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. 5, 2023	Respondents: Neil S. Chandran, Garry J. Davidson, Michael T. Glaspie, Linda C. Knott, Amy S. Mossel, AEO Publishing Inc., Banner Co-Op, Inc., and BannersGo, LLC Release No. LR-25608 See Also: SEC Complaint
Date: Jan. 4, 2023	Respondents: Cooper J. Morgenthau Release No. LR-25605 See Also: SEC Complaint
Date: Jan. 4, 2023	Respondents: DiScala et al. Release No. LR-25606
Date: Jan. 4, 2023	Respondents: Michael Liberty et al. Release No. LR-25607 See Also: Judgment - Paul Hess
Date: Jan. 3, 2023	Respondents: Melville Peter ten Cate Release No. LR-25604 See Also: SEC Complaint , Judgment
Date: Dec. 27, 2022	Respondents: Conrad A. Coggeshall, Defendant, and Business Owners Tax Relief, LLC, Relief Defendant Release No. LR-25603 See Also: Judgment
Date: Dec. 22, 2022	Respondents: The Nutmeg Group LLC, Randall Goulding, and David Goulding Release No. LR-25601 See Also: Court Order imposing Injunctions Against Randall Goulding
Date: Dec. 22, 2022	Respondents: Medsis International, Inc. et al. Release No. LR-25602 See Also: Judgment
Date: Dec. 21, 2022	Respondents: Justin W. Keener d/b/a JMJ Financial Release No. LR-25598 See Also: Judgment
Date: Dec. 21, 2022	Respondents: Thor Technologies, Inc. and David Chin Release No. LR-25599 See Also: SEC Complaint - Matthew Moravec , Inc. and David Chin
Date: Dec. 21, 2022	Respondents: Knox et al. Release No. LR-25600 See Also: Judgment - Roger Knox , Judgment - Wintercap SA
Date: Dec. 20, 2022	Respondents: Lawrence Billimek and Alan Williams Release No. LR-25595 See Also: SEC Complaint
Date: Dec. 20, 2022	Respondents: Nader Pourhassan and Kazem Kazempour Release No. LR-25596 See Also: SEC Complaint
Date: Dec. 20, 2022	Respondents: Oi2Go Media Technologies, Inc. and Anthony Michael Hernandez Release No. LR-25597 See Also: SEC Complaint
Date: Dec. 19, 2022	Respondents: Brian Kistler and New Opportunity Business Solutions, Inc. a/k/a NOBS Release No. LR-25594 See Also: SEC Complaint
Date: Dec. 16, 2022	Respondents: John Fernandez, et al. Release No. LR-25593 See Also: SEC Complaint
Date: Dec. 15, 2022	Respondents: Da Silva, et al.; Release No. LR-25592 See Also: SEC Complaint
Date: Dec. 14, 2022	Respondents: Edward Constantin, et al. Release No. LR-25591
Date: Dec. 13, 2022	Respondents: J.H. Darbie & Co., Inc. Release No. LR-25590 See Also: SEC Complaint
Date: Dec. 9, 2022	Respondents: George Iakovou, Vika Ventures LLC, and Penelope Zbravos, Civ. Action Release No. LR-25588 See Also: SEC Complaint
Date: Dec. 9, 2022	Respondents: In Ovations Holdings, Inc. and Mark Goldberg Release No. LR-25589 See Also: SEC Complaint
Date: Dec. 6, 2022	Respondents: Eric T. Landis, et al. Release No. LR-25587 See Also: SEC Complaint , Judgment
Date: Dec. 5, 2022	Respondents: Joseph R. Earle Jr, Barry D. Reagh, William Clayton, Francis T. Dudley, Steven E. Bryant, Upper Street Marketing, Inc. and Project Growth International, Inc. Release No. LR-25586 See Also: SEC Complaint
Date: Dec. 2, 2022	Respondents: Bruce Conway et al. Release No. LR-25585 See Also: Application for Order to Show Cause
Date: Dec. 1, 2022	Respondents: Adam Rogas, et. al Release No. LR-25583 See Also: SEC Complaint
Date: Dec. 1, 2022	Respondents: James Robinson and David Kennedy Release No. LR-25584 See Also: SEC Complaint
Date: Nov. 30, 2022	Respondents: Yinghang "James" Yang and Yuanbiao Chen Release No. LR-25582
Date: Nov. 29, 2022	Respondents: William Sadleir Release No. LR-25581 See Also: Judgment
Date: Nov. 21, 2022	Respondents: Ruben James Rojas Release No. LR-25580 See Also: Judgment
Date: Nov. 17, 2022	Respondents: GEL Direct Trust, GEL Direct, LLC, Jeffrey K. Galvani, and Stuart A. Jeffery Release No. LR-25579 See Also: SEC Complaint
Date: Nov. 16, 2022	Respondents: Charles Rustin Holzer, Fernando Motta Moraes Release No. LR-25578
Date: Nov. 14, 2022	Respondents: Adrian J. Kawuba, Civ. Action Release No. LR-25577 See Also: SEC Complaint
Date: Nov. 10, 2022	Respondents: Infinity Q Diversified Alpha Fund Release No. LR-25575 See Also: SEC Complaint
Date: Nov. 10, 2022	Respondents: Brian Wong Release No. LR-25576 See Also: SEC Complaint
Date: Nov. 9, 2022	Respondents: Matthew O. Clason Release No. LR-25574
Date: Nov. 7, 2022	Respondents: LBRY, Inc. Release No. LR-25573
Date: Nov. 4, 2022	Respondents: Douver Torres Braga, Joff Paradise, and Keleionalani Akana Taylor, Jonathan Tetreault Release No. LR-25571 See Also: SEC Complaint - Jonathan Tetreault , Keleionalani Akana Taylor
Date: Nov. 4, 2022	Respondents: Costello et al. Release No. LR-25572
Date: Nov. 3, 2022	Respondents: David R. Gibson, et al. Release No. LR-25568
Date: Nov. 3, 2022	Respondents: Jeremy K. Rounsville Release No. LR-25569 See Also: SEC Complaint
Date: Nov. 3, 2022	Respondents: Dean Patrick McDermott, McDermott Investment Advisors, LLC, and McDermott Investment Services Release No. LR-25570
Date: Nov. 1, 2022	Respondents: Syed Arham Arbab, Tomas Javier Jimenez, Blake Douglas McKinney, Mushfiqur Rahman, John Ryan Shows, and William Carl Spagnoli Release No. LR-25567 See Also: SEC Complaint
Date: Oct. 27, 2022	Respondents: Mark Alan Lisser a/k/a Mark Alan a/k/a Mark Allen Release No. LR-25566
Date: Oct. 25, 2022	Respondents: Ramiro Jose Sugranes, et al. Release No. LR-25565 See Also: SEC Complaint , Amended SEC Complaint , Administrative Proceedings Release , Administrative Proceedings Release
Date: Oct. 24, 2022	Respondents: Cetera Advisors, LLC and Cetera Advisor Networks, LLC Release No. LR-25564 See Also: SEC Complaint
Date: Oct. 21, 2022	Respondents: Gomes et al. Release No. LR-25563 See Also: Memorandum And Order
Date: Oct. 18, 2022	Respondents: The Estate of Stephen Romney Swensen, and Crew Capital Group, LLC, Defendants, Wendy Swensen, Saria C. Rodriguez, WS Family IP, and Wingman, and Swensen Capital, Relief Defendants Release No. LR-25560 See Also: SEC Complaint
Date: Oct. 18, 2022	Respondents: Kevin B. Merrill, et al. Release No. LR-25561
Date: Oct. 18, 2022	Respondents: Brent David Willis Release No. LR-25562 See Also: SEC Complaint
Date: Oct. 17, 2022	Respondents: In Ovations Holdings, Inc., and Mark Goldberg Release No. LR-25559 See Also: SEC Complaint
Date: Oct. 14, 2022	Respondents: Keith Springer and Springer Investment Management, Inc. dba Springer Financial Advisors Release No. LR-25557
Date: Oct. 14, 2022	Respondents: National Realty Investment Advisors LLC, Rey E. Grabato II, Daniel Coley O'Brien, Thomas Nicholas Salzano and Arthur S. Scutaro, a/k/a Arthur S. Scuttaro, and Relief Defendants Olena Budinska and Jamie A. Samul, a/k/a Jamie Salzano Release No. LR-25558 See Also: SEC Complaint
Date: Oct. 11, 2022	Respondents: Lev Parnas Release No. LR-25555
Date: Oct. 11, 2022	Respondents: Cronin and Joseph Release No. LR-25556
Date: Oct. 7, 2022	Respondents: Ronald T. Molo Release No. LR-25554
Date: Oct. 6, 2022	Respondents: Donald J. Kellen Release No. LR-25551 See Also: Judgment
Date: Oct. 6, 2022	Respondents: Justin Costello and David Ferraro Release No. LR-25552 See Also: SEC Complaint
Date: Oct. 6, 2022	Respondents: The Hydrogen Technology Corporation, Michael Ross Kane, and Tyler Ostern Release No. LR-25553 See Also: SEC Complaint , Judgment - Tyler Ostern
Date: Oct. 4, 2022	Respondents: Steven H. Davis, et. al Release No. LR-25549, AAER-4352
Date: Oct. 4, 2022	Respondents: JMJ Capital Group and Richard Lee Ramirez Release No. LR-25550 See Also: SEC Complaint
Date: Oct. 3, 2022	Respondents: Mauricio Chavez, et al. Release No. LR-25547 See Also: SEC Complaint , Spanish Language Version
Date: Oct. 3, 2022	Respondents: Harpreet Saini and John Lester Mandac Natividad Release No. LR-25548 See Also: SEC Complaint
Date: Sept. 30, 2022	Respondents: Arbitrade Ltd., et al. Release No. LR-25537 See Also: SEC Complaint
Date: Sept. 30, 2022	Respondents: Vivera Pharmaceuticals, Inc., EFT Global Holdings, Inc. d/b/a Sentar Pharmaceuticals, and Paul P. Edalat Release No. LR-25538 See Also: SEC Complaint
Date: Sept. 30, 2022	Respondents: Mark J. McKinley, et al. Release No. LR-25539 See Also: SEC Complaint
Date: Sept. 30, 2022	Respondents: RBF Trust LLC (a Florida Limited Liability Company), Paulo Fernando De Bastos, Joao Pedro Fonseca, RBF Trust LLC (a Michigan Limited Liability Company), D3 Gestion Immobiliere LLC (a Michigan Limited Liability Company), and D3 Gestion Immobiliere LLC (a Florida Limited Liability Company) Release No. LR-25540 See Also: SEC Complaint
Date: Sept. 30, 2022	Respondents: Jonathan William Mikula, et al. Release No. LR-25541 See Also: SEC Complaint
Date: Sept. 30, 2022	Respondents: Scott Lindell Release No. LR-25542 See Also: SEC Complaint
Date: Sept. 30, 2022	Respondents: Daniel Moser Release No. LR-25543, AAER-4351 See Also: SEC Complaint
Date: Sept. 30, 2022	Respondents: Ari Lauer Release No. LR-25544 See Also: SEC Complaint
Date: Sept. 30, 2022	Respondents: Charles Rustin Holzer, Fernando Motta Moraes Release No. LR-25545 See Also: SEC Complaint - Charles Rustin Holzer , SEC Complaint - Fernando Motta Moraes
Date: Sept. 30, 2022	Respondents: David Stephens et al. Release No. LR-25546 See Also: SEC Complaint
Date: Sept. 29, 2022	Respondents: Jason Nordlund Release No. LR-25535 See Also: SEC Complaint
Date: Sept. 29, 2022	Respondents: Bradley A. Goodbred Release No. LR-25536 See Also: SEC Complaint
Date: Sept. 28, 2022	Respondents: Charles Parrino Release No. LR-25528 See Also: SEC Complaint
Date: Sept. 28, 2022	Respondents: Matthew Nicosia, William Reninger, Fabrizio Di Carlo, and Ronald Touchard Release No. LR-25529 See Also: SEC Complaint
Date: Sept. 28, 2022	Respondents: David Hu Release No. LR-25530
Date: Sept. 28, 2022	Respondents: Pebblekick, Inc., Donald Shiroishi, and Nancy Williams Release No. LR-25531 See Also: SEC Complaint
Date: Sept. 28, 2022	Respondents: Premium Point Investments LP et al. Release No. LR-25532 See Also: Final Judgment
Date: Sept. 28, 2022	Respondents: Jared D. Eakes, et al. Release No. LR-25533 See Also: SEC Complaint
Date: Sept. 28, 2022	Respondents: Joshua Rupp Release No. LR-25534
Date: Sept. 27, 2022	Respondents: Kendricks, et al., Mark Wayne Ramsey Release No. LR-25524 See Also: SEC Complaint , SEC Complaint - Mychal Kendricks , SEC Complaint - Mark Wayne Ramsey
Date: Sept. 27, 2022	Respondents: Theodore J. Farnsworth, J. Mitchell Lowe, and Khalid Itum Release No. LR-25525 See Also: SEC Complaint
Date: Sept. 27, 2022	Respondents: James T. Patten, et al. Release No. LR-25526 See Also: SEC Complaint
Date: Sept. 27, 2022	Respondents: Christian J. Gonzalez Release No. LR-25527 See Also: SEC Complaint-Garcia , SEC Complaint-Gonzalez
Date: Sept. 26, 2022	Respondents: Judith Paris-Pinder Release No. LR-25521 See Also: SEC Complaint
Date: Sept. 26, 2022	Respondents: Sang N. Phan and Rich N. Phan Release No. LR-25522 See Also: SEC Complaint
Date: Sept. 26, 2022	Respondents: Timothy Barton, et al. Release No. LR-25523 See Also: SEC Complaint
Date: Sept. 23, 2022	Respondents: James R. Thompson, et al. Release No. LR-25517, AAER-4341 See Also: SEC Complaint
Date: Sept. 23, 2022	Respondents: Brian Lam, et al. Release No. LR-25518 See Also: SEC Complaint
Date: Sept. 23, 2022	Respondents: Christopher P. Vallos Release No. LR-25519 See Also: SEC Complaint
Date: Sept. 23, 2022	Respondents: Morningview Financial, LLC and Miles M. Riccio, et al. Release No. LR-25520 See Also: SEC Complaint
Date: Sept. 22, 2022	Respondents: James Arthur McDonald, Jr. and Hercules Investments, LLC Release No. LR-25515 See Also: SEC Complaint
Date: Sept. 22, 2022	Respondents: Michael Weiss Release No. LR-25516 See Also: SEC Complaint
Date: Sept. 21, 2022	Respondents: David Sheldon Wells Release No. LR-25513 See Also: SEC Complaint
Date: Sept. 21, 2022	Respondents: Manhattan Transfer Registrar Company and John C. Ahearn Release No. LR-25514 See Also: SEC Complaint
Date: Sept. 20, 2022	Respondents: John P. Mendes, et al. Release No. LR-25512 See Also: SEC Complaint
Date: Sept. 19, 2022	Respondents: Aaron B. Fletcher, et al. Release No. LR-25511 See Also: Judgment
Date: Sept. 16, 2022	Respondents: Nutra Pharma Corp. et al Release No. LR-25510
Date: Sept. 15, 2022	Respondents: Dale Swanberg, Granite Construction Incorporated Release No. LR-25507 See Also: SEC Complaint - Granite Construction Incorporated , SEC Complaint - Dale Swanberg