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 descending	Respondents
March 23, 2018	Jon E. Montroll and Bitfunder Release No. LR-24078 See Also: SEC Complaint
March 22, 2018	Jun Ying Release No. LR-24073 See Also: SEC Complaint
March 22, 2018	Howard B. Present Release No. LR-24077 See Also: SEC Complaint
March 22, 2018	McKinley Mortgage Co. LLC, et al. Release No. LR-24076 See Also: SEC Complaint
March 22, 2018	Robert W. Murray Release No. LR-24075 See Also: SEC Complaint
March 22, 2018	American Bondholders Foundation, LLC Release No. LR-24074 See Also: SEC Complaint
March 21, 2018	Revolutions Medical Corp., et al. Release No. LR-24072 See Also: Final Judgment
March 21, 2018	Nicholas J. Genovese, Willow Creek Investments, LP, and Willow Creek Advisors, LLC Release No. LR-24071
March 19, 2018	Steven Metro Release No. LR-24070
March 19, 2018	Elizabeth Holmes, et al. and Ramesh "Sunny" Balwani Release No. LR-24069
March 19, 2018	Americrude, et. al. Release No. LR-24068 See Also: SEC Complaint
March 16, 2018	Beaufort Securities Ltd. and Panayiotis Kyriacou a/k/a Peter Kyriacou; Dennis J. Mancino, William T. Hirschy, DJK Investments 10 Inc., TJM Investments Inc., and WT Consulting Group, LLC Release No. LR-24067 See Also: Beaufort Securities Ltd. and Panayiotis Kyriacou , LLC
March 8, 2018	Jeffrey O. Friedland, Global Corporate Strategies LLC, and Intiva Pharma LLC, Defendants, and Lane 6552 LLC, Kathy B. Friedland, Aspen Upper Ranch LLC, Assurance Management, LLC, and The Jeffrey and Kathy Friedland Irrevocable Trust, Relief Defendants , Case. Release No. LR-24066 See Also: SEC Complaint
March 8, 2018	Robert M. Morano Release No. LR-24065
March 5, 2018	Edward Henderson Release No. LR-24063
March 5, 2018	AVEO Pharmaceuticals, Inc., et al. Release No. LR-24062
March 5, 2018	Stefan Lumiere Release No. LR-24061
March 5, 2018	Jersey Consulting LLC Release No. LR-24064 See Also: SEC Complaint
March 1, 2018	Steven J. Muehler, Claudia M. Muehler, Koorosh "Danny" Rahimi, AltaVista Capital Markets, LLC, AltaVista Private Client, LLC, and AltaVista Securities, LLC Release No. LR-24060 See Also: SEC Complaint
March 1, 2018	Leonard Genova Release No. LR-24059 See Also: SEC Complaint
Feb. 28, 2018	Analytica Bio-Energy Corp., et al., Marvin Winick Release No. LR-24058 See Also: SEC Complaint
Feb. 28, 2018	AmeraTex Energy, Inc., et al Release No. LR-24057 See Also: SEC Complaint
Feb. 28, 2018	Yang Xie Release No. LR-24056 See Also: SEC Complaint
Feb. 26, 2018	Dedicated Sound and Audio, Inc., et al. Release No. LR-24055 See Also: SEC Complaint
Feb. 21, 2018	Strong Investment Management, Joseph B. Bronson (f/k/a Joseph B. Engebretson), and John B. Engebretson Release No. LR-24054 See Also: SEC Complaint
Feb. 20, 2018	Eric McPhail, et al. Release No. LR-24053
Feb. 16, 2018	Daniel Thibeault, et al. Release No. LR-24052
Feb. 16, 2018	Sharone Perlstein, et al., Jonathan Strum, Alan Weinberg, et al. Release No. LR-24051, AAER-3923 See Also: Sharone Perlstein et al. , Jonathan Strum , Baer LLC
Feb. 15, 2018	Commonwealth Advisors, Inc. and Walter A. Morales Release No. LR-24050
Feb. 15, 2018	Southridge Capital Management LLC, et al. Release No. LR-24049
Feb. 14, 2018	Kevin J. Amell Release No. LR-24048
Feb. 14, 2018	Terrence LeGall Release No. LR-24047
Feb. 14, 2018	Brian S. Block, et al. Release No. LR-24046, AAER-3921
Feb. 13, 2018	Timothy S. Batchelor Release No. LR-24045 See Also: SEC Complaint
Feb. 12, 2018	Todd M. LaVelle Release No. LR-24044 See Also: SEC Complaint
Feb. 12, 2018	Geoffrey H. Lunn, et al. Release No. LR-24043
Feb. 8, 2018	American Bondholders Foundation, LLC Release No. LR-24042
Feb. 2, 2018	Hadsell Chemical Processing, LLC and Robert Walton, Jr. Release No. LR-24041
Feb. 2, 2018	Tom Simeo Release No. LR-24040
Feb. 2, 2018	Boston Trading and Research, LLC, et al. Release No. LR-24039
Feb. 2, 2018	Nicholas J. Genovese, Willow Creek Investments, LP, and Willow Creek Advisors, LLC Release No. LR-24038 See Also: SEC Complaint
Jan. 31, 2018	James S. Polese, et al. Release No. LR-24037 See Also: SEC Complaint
Jan. 30, 2018	Pawel P. Dynkowski, et al. Release No. LR-24036
Jan. 26, 2018	One or More Unknown Traders in the Securities of Bioverativ, Inc. Release No. LR-24035 See Also: SEC Complaint
Jan. 25, 2018	Robert L. Sonfield, Jason Landess, et al. Release No. LR-24034
Jan. 24, 2018	Quicksilver Stock Transfer and Alan Shinderman Release No. LR-24033 See Also: SEC Complaint
Jan. 24, 2018	Robert H. Shapiro, Woodbridge Group of Companies, LLC, et al. Release No. LR-24032 See Also: SEC Order
Jan. 22, 2018	Hoplon Financial Group et al. Release No. LR-24031 See Also: SEC Complaint
Jan. 22, 2018	Ash Narayan, The Ticket Reserve Inc. a/k/a Forward Market Media, Inc., Richard M. Harmon, and John A. Kaptrosky Release No. LR-24030 See Also: SEC Complaint
Jan. 22, 2018	Daniel H. Glick, et al Release No. LR-24029
Jan. 11, 2018	David S. Haddad, et al. Release No. LR-24028 See Also: SEC Complaint
Jan. 9, 2018	David B. Kaplan, Esq., et al. Release No. LR-24027
Jan. 8, 2018	Joseph A. Rubbo, et al. Release No. LR-24026
Jan. 5, 2018	Malachi Financial Products, Inc., et al. Release No. LR-24025 See Also: SEC Complaint
Jan. 5, 2018	Owen H. Naccarato Release No. LR-24024 See Also: SEC Complaint
Jan. 3, 2018	Khaled "Kal" Bassily Release No. LR-24023
Dec. 26, 2017	Gaughran, et al. Release No. LR-24022 See Also: Complaint
Dec. 26, 2017	Anvil Partners, Inc. Release No. LR-24021 See Also: Contempt Order
Dec. 21, 2017	Robert H. Shapiro, Woodbridge Group of Companies, LLC, et al. Release No. LR-24020 See Also: SEC Complaint
Dec. 21, 2017	Stephen C. Peters, VisionQuest Wealth Management, LLC, VisionQuest Capital, LLC, and VQ Wealth, LLC Release No. LR-24019 See Also: SEC Complaint
Dec. 20, 2017	Matrix Capital Markets, LLC, Nicholas M. Mitsakos and Courtlin L. Holt-Nguyen Release No. LR-24018
Dec. 20, 2017	Ronald A. Fossum, Jr. and Alonzo R. Cahoon Release No. LR-24017 See Also: SEC Complaint
Dec. 18, 2017	Jason A. Wallace Release No. LR-24016
Dec. 14, 2017	Lanny Brown, et al. Release No. LR-24015 See Also: SEC Complaint
Dec. 14, 2017	Justin D. Meadlin and Hyaline Capital Management, LLC Release No. LR-24014
Dec. 14, 2017	Ray C. Davis and Behavioral Recognition Systems, Inc., n/k/a Giant Gray, Inc. Release No. LR-24013 See Also: SEC Complaint
Dec. 14, 2017	Kenneth Peer Release No. LR-24012 See Also: SEC Complaint
Dec. 14, 2017	Louis G. Mohlman, Jr., Mohlman Asset Management, LLC, and Mohlman Asset Management Fund, LLC Release No. LR-24011 See Also: SEC Complaint
Dec. 13, 2017	Merrill Robertson, Jr., et al. Release No. LR-24009
Dec. 13, 2017	H. Craig Dees Release No. LR-24008
Dec. 13, 2017	Corey J. Sandberg and Affinity Gold Corporation Release No. LR-24010 See Also: Application
Dec. 11, 2017	Westport Capital Markets, LLC and Christopher E. McClure Release No. LR-24007 See Also: SEC Complaint
Dec. 8, 2017	Steve Qi, et al. Release No. LR-24006 See Also: SEC Complaint
Dec. 7, 2017	Stephen J. Leonard Release No. LR-24005 See Also: SEC Complaint
Dec. 6, 2017	Zachary S. Berkey, et al. Release No. LR-24004 See Also: SEC Complaint
Dec. 5, 2017	James C. Tao and Donna Boyd (f/k/a Donna Chen) Release No. LR-24003 See Also: SEC Complaint
Dec. 5, 2017	Tom Simeo Release No. LR-24002
Dec. 4, 2017	Dawn J. Bennett, DJB Holdings, LLC, and Bradley C. Mascho Release No. LR-23999 See Also: SEC Complaint
Dec. 4, 2017	Donald E. MacCord, Jr., et al. Release No. LR-24001 See Also: SEC Complaint
Dec. 4, 2017	Premier Holding Corp. et al. Release No. LR-24000 See Also: SEC Complaint
Dec. 1, 2017	David Webb, Jr. Release No. LR-23998 See Also: SEC Complaint
Nov. 29, 2017	Town of Ramapo, et al. Release No. LR-23997
Nov. 21, 2017	Jay Mac Rust and Christopher K. Brenner Release No. LR-23996, AAER-3908
Nov. 21, 2017	Daniel H. Glick, et al Release No. LR-23995
Nov. 20, 2017	Inofin, Inc., Michael J. Cuomo, Kevin J. Mann, Sr., Melissa George, Thomas Kevin Keough, David Affeldt, and Nancy Keough Release No. LR-23994
Nov. 20, 2017	Penn West Petroleum Ltd., d/b/a Obsidian Energy Ltd., Todd H. Takeyasu, Jeffery A. Curran, and Waldemar Grab Release No. LR-23993
Nov. 20, 2017	Ibrahim Almagarby and Microcap Equity Group LLC Release No. LR-23992 See Also: SEC Complaint
Nov. 17, 2017	Capital Financial Partners, LLC et al. Release No. LR-23991
Nov. 17, 2017	Green Tree Investment Group, Inc. and Jeffrey B. Mallett Release No. LR-23990 See Also: SEC Complaint
Nov. 17, 2017	David N. Fuselier, Roy W. Erwin and Integrated Freight Corporation Release No. LR-23989
Nov. 16, 2017	Pedro Fort Berbel et al. Release No. LR-23988
Nov. 14, 2017	The End of the Rainbow Partners, L.L.C., and The Estate of Michael F. Anderson, Defendants, and Carolyn M. Anderson, individually, as the Personal Representative of the Estate of Michael F. Anderson, and as trustee for the Michael Anderson Trust and a trust for the benefit of her minor children, The End of the Rainbow Foundation, Inc., Seaoma Consulting Company, and Bighorn Wealth Fund, L.P., Relief Defendants Release No. LR-23987 See Also: SEC Complaint
Nov. 14, 2017	Susan L. Ellerin and Edward D. Blumstein Release No. LR-23986 See Also: SEC Complaint
Nov. 13, 2017	Michael Quigley et al. Release No. LR-23985
Nov. 13, 2017	Jay Costa Kelter Release No. LR-23984 See Also: SEC Complaint
Nov. 9, 2017	Robert W. Murray Release No. LR-23983
Nov. 9, 2017	Paul Z. Singer and Singer Financial Corp. Release No. LR-23982 See Also: SEC Complaint
Nov. 9, 2017	Hadsell Chemical Processing, LLC and Robert Walton, Jr. Release No. LR-23981
Nov. 8, 2017	Gavin Campion Release No. LR-23980
Nov. 3, 2017	Christopher A. Faulkner, Homes Inc., HOMESINC Renaissance, LLC, Matthew Rapoport, and Earl Nelson Davenport Release No. LR-23979

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