Litigation Releases

The list below provides links to litigation releases concerning civil actions brought by the Commission in federal court.

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Litigation Releases Table

Date	Respondents
Date: Jan. 19, 2021	Respondents: Jacob C. Glick Release No. LR-25011 See Also: SEC Complaint
Date: Jan. 19, 2021	Respondents: Michael Sztrom, David Sztrom, and Sztrom Wealth Management, Inc. Release No. LR-25010 See Also: SEC Complaint
Date: Jan. 14, 2021	Respondents: City of Harvey, et al. Release No. LR-25009
Date: Jan. 14, 2021	Respondents: Thomas V. Conwell and Kerry L. Hoffman Release No. LR-25008
Date: Jan. 12, 2021	Respondents: Eric C. Malley, et al. Release No. LR-25007 See Also: SEC Complaint
Date: Jan. 11, 2021	Respondents: Justin Robert King, et al. Release No. LR-25006 See Also: SEC Complaint
Date: Jan. 8, 2021	Respondents: ConTXT, Inc, Thomas J. Robbins, Daniel J. Merriman, Mark W. Wiseman, and Clark J. Madsen Release No. LR-25005 See Also: SEC Complaint
Date: Jan. 5, 2021	Respondents: Barry F. Connell Release No. LR-25004 See Also: SEC Complaint , Final Judgment
Date: Dec. 31, 2020	Respondents: Bowser et al. Release No. LR-25003 See Also: SEC Complaint
Date: Dec. 31, 2020	Respondents: DeAndre P. Sears et al. Release No. LR-25002 See Also: SEC Complaint
Date: Dec. 30, 2020	Respondents: Anthony Thompson, Jr., et al. Release No. LR-25001 See Also: Final Judgment - Thompson , Final Judgment - Fung
Date: Dec. 30, 2020	Respondents: Gregory Altieri Release No. LR-25000 See Also: SEC Complaint
Date: Dec. 30, 2020	Respondents: Joseph Taub, et al. Release No. LR-24999 See Also: Final Judgment
Date: Dec. 29, 2020	Respondents: Jason Peltz Release No. LR-24998 See Also: SEC Complaint
Date: Dec. 28, 2020	Respondents: Qin et al Release No. LR-24997 See Also: SEC Complaint
Date: Dec. 23, 2020	Respondents: Global Investment Strategy UK Ltd. and John William Gunn Release No. LR-24996 See Also: SEC Complaint
Date: Dec. 23, 2020	Respondents: Ronnie Lee Moss, Jr., Genesis E&P, Inc., Royal Oil, LLC, and Catalyst Operating, LCC Release No. LR-24995 See Also: SEC Complaint
Date: Dec. 23, 2020	Respondents: RPM International Inc. and Edward W. Moore Release No. LR-24994 See Also: Final Judgment
Date: Dec. 22, 2020	Respondents: Charles Samel Release No. LR-24993 See Also: SEC Complaint
Date: Dec. 21, 2020	Respondents: CapSource, Inc. et al., Michael B. Zipprich et al. Release No. LR-24992 See Also: SEC Complaint - Capsource , SEC Complaint - Zipprich
Date: Dec. 21, 2020	Respondents: Dike Boone Nerren Release No. LR-24991 See Also: SEC Complaint
Date: Dec. 21, 2020	Respondents: TH Wealth Management, LLC and Brian Keat Hobbs Release No. LR-24990 See Also: SEC Complaint
Date: Dec. 18, 2020	Respondents: Barton S. Ross Release No. LR-24989 See Also: SEC Complaint
Date: Dec. 18, 2020	Respondents: SAExploration Holdings, Inc., et al. Release No. LR-24988 See Also: Final Judgment
Date: Dec. 16, 2020	Respondents: Luckin Coffee Inc. Release No. LR-24987 See Also: SEC Complaint
Date: Dec. 15, 2020	Respondents: Karina Chairez Release No. LR-24986 See Also: SEC Complaint
Date: Dec. 15, 2020	Respondents: CapWealth Advisors, LLC, Timothy J. Pagliara, and Timothy R. Murphy Release No. LR-24985 See Also: SEC Complaint
Date: Dec. 15, 2020	Respondents: Roland M. Mathys Release No. LR-24984
Date: Dec. 14, 2020	Respondents: Roger E. Dobrovodsky, Robert Todd Seth, Matthew L. Walker Release No. LR-24983 See Also: Roger Dobrovodsky , Robert Seth , Matthew Walker
Date: Dec. 11, 2020	Respondents: Christopher Clark and William Wright Release No. LR-24982 See Also: SEC Complaint
Date: Dec. 11, 2020	Respondents: Sequential Brands Group, Inc. Release No. LR-24981 See Also: SEC Complaint
Date: Dec. 9, 2020	Respondents: Amir Bruno Elmaani Release No. LR-24980 See Also: SEC Complaint
Date: Dec. 9, 2020	Respondents: Gomes et al. Release No. LR-24979
Date: Dec. 9, 2020	Respondents: J. Jeremy Barbera, Carl Smith, and Nanobeak Biotech Inc. Release No. LR-24978 See Also: SEC Complaint
Date: Dec. 7, 2020	Respondents: Applied BioSciences Corp. Release No. LR-24977 See Also: SEC Complaint
Date: Dec. 3, 2020	Respondents: SCANA Corporation, et al. Release No. LR-24976
Date: Dec. 2, 2020	Respondents: Eugenio Garcia Jimenez, Jr. Release No. LR-24975 See Also: SEC Complaint
Date: Dec. 2, 2020	Respondents: Bajic et al. Release No. LR-24974
Date: Dec. 2, 2020	Respondents: Richard J. Rubin and Thomas J. Craft, Jr. Release No. LR-24973 See Also: SEC Complaint
Date: Dec. 1, 2020	Respondents: Mark Alan Lisser a/k/a Mark Alan a/k/a Mark Allen Release No. LR-24972 See Also: SEC Complaint
Date: Nov. 30, 2020	Respondents: Garrett M. O'Rourke and Michael J. Black Release No. LR-24971
Date: Nov. 30, 2020	Respondents: Brothers Investment Group International, Inc. N/K/A Brothers International Group Inc., et al. Release No. LR-24970 See Also: SEC Complaint
Date: Nov. 24, 2020	Respondents: Rumbaugh et al Release No. LR-24969 See Also: SEC Complaint
Date: Nov. 23, 2020	Respondents: Benja Inc., et al. Release No. LR-24968 See Also: SEC Complaint
Date: Nov. 23, 2020	Respondents: Michael R. Sullivan Release No. LR-24967 See Also: SEC Complaint
Date: Nov. 20, 2020	Respondents: Winston Reed Investments LLC Release No. LR-24966
Date: Nov. 19, 2020	Respondents: Richard W. Davis, Jr., et al. Release No. LR-24965
Date: Nov. 13, 2020	Respondents: Carrie L. Tolstedt Release No. LR-24964 See Also: SEC Complaint
Date: Nov. 13, 2020	Respondents: Christopher W. Burns, Investus Advisers LLC d/b/a Dynamic Money LLC, Investus Financial LLC, Peer Connect LLC, and Meredith L. Burns (Relief Defendant) Release No. LR-24963 See Also: SEC Complaint , Order
Date: Nov. 9, 2020	Respondents: Douglas A. Roth Release No. LR-24961 See Also: SEC Complaint
Date: Nov. 9, 2020	Respondents: Robert C. Morgan Release No. LR-24960
Date: Nov. 9, 2020	Respondents: David C. Coggins, et al. Release No. LR-24959
Date: Nov. 9, 2020	Respondents: Hughe Duwayne Graham, Donald Lee Howard, Larry Louis Matyas Release No. LR-24958 See Also: SEC Complaint
Date: Nov. 9, 2020	Respondents: Mohammed Ali Rashid Release No. LR-24957
Date: Nov. 5, 2020	Respondents: Ieremenko et al. Release No. LR-24956
Date: Nov. 4, 2020	Respondents: Curative Biosciences, Inc. f/k/a Healthient, Inc., William M. Alverson, Katherine West Alverson, and Steven G. Patton Release No. LR-24955
Date: Nov. 3, 2020	Respondents: Terrence Chalk, et al. Release No. LR-24954 See Also: SEC Complaint
Date: Oct. 27, 2020	Respondents: John A. Paulsen Release No. LR-24953 See Also: SEC Complaint
Date: Oct. 27, 2020	Respondents: Alex Forester, Michael Hicks, Yarden Krampf, Christopher Lee, Sean O'Neal, Michael Raynor, and Lee Sobel Release No. LR-24952 See Also: SEC Complaint
Date: Oct. 23, 2020	Respondents: Joseph Taub, et al. Release No. LR-24951
Date: Oct. 22, 2020	Respondents: Paul Horton Smith, Sr.; Northstar Communications, LLC; Planning Services, Inc.; and eGate, LLC Release No. LR-24950
Date: Oct. 19, 2020	Respondents: Jillian Sidoti Release No. LR-24949 See Also: SEC Complaint
Date: Oct. 19, 2020	Respondents: Motty Mizrahi et al. Release No. LR-24948
Date: Oct. 19, 2020	Respondents: Joseph P. Willner Release No. LR-24947
Date: Oct. 16, 2020	Respondents: Rudden, et al. Release No. LR-24946 See Also: Final Judgment
Date: Oct. 14, 2020	Respondents: Dana J. Bradley, Marlin S. Hershey, D. Bradley, Inc., Bryant Boys, LLC, Distressed Lending Fund, Erndit LLC, Hershey Enterprises, MW Enterprises, Performance Holdings, Performance Retire on Rentals Release No. LR-24945 See Also: Final Judgment
Date: Oct. 13, 2020	Respondents: Alexander Rowland Release No. LR-24944 See Also: SEC Complaint
Date: Oct. 9, 2020	Respondents: SAExploration Holdings, Inc., et al. Release No. LR-24943 See Also: SEC Complaint
Date: Oct. 8, 2020	Respondents: Nanotech Engineering, Inc., Michael James Sweaney (also known as Michael Hatton), David Sweaney, and Jeffery Gange Release No. LR-24942 See Also: SEC Complaint , Final Judgment - David Sweaney
Date: Oct. 6, 2020	Respondents: McAfee et al. Release No. LR-24941
Date: Oct. 5, 2020	Respondents: Hill International, Inc. et al. Release No. LR-24939, AAER-4185
Date: Sept. 30, 2020	Respondents: Drew Morgan Ciccarelli Release No. LR-24940 See Also: SEC Complaint
Date: Sept. 30, 2020	Respondents: Rand Heckler and Rand Heckler, Inc. Release No. LR-24938 See Also: SEC Complaint
Date: Sept. 30, 2020	Respondents: Johnson, Everett, Ekejija, and NVC Fund, LLC Release No. LR-24937 See Also: SEC Complaint
Date: Sept. 30, 2020	Respondents: Mason D. Newman, Christian J. Baquerizo and Kevin Cardenas Release No. LR-24936 See Also: SEC Complaint - Baquerizo and Cardenas , SEC Complaint - Newman
Date: Sept. 30, 2020	Respondents: Joel Stohlman, et al. Release No. LR-24935 See Also: SEC Complaint
Date: Sept. 30, 2020	Respondents: Robert McCabe et al. Release No. LR-24934 See Also: SEC Complaint
Date: Sept. 30, 2020	Respondents: Michael Staisil Release No. LR-24933 See Also: SEC Complaint
Date: Sept. 30, 2020	Respondents: Roger Nils-Jonas Karlsson Release No. LR-24932 See Also: SEC Complaint
Date: Sept. 30, 2020	Respondents: Todd W. Mixon Release No. LR-24931 See Also: SEC Complaint
Date: Sept. 30, 2020	Respondents: Thomas J. Gity, et al. Release No. LR-24930 See Also: SEC Complaint
Date: Sept. 30, 2020	Respondents: Sebastian Silea, Christian Kranenberg, and KS Cartel LLC Release No. LR-24929 See Also: SEC Complaint
Date: Sept. 29, 2020	Respondents: Lewis I. Wallach Release No. LR-24928 See Also: SEC Complaint
Date: Sept. 29, 2020	Respondents: Stebbins & Jones Release No. LR-24927 See Also: SEC Complaint , Final Judgment - Stebbins , Final Judgment - Jones
Date: Sept. 29, 2020	Respondents: Andrew Dale Ledbetter, Esq. Release No. LR-24926 See Also: SEC Complaint
Date: Sept. 29, 2020	Respondents: Corbin L. Lambert Release No. LR-24925 See Also: SEC Complaint
Date: Sept. 28, 2020	Respondents: Clifton Curtis Sneed, Jr. Release No. LR-24924 See Also: SEC Complaint
Date: Sept. 28, 2020	Respondents: Laksha Bohra, Viky Bohra, and Gotham Bohra Release No. LR-24923 See Also: SEC Complaint
Date: Sept. 28, 2020	Respondents: Lindner Capital Advisors, Inc. and Robert J. Lindner Release No. LR-24922 See Also: SEC Complaint
Date: Sept. 28, 2020	Respondents: Marcus Beam Release No. LR-24921
Date: Sept. 28, 2020	Respondents: Todd Zinkwich Release No. LR-24920 See Also: SEC Complaint
Date: Sept. 25, 2020	Respondents: Eric M. Hill Release No. LR-24919 See Also: SEC Complaint
Date: Sept. 25, 2020	Respondents: Zvi Feiner, et al. Release No. LR-24918
Date: Sept. 25, 2020	Respondents: Frank G. Mueller Release No. LR-24917 See Also: SEC Complaint
Date: Sept. 24, 2020	Respondents: Oscar Haynes Morris, Jr. and Lakeside Capital Partners, LP Release No. LR-24916 See Also: SEC Complaint
Date: Sept. 24, 2020	Respondents: Revolution Lighting Technologies, Inc., et al. Release No. LR-24915, AAER-4170 See Also: SEC Complaint
Date: Sept. 24, 2020	Respondents: James M. Rudnick Release No. LR-24914 See Also: SEC Complaint
Date: Sept. 24, 2020	Respondents: Craig A. Zabala Release No. LR-24913 See Also: SEC Complaint
Date: Sept. 23, 2020	Respondents: Edward T. Kelly Release No. LR-24912 See Also: SEC Complaint
Date: Sept. 23, 2020	Respondents: Roger Duffield, et al. Release No. LR-24911 See Also: SEC Complaint , Final Judgment - Duffield , Final Judgment - Plandai