamin Chouchane, Gregory Reyftmann, and Henry A. Condron |
Notice Date:01/17/2014 | Claim Due Date:04/17/2014 |
Published date grouping:December 2013 | Notice No.:2013-115 |
Action: SEC v. Robert L. Duncan |
Notice Date:12/20/2013 | Claim Due Date:03/20/2014 |
Published date grouping:December 2013 | Notice No.:2013-117 |
Action: SEC v. Steven Palladino and Viking Financial Group, Inc. |
Notice Date:12/20/2013 | Claim Due Date:03/20/2014 |
Published date grouping:December 2013 | Notice No.:2013-118 |
Action: SEC v. Imperiali, Inc., Daniel Imperato, Charles Fiscina, and Lawrence A. O'Donnell |
Notice Date:12/20/2013 | Claim Due Date:03/20/2014 |
Published date grouping:December 2013 | Notice No.:2013-119 |
Action: SEC v. Senen Pousa and Investment Intelligence Corporation PTY LLC |
Notice Date:12/20/2013 | Claim Due Date:03/20/2014 |
Published date grouping:December 2013 | Notice No.:2013-120 |
Action: SEC v. Nicholas Louis Geranio, Keith Michael Field, The Good One, Inc., and Kaleidoscope Real Estate, Inc. |
Notice Date:12/20/2013 | Claim Due Date:03/20/2014 |
Published date grouping:December 2013 | Notice No.:2013-121 |
Action: SEC v. The NIR Group, LLC; Corey Ribotsky; and Daryl Dworkin |
Notice Date:12/20/2013 | Claim Due Date:03/20/2014 |
Published date grouping:December 2013 | Notice No.:2013-116 |
Action: SEC v. RBS Securities Inc. |
Notice Date:12/20/2013 | Claim Due Date:03/20/2014 |
Published date grouping:December 2013 | Notice No.:2013-112 |
Action: In the Matter of Curt Kramer, Mazuma Corporation, Mazuma Funding Corporation, and Mazuma Holding Corporation |
Notice Date:12/20/2013 | Claim Due Date:03/20/2014 |
Published date grouping:December 2013 | Notice No.:2013-113 |
Action: In the Matter of Gregg C. Lorenzo, Francis V. Lorenzo, and Charles Vista, LLC |
Notice Date:12/20/2013 | Claim Due Date:03/20/2014 |
Published date grouping:December 2013 | Notice No.:2013-114 |
Action: In the Matter of G-Trade Services LLC, ConvergEx Global Markets Limited, and ConvergEx Execution Solutions LLC
In the Matter of Jonathan Samuel Daspin
In the Matter of Thomas Lekargeren |
Notice Date:12/20/2013 | Claim Due Date:03/20/2014 |
Published date grouping:December 2013 | Notice No.:2013-111 |
Action: In the Matter of Fifth Third Bancorp and Daniel Poston |
Notice Date:12/05/2013 | Claim Due Date:03/05/2014 |
Published date grouping:November 2013 | Notice No.:2013-102 |
Action: In the Matter of Manarin Investment Counsel, Ltd., Manarin Securities Corp., and Roland R. Manarin |
Notice Date:11/21/2013 | Claim Due Date:02/19/2014 |
Published date grouping:November 2013 | Notice No.:2013-103 |
Action: In the Matter of OX Trading, LLC, optionsXpress, Inc., and Thomas E. Stern |
Notice Date:11/21/2013 | Claim Due Date:02/19/2014 |
Published date grouping:November 2013 | Notice No.:2013-104 |
Action: In the Matter of Stryker Corporation |
Notice Date:11/21/2013 | Claim Due Date:02/19/2014 |
Published date grouping:November 2013 | Notice No.:2013-105 |
Action: SEC v. China MediaExpress Holdings, Inc., and Zheng Cheng |
Notice Date:11/21/2013 | Claim Due Date:02/19/2014 |
Published date grouping:November 2013 | Notice No.:2013-106 |
Action: SEC v. Small Business Capital Corp., Mark Feathers; Investors Prime Fund, LLC; and SBC Portfolio Fund, LLC. |
Notice Date:11/21/2013 | Claim Due Date:02/19/2014 |
Published date grouping:November 2013 | Notice No.:2013-107 |
Action: SEC v. Edward T. Stein |
Notice Date:11/21/2013 | Claim Due Date:02/19/2014 |
Published date grouping:November 2013 | Notice No.:2013-108 |
Action: SEC v. Huakang Zhou (a/k/a David Zhou) and Warner Technology and Investment Corporation |
Notice Date:11/21/2013 | Claim Due Date:02/19/2014 |
Published date grouping:November 2013 | Notice No.:2013-109 |
Action: SEC v. Berton M. Hochfeld and Hochfeld Capital Management, L.L.C. |
Notice Date:11/21/2013 | Claim Due Date:02/19/2014 |
Published date grouping:November 2013 | Notice No.:2013-110 |
Action: SEC v. Diebold, Inc. |
Notice Date:11/21/2013 | Claim Due Date:02/19/2014 |
Published date grouping:October 2013 | Notice No.:2013-85 |
Action: In the Matter of Deerfield Management Company, L.P. |
Notice Date:10/22/2013 | Claim Due Date:01/20/2014 |
Published date grouping:October 2013 | Notice No.:2013-86 |
Action: SEC v. Envision Direct L.L.C. and Gary R. Headding |
Notice Date:10/22/2013 | Claim Due Date:01/20/2014 |
Published date grouping:October 2013 | Notice No.:2013-87 |
Action: SEC v. GEI Financial Services, Inc., Norman Goldstein, and Laurie Gatherum |
Notice Date:10/22/2013 | Claim Due Date:01/20/2014 |
Published date grouping:October 2013 | Notice No.:2013-88 |
Action: In the Matter of Walter V. Gerasimowicz, Meditron Asset Management, LLC, and Meditron Management Group, LLC |
Notice Date:10/22/2013 | Claim Due Date:01/20/2014 |
Published date grouping:October 2013 | Notice No.:2013-89 |
Action: SEC v. Harbinger Capital Partners LLC; Philip A. Falcone; and Peter A. Jenson |
Notice Date:10/22/2013 | Claim Due Date:01/20/2014 |
Published date grouping:October 2013 | Notice No.:2013-90 |
Action: SEC v Yusaf Jawed, Grifphon Asset Management LLC, Grifphon Holdings, LLC, and Robert P. Custis |
Notice Date:10/22/2013 | Claim Due Date:01/20/2014 |
Published date grouping:October 2013 | Notice No.:2013-91 |
Action: In the Matter of JGP Global Gestão de Recursos Ltda. |
Notice Date:10/22/2013 | Claim Due Date:01/20/2014 |
Published date grouping:October 2013 | Notice No.:2013-92 |
Action: In the Matter of JPMorganChase & Co. |
Notice Date:10/22/2013 | Claim Due Date:01/20/2014 |
Published date grouping:October 2013 | Notice No.:2013-93 |
Action: In the Matter of Knight Capital Americas LLC |
Notice Date:10/22/2013 | Claim Due Date:01/20/2014 |
Published date grouping:October 2013 | Notice No.:2013-94 |
Action: SEC v. Marcin Malarz, Jacek Sienkiewicz, and Arthur Lin |
Notice Date:10/22/2013 | Claim Due Date:01/20/2014 |
Published date grouping:October 2013 | Notice No.:2013-95 |
Action: In the Matter of Manikay Partners LLC |
Notice Date:10/22/2013 | Claim Due Date:01/20/2014 |
Published date grouping:October 2013 | Notice No.:2013-96 |
Action: SEC v. The Milan Group, Inc., a/k/a The Milan Trading Group, Inc., Frank L. Pavlico III, a/k/a Frank Lorenzo, Brynee K. Baylor, Baylor & Jackson, P.L.L.C |
Notice Date:10/22/2013 | Claim Due Date:01/20/2014 |
Published date grouping:October 2013 | Notice No.:2013-97 |
Action: SEC v. Brian G. Elrod and Nova Dean Pack |
Notice Date:10/22/2013 | Claim Due Date:01/20/2014 |
Published date grouping:October 2013 | Notice No.:2013-98 |
Action: SEC v. Petro-Suisse LTD. and Mark Gasarch |
Notice Date:10/22/2013 | Claim Due Date:01/20/2014 |
Published date grouping:October 2013 | Notice No.:2013-99 |
Action: In the Matter of Shadron L. Stastney |
Notice Date:10/22/2013 | Claim Due Date:01/20/2014 |
Published date grouping:October 2013 | Notice No.:2013-100 |
Action: In the Matter of TD Bank, N.A. |
Notice Date:10/22/2013 | Claim Due Date:01/20/2014 |
Published date grouping:October 2013 | Notice No.:2013-101 |
Action: SEC v. Edmund E. Wilson and Walter L. Ross |
Notice Date:10/22/2013 | Claim Due Date:01/20/2014 |
Published date grouping:September 2013 | Notice No.:2013-80 |
Action: SEC v. Firas A. Hamdan, individually and doing business as FAH Capital Partners |
Notice Date:09/20/2013 | Claim Due Date:12/19/2013 |
Published date grouping:September 2013 | Notice No.:2013-77 |
Action: SEC v. Richard DeMaria |
Notice Date:09/20/2013 | Claim Due Date:12/19/2013 |
Published date grouping:September 2013 | Notice No.:2013-78 |
Action: SEC v. David B. Welliver and Dblaine Capital, LLC |
Notice Date:09/20/2013 | Claim Due Date:12/19/2013 |
Published date grouping:September 2013 | Notice No.:2013-79 |
Action: SEC v. Badin Rungruangnavarat |
Notice Date:09/20/2013 | Claim Due Date:12/19/2013 |
Published date grouping:September 2013 | Notice No.:2013-81 |
Action: SEC v. Scott London and Bryan Shaw |
Notice Date:09/20/2013 | Claim Due Date:12/19/2013 |
Published date grouping:September 2013 | Notice No.:2013-82 |
Action: SEC v. Joseph Simone; Island Capital Management, Inc., Joseph Lando; Joseph Caracciolo; Alfred Varricchio; Anthony Pianelli; Jill Pianelli; JAP JAP Enterprises, LLC; Brian Fabrizzi; Donald Sorrentino; Anthony Carannante, individually and d/b/a A&C Management; Steven Daronzio, individually and d/b/a/ A&C Management; Rochelle Roman; Shaun Sarnicola; Anthony Tanico; Andrea Lando-Tanico; AJT Ltd; AJGT Ltd.; Michael McCormack; Donna Centola; DMAC Services, Inc.; Andrew Caccioppoli; Thomas Macli; Donna Macli; Lumac Corp.; Gary Manfre; Ricahrd Manfre; and RAM Solutions, Inc. |
Notice Date:09/20/2013 | Claim Due Date:12/19/2013 |
Published date grouping:September 2013 | Notice No.:2013-83 |
Action: SEC v. John A. Mattera, Bradford Van Siclen, The Praetorian Global Fund, Ltd., Praetorian G Power I, LLC, Praetorian G Power II, LLC, Praetorian G Power IV, LLC, Praetorian G Power V, LLC, Praetorian G Power VI, LLC, David E. Howard II, John R. Arnold, First American Service Transmittals, Inc., Joseph Almazon, and Spartan Capital Partners |
Notice Date:09/20/2013 | Claim Due Date:12/19/2013 |
Published date grouping:September 2013 | Notice No.:2013-84 |
Action: SEC v. Phillip J. DeZwirek |
Notice Date:09/20/2013 | Claim Due Date:12/19/2013 |
Published date grouping:August 2013 | Notice No.:2013-71 |
Action: SEC v. Bryan Arias, Hugo A. Arias, Anthony C. Ciccone, Salvatore Ciccone, Diane Kaylor, Jason A. Keryc, Anthony Massaro, Christopher E. Curran, Ryan K. Dunaske, Michael P. Dunne, Martin C. Hartmann III, Michael D. Keryc, Ronald R. Roaldsen, Jr., and Laura Ann Tordy |
Notice Date:08/16/2013 | Claim Due Date:11/14/2013 |
Published date grouping:August 2013 | Notice No.:2013-65 |
Action: SEC v. Geoffrey J. Eiten and National Financial Communications, Corp. |
Notice Date:08/16/2013 | Claim Due Date:11/14/2013 |
Published date grouping:August 2013 | Notice No.:2013-66 |
Action: SEC v. Ryan M. Reynolds, Jason Wynn, Carlton Fleming, Beverage Creations, Inc., Bellatalia, LP, Wynn Industries, LLC, and Thomas Wade Investments, LLC |
Notice Date:08/16/2013 | Claim Due Date:11/14/2013 |
Published date grouping:August 2013 | Notice No.:2013-67 |
Action: In the Matter of ABN AMRO Bank, N.V. |
Notice Date:08/16/2013 | Claim Due Date:11/14/2013 |
Published date grouping:August 2013 | Notice No.:2013-68 |
Action: SEC v. International Business Machines Corporation |
Notice Date:08/16/2013 | Claim Due Date:11/14/2013 |
Published date grouping:August 2013 | Notice No.:2013-69 |
Action: SEC v. Fuqi International, Inc. and Yu Kwai Chong |
Notice Date:08/16/2013 | Claim Due Date:11/14/2013 |
Published date grouping:August 2013 | Notice No.:2013-70 |
Action: SEC v. Keyuan Petrochemicals, Inc. and Aichun Li |
Notice Date:08/16/2013 | Claim Due Date:11/14/2013 |
Published date grouping:August 2013 | Notice No.:2013-72 |
Action: SEC v. Mack D. Murrell, David Teekell, and Charles W. Adams |
Notice Date:08/16/2013 | Claim Due Date:11/14/2013 |
Published date grouping:August 2013 | Notice No.:2013-73 |
Action: SEC v. Robert Stinson, Jr., Life's Good, Inc., Life's Good Stabl Mortgage Fund, LLC, Life's Good High Yield Mortgage Fund, LLC, Life's Good Capital Growth Fund, LLC, IA Capital Fund, LLC, and Keystone State Capital Corporation |
Notice Date:08/16/2013 | Claim Due Date:11/14/2013 |
Published date grouping:August 2013 | Notice No.:2013-74 |
Action: SEC v. Igors Nagaicevs |
Notice Date:08/16/2013 | Claim Due Date:11/14/2013 |
Published date grouping:August 2013 | Notice No.:2013-75 |
Action: In the Matter of A.R. Schmeidler & Co., Inc. |
Notice Date:08/16/2013 | Claim Due Date:11/14/2013 |
Published date grouping:August 2013 | Notice No.:2013-76 |
Action: SEC v. Art Intellect, Inc., a Utah Corporation, d/b/a Mason Hill and Virtual MG, Patrick Merrill Brody, Laura A. Roser, and Gregory D. Wood |
Notice Date:08/16/2013 | Claim Due Date:11/14/2013 |
Published date grouping:August 2013 | Notice No.:2013-64 |
Action: In the Matter of UBS Securities LLC |
Notice Date:08/06/2013 | Claim Due Date:11/04/2013 |
Published date grouping:July 2013 | Notice No.:2013-57 |
Action: SEC v. MayfieldGentry Realty Advisors, LLC, Chauncey C. Mayfield, Blair D. Ackman, Marsha Bass, W. Emery Matthews, and Alicia M. Diaz |
Notice Date:07/22/2013 | Claim Due Date:10/20/2013 |
Published date grouping:July 2013 | Notice No.:2013-58 |
Action: SEC v. Ricardo Bonilla Rojas and Shadai Yire, Inc. |
Notice Date:07/22/2013 | Claim Due Date:10/20/2013 |
Published date grouping:July 2013 | Notice No.:2013-59 |
Action: SEC v. Tyco International LTD |
Notice Date:07/22/2013 | Claim Due Date:10/20/2013 |
Published date grouping:July 2013 | Notice No.:2013-60 |
Action: SEC v. Richard J. Senior, Matthew Bell, Lynne Norman and Shaun P. Whiteley |
Notice Date:07/22/2013 | Claim Due Date:10/20/2013 |
Published date grouping:July 2013 | Notice No.:2013-61 |
Action: In the Matter of Chicago Board Options Exchange, Incorporated and C2 Options Exchange, Incorporated |
Notice Date:07/22/2013 | Claim Due Date:10/20/2013 |
Published date grouping:July 2013 | Notice No.:2013-62 |
Action: SEC v. Victor Dosti and Whittier Trust Company |
Notice Date:07/22/2013 | Claim Due Date:10/20/2013 |
Published date grouping:July 2013 | Notice No.:2013-63 |
Action: SEC v. William Graulich, IV and iVest International Holdings, Inc. |
Notice Date:07/22/2013 | Claim Due Date:10/20/2013 |
Published date grouping:June 2013 | Notice No.:2013-52 |
Action: SEC v. Thomas Fisher, Kathleen Halloran, and George Behrens |
Notice Date:06/19/2013 | Claim Due Date:09/17/2013 |
Published date grouping:June 2013 | Notice No.:2013-53 |
Action: In the Matter of UBS O’Connor, LLC |
Notice Date:06/19/2013 | Claim Due Date:09/17/2013 |
Published date grouping:June 2013 | Notice No.:2013-54 |
Action: SEC v. Joel I. Wilson, Diversified Group Partnership Management, LLC, and American Realty Funds Corporation |
Notice Date:06/19/2013 | Claim Due Date:09/17/2013 |
Published date grouping:June 2013 | Notice No.:2013-55 |
Action: SEC v. RINO International Corporation, Dejun “David” Zou, and Jianping “Amy” Qiu |
Notice Date:06/19/2013 | Claim Due Date:09/17/2013 |
Published date grouping:June 2013 | Notice No.:2013-56 |
Action: In the Matter of Total, S.A. |
Notice Date:06/19/2013 | Claim Due Date:09/17/2013 |
Published date grouping:May 2013 | Notice No.:2013-40 |
Action: SEC v. Frank Bluestein |
Notice Date:05/17/2013 | Claim Due Date:08/15/2013 |
Published date grouping:May 2013 | Notice No.:2013-41 |
Action: SEC v. True North Finance Corporation, f/k/a CS Financing Corporation, Capital Solutions Monthly Income Fund, LP, f/k/a Hennessey Financial Monthly Income Fund, LP, Capital Solutions Distributors, LLC, Capital Solutions Management, LP, Transactional Finance Fund Management, LLC, Todd A. Duckson, Michael W. Bozora, Timothy R. Redpath, and Owen Mark Williams |
Notice Date:05/17/2013 | Claim Due Date:08/15/2013 |
Published date grouping:May 2013 | Notice No.:2013-42 |
Action: SEC v. Steven Brewer, Adam Erickson, Brewer Investment Group, LLC, Brewer Financial Services, LLC and Brewer Investment Advisors, LLC |
Notice Date:05/17/2013 | Claim Due Date:08/15/2013 |
Published date grouping:May 2013 | Notice No.:2013-43 |
Action: SEC v. Stanford International Bank, Ltd., Stanford Group Company, Stanford Capital Management, LLC, R. Allen Stanford, James M. Davis, and Laura Pendergest-Holt |
Notice Date:05/17/2013 | Claim Due Date:08/15/2013 |
Published date grouping:May 2013 | Notice No.:2013-44 |
Action: SEC v. Parker Drilling Company |
Notice Date:05/17/2013 | Claim Due Date:08/15/2013 |
Published date grouping:May 2013 | Notice No.:2013-45 |
Action: SEC v. Richard Verdiramo, Vincent L. Verdiramo, Esq., Edward Meyer, Jr., and Victoria Chen |
Notice Date:05/17/2013 | Claim Due Date:08/15/2013 |
Published date grouping:May 2013 | Notice No.:2013-46 |
Action: In the Matter of Capital One Financial Corporation, Peter A. Schnall, and David A. Lagassa |
Notice Date:05/17/2013 | Claim Due Date:08/15/2013 |
Published date grouping:May 2013 | Notice No.:2013-47 |
Action: SEC v. Grant Ivan Grieve; Finvest Asset Management, LLC; and Finvest Fund Management, LLC |
Notice Date:05/17/2013 | Claim Due Date:08/15/2013 |
Published date grouping:May 2013 | Notice No.:2013-48 |
Action: SEC v. Matthew John Ryan and Prime Rate And Return, LLC, individually and doing business as American Integrity Financial Co. |
Notice Date:05/17/2013 | Claim Due Date:08/15/2013 |
Published date grouping:May 2013 | Notice No.:2013-49 |
Action: SEC v. Albert K. Hu, Asenqua, Inc., Asenqua Capital Management, LLC, AQC Asset Management, Ltd., and Fireside Capital Management, Ltd. |
Notice Date:05/17/2013 | Claim Due Date:08/15/2013 |
Published date grouping:May 2013 | Notice No.:2013-50 |
Action: SEC v. Jorge Gomez and Roberto Aleph Espinosa |
Notice Date:05/17/2013 | Claim Due Date:08/15/2013 |
Published date grouping:May 2013 | Notice No.:2013-51 |
Action: In the Matter of Koninklijke Philips Electronics N.V. |
Notice Date:05/17/2013 | Claim Due Date:08/15/2013 |
Published date grouping:April 2013 | Notice No.:2013-39 |
Action: SEC v. A Chicago Convention Center, LLC, Anshoo R. Sethi, and Intercontinental Regional Center Trust of Chicago, LLC |
Notice Date:04/23/2013 | Claim Due Date:07/22/2013 |
Published date grouping:April 2013 | Notice No.:2013-36 |
Action: In the Matter of Banco Comercial Português, S.A. |
Notice Date:04/15/2013 | Claim Due Date:07/14/2013 |
Published date grouping:April 2013 | Notice No.:2013-26 |
Action: SEC v. Chetan Kapur and Lilaboc, LLC, d/b/a ThinkStrategy Capital Management, LLC. |
Notice Date:04/15/2013 | Claim Due Date:07/14/2013 |
Published date grouping:April 2013 | Notice No.:2013-27 |
Action: SEC v. Merendon Mining (Nevada) Inc, Larry Lee Adair, Milowe Allen Brost a/k/a/ Milow Brost, M.B. Gonne or Phillip K. Collins, Ward K. Capstick, Bradley Dean Regier, Gary Allen Sorenson a/k/a Don Grey Fox, Martin M. Werner, Syndicated Gold Depository Inc, now known as Bahamas Resources Alliance Ltd., Merendon Mining Corp. Ltd., Institute For Financial Learning Group of Companies, Inc. |
Notice Date:04/15/2013 | Claim Due Date:07/14/2013 |
Published date grouping:April 2013 | Notice No.:2013-28 |
Action: SEC v. EFS, LLC, Freedom Fidelity, LLC, James N. Pratt, SP&V, LLC, and Timothy V. Coffin |
Notice Date:04/15/2013 | Claim Due Date:07/14/2013 |
Published date grouping:April 2013 | Notice No.:2013-29 |
Action: SEC v. Oversea Chinese Fund Limited Partnership, Weizhen Tang & Associates, Inc., Weizhen Tang Corp., Winwin Capital Management, LLC, Winwin Capital Limited Partnership, J.O.R. & Associates, LLC, and Weizhen Tang |
Notice Date:04/15/2013 | Claim Due Date:07/14/2013 |
Published date grouping:April 2013 | Notice No.:2013-30 |
Action: SEC v. M. Mark McAdams and R. Dane Freeman |
Notice Date:04/15/2013 | Claim Due Date:07/14/2013 |
Published date grouping:April 2013 | Notice No.:2013-31 |
Action: SEC v. K2 Unlimited, Inc., 211 Ventures, LLC, Diane Glatfelter, Robert C. Rice, and Robert S. Anderson |
Notice Date:04/15/2013 | Claim Due Date:07/14/2013 |
Published date grouping:April 2013 | Notice No.:2013-32 |
Action: SEC v. Bridge Premium Finance, LLC (f/k/a Berjac of Colorado, LLC), Michael J. Turnock, and William P. Sullivan, II |
Notice Date:04/15/2013 | Claim Due Date:07/14/2013 |
Published date grouping:April 2013 | Notice No.:2013-33 |
Action: SEC v. Derek A. Nelson, Capital Mountain Holding Corp., Systems XXI, Act I, LLC, and Systems XXI, Act II, LLC |
Notice Date:04/15/2013 | Claim Due Date:07/14/2013 |
Published date grouping:April 2013 | Notice No.:2013-34 |
Action: SEC v. City Capital Corporation, Ephren W. Taylor, II, and Wendy Jean Connor |
Notice Date:04/15/2013 | Claim Due Date:07/14/2013 |
Published date grouping:April 2013 | Notice No.:2013-35 |
Action: SEC v. Verde Retirement LLC, a California limited liability company, Verde FX Nevada, LLC, a California limited liability company, Covenant Capital Partners, a California corporation, and Steven L. Hamilton |
Notice Date:04/15/2013 | Claim Due Date:07/14/2013 |
Published date grouping:April 2013 | Notice No.:2013-37 |
Action: SEC v. 3 Eagles Research & Development LLC, Harry Dean Proudfoot III, Matthew Dale Proudfoot, Laurie Anne Vrvilo and Dennis Ashley Bukantis |
Notice Date:04/15/2013 | Claim Due Date:07/14/2013 |
Published date grouping:April 2013 | Notice No.:2013-38 |
Action: SEC v. Big Apple Consulting USA, Inc., MJMM Investments, LLC, Marc Jablon, Matthew Maguire, Mark C. Kaley, and Keith Jablon |
Notice Date:04/15/2013 | Claim Due Date:07/14/2013 |
Published date grouping:March 2013 | Notice No.:2013-16 |
Action: SEC v. Howard Brett Berger |
Notice Date:03/11/2013 | Claim Due Date:06/09/2013 |
Published date grouping:March 2013 | Notice No.:2013-17 |
Action: In the Matter of Focus Point Solutions, Inc., The H Group, Inc., and Christopher Keil Hicks |
Notice Date:03/11/2013 | Claim Due Date:06/09/2013 |
Published date grouping:March 2013 | Notice No.:2013-18 |
Action: SEC v. Innovative Advisory Services, Inc., Innovative Advisory Services LLC, Island Trader LLC and Richard H. Nickles |
Notice Date:03/11/2013 | Claim Due Date:06/09/2013 |
Published date grouping:March 2013 | Notice No.:2013-19 |
Action: SEC v. Gilbert G. Lundstrom, James A. Laphen, and Trevor A. Lundstrom |
Notice Date:03/11/2013 | Claim Due Date:06/09/2013 |
Published date grouping:March 2013 | Notice No.:2013-20 |
Action: SEC v. Sean David Morton, Vajra Productions, LLC, 27 Investments, LLC, and Magic Eight Ball Distributing, Inc. |
Notice Date:03/11/2013 | Claim Due Date:06/09/2013 |
Published date grouping:March 2013 | Notice No.:2013-21 |
Action: In the Matter of Oppenheimer Asset Management Inc. and Oppenheimer Alternative Investment Management, LLC |
Notice Date:03/11/2013 | Claim Due Date:06/09/2013 |
Published date grouping:March 2013 | Notice No.:2013-22 |
Action: SEC v. J.C. Reed & Company, Inc., J.C. Reed Advisory Group, LLC, Barron A. Mathis, and Estate of John C. Reed, Lana L. Reed Executrix |
Notice Date:03/11/2013 | Claim Due Date:06/09/2013 |
Published date grouping:March 2013 | Notice No.:2013-23 |
Action: SEC v. Peter Siris, Guerrilla Capital Management, LLC, and Hua Mei 21st Century, LLC |
Notice Date:03/11/2013 | Claim Due Date:06/09/2013 |
Published date grouping:March 2013 | Notice No.:2013-24 |
Action: SEC v. Sky Way Global LLC (A/K/A Sky Way Global, Inc.), Brent C. Kovar, Glenn A. Kovar, James S. Kent, Kenneth Bruce Baker (A/K/A Bruce Baker), and Kenneth R. Kramer |
Notice Date:03/11/2013 | Claim Due Date:06/09/2013 |
Published date grouping:March 2013 | Notice No.:2013-25 |
Action: SEC v. Douglas F. Vaughan, The Vaughan Company, Realtors, Inc., and Vaughan Capital, LLC. |
Notice Date:03/11/2013 | Claim Due Date:06/09/2013 |
Published date grouping:February 2013 | Notice No.:2013-11 |
Action: SEC v. Gary J. Martel, D/B/A Martel Financial Group, and MFG Funding |
Notice Date:02/08/2013 | Claim Due Date:05/09/2013 |
Published date grouping:February 2013 | Notice No.:2013-12 |
Action: SEC v. J.P. Morgan Securities LLC, EMC Mortgage, LLC, Bear Stearns Asset Backed Securities I, LLC, Structured Asset Mortgage Investments II, Inc., SACO I, Inc., and J.P. Morgan Acceptance Corporation I |
Notice Date:02/08/2013 | Claim Due Date:05/09/2013 |
Published date grouping:February 2013 | Notice No.:2013-13 |
Action: SEC v. Igor Poteroba, Aleksey Koval and Alexander Vorobiev |
Notice Date:02/08/2013 | Claim Due Date:05/09/2013 |
Published date grouping:February 2013 | Notice No.:2013-14 |
Action: SEC v. Eli Lilly and Company |
Notice Date:02/08/2013 | Claim Due Date:05/09/2013 |
Published date grouping:February 2013 | Notice No.:2013-15 |
Action: SEC v. David E. Ruskjer |
Notice Date:02/08/2013 | Claim Due Date:05/09/2013 |
Published date grouping:January 2013 | Notice No.:2013-1 |
Action: SEC v. I. Joseph Massoud |
Notice Date:01/04/2013 | Claim Due Date:04/04/2013 |
Published date grouping:January 2013 | Notice No.:2013-2 |
Action: In the Matter of Aladdin Capital Management LLC and Aladdin Capital LLC |
Notice Date:01/04/2013 | Claim Due Date:04/04/2013 |
Published date grouping:January 2013 | Notice No.:2013-3 |
Action: SEC v. EagleEye Asset Management, LLC and Jeffrey A. Liskov |
Notice Date:01/04/2013 | Claim Due Date:04/04/2013 |
Published date grouping:January 2013 | Notice No.:2013-4 |
Action: In the Matter of Fiduciary Asset Management, LLC |
Notice Date:01/04/2013 | Claim Due Date:04/04/2013 |
Published date grouping:January 2013 | Notice No.:2013-5 |
Action: SEC v. Francis E. Wilde, Steven E. Woods, Mark A. Gelazela, Bruce H. Haglund, Matrix Holdings LLC, BMW Majestic LLC, IDLYC Holdings Trust LLC, and IDYLC Holdings Trust |
Notice Date:01/04/2013 | Claim Due Date:04/04/2013 |
Published date grouping:January 2013 | Notice No.:2013-6 |
Action: In the Matter of Allianz SE |
Notice Date:01/04/2013 | Claim Due Date:04/04/2013 |
Published date grouping:January 2013 | Notice No.:2013-7 |
Action: SEC v. Igor Cornelsen and Bainbridge Group Inc. |
Notice Date:01/04/2013 | Claim Due Date:04/04/2013 |
Published date grouping:January 2013 | Notice No.:2013-8 |
Action: SEC v. Tiger Asia Management, LLC, Tiger Asia Partners, LLC, Sung Kook (a/k/a Bill) Hwang, and Raymond Y.H. Park |
Notice Date:01/04/2013 | Claim Due Date:04/04/2013 |
Published date grouping:January 2013 | Notice No.:2013-9 |
Action: SEC v. BP p.l.c. |
Notice Date:01/04/2013 | Claim Due Date:04/04/2013 |
Published date grouping:January 2013 | Notice No.:2013-10 |
Action: SEC v. Management Solutions, Inc., a Texas Corporation; Wendell A. Jacobson; and Allen R. Jacobson |
Notice Date:01/04/2013 | Claim Due Date:04/04/2013 |
Published date grouping:December 2012 | 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 |
Published date grouping:December 2012 | 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 |
Published date grouping:December 2012 | Notice No.:2012-128 |
Action: SEC v. Kris Chellam |
Notice Date:12/07/2012 | Claim Due Date:03/07/2013 |
Published date grouping:December 2012 | 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 |
Published date grouping:December 2012 | 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 |
Published date grouping:December 2012 | 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 |
Published date grouping:December 2012 | 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 |
Published date grouping:November 2012 | 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 |
Published date grouping:November 2012 | 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 |
Published date grouping:November 2012 | 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 |
Published date grouping:November 2012 | 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 |
Published date grouping:November 2012 | 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 |
Published date grouping:November 2012 | 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 |
Published date grouping:November 2012 | Notice No.:2012-117 |
Action: SEC v.Fabrizio Neves and Jose Luna |
Notice Date:11/08/2012 | Claim Due Date:02/06/2013 |
Published date grouping:November 2012 | 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 |
Published date grouping:November 2012 | 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 |
Published date grouping:November 2012 | 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 |
Published date grouping:November 2012 | 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 |
Published date grouping:November 2012 | Notice No.:2012-112 |
Action: SEC v. Orthofix International N.V |
Notice Date:11/08/2012 | Claim Due Date:02/06/2013 |
Published date grouping:November 2012 | 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 |
Published date grouping:November 2012 | 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 |
Published date grouping:November 2012 | 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 |
Published date grouping:November 2012 | 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 |
Published date grouping:November 2012 | Notice No.:2012-107 |
Action: SEC v. Larry Michael Parrish |
Notice Date:11/08/2012 | Claim Due Date:02/06/2013 |
Published date grouping:November 2012 | 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 |
Published date grouping:November 2012 | 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 |
Published date grouping:November 2012 | Notice No.:2012-104 |
Action: In the Matter of Goldman, Sachs & Co. |
Notice Date:11/08/2012 | Claim Due Date:02/06/2013 |
Published date grouping:October 2012 | Notice No.:2012-103 |
Action: SEC v. Oracle Corporation |
Notice Date:10/02/2012 | Claim Due Date:12/31/2012 |
Published date grouping:October 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 |
Published date grouping:October 2012 | Notice No.:2012-101 |
Action: SEC. v. Wyeth LLC |
Notice Date:10/02/2012 | Claim Due Date:12/31/2012 |
Published date grouping:October 2012 | Notice No.:2012-100 |
Action: SEC v. Pfizer Inc. |
Notice Date:10/02/2012 | Claim Due Date:12/31/2012 |
Published date grouping:October 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 |
Published date grouping:October 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 |
Published date grouping:October 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 |
Published date grouping:September 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 |
Published date grouping:September 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 |
Published date grouping:September 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 |
Published date grouping:September 2012 | Notice No.:2012-93 |
Action: SEC v. Mizuho Securities USA Inc. |
Notice Date:09/04/2012 | Claim Due Date:12/03/2012 |
Published date grouping:September 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 |
Published date grouping:September 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 |
Published date grouping:September 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 |
Published date grouping:September 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 |
Published date grouping:September 2012 | Notice No.:2012-88 |
Action: SEC v. Falconstor Software, Inc. |
Notice Date:09/04/2012 | Claim Due Date:12/03/2012 |
Published date grouping:September 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 |
Published date grouping:September 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 |
Published date grouping:September 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 |
Published date grouping:September 2012 | Notice No.:2012-83 |
Action: SEC v. AMMB Consultant Sendirian Berhad |
Notice Date:09/04/2012 | Claim Due Date:12/03/2012 |
Published date grouping:September 2012 | Notice No.:2012-84 |
Action: SEC v. Armor Holdings, Inc. |
Notice Date:09/04/2012 | Claim Due Date:12/03/2012 |
Published date grouping:August 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 |
Published date grouping:August 2012 | Notice No.:2012-80 |
Action: In the Matter of Howard L. Blum |
Notice Date:08/01/2012 | Claim Due Date:10/30/2012 |
Published date grouping:August 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 |
Published date grouping:August 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 |
Published date grouping:August 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 |
Published date grouping:August 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 |
Published date grouping:August 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 |
Published date grouping:August 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 |
Published date grouping:August 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 |
Published date grouping:August 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 |
Published date grouping:August 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 |
Published date grouping:July 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 |
Published date grouping:July 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 |
Published date grouping:July 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 |
Published date grouping:July 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 |
Published date grouping:July 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 |
Published date grouping:July 2012 | Notice No.:2012-65 |
Action: SEC v. James Clements and Zeina Smidi |
Notice Date:07/05/2012 | Claim Due Date:10/03/2012 |
Published date grouping:July 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 |
Published date grouping:July 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 |
Published date grouping:July 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 |
Published date grouping:July 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 |
Published date grouping:July 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 |
Published date grouping:June 2012 | Notice No.:2012-60 |
Action: SEC v. Paul R. Beckwith |
Notice Date:06/04/2012 | Claim Due Date:09/02/2012 |
Published date grouping:June 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 |
Published date grouping:June 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 |
Published date grouping:June 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 |
Published date grouping:June 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 |
Published date grouping:June 2012 | Notice No.:2012-55 |
Action: SEC v. Marco Glisson |
Notice Date:06/04/2012 | Claim Due Date:09/02/2012 |
Published date grouping:June 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 |
Published date grouping:June 2012 | Notice No.:2012-53 |
Action: In the Matter of Goldman, Sachs & Co. |
Notice Date:06/04/2012 | Claim Due Date:09/02/2012 |
Published date grouping:June 2012 | Notice No.:2012-52 |
Action: SEC v. Garth Ronald Peterson |
Notice Date:06/04/2012 | Claim Due Date:09/02/2012 |
Published date grouping:June 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 |
Published date grouping:June 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 |
Published date grouping:June 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 |
Published date grouping:June 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 |
Published date grouping:June 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 |
Published date grouping:June 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 |
Published date grouping:May 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 |
Published date grouping:May 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 |
Published date grouping:May 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 |
Published date grouping:May 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 |
Published date grouping:May 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 |
Published date grouping:May 2012 | Notice No.:2012-40 |
Action: SEC v. Neal R. Greenberg |
Notice Date:05/02/2012 | Claim Due Date:07/31/2012 |
Published date grouping:May 2012 | Notice No.:2012-39 |
Action: SEC v. Matthew J. Gagnon |
Notice Date:05/02/2012 | Claim Due Date:07/31/2012 |
Published date grouping:May 2012 | Notice No.:2012-38 |
Action: SEC v. Brenda A. Eschbach |
Notice Date:05/02/2012 | Claim Due Date:07/31/2012 |
Published date grouping:May 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 |
Published date grouping:May 2012 | Notice No.:2012-36 |
Action: SEC v. Biomet, Inc. |
Notice Date:05/02/2012 | Claim Due Date:07/31/2012 |
Published date grouping:May 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 |
Published date grouping:April 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 |
Published date grouping:April 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 |
Published date grouping:April 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 |
Published date grouping:April 2012 | Notice No.:2012-31 |
Action: SEC v. Robert C. Butler |
Notice Date:04/03/2012 | Claim Due Date:07/02/2012 |
Published date grouping:April 2012 | Notice No.:2012-30 |
Action: SEC v. Smith & Nephew PLC |
Notice Date:04/03/2012 | Claim Due Date:07/02/2012 |
Published date grouping:April 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 |
Published date grouping:April 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 |
Published date grouping:April 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 |
Published date grouping:March 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 |
Published date grouping:March 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 |
Published date grouping:March 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 |
Published date grouping:March 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 |
Published date grouping:March 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 |
Published date grouping:March 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 |
Published date grouping:March 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 |
Published date grouping:March 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 |
Published date grouping:March 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 |
Published date grouping:March 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 |
Published date grouping:March 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 |
Published date grouping:March 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 |
Published date grouping:March 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 |
Published date grouping:February 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 |
Published date grouping:February 2012 | Notice No.:2012-12 |
Action: In the Matter of Gary S. Bell |
Notice Date:02/01/2012 | Claim Due Date:05/01/2012 |
Published date grouping:February 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 |
Published date grouping:February 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 |
Published date grouping:February 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 |
Published date grouping:February 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 |
Published date grouping:February 2012 | Notice No.:2012-7 |
Action: SEC v. Myron Weiner |
Notice Date:02/01/2012 | Claim Due Date:05/01/2012 |
Published date grouping:February 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 |
Published date grouping:February 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 |
Published date grouping:February 2012 | Notice No.:2012-4 |
Action: SEC v. Aon Corporation |
Notice Date:02/01/2012 | Claim Due Date:05/01/2012 |
Published date grouping:February 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 |
Published date grouping:February 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 |
Published date grouping:February 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 |
Published date grouping:January 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 |
Published date grouping:January 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 |
Published date grouping:January 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 |
Published date grouping:January 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 |
Published date grouping:January 2012 | Notice No.:2011-207 |
Action: SEC v. Maynard L. Jenkins |
Notice Date:01/09/2012 | Claim Due Date:04/08/2012 |
Published date grouping:January 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 |
Published date grouping:January 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 |
Published date grouping:January 2012 | Notice No.:2011-210 |
Action: SEC v. Cheng Yi Liang |
Notice Date:01/09/2012 | Claim Due Date:04/08/2012 |
Published date grouping:January 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 |
Published date grouping:January 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 |
Published date grouping:January 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 |
Published date grouping:January 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 |
Published date grouping:January 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 |
Published date grouping:January 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 |
Published date grouping:January 2012 | Notice No.:2011-217 |
Action: In the Matter of UBS Securities LLC |
Notice Date:01/09/2012 | Claim Due Date:04/08/2012 |
Published date grouping:December 2011 | Notice No.:2011-194 |
Action: In the Matter of Pipeline Trading Systems LLC, Fred J. Federspiel, and Alfred R. Berkeley III |
Notice Date:12/01/2011 | Claim Due Date:02/29/2012 |
Published date grouping:December 2011 | Notice No.:2011-195 |
Action: SEC v. Gregory N. McKnight, and Legisi Holdings, LLC |
Notice Date:12/01/2011 | Claim Due Date:02/29/2012 |
Published date grouping:December 2011 | Notice No.:2011-196 |
Action: SEC v. Mark Leslie, Kenneth E. Lonchar, Paul A. Sallaberry, Michael M. Cully, and Douglas S. Newton |
Notice Date:12/01/2011 | Claim Due Date:02/29/2012 |
Published date grouping:December 2011 | Notice No.:2011-197 |
Action: SEC v. Integrity Financial AZ LLC, Steven R. Long, Stanley M. Paulic, Walter W. Knitter, and Robert C. Koeller |
Notice Date:12/01/2011 | Claim Due Date:02/29/2012 |
Published date grouping:December 2011 | Notice No.:2011-198 |
Action: SEC v. Norman Forrest Germany, Germany Energy Company, and Eb Germany & Sons, LLC |
Notice Date:12/01/2011 | Claim Due Date:02/29/2012 |
Published date grouping:December 2011 | Notice No.:2011-199 |
Action: SEC v. Drake Asset Management LLC, and Oliver R. Grace, Jr. |
Notice Date:12/01/2011 | Claim Due Date:02/29/2012 |
Published date grouping:December 2011 | Notice No.:2011-200 |
Action: In the Matter of Credit Suisse Alternative Capital, LLC (f/k/a Credit Suisse Alternative Capital, Inc.), Credit Suisse Asset Management LLC, and Samir H. Bhatt |
Notice Date:12/01/2011 | Claim Due Date:02/29/2012 |
Published date grouping:December 2011 | Notice No.:2011-201 |
Action: In the Matter of Banco Espirito Santo S.A. |
Notice Date:12/01/2011 | Claim Due Date:02/29/2012 |
Published date grouping:December 2011 | Notice No.:2011-202 |
Action: SEC v. America's Hedge Fund, L.P., Worldwide Partners LLC, and Christian Kuretski |
Notice Date:12/01/2011 | Claim Due Date:02/29/2012 |
Published date grouping:December 2011 | Notice No.:2011-193 |
Action: SEC v. Trade-LLC, Philip W. Milton, and William H. Center |
Notice Date:12/01/2011 | Claim Due Date:02/29/2012 |
Published date grouping:December 2011 | Notice No.:2011-192 |
Action: In the Matter of Watts Water Technologies, Inc. and Leesen Chang |
Notice Date:12/01/2011 | Claim Due Date:02/29/2012 |
Published date grouping:November 2011 | Notice No.:2011-186 |
Action: In the Matter of Barr M. Rosenberg |
Notice Date:11/01/2011 | Claim Due Date:01/30/2012 |
Published date grouping:November 2011 | Notice No.:2011-187 |
Action: In the Matter of Hector Gallardo, Michael Zurita, and Orion Trading, LLC |
Notice Date:11/01/2011 | Claim Due Date:01/30/2012 |
Published date grouping:November 2011 | Notice No.:2011-188 |
Action: SEC v. James O'Leary, CPA |
Notice Date:11/01/2011 | Claim Due Date:01/30/2012 |
Published date grouping:November 2011 | Notice No.:2011-189 |
Action: SEC v. Stanley J. Kowalewski and SJK Investment Management, LLC |
Notice Date:11/01/2011 | Claim Due Date:01/30/2012 |
Published date grouping:November 2011 | Notice No.:2011-190 |
Action: SEC v. Mantria Corporation, Troy B. Wragg, Amanda E. Knorr, Speed of Wealth, LLC, Wayde M. McKelvy, and Donna M. McKelvy |
Notice Date:11/01/2011 | Claim Due Date:01/30/2012 |
Published date grouping:November 2011 | Notice No.:2011-191 |
Action: In the Matter of RBC Capital Markets, LLC |
Notice Date:11/01/2011 | Claim Due Date:01/30/2012 |
Published date grouping:October 2011 | Notice No.:2011-172 |
Action: SEC v. David A. Souza and D.A. Souza Investments, LLC |
Notice Date:10/05/2011 | Claim Due Date:01/03/2012 |
Published date grouping:October 2011 | Notice No.:2011-173 |
Action: SEC v. Pegasus Wireless Corporation, Jasper Knabb, and Stephen Durland |
Notice Date:10/05/2011 | Claim Due Date:01/03/2012 |
Published date grouping:October 2011 | Notice No.:2011-174 |
Action: SEC v. Gregory L. Reyes, Antonio Canova, and Stephanie Jensen |
Notice Date:10/05/2011 | Claim Due Date:01/03/2012 |
Published date grouping:October 2011 | Notice No.:2011-175 |
Action: SEC v. Douglas V. DeCinces, Joseph J. Donohue, Fred Scott Jackson, and Roger A. Wittenbach |
Notice Date:10/05/2011 | Claim Due Date:01/03/2012 |
Published date grouping:October 2011 | Notice No.:2011-176 |
Action: SEC v. LADP Acquisition, Inc., William A. Goldstein, and Marc E. Bercoon |
Notice Date:10/05/2011 | Claim Due Date:01/03/2012 |
Published date grouping:October 2011 | Notice No.:2011-177 |
Action: SEC v. John Clement and Edgefund Capital, LLC |
Notice Date:10/05/2011 | Claim Due Date:01/03/2012 |
Published date grouping:October 2011 | Notice No.:2011-178 |
Action: SEC v. Eagle Development Enterprises, Inc., a Nevada corporation; Eagle Storage & Development, LLC, an Arizona limited liability company; Eagle Aviation Sales & Leasing, LLC, a California limited liability company; and Michael J. Bowen |
Notice Date:10/05/2011 | Claim Due Date:01/03/2012 |
Published date grouping:October 2011 | Notice No.:2011-179 |
Action: SEC v. Joseph R. Porche, Larry R Crowder, Konrad Kafarski, Carlton L. Williams, Gary K. Juncker, and Dale J. Engelhardt |
Notice Date:10/05/2011 | Claim Due Date:01/03/2012 |
Published date grouping:October 2011 | Notice No.:2011-180 |
Action: SEC v. Nova Gen Corporation, Margaret Grey, and Paul Randall Fraley |
Notice Date:10/05/2011 | Claim Due Date:01/03/2012 |
Published date grouping:October 2011 | Notice No.:2011-181 |
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:10/05/2011 | Claim Due Date:01/03/2012 |
Published date grouping:October 2011 | Notice No.:2011-182 |
Action: SEC v. Wellco Energy LLC, Justin William Rifkin, Patrick V. Looper, Richard G. Pacheco, and Dustin D. White |
Notice Date:10/05/2011 | Claim Due Date:01/03/2012 |
Published date grouping:October 2011 | Notice No.:2011-183 |
Action: SEC v. Pharma Holdings, Inc., Edward Klapp IV, and Edward Klapp Jr. |
Notice Date:10/05/2011 | Claim Due Date:01/03/2012 |
Published date grouping:October 2011 | Notice No.:2011-184 |
Action: SEC v. Striker Petroleum, LLC, Mark S. Roberts, and Christopher E. Pippin |
Notice Date:10/05/2011 | Claim Due Date:01/03/2012 |
Published date grouping:October 2011 | Notice No.:2011-185 |
Action: SEC v. Anthony J. Scolaro, Jr. |
Notice Date:10/05/2011 | Claim Due Date:01/03/2012 |
Published date grouping:October 2011 | Notice No.:2011-171 |
Action: SEC v. Provident Royalties, LLC, Provident Asset Management, LLC, Provident Energy 1, LP, Provident Resources 1, LP, Provident Energy 2, LP, Provident Energy 3, LP, Shale Royalties II, Inc., Shale Royalties 3, LLC, Shale Royalties 4, Inc., Shale Royalties 5, Inc., Shale Royalties 6, Inc., Shale Royalties 7, Inc., Shale Royalties 8, Inc., Shale Royalties 9, Inc., Shale Royalties 10, Inc., Shale Royalties 12, Inc., Shale Royalties 14, Inc., Shale Royalties 15, Inc., Shale Royalties 16, Inc., Shale Royalties 17, Inc., Shale Royalties 18, Inc., Shale Royalties 19, Inc., Shale Royalties 20, Inc., Paul R. Melbye, Brendan W. Coughlin, and Henry D. Harrison, defendants and Shale Royalties 21, Inc., Shale Royalties 22, Inc., Provident Operating Company, LLC, Somerset Lease Holdings, Inc., and Somerset Development, Inc. |
Notice Date:10/05/2011 | Claim Due Date:01/03/2012 |
Published date grouping:August 2011 | Notice No.:2011-160 |
Action: SEC v. Watermark Financial Services Group, Inc., Watermark M-One Holdings, Inc., M-One Financial Services LLC, Watermark Capital Group LLC, Guy W. Gane, Jr., and Lorenzo Altadonna |
Notice Date:08/12/2011 | Claim Due Date:11/10/2011 |
Published date grouping:August 2011 | Notice No.:2011-32 |
Action: SEC v. Randy M. Cho |
Notice Date:08/12/2011 | Claim Due Date:11/10/2011 |
Published date grouping:August 2011 | Notice No.:2011-159 |
Action: SEC v. Vitesse Semiconductor Corporation, Louis R. Tomasetta, Eugene F. Hovanec, Yatin D. Mody, and Nicole R. Kaplan |
Notice Date:08/12/2011 | Claim Due Date:11/10/2011 |
Published date grouping:August 2011 | Notice No.:2011-31 |
Action: SEC v. Chimay Capital Management Inc. and Guy Albert de Chimay |
Notice Date:08/12/2011 | Claim Due Date:11/10/2011 |
Published date grouping:August 2011 | Notice No.:2011-158 |
Action: SEC v. Video Without Boundaries, Inc. (d/b/a China Logistics Group Inc), Vernon Jeffrey Harrell, and David J. Aubel |
Notice Date:08/12/2011 | Claim Due Date:11/10/2011 |
Published date grouping:August 2011 | Notice No.:2011-157 |
Action: SEC v. Jose O. Vianna, Jr., and Creswell Equities, Inc. |
Notice Date:08/12/2011 | Claim Due Date:11/10/2011 |
Published date grouping:August 2011 | Notice No.:2011-156 |
Action: SEC v. VesCor Capital Corp., VesCor Capital, Inc., VesCorp Capital LLC, VesCorp Capital IV-A LLC, VesCorp Capital IV-M LLC, and Val E. Southwick |
Notice Date:08/12/2011 | Claim Due Date:11/10/2011 |
Published date grouping:August 2011 | Notice No.:2011-155 |
Action: SEC v. U.S. Pension Trust Corp., U.S. College Trust Corp., Iliana Maceiras, Leonardo Maceiras Jr., and Nildo Verdeja |
Notice Date:08/12/2011 | Claim Due Date:11/10/2011 |
Published date grouping:August 2011 | Notice No.:2011-30 |
Action: SEC v. Charles Schwab Investment Management, Charles Schwab & Co., Inc., and Schwab Investments |
Notice Date:08/12/2011 | Claim Due Date:11/10/2011 |
Published date grouping:August 2011 | Notice No.:2011-154 |
Action: SEC v. Universal Corporation |
Notice Date:08/12/2011 | Claim Due Date:11/10/2011 |
Published date grouping:August 2011 | Notice No.:2011-153 |
Action: SEC v. UBS Financial Services Inc. |
Notice Date:08/12/2011 | Claim Due Date:11/10/2011 |
Published date grouping:August 2011 | Notice No.:2011-29 |
Action: In the Matter of Carlson Capital, LP |
Notice Date:08/12/2011 | Claim Due Date:11/10/2011 |
Published date grouping:August 2011 | Notice No.:2011-152 |
Action: SEC v. UBS AG |
Notice Date:08/12/2011 | Claim Due Date:11/10/2011 |
Published date grouping:August 2011 | Notice No.:2011-151 |
Action: SEC v. Tyson Foods, Inc. |
Notice Date:08/12/2011 | Claim Due Date:11/10/2011 |
Published date grouping:August 2011 | Notice No.:2011-28 |
Action: SEC v. Gaston E. Cantens and Teresita Cantens |
Notice Date:08/12/2011 | Claim Due Date:11/10/2011 |
Published date grouping:August 2011 | Notice No.:2011-150 |
Action: SEC v. David P. Turner and Ousama N. Naaman |
Notice Date:08/12/2011 | Claim Due Date:11/10/2011 |
Published date grouping:August 2011 | Notice No.:2011-27 |
Action: SEC v. Canopy Financial, Inc. and Jeremy J. Blackburn |
Notice Date:08/12/2011 | Claim Due Date:11/10/2011 |
Published date grouping:August 2011 | Notice No.:2011-149 |
Action: SEC v. Lambert Vander Tuig, The Carolina Development Company, Inc., and Jonathan Carman |
Notice Date:08/12/2011 | Claim Due Date:11/10/2011 |
Published date grouping:August 2011 | Notice No.:2011-26 |
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:08/12/2011 | Claim Due Date:11/10/2011 |
Published date grouping:August 2011 | Notice No.:2011-25 |
Action: In the Matter of Brookside Capital LLC |
Notice Date:08/12/2011 | Claim Due Date:11/10/2011 |
Published date grouping:August 2011 | Notice No.:2011-24 |
Action: SEC v. BroCo Investments, Inc., and Valery Maltsev |
Notice Date:08/12/2011 | Claim Due Date:11/10/2011 |
Published date grouping:August 2011 | Notice No.:2011-148 |
Action: SEC v. Tuco Trading LLC and Douglas G. Frederick |
Notice Date:08/12/2011 | Claim Due Date:11/10/2011 |
Published date grouping:August 2011 | Notice No.:2011-147 |
Action: SEC v. Transocean Inc. |
Notice Date:08/12/2011 | Claim Due Date:11/10/2011 |
Published date grouping:August 2011 | Notice No.:2011-23 |
Action: SEC v. Joseph V. Braas and Michael J. Schlager |
Notice Date:08/12/2011 | Claim Due Date:11/10/2011 |
Published date grouping:August 2011 | Notice No.:2011-146 |
Action: SEC v. Tidewater Inc. |
Notice Date:08/12/2011 | Claim Due Date:11/10/2011 |
Published date grouping:August 2011 | Notice No.:2011-22 |
Action: In the Matter of BNY Mellon Securities LLC |
Notice Date:08/12/2011 | Claim Due Date:11/10/2011 |
Published date grouping:August 2011 | Notice No.:2011-145 |
Action: SEC v. Thor Industries, Inc. and Mark C. Schwartzhoff |
Notice Date:08/12/2011 | Claim Due Date:11/10/2011 |
Published date grouping:August 2011 | Notice No.:2011-144 |
Action: SEC v. TG Capital LLC, Thanh Viet “Jeremy” Cao, and Lodavina Grosnickle |
Notice Date:08/12/2011 | Claim Due Date:11/10/2011 |
Published date grouping:August 2011 | Notice No.:2011-21 |
Action: SEC v. Carl E. Binette and Peter E. Talbot |
Notice Date:08/12/2011 | Claim Due Date:11/10/2011 |
Published date grouping:August 2011 | Notice No.:2011-143 |
Action: SEC v. Tecumseh Holdings Corporation, Tecumseh Tradevest LLC, S.B. Cantor & Co., Inc., John L. Milling, Gerard A. McCallion, Anthony M. Palovchik, and Dale Carone |
Notice Date:08/12/2011 | Claim Due Date:11/10/2011 |
Published date grouping:August 2011 | Notice No.:2011-20 |
Action: SEC v. Billion Coupons, Inc. (aka Billion Coupons Investment) and Marvin R. Cooper |
Notice Date:08/12/2011 | Claim Due Date:11/10/2011 |
Published date grouping:August 2011 | Notice No.:2011-142 |
Action: In the Matter of TD Ameritrade, Inc. |
Notice Date:08/12/2011 | Claim Due Date:11/10/2011 |
Published date grouping:August 2011 | Notice No.:2011-141 |
Action: SEC v. Sun Empire LLC, ECAM LLC a/k/a Empire Capital Asset Management, Delilah A. Proctor, and Shauntel A. Mccoy |
Notice Date:08/12/2011 | Claim Due Date:11/10/2011 |
Published date grouping:August 2011 | Notice No.:2011-140 |
Action: SEC v. Robert J. Sucarato d/b/a/ New York Financial Company |
Notice Date:08/12/2011 | Claim Due Date:11/10/2011 |
Published date grouping:August 2011 | Notice No.:2011-139 |
Action: SEC v. James D. Sterling |
Notice Date:08/12/2011 | Claim Due Date:11/10/2011 |
Published date grouping:August 2011 | Notice No.:2011-138 |
Action: SEC v. Star Exploration, Inc. and James T. Gurgainers |
Notice Date:08/12/2011 | Claim Due Date:11/10/2011 |
Published date grouping:August 2011 | Notice No.:2011-137 |
Action: SEC v. Daniel Spitzer, Draseena Funds Group, Corp., Kenzie Financial Management, Inc. Kenzie Services LLC, Aneesard Management LLC, Nerium Management Co., DN Management Co. LLC, Arrow Fund, LLC, Arrow Fund II, LLC, Conservium Fund, LLC, Nerium Currency Fund, LP, Senior Strength Q Fund, LLC, Ssecurity Fund, LLC, Three Oaks Advanced Fund, LLC, Three Oaks Currency Fund, LP, Three Oaks Fund, LP, Three Oaks Fund 25, LLC, Three Oaks Senior Strength Fund, LLC, and USFirst Fund, LLC |
Notice Date:08/12/2011 | Claim Due Date:11/10/2011 |
Published date grouping:August 2011 | Notice No.:2011-136 |
Action: SEC v. Brian J. Smart, and Smart Assets, LLC |
Notice Date:08/12/2011 | Claim Due Date:11/10/2011 |
Published date grouping:August 2011 | Notice No.:2011-135 |
Action: SEC v. Sierra Brokerage Services, Inc., Richard Geiger, Jeffrey A. Richardson, Aaron Tsai, Michael E. Markow, Global Guarantee Corporation, Francois Goelo, Yongzhi Yang, K&J Consulting, Limited, Ke Luo, M&M Management, Limited, and Jerome B. Armstrong |
Notice Date:08/12/2011 | Claim Due Date:11/10/2011 |
Published date grouping:August 2011 | Notice No.:2011-134 |
Action: SEC v. Shidaal Express, Inc. and Mohamud Abdi Ahmed |
Notice Date:08/12/2011 | Claim Due Date:11/10/2011 |
Published date grouping:August 2011 | Notice No.:2011-133 |
Action: SEC v. Rodney S. Shehyn, Rodney D. Marr, Donald L. Marr, and Karen S. Leigh |
Notice Date:08/12/2011 | Claim Due Date:11/10/2011 |
Published date grouping:August 2011 | Notice No.:2011-132 |
Action: SEC v. Satyam Computer Services Limited d.b.a. Mahindra Satyam |
Notice Date:08/12/2011 | Claim Due Date:11/10/2011 |
Published date grouping:August 2011 | Notice No.:2011-131 |
Action: SEC v. Mark E. Salyer |
Notice Date:08/12/2011 | Claim Due Date:11/10/2011 |
Published date grouping:August 2011 | Notice No.:2011-130 |
Action: In the Matter of Royal Dutch Shell plc and Shell International Exploration and Production Inc. |
Notice Date:08/12/2011 | Claim Due Date:11/10/2011 |
Published date grouping:August 2011 | Notice No.:2011-129 |
Action: SEC v. Rockwell Energy of Texas LLC, Rockwell Energy Management LLC, Gregory S. Shindler, Bradley M. James, W. Todd Smith, Stuart E. Rawitt, and Brian W. Walsh |
Notice Date:08/12/2011 | Claim Due Date:11/10/2011 |
Published date grouping:August 2011 | Notice No.:2011-128 |
Action: In the Matter of Rockwell Automation, Inc. |
Notice Date:08/12/2011 | Claim Due Date:11/10/2011 |
Published date grouping:August 2011 | Notice No.:2011-127 |
Action: SEC v. Rockford Funding Group, LLC |
Notice Date:08/12/2011 | Claim Due Date:11/10/2011 |
Published date grouping:August 2011 | Notice No.:2011-126 |
Action: SEC v. Archie Paul Reynolds and Success Trust |
Notice Date:08/12/2011 | Claim Due Date:11/10/2011 |
Published date grouping:August 2011 | Notice No.:2011-125 |
Action: SEC v. Regions Bank |
Notice Date:08/12/2011 | Claim Due Date:11/10/2011 |
Published date grouping:August 2011 | Notice No.:2011-124 |
Action: SEC v. Steven L. Rattner |
Notice Date:08/12/2011 | Claim Due Date:11/10/2011 |
Published date grouping:August 2011 | Notice No.:2011-123 |
Action: SEC v. RAE Systems Inc. |
Notice Date:08/12/2011 | Claim Due Date:11/10/2011 |
Published date grouping:August 2011 | Notice No.:2011-122 |
Action: SEC v. Radical Bunny, LLC, Tom Hirsch, Berta Walder, Howard Walder, and Harish Shah |
Notice Date:08/12/2011 | Claim Due Date:11/10/2011 |
Published date grouping:August 2011 | Notice No.:2011-18 |
Action: SEC v. Gregg M.S. Berger, Francis A. Tribble, How Wai Hui, a.k.a. John Hui, Kwong-Chung Chan, a.k.a. Bernard Chan, Xiaoqing Du, a.k.a. Angela Du, Global Peopleline Telecom, Inc., Chi Shing Ng, a.k.a. Daniel Ng, China Digital Media Corporation, Mordechai Broudo, Shay Ben-Asulin, and M-Wise, Inc. |
Notice Date:08/12/2011 | Claim Due Date:11/10/2011 |
Published date grouping:August 2011 | Notice No.:2011-121 |
Action: SEC v. Joseph D. Radcliffe and Michael J. Radcliffe |
Notice Date:08/12/2011 | Claim Due Date:11/10/2011 |
Published date grouping:August 2011 | Notice No.:2011-17 |
Action: SEC v. Ben-Wal Leasing Company, Ben-Wal Management, Inc., and Jerry E. Benson |
Notice Date:08/12/2011 | Claim Due Date:11/10/2011 |
Published date grouping:August 2011 | Notice No.:2011-120 |
Action: SEC v. Pride International, Inc. |
Notice Date:08/12/2011 | Claim Due Date:11/10/2011 |
Published date grouping:August 2011 | Notice No.:2011-119 |
Action: In the Matter of Gordon Brent Pierce, Newport Capital Corp., and Jenirob Company Ltd. |
Notice Date:08/12/2011 | Claim Due Date:11/10/2011 |
Published date grouping:August 2011 | Notice No.:2011-16 |
Action: In the Matter of Axa Rosenberg Group LLC, Axa Rosenberg Investment Management LLC, and Barr Rosenberg Research Center, LLC |
Notice Date:08/12/2011 | Claim Due Date:11/10/2011 |
Published date grouping:August 2011 | Notice No.:2011-118 |
Action: SEC v. Panalpina, Inc. |
Notice Date:08/12/2011 | Claim Due Date:11/10/2011 |
Published date grouping:August 2011 | Notice No.:2011-15 |
Action: SEC v. Aura Financial Services, Inc., Ronald E. Hardy, Jr., Peter C. Dunne, Qais R. Bhavnagari, Dipin Malla, Sandeep Singh, and Raymond Rapaglia |
Notice Date:08/12/2011 | Claim Due Date:11/10/2011 |
Published date grouping:August 2011 | Notice No.:2011-117 |
Action: SEC v. One or More Unknown Traders in the Common Stock of Certain Issuers |
Notice Date:08/12/2011 | Claim Due Date:11/10/2011 |
Published date grouping:August 2011 | Notice No.:2011-14 |
Action: In the Matter of Aristeia Capital, LLC |
Notice Date:08/12/2011 | Claim Due Date:11/10/2011 |
Published date grouping:August 2011 | Notice No.:2011-116 |
Action: SEC v. Onele Trading & Finance Ltd |
Notice Date:08/12/2011 | Claim Due Date:11/10/2011 |
Published date grouping:August 2011 | Notice No.:2011-115 |
Action: SEC v. One Equity Corporation, Triangle Equities Group, Inc., Victory Management Group, Inc., Dafcan Finance, Inc., Michael S. Spillan and Melissa K. Spillan |
Notice Date:08/12/2011 | Claim Due Date:11/10/2011 |
Published date grouping:August 2011 | Notice No.:2011-114 |
Action: SEC v. Robert Olins, Spatialight, Inc., and Argyle Capital Management Corp. |
Notice Date:08/12/2011 | Claim Due Date:11/10/2011 |
Published date grouping:August 2011 | Notice No.:2011-13 |
Action: SEC v. Sonja Anticevic |
Notice Date:08/12/2011 | Claim Due Date:11/10/2011 |
Published date grouping:August 2011 | Notice No.:2011-113 |
Action: SEC v. Novus Technologies, LLC, a Utah limited liability company, Ralph W. Thompson, Jr., Duane C. Johnson, RCH2, LLC, a Utah limited liability company, Robert Casey Hall, and Eric J. Wheeler |
Notice Date:08/12/2011 | Claim Due Date:11/10/2011 |
Published date grouping:August 2011 | Notice No.:2011-12 |
Action: SEC v. Daryl O. Anderson |
Notice Date:08/12/2011 | Claim Due Date:11/10/2011 |
Published date grouping:August 2011 | Notice No.:2011-11 |
Action: In the Matter of American Pegasus LDG LLC, American Pegasus Investment Management Inc., Benjamin P. Chui, Charles E. Hall, Jr. and Triffany Mok |
Notice Date:08/12/2011 | Claim Due Date:11/10/2011 |
Published date grouping:August 2011 | Notice No.:2011-112 |
Action: SEC v. Noble Corporation |
Notice Date:08/12/2011 | Claim Due Date:11/10/2011 |
Published date grouping:August 2011 | Notice No.:2011-10 |
Action: SEC v. Amante Corp., Commonwealth Capital Management, Inc., Edward M. Denigris, and William D. Dyer |
Notice Date:08/12/2011 | Claim Due Date:11/10/2011 |
Published date grouping:August 2011 | Notice No.:2011-111 |
Action: SEC v. NIC, Inc., Jeffrey S. Fraser, Harry H. Herington, and Eric J. Bur |
Notice Date:08/12/2011 | Claim Due Date:11/10/2011 |
Published date grouping:August 2011 | Notice No.:2011-110 |
Action: In the Matter of Navistar International Corporation, Daniel C. Ustian, Robert C. Lannert, Thomas M. Akers, Jr., James W. McIntosh, James J. Stanaway, Ernest A. Stinsa, and Michael J. Schultz |
Notice Date:08/12/2011 | Claim Due Date:11/10/2011 |
Published date grouping:August 2011 | Notice No.:2011-109 |
Action: SEC v. Joseph P. Nacchio, Robert S. Woodruff, Robin R. Szeliga, Afshin Mohebbi, Gregory M. Casey, James J. Koslowski, and Frank T. Noyes |
Notice Date:08/12/2011 | Claim Due Date:11/10/2011 |
Published date grouping:August 2011 | Notice No.:2011-9 |
Action: SEC v. Alliance One International, Inc. |
Notice Date:08/12/2011 | Claim Due Date:11/10/2011 |
Published date grouping:August 2011 | Notice No.:2011-108 |
Action: SEC v. Angelo Mozilo, David Sambol, and Eric Sieracki |
Notice Date:08/12/2011 | Claim Due Date:11/10/2011 |
Published date grouping:August 2011 | Notice No.:2011-107 |
Action: SEC v. William G. Mortensen and Feng Zheng |
Notice Date:08/12/2011 | Claim Due Date:11/10/2011 |
Published date grouping:August 2011 | Notice No.:2011-106 |
Action: SEC v. Brad A. Morrice, Patti M. Dodge, David N. Kenneally |
Notice Date:08/12/2011 | Claim Due Date:11/10/2011 |
Published date grouping:August 2011 | Notice No.:2011-8 |
Action: SEC v. Edward A. Allen, David L. Olson, and A&O Investments LLC |
Notice Date:08/12/2011 | Claim Due Date:11/10/2011 |
Published date grouping:August 2011 | Notice No.:2011-105 |
Action: In the Matter of Morgan Asset Management, Inc., Morgan Keegan & Company, Inc., James C. Kelsoe, Jr., and Joseph Thompson Weller, CPA |
Notice Date:08/12/2011 | Claim Due Date:11/10/2011 |
Published date grouping:August 2011 | Notice No.:2011-104 |
Action: SEC v. Millennium Bank, United Trust of Switzerland S.A., UT of S, LLC, Millennium Financial Group, William J. Wise d/b/a Sterling Administration, d/b/a Sterling Investment Services, d/b/a Millennium Aviation, Kristi M. Hoegel, a/k/a Kristi M. Christopher, a/k/a Bessy Lu, Jacqueline S. Hoegel, a/k/a Jacquline S. Hoegel, a/k/a Jackie S. Hoegel, Philippe Angeloni, and Brijesh Chopra |
Notice Date:08/12/2011 | Claim Due Date:11/10/2011 |
Published date grouping:August 2011 | Notice No.:2011-7 |
Action: SEC v. Jacob “Kobi” Alexander, David Kreinberg, and William F. Sorin |
Notice Date:08/12/2011 | Claim Due Date:11/10/2011 |
Published date grouping:August 2011 | Notice No.:2011-103 |
Action: SEC v. Mike Watson Capital LLC, Michael P. Watson, and Joshua F. Escobeda |
Notice Date:08/12/2011 | Claim Due Date:11/10/2011 |
Published date grouping:August 2011 | Notice No.:2011-102 |
Action: SEC v. Merrill Scott & Associates Ltd., Merrill Scott & Associates, Inc., Phoenix Overseas Advisors Ltd., Gilbralter Permanente Assurance, Ltd., Patrick M. Brody, David E. Ross II, and Michael Licopantis |
Notice Date:08/12/2011 | Claim Due Date:11/10/2011 |
Published date grouping:August 2011 | Notice No.:2011-101 |
Action: In the Matter of Merrill Lynch, Pierce, Fenner & Smith, Incorporated |
Notice Date:08/12/2011 | Claim Due Date:11/10/2011 |
Published date grouping:August 2011 | Notice No.:2011-6 |
Action: SEC v. Alcatel-Lucent, S.A. |
Notice Date:08/12/2011 | Claim Due Date:11/10/2011 |
Published date grouping:August 2011 | Notice No.:2011-5 |
Action: SEC v. Hazem Khalid Al-Braikan, United Gulf Bank (B.S.C.) E.C., KIPCO Asset Management Co., and Al-Raya Investment Co. |
Notice Date:08/12/2011 | Claim Due Date:11/10/2011 |
Published date grouping:August 2011 | Notice No.:2011-4 |
Action: SEC v. Advanced Technologies Group LTD, Alexander Stelmak, and Abelis Raskas |
Notice Date:08/12/2011 | Claim Due Date:11/10/2011 |
Published date grouping:August 2011 | Notice No.:2011-3 |
Action: SEC v. David Abish, Christopher Betts, Mark Charvat, Michael Cohn, James Corcoran, Charles Distefano, Paul Feeny, Stephen Gourlay, Brian Kearney, Michael Maccaull, Timothy Matthews, Robert Pratt, Mario Rodriguez, William Scuteri, Scott Siegel, Donald Turney, Andrew Tursi and David Weeks |
Notice Date:08/12/2011 | Claim Due Date:11/10/2011 |
Published date grouping:August 2011 | Notice No.:2011-2 |
Action: SEC v. ABB LTD |
Notice Date:08/12/2011 | Claim Due Date:11/10/2011 |
Published date grouping:August 2011 | Notice No.:2011-1 |
Action: SEC v. Giuseppe Tullio Abatemarco |
Notice Date:08/12/2011 | Claim Due Date:11/10/2011 |
Published date grouping:August 2011 | Notice No.:2011-100 |
Action: SEC v. Paul P. Merklinger and Encore Associated Leasing, LLC |
Notice Date:08/12/2011 | Claim Due Date:11/10/2011 |
Published date grouping:August 2011 | Notice No.:2011-99 |
Action: SEC v. Merchant Capital LLC, Steven C. Wyer, and Kurt Beasley |
Notice Date:08/12/2011 | Claim Due Date:11/10/2011 |
Published date grouping:August 2011 | Notice No.:2011-98 |
Action: SEC v. Michael J. McNaul, II, Dale C. Lucas, Gregg Krause, Lloyd F. Nunns, Russell W. Kilgariff, Steven L. Tallman, Freddie J. Hembree, Raymond L. Leonard, Jr., Mid Western Natural Gas, Inc., and Mark DuBoise |
Notice Date:08/12/2011 | Claim Due Date:11/10/2011 |
Published date grouping:August 2011 | Notice No.:2011-97 |
Action: SEC v. Carol McKeown, Daniel F. Ryan, Meadow Vista Financial Corp., and Downshire Capital, Inc. |
Notice Date:08/12/2011 | Claim Due Date:11/10/2011 |
Published date grouping:August 2011 | Notice No.:2011-96 |
Action: SEC v. Ian McCarthy |
Notice Date:08/12/2011 | Claim Due Date:11/10/2011 |
Published date grouping:August 2011 | Notice No.:2011-95 |
Action: SEC v. Maxwell Technologies, Inc. |
Notice Date:08/12/2011 | Claim Due Date:11/10/2011 |
Published date grouping:August 2011 | Notice No.:2011-94 |
Action: SEC v. Javeed A. Matin and Wilshire Equity, Inc. |
Notice Date:08/12/2011 | Claim Due Date:11/10/2011 |
Published date grouping:August 2011 | Notice No.:2011-93 |
Action: SEC v. Amit Mathur and Entrust Capital Management, Inc. |
Notice Date:08/12/2011 | Claim Due Date:11/10/2011 |
Published date grouping:August 2011 | Notice No.:2011-92 |
Action: SEC v. Madison Real Estate Group LLC, Richard Ames Higgins, Brandon S. Higgins, and Allan D. Christensen |
Notice Date:08/12/2011 | Claim Due Date:11/10/2011 |
Published date grouping:August 2011 | Notice No.:2011-91 |
Action: SEC v. Alero Odell Mack, Jr.; Steven Enrico Lopez, Sr.; Easy Equity Asset Management, Inc.; Easy Equity Management, L.P.; Easy Equity Partners, L.P.; Alero Equities the Real Estate Company, L.L.C.; and Alero I.X. Corporation |
Notice Date:08/12/2011 | Claim Due Date:11/10/2011 |
Published date grouping:August 2011 | Notice No.:2011-90 |
Action: SEC v. Alfred Clay Ludlum III, Printz Capital Management LLC, Printz Financial Group, Inc., and PCM Global Holdings LLC |
Notice Date:08/12/2011 | Claim Due Date:11/10/2011 |
Published date grouping:August 2011 | Notice No.:2011-89 |
Action: In the Matter of Lovelock & Lewes, Price Waterhouse, Bangalore, Price Waterhouse & Co., Bangalore, Price Waterhouse, Calcutta, and Price Waterhouse & Co, Calcutta |
Notice Date:08/12/2011 | Claim Due Date:11/10/2011 |
Published date grouping:August 2011 | Notice No.:2011-88 |
Action: SEC v. Locke Capital Management, Inc. and Leila C. Jenkins |
Notice Date:08/12/2011 | Claim Due Date:11/10/2011 |
Published date grouping:August 2011 | Notice No.:2011-87 |
Action: SEC v. Brian N. Lines, Scott G.S. Lines, LOM (Holdings) Ltd., Lines Overseas Management Ltd., LOM Capital Ltd., LOM Securities (Bermuda) Ltd., LOM Securities (Cayman) Ltd., LOM Securities (Bahamas) Ltd., Anthony W. Wile, Wayne E. Wile, Robert J. Chapman, William Todd Peever, Phillip James Curtis, and Ryan G. Leeds |
Notice Date:08/12/2011 | Claim Due Date:11/10/2011 |
Published date grouping:August 2011 | Notice No.:2011-86 |
Action: In the Matter of Level Global Investors LP |
Notice Date:08/12/2011 | Claim Due Date:11/10/2011 |
Published date grouping:August 2011 | Notice No.:2011-85 |
Action: SEC v. John W. Lawton, Paramount Partners LP, and Crossroad Capital Management LLC |
Notice Date:08/12/2011 | Claim Due Date:11/10/2011 |
Published date grouping:August 2011 | Notice No.:2011-84 |
Action: In the Matter of KPMG Australia |
Notice Date:08/12/2011 | Claim Due Date:11/10/2011 |
Published date grouping:August 2011 | Notice No.:2011-83 |
Action: SEC v. Mohit A. Khanna and MAK 1 Enterprises Group LLC |
Notice Date:08/12/2011 | Claim Due Date:11/10/2011 |
Published date grouping:August 2011 | Notice No.:2011-82 |
Action: SEC v. Michael E.Kelly; Michael P. Kelly; Donald L. Kelly; John L. Corwin; Corporativo Nola, S.A. de C.V.; Resort Holding International (RHI) S.A.; Panorama Communities, S.A.; World Phantasy Tours, Inc. (Viajes Y Fantasia Por El Mundo, S.A.), also d/b/a Majesty Travel; Galaxy Properties Management, S.A.; Yucatan Resorts, S.A. de C.V.; Resort Holdings International, S.A. de C.V; Mark Ruttenberg; Ruttenberg and Associates Financial Marketing, Inc.; Mark G. Meyer; Mark Meyer and Associates, Inc.; Richard E. Riner; Southwest Income Marketing, Inc.; George Phelps, also d/b/a Safe Estate Plans; John E. Tencza also d/b/a American Investment Management Group, Inc.; American Elder Group, L.L.C.; Carl Q. Lee; Carl Lee and Associates, Inc.; Roy D. Higgs; Warren T. Chambers; William K. Boston, Jr.; and Century Estate Planning, Inc. |
Notice Date:08/12/2011 | Claim Due Date:11/10/2011 |
Published date grouping:August 2011 | Notice No.:2011-81 |
Action: SEC v. Dennis Lee Keating II |
Notice Date:08/12/2011 | Claim Due Date:11/10/2011 |
Published date grouping:August 2011 | Notice No.:2011-80 |
Action: SEC v. K&L International Enterprises, Inc., Signature Leisure, Inc., Signature Worldwide Advisors LLC, Stephen W. Carnes, Lawrence A. Powalisz, Enzyme Environmental Solutions, Inc. and Jared E. Hochstedler |
Notice Date:08/12/2011 | Claim Due Date:11/10/2011 |
Published date grouping:August 2011 | Notice No.:2011-79 |
Action: SEC v. Albert Fase Kaleta and Kaleta Capital Management, Inc. |
Notice Date:08/12/2011 | Claim Due Date:11/10/2011 |
Published date grouping:August 2011 | Notice No.:2011-78 |
Action: SEC v. J.P. Morgan Securities LLC |
Notice Date:08/12/2011 | Claim Due Date:11/10/2011 |
Published date grouping:August 2011 | Notice No.:2011-77 |
Action: SEC v. J.P. Morgan Securities LLC |
Notice Date:08/12/2011 | Claim Due Date:11/10/2011 |
Published date grouping:August 2011 | Notice No.:2011-76 |
Action: SEC v. Johnson & Johnson |
Notice Date:08/12/2011 | Claim Due Date:11/10/2011 |
Published date grouping:August 2011 | Notice No.:2011-75 |
Action: SEC v. Carl W. Jasper |
Notice Date:08/12/2011 | Claim Due Date:11/10/2011 |
Published date grouping:August 2011 | Notice No.:2011-74 |
Action: SEC v. International Realty Holdings, Inc., Ottoniel Medrano, and Leticia Isabel Medrano |
Notice Date:08/12/2011 | Claim Due Date:11/10/2011 |
Published date grouping:August 2011 | Notice No.:2011-73 |
Action: SEC v. Imperia Invest IBC |
Notice Date:08/12/2011 | Claim Due Date:11/10/2011 |
Published date grouping:August 2011 | Notice No.:2011-71 |
Action: In the Matter of Horseman Capital Management, L.P. |
Notice Date:08/12/2011 | Claim Due Date:11/10/2011 |
Published date grouping:August 2011 | Notice No.:2011-70 |
Action: SEC v. Homestead Properties LP, Homestead Limited LLC, California Wealth Management Group, d.b.a. IFC Advisory, Heath M. Biddlecome, and William C. Tak |
Notice Date:08/12/2011 | Claim Due Date:11/10/2011 |
Published date grouping:August 2011 | Notice No.:2011-69 |
Action: SEC v. Hedgelender LLC, Daniel W. Stafford, and Fred R. Wahler, Jr. |
Notice Date:08/12/2011 | Claim Due Date:11/10/2011 |
Published date grouping:August 2011 | Notice No.:2011-68 |
Action: SEC v. Gary L. Harden, Sr. and Philip E. Lowery |
Notice Date:08/12/2011 | Claim Due Date:11/10/2011 |
Published date grouping:August 2011 | Notice No.:2011-67 |
Action: SEC v. Lowell Gene “Bob” Hancher, Commerce Street Venture Group, Inc., Edward T. Whelan, and Grace Holdings |
Notice Date:08/12/2011 | Claim Due Date:11/10/2011 |
Published date grouping:August 2011 | Notice No.:2011-66 |
Action: SEC v. Great American Technologies, Inc. and Vincent Setteducate a/k/a Vincent Sette |
Notice Date:08/12/2011 | Claim Due Date:11/10/2011 |
Published date grouping:August 2011 | Notice No.:2011-65 |
Action: SEC v. George David Gordon, Joshua Wayne Lankford, and Dean Joseph Sheptycki |
Notice Date:08/12/2011 | Claim Due Date:11/10/2011 |
Published date grouping:August 2011 | Notice No.:2011-64 |
Action: SEC v. Lawrence R. Goldfarb and Baystar Capital Management, LLC |
Notice Date:08/12/2011 | Claim Due Date:11/10/2011 |
Published date grouping:August 2011 | Notice No.:2011-63 |
Action: SEC v. Golden Apple Oil and Gas, Inc., Jay Budd, John Briner, and Ethos Investments, Inc. |
Notice Date:08/12/2011 | Claim Due Date:11/10/2011 |
Published date grouping:August 2011 | Notice No.:2011-62 |
Action: SEC v. GlobalSantaFe Corp. |
Notice Date:08/12/2011 | Claim Due Date:11/10/2011 |
Published date grouping:August 2011 | Notice No.:2011-61 |
Action: SEC v. Global Materials & Services, Inc. f/k/a American Fire Retardant Corp., Stephen F. Owens, ASMAC Financial, Inc., Edify Capital Group, Inc., Eric Ko, and William Woo |
Notice Date:08/12/2011 | Claim Due Date:11/10/2011 |
Published date grouping:August 2011 | Notice No.:2011-60 |
Action: SEC v. Global Development & Environmental Resources, Inc., Philip Pritchard, Pietro Cimino, Dante M. Panella, Darko S. Mrakuzic, Anthony M. Cimini, Sr., and Carmine J. Bua |
Notice Date:08/12/2011 | Claim Due Date:11/10/2011 |
Published date grouping:August 2011 | Notice No.:2011-59 |
Action: SEC v. Gen-See Capital Corporation a/k/a Gen Unlimited and Richard S. Piccoli |
Notice Date:08/12/2011 | Claim Due Date:11/10/2011 |
Published date grouping:August 2011 | Notice No.:2011-58 |
Action: SEC v. Jason M. Genet |
Notice Date:08/12/2011 | Claim Due Date:11/10/2011 |
Published date grouping:August 2011 | Notice No.:2011-57 |
Action: SEC v. General Electric Company, Ionics, Inc., and Amersham plc |
Notice Date:08/12/2011 | Claim Due Date:11/10/2011 |
Published date grouping:August 2011 | Notice No.:2011-56 |
Action: SEC v. Gendreau & Associates, Inc., and Jacques R. Gendreau |
Notice Date:08/12/2011 | Claim Due Date:11/10/2011 |
Published date grouping:August 2011 | Notice No.:2011-55 |
Action: In the Matter of Gartmore Investment Limited |
Notice Date:08/12/2011 | Claim Due Date:11/10/2011 |
Published date grouping:August 2011 | Notice No.:2011-54 |
Action: SEC v. Galleon Management LP, Raj Rajaratnam, Rajiv Goel, Anil Kumar, Danielle Chiesi, Mark Kurland, Robert Moffat, New Castle Funds LLC, Roomy Khan, Deep Shah, Ali T. Far, Choo-Beng Lee, Far & Lee LLC, Spherix Capital LLC, Ali Hariri, Zvi Goffer, David Plate, Gautham Shankar, Schottenfeld Group LLC, Steven Fortuna, and S2 Capital Management LP |
Notice Date:08/12/2011 | Claim Due Date:11/10/2011 |
Published date grouping:August 2011 | Notice No.:2011-53 |
Action: SEC v. FTC Capital Markets, Inc., FTC Emerging Markets, Inc. also d/b/a/ FTC Group, Guillermo David Clamens and Lina Lopez a/k/a Nazly Cucunuba Lopez |
Notice Date:08/12/2011 | Claim Due Date:11/10/2011 |
Published date grouping:August 2011 | Notice No.:2011-52 |
Action: SEC v. Gregory Todd Froning |
Notice Date:08/12/2011 | Claim Due Date:11/10/2011 |
Published date grouping:August 2011 | Notice No.:2011-50 |
Action: SEC v. Otto Sam Folin, Benchmark Asset Managers LLC, and Harvest Managers LLC |
Notice Date:08/12/2011 | Claim Due Date:11/10/2011 |
Published date grouping:August 2011 | Notice No.:2011-49 |
Action: SEC v. Thomas P. Flanagan and Thomas T. Flanagan |
Notice Date:08/12/2011 | Claim Due Date:11/10/2011 |
Published date grouping:August 2011 | Notice No.:2011-48 |
Action: SEC v. Robert Feinblatt, Jeffrey Yokuty, Trivium Capital Management LLC, Sunil Bhalla, and Shammara Hussain |
Notice Date:08/12/2011 | Claim Due Date:11/10/2011 |
Published date grouping:August 2011 | Notice No.:2011-47 |
Action: SEC v. Anthony Fareri, Fareri Financial Services, Inc. d/b/a/ Amerifinancial, and Anthony Fareri & Associates, Inc. |
Notice Date:08/12/2011 | Claim Due Date:11/10/2011 |
Published date grouping:August 2011 | Notice No.:2011-46 |
Action: SEC v. Robert M. Esposito, Gregory A. King, Jack R. Belluscio, and Anscott Industries, Inc. |
Notice Date:08/12/2011 | Claim Due Date:11/10/2011 |
Published date grouping:August 2011 | Notice No.:2011-45 |
Action: SEC v. Earthly Mineral Solutions, Inc., Natural Minerals Processing Company, Roy D. Higgs, Frank L. Schwartz, and Rick Lawton |
Notice Date:08/12/2011 | Claim Due Date:11/10/2011 |
Published date grouping:August 2011 | Notice No.:2011-44 |
Action: SEC v. Martin J. Druffner, Justin F. Ficken, Skifter Ajro, John S. Peffer, Marc J. Bilotti, and Robert E. Shannon |
Notice Date:08/12/2011 | Claim Due Date:11/10/2011 |
Published date grouping:August 2011 | Notice No.:2011-43 |
Action: SEC v. Gianluca Di Nardo, Corralero Holdings, Inc., Oscar Ronzoni, Paolo Busardo, Tatus Corp., and A-Round Investment SA (originally filed as SEC v. One or More Purchasers of Call Options for the Common Stock of DRS Technologies, Inc. and American Power Conversion Corp.) |
Notice Date:08/12/2011 | Claim Due Date:11/10/2011 |
Published date grouping:August 2011 | Notice No.:2011-42 |
Action: In the Matter of Diageo plc |
Notice Date:08/12/2011 | Claim Due Date:11/10/2011 |
Published date grouping:August 2011 | Notice No.:2011-41 |
Action: SEC v. Matthew C. Devlin, Jamil A. Bouchareb, Daniel A. Corbin, Frederick E. Bowers, Thomas R. Faulhaber, Eric A. Holzer, Jeffrey R. Glover, Corbin Investment Holdings LLC, and Augustus Management |
Notice Date:08/12/2011 | Claim Due Date:11/10/2011 |
Published date grouping:August 2011 | Notice No.:2011-40 |
Action: SEC v. Dell, Inc., Michael S. Dell, Kevin B. Rollins, James M. Schneider, Leslie L. Jackson, and Nicholas A.R. Dunning |
Notice Date:08/12/2011 | Claim Due Date:11/10/2011 |
Published date grouping:August 2011 | Notice No.:2011-39 |
Action: In the Matter of Deerfield Capital Corp. and Danielle Valkner, CPA |
Notice Date:08/12/2011 | Claim Due Date:11/10/2011 |
Published date grouping:August 2011 | Notice No.:2011-72 |
Action: SEC v. W. Anthony Huff, Danny L. Pixler, Anthony R. Russo, Otha Ray McCartha, and Charles J. Spinelli |
Notice Date:08/12/2011 | Claim Due Date:11/10/2011 |
Published date grouping:August 2011 | Notice No.:2011-38 |
Action: SEC v. Joseph A. Dawson |
Notice Date:08/12/2011 | Claim Due Date:11/10/2011 |
Published date grouping:August 2011 | Notice No.:2011-37 |
Action: SEC v. Credit Bancorp, Ltd., Credit Bancorp, Inc., Richard Jonathan Blech, Thomas M. Rittweger, and Douglas C. Brandon |
Notice Date:08/12/2011 | Claim Due Date:11/10/2011 |
Published date grouping:August 2011 | Notice No.:2011-51 |
Action: SEC v. Founding Partners Capital Management Company, William Gunlicks, Sun Capital, Inc., Sun Capital Healthcare, Inc., Founding Partners Stable-Value Fund LP, Founding Partners Stable-Value Fund II LP, Founding Partners Global Fund Ltd., and Founding Partners Hybrid-Value Fund LP |
Notice Date:08/12/2011 | Claim Due Date:11/10/2011 |
Published date grouping:August 2011 | Notice No.:2011-36 |
Action: SEC v. ConnectAJet.com, Inc., Martin T. Cantu, Martin M. Cantu, Firenze Funds LLC, Timothy T. Page, Testre LP, Verona Funds LLC, and Stephen Fayette |
Notice Date:08/12/2011 | Claim Due Date:11/10/2011 |
Published date grouping:August 2011 | Notice No.:2011-35 |
Action: SEC v. Nicolas Patrick Benoit Condroyer and Gilles Robert Roger |
Notice Date:08/12/2011 | Claim Due Date:11/10/2011 |
Published date grouping:August 2011 | Notice No.:2011-34 |
Action: SEC v. Comverse Technology, Inc. |
Notice Date:08/12/2011 | Claim Due Date:11/10/2011 |
Published date grouping:August 2011 | Notice No.:2011-33 |
Action: SEC v. Citigroup Inc. |
Notice Date:08/12/2011 | Claim Due Date:11/10/2011 |
Published date grouping:August 2011 | Notice No.:2011-19 |
Action: SEC v. Berkshire Resources LLC, Berkshire (40L) LLP, Berkshire 2006-5 LLP, Passmore-5 LLP, Gueydan Canal 28-5 LLP, Gulf Coast Development #12 LLP, Drilling Deep in the Louisiana Water J.V., Jason T. Rose, David G. Rose, Mark D. Long, and Yolanda C. Velazquez |
Notice Date:08/12/2011 | Claim Due Date:11/10/2011 |
Published date grouping:August 2011 | Notice No.:2011-170 |
Action: SEC v. ZNext Mining Corporation, Inc. and Elvira G. Gamboa |
Notice Date:08/12/2011 | Claim Due Date:11/10/2011 |
Published date grouping:August 2011 | Notice No.:2011-161 |
Action: SEC v. Martin T. Wegener, Wealth Resources LLC, and Wealth Resources, Inc. |
Notice Date:08/12/2011 | Claim Due Date:11/10/2011 |
Published date grouping:August 2011 | Notice No.:2011-162 |
Action: In the Matter of Wells Fargo Securities LLC (f/k/a Wachovia Capital Markets LLC) |
Notice Date:08/12/2011 | Claim Due Date:11/10/2011 |
Published date grouping:August 2011 | Notice No.:2011-163 |
Action: SEC v. Darrel West and Own My Travel LLC |
Notice Date:08/12/2011 | Claim Due Date:11/10/2011 |
Published date grouping:August 2011 | Notice No.:2011-164 |
Action: SEC v. Blake G. Williams, Tbeck Capital. Inc., Warren Street Investments, Inc., Victoria Financial Consultants LLC, BGW Enterprises, Inc., Emerging Resources, Inc., Valek Investments, Inc., Derek Lopez, and DA Big Kahuna LLC |
Notice Date:08/12/2011 | Claim Due Date:11/10/2011 |
Published date grouping:August 2011 | Notice No.:2011-165 |
Action: SEC v. David A. Williams, Sherwood Secured Income Fund, LLC, WFG Holdings, Inc., and Williams Financial Group, LLC |
Notice Date:08/12/2011 | Claim Due Date:11/10/2011 |
Published date grouping:August 2011 | Notice No.:2011-166 |
Action: SEC v. Winning Kids, Inc., Christian Hainsworth, Robert Comiskey, Edward Tamimi, and Victor Selenow |
Notice Date:08/12/2011 | Claim Due Date:11/10/2011 |
Published date grouping:August 2011 | Notice No.:2011-167 |
Action: SEC v. Stuart H. Wolff and Peter B. Tafeen |
Notice Date:08/12/2011 | Claim Due Date:11/10/2011 |
Published date grouping:August 2011 | Notice No.:2011-168 |
Action: SEC v. Travis L. Wright |
Notice Date:08/12/2011 | Claim Due Date:11/10/2011 |
Published date grouping:August 2011 | Notice No.:2011-169 |
Action: SEC v. Louis W. Zehil, Strong Branch Ventures IV LP, and Chestnut Capital Partners II, LLC |
Notice Date:08/12/2011 | Claim Due Date:11/10/2011 |
Modified: Oct. 1, 2023