Litigation Releases

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

Litigation Releases RSS Feed


Date Sort ascending	Respondents
June 1, 2022	iFresh, Inc. and Long Deng Release No. LR-25404 See Also: SEC Complaint
May 31, 2022	Martin A. Sumichrast Release No. LR-25402 See Also: SEC Complaint
May 27, 2022	Cornerstone Acquisition & Management Company LLC, Derren Lee Geiger, and She Hwea Ngo Release No. LR-25400 See Also: SEC Complaint
May 27, 2022	Hugues Pierre Joublin Release No. LR-25401 See Also: SEC Complaint
May 25, 2022	Andrew M, Middlebrooks, et al Release No. LR-25399 See Also: SEC Complaint
May 24, 2022	Frank B. Glassner Release No. LR-25398 See Also: SEC Complaint
May 19, 2022	Sohrab (Sam") Sharma Release No. LR-25396
May 19, 2022	Wynn Charlebois et al. Release No. LR-25397 See Also: SEC Complaint
May 17, 2022	Jillian Sidoti Release No. LR-25394
May 17, 2022	Richard T. Diver Release No. LR-25395
May 16, 2022	StraightPath Venture Partners LLC, StraightPath Management LLC, Brian K. Martinsen, Michael A. Castillero, Francine A. Lanaia and Eric D. Lachow Release No. LR-25393 See Also: SEC Complaint
May 12, 2022	Frederick L. Sharp et al. Release No. LR-25392
May 11, 2022	Brenda Smith, et al. Release No. LR-25390
May 11, 2022	Lev Parnas and David Correia Release No. LR-25391
May 10, 2022	Manuel A. Romero Release No. LR-25389 See Also: SEC Complaint
May 9, 2022	Sepehr Sarshar Release No. LR-25387 See Also: Judgment
May 9, 2022	Steven F. Muntin Release No. LR-25388
May 9, 2022	TKO Farms, Inc., et al. Release No. LR-25386 See Also: SEC Complaint
May 6, 2022	Shawn F. Hackman Release No. LR-25385 See Also: Judgment , Order Granting Application
May 5, 2022	Michael Forster Release No. LR-25383 See Also: SEC Complaint
May 5, 2022	Mark Marchi Release No. LR-25384 See Also: SEC Complaint
May 5, 2022	Derek J. Slattery and TradeSmart Software RIC Corporation Release No. LR-25382 See Also: SEC Complaint
May 4, 2022	David Lee Stone and John Robson, et al. Release No. LR-25381 See Also: SEC Complaint
May 3, 2022	BTIG, LLC Release No. LR-25380 See Also: Final Judgment
May 2, 2022	Synergy Settlement Services, Inc., Foundation for Those with Special Needs, Special Needs Law Firm PLLC, Jason D. Lazarus, and Anthony F. Prieto, Jr. Release No. LR-25379 See Also: SEC Complaint
April 29, 2022	Cattlin et al, Page et al Release No. LR-25378
April 28, 2022	Block Bits Capital, LLC, Block Bits Capital GP I, LLC and Japheth Dillman, Civ. Action, David B. Mata Release No. LR-25376 See Also: SEC Complaint - Block Bits , SEC Complaint - Mata
April 28, 2022	Steven Chiang a/k/a Cyrus Kong, Eric Tippetts, James Hardy, and Maurice "Butch" Chelliah Release No. LR-25377
April 27, 2022	American Equities, Inc., American Eagle Mortgage Management, LLC, Ross C. Miles and Maureen T. Wile Release No. LR-25375 See Also: SEC Complaint
April 22, 2022	Bernard L. Compton Release No. LR-25374 See Also: Judgment
April 20, 2022	Moshe Strugano and Rinat Gazit Release No. LR-25373 See Also: SEC Complaint
April 19, 2022	Domenic Calabrigo et al. Release No. LR-25372 See Also: SEC Complaint , Order
April 19, 2022	Shawn E. Good Release No. LR-25371 See Also: SEC Complaint
April 18, 2022	Fernando Passos, Civ. Action Release No. LR-25370 See Also: SEC Complaint
April 15, 2022	Dean Shah et al. Release No. LR-25367 See Also: SEC Complaint
April 15, 2022	Carl Iberger and Timothy Iberger Release No. LR-25368 See Also: SEC Complaint
April 15, 2022	Damon Elliott, et al. Release No. LR-25369
April 14, 2022	Ronald Bauer et al. Release No. LR-25366 See Also: SEC Complaint
April 14, 2022	Joseph Salvatore DeVito (a/k/a Salvatore DeVito) and Dean Anthony Esposito (a/k/a Dean Anthony) Release No. LR-25363 See Also: SEC Complaint
April 14, 2022	Mark Loman Release No. LR-25364, AAER-4293 See Also: Administrative Proceedings Release
April 14, 2022	Benja Inc. and Andrew Chapin Release No. LR-25365 See Also: Judgment
April 13, 2022	Kay X. Yang Release No. LR-25362 See Also: SEC Complaint
April 12, 2022	Justin Wallace Herman, Anthony Michael Baker, Ian Horn, and Island Capital Inc Release No. LR-25361 See Also: SEC Complaint
April 11, 2022	Anthony Salandra Release No. LR-25358 See Also: SEC Complaint
April 11, 2022	Julie Minuskin, Joshua Stoll, Dennis DiRicco, Tom Casey and Golden Genesis, Inc. Release No. LR-25359 See Also: SEC Complaint
April 11, 2022	Global Investment Strategy UK Ltd. and John William Gunn Release No. LR-25360 See Also: SEC Complaint , Order - John William Gunn , Order - Global Investment Strategy UK Ltd
April 11, 2022	Eric A. Alexander, Scott A. Merkelson Release No. LR-25357 See Also: SEC Complaint - Alexander , SEC Complaint - Merkelson
April 5, 2022	David J. Bunevacz et al. Release No. LR-25356 See Also: SEC Complaint
April 5, 2022	Airborne Wireless Network, et al. Release No. LR-25355
April 1, 2022	Dow Rockwell LLC and Richard Dow Rockwell Release No. LR-25354 See Also: SEC Complaint
March 31, 2022	Gregory Lemelson, Lemelson Capital Management, LLC, and The Amvona Fund Release No. LR-25353 See Also: Judgment
March 31, 2022	Chatfield PCS Ltd. et al. Release No. LR-25351
March 31, 2022	Richard G. Duncan Release No. LR-25352
March 29, 2022	Hari Prasad Sure, et al., Civ. Act. Release No. LR-25350 See Also: SEC Complaint
March 24, 2022	Knox et al. Release No. LR-25349 See Also: Final Judgment - Michael Gastauer
March 17, 2022	Francis Biller, et al. Release No. LR-25348 See Also: SEC Complaint
March 17, 2022	Scott Allen Fries Release No. LR-25347
March 15, 2022	Mario E. Rivero Release No. LR-25346 See Also: SEC Complaint
March 15, 2022	Eric C. Malley, et al. Release No. LR-25343 See Also: Judgment - MGCapital Management LP , Judgment - MG Capital Realty Management LLC , Judgment - EricC. Malley , Judgment - MG GP III LP
March 15, 2022	S-Ray Incorporated and Stephen Alexander Baird Release No. LR-25344 See Also: SEC Complaint
March 15, 2022	Cell Point, LLC, Terry A. Colip, and Greg R. Colip Release No. LR-25345
March 9, 2022	Stefan H. Qin, et al. Release No. LR-25342
March 8, 2022	John Barksdale, JonAtina Barksdale Release No. LR-25341 See Also: SEC Complaint
March 2, 2022	Cambridge Investment Research Advisors, Inc., et al. Release No. LR-25340 See Also: SEC Complaint
March 2, 2022	Joseph Orazio DeGregorio Release No. LR-25339 See Also: SEC Complaint
March 1, 2022	Andrew T.E. Coldicutt Release No. LR-25338 See Also: SEC Complaint
Feb. 28, 2022	Ofer Abarbanel et al. Release No. LR-25336 See Also: SEC Complaint , Judgment - Chilelli , Judgment - Income Collecting 1-3 Months T-bills Mutual Fund
Feb. 28, 2022	Martin Shkreli, et al. Release No. LR-25337
Feb. 25, 2022	Marguerite Cassandra Toroian and Bell Rock Capital, LLC Release No. LR-25335 See Also: SEC Complaint
Feb. 24, 2022	Arthur S. Hoffman Release No. LR-25334 See Also: SEC Complaint
Feb. 22, 2022	John-Michael Havrilla Release No. LR-25333 See Also: SEC Complaint
Feb. 17, 2022	Global Wholehealth Partners Corp., Charles Strongo, Brian M. Volmer, Joshua Yafa, Jamie M. Yafa, and Empire Associates, Inc. Release No. LR-25332 See Also: SEC Complaint
Feb. 17, 2022	James Velissaris Release No. LR-25331 See Also: SEC Complaint
Feb. 11, 2022	Seyed Taher Kameli, et al. Release No. LR-25328 See Also: Judgment
Feb. 11, 2022	Mark J. Boucher and Strategic Wealth Advisor Group Services Inc. Release No. LR-25329 See Also: Order
Feb. 11, 2022	Nathaniel Brown, Benjamin Wylam, Naveen Sood, Marcus Bannon, Matthew Rauch, And Naresh Ramaiya Release No. LR-25330
Feb. 10, 2022	Edward S. Walczak Release No. LR-25327 See Also: Judgment
Feb. 9, 2022	Robert Lenard Booth, Michael D'Urso, Daniel T. Wellcome Jr., Alyssa D'Urso, Antonella Chiaramonte, and Jay Garnock) Release No. LR-25326 See Also: SEC Complaint
Feb. 8, 2022	George S. Blankenbaker, et al Release No. LR-25324
Feb. 7, 2022	Michael M. Beck, a/k/a @BigMoneyMike6, and Relief Defendant Helen P. Robinson Release No. LR-25325 See Also: SEC Complaint
Feb. 2, 2022	Safeguard Metals LLC and Jeffrey S. Santulan Release No. LR-25322 See Also: SEC Complaint
Feb. 2, 2022	Robert Samuel Shumake, Jr., et al Release No. LR-25323 See Also: Judgment - Willard L. Jackson , LLC , s Motion For Entry Of Judgments By Consent
Jan. 28, 2022	HeadSpin, Inc. Release No. LR-25320 See Also: SEC Complaint
Jan. 28, 2022	SeeThruEquity, LLC, Ajay Tandon, and Amit Tandon Release No. LR-25321 See Also: Judgment
Jan. 26, 2022	German Nino Release No. LR-25316 See Also: SEC Complaint
Jan. 26, 2022	Gary Pryor, et al Release No. LR-25317 See Also: Consent Judgment as to Rebecca Pryor , ZipRemit and Lendaily
Jan. 26, 2022	David J.C. Bolton Release No. LR-25318 See Also: SEC Complaint
Jan. 26, 2022	Milrud Release No. LR-25319
Jan. 25, 2022	CKB168 Holdings Ltd., et al. Release No. LR-25315
Jan. 24, 2022	Viktor Gjonaj Release No. LR-25313
Jan. 21, 2022	Ronald C. Montano, et al. Release No. LR-25312 See Also: Judgment
Jan. 21, 2022	Justin W. Keener d/b/a JMJ Financial Release No. LR-25314 See Also: Judgment
Jan. 19, 2022	Phillip W. Offill, Jr. and Justin W. Herman Release No. LR-25309 See Also: SEC Complaint
Jan. 19, 2022	Peter Baker, et al. Release No. LR-25310 See Also: Judgment and Order
Jan. 19, 2022	David P. Forte, Gregory P. Manning and John D. Younis Release No. LR-25311 See Also: SEC Complaint
Jan. 18, 2022	Paul A. Garcia Release No. LR-25308 See Also: SEC Complaint
Jan. 14, 2022	Anthony M. Cottone, et al. Release No. LR-25307 See Also: SEC Complaint
Jan. 13, 2022	Douglas A. Roth Release No. LR-25306 See Also: Judgment
Jan. 11, 2022	David S. Sargent and Christopher M. Klundt Release No. LR-25305 See Also: SEC Complaint
Jan. 10, 2022	Michael F. Shillin Release No. LR-25304 See Also: Judgment

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