Notice of Covered Actions
Notice No. | Action | Notice Date | Claim Due Date |
---|---|---|---|
2012-130 | 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 |
12/07/2012 | 03/07/2013 |
2012-129 | SEC v. Kenneth Ira Starr, Starr Investment Advisors, LLC, Starr & Company, LLC, and Jonathan Star Bristol |
12/07/2012 | 03/07/2013 |
2012-128 | SEC v. Kris Chellam |
12/07/2012 | 03/07/2013 |
2012-127 | SEC v. Christel S. Scucci, Karen S. Beach, Cameron H. Linton, Esq., Protégé Enterprises, LLC, and Capital Edge Enterprises, LLC |
12/07/2012 | 03/07/2013 |
2012-126 | 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 |
12/07/2012 | 03/07/2013 |
2012-125 | SEC v. Joseph J. Monterosso, Luis E. Vargas, Lawrence E. Lynch, and Timothy Huff |
12/07/2012 | 03/07/2013 |
2012-124 | SEC v. Anand Sekaran and Wasson Capital Advisors Ltd. |
12/07/2012 | 03/07/2013 |
2012-123 | In the Matter of Massachusetts Mutual Life Insurance Company |
11/16/2012 | 02/14/2013 |
2012-122 | SEC v. Private Equity Management Group, Inc.; Private Equity Management Group, LLC; and Danny Pang |
11/16/2012 | 02/14/2013 |
2012-121 | SEC v. Conrad M. Black, F. David Radler and Hollinger, Inc |
11/16/2012 | 02/14/2013 |
2012-120 | 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 |
11/16/2012 | 02/14/2013 |
2012-119 | SEC v. East Delta Resources Corp., Victor Sun, David Amsel, and Mayer Amsel |
11/16/2012 | 02/14/2013 |
2012-118 | SEC v. James S. Quay, a/k/a Jim Quay, a/k/a Stephen Quay, a/k/a Stephen Jameson, and Jeffrey A. Quay |
11/16/2012 | 02/14/2013 |
2012-117 | SEC v.Fabrizio Neves and Jose Luna |
11/08/2012 | 02/06/2013 |
2012-116 | 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 |
11/08/2012 | 02/06/2013 |
2012-115 | SEC v. John Scott Clark, Impact Cash, LLC, a Utah Limited Liability Company and Impact Payment Systems, LLC a Nevada Limited Liability Company |
11/08/2012 | 02/06/2013 |
2012-114 | In the Matter of Hold Brothers On-Line Investment Services, LLC, Demostrate, LLC, Trade Alpha Corporate, Ltd, Steven Hold, Robert Vallone, and William Tobias |
11/08/2012 | 02/06/2013 |
2012-113 | SEC v. ICP Asset Management, LLC, ICP Securities, LLC, Institutional Credit Partners, LLC, and Thomas C. Priore |
11/08/2012 | 02/06/2013 |
2012-112 | SEC v. Orthofix International N.V |
11/08/2012 | 02/06/2013 |
2012-111 | In the Matter of New York Stock Exchange LLC, and NYSE Euronext |
11/08/2012 | 02/06/2013 |
2012-110 | SEC v. Blackout Media Corporation, formerly known as First Canadian American Holding Corporation, and Sandy Winick |
11/08/2012 | 02/06/2013 |
2012-109 | 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 |
11/08/2012 | 02/06/2013 |
2012-108 | SEC v. Neil V. Moody and Christopher D. Moody |
11/08/2012 | 02/06/2013 |
2012-107 | SEC v. Larry Michael Parrish |
11/08/2012 | 02/06/2013 |
2012-106 | SEC. v. Mantria Corporation, Troy B. Wragg, Amanda E. Knorr, Speed of Wealth, LLC, Wayde M. McKelvy, and Donna M. McKelvy |
11/08/2012 | 02/06/2013 |
2012-105 | In the Matter of Advanced Equities, Inc., Dwight O. Badger, and Keith G. Daubenspeck |
11/08/2012 | 02/06/2013 |
2012-104 | In the Matter of Goldman, Sachs & Co. |
11/08/2012 | 02/06/2013 |
2012-103 | SEC v. Oracle Corporation |
10/02/2012 | 12/31/2012 |
2012-102 | SEC v. Irwin Boock, Stanton B. J. DeFreitas, Nicolette D. Loisel, Roger L. Shoss, and Jason C. Wong |
10/02/2012 | 12/31/2012 |
2012-101 | SEC. v. Wyeth LLC |
10/02/2012 | 12/31/2012 |
2012-100 | SEC v. Pfizer Inc. |
10/02/2012 | 12/31/2012 |
2012-99 | SEC. v Nancy Shao Wen Chu, Elizabeth Tsang, aka Yuen Yee Tsang, and Eric Jon Strasser |
10/02/2012 | 12/31/2012 |
2012-98 | In the Matter of Wells Fargo Brokerage Services, LLC n/k/a Well Fargo Securities, LLC and Shawn Patrick McMurtry |
10/02/2012 | 12/31/2012 |
2012-97 | SEC v. Stanley J. Kowalewski and SJK Investment Management, LLC |
10/02/2012 | 12/31/2012 |
2012-96 | In the Matter of Jeffrey A. Wolfson, Robert A. Wolfson, and Golden Anchor Trading II, LLC (n/k/a Barabino Trading, LLC) |
09/04/2012 | 12/03/2012 |
2012-95 | SEC v. Titan Wealth Management, LLC, Point West Partners, LLC, and Thomas Lester Irby II |
09/04/2012 | 12/03/2012 |
2012-94 | SEC v. Omar Ali Rizvi, Bellwether Venture Capital Fund I, Inc., and Strategy Partners, LLC |
09/04/2012 | 12/03/2012 |
2012-93 | SEC v. Mizuho Securities USA Inc. |
09/04/2012 | 12/03/2012 |
2012-92 | SEC v. Jeffrey Alan Lowrance and First Capital Savings & Loan, Ltd. |
09/04/2012 | 12/03/2012 |
2012-91 | In the Matter of Huron Consulting Group Inc., Gary L. Burge, CPA, and Wayne E. Lipski, CPA |
09/04/2012 | 12/03/2012 |
2012-90 | SEC v. William K. Harrison and Eddie W. Sawyers |
09/04/2012 | 12/03/2012 |
2012-89 | SEC v. Harbert Management Corporation, HMC-New York Inc., and HMC Investors, LLC |
09/04/2012 | 12/03/2012 |
2012-88 | SEC v. Falconstor Software, Inc. |
09/04/2012 | 12/03/2012 |
2012-87 | SEC v. Doyle Scott Elliott, Scott Elliott, Inc., Michael J. Xirinachs, Emerald Asset Advisors LLC, Robert L. Weidenbaum, and CLX & Associates Inc. |
09/04/2012 | 12/03/2012 |
2012-86 | In the Matter of Delaware Asset Advisers and Wei (Alex) Wei |
09/04/2012 | 12/03/2012 |
2012-85 | SEC v. Manuel M. Bello, Ayuda Equity Funding LLC, and Amerifund Capital Holdings, LLC |
09/04/2012 | 12/03/2012 |
2012-83 | SEC v. AMMB Consultant Sendirian Berhad |
09/04/2012 | 12/03/2012 |
2012-84 | SEC v. Armor Holdings, Inc. |
09/04/2012 | 12/03/2012 |
2012-81 | In the Matter of Harbinger Capital Partners, LLC |
08/01/2012 | 10/30/2012 |
2012-80 | In the Matter of Howard L. Blum |
08/01/2012 | 10/30/2012 |
2012-79 | SEC v. Ralph R. Cioffi and Matthew M. Tannin |
08/01/2012 | 10/30/2012 |
2012-78 | SEC v. Kevan D. Acord, Philip C. Growney, Alberto J. Perez, Jose G. Perez, Sebastian De La Maza, and Thomas L. Borell |
08/01/2012 | 10/30/2012 |
2012-77 | 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 |
08/01/2012 | 10/30/2012 |
2012-76 | In the Matter of OppenheimerFunds, Inc. and OppenheimerFunds Distributor, Inc. |
08/01/2012 | 10/30/2012 |
2012-75 | SEC v. Phillip R. Trujillo, Wealth Management Resources, LLC, PTV 22, LLC, PTV 33, LLC, and PTV 44, LLC. |
08/01/2012 | 10/30/2012 |
2012-73 | 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 |
08/01/2012 | 10/30/2012 |
2012-74 | SEC v. Robert D. Orr, Leland G. Orr, Michael S. Lowry, Michael S. Hess, Kyle L. Garst, and Travis W. Vrbas |
08/01/2012 | 10/30/2012 |
2012-72 | 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. |
08/01/2012 | 10/30/2012 |
2012-82 | SEC v. Mohammed Mark Amin, Robert Reza Amin, Michael Mahmood Amin, Sam Saeed Pirnazar, Mary Teresa Coley, and Ali Tashakori |
08/01/2012 | 10/30/2012 |
2012-70 | SEC v. Robert Glenn Bard and Vision Specialist Group, LLC |
07/05/2012 | 10/03/2012 |
2012-69 | SEC v. H. Clayton Peterson, Drew Clayton Peterson, Drew K. Brownstein, and Big 5 Asset Management, LLC |
07/05/2012 | 10/03/2012 |
2012-68 | SEC v. Strategic Management & Opportunity Corporation; Robert J. Pratt, and Jeffrey A. Brommer |
07/05/2012 | 10/03/2012 |
2012-67 | In the Matter of Quantek Asset Management, LLC, Bulltick Capital Markets Holdings, LP, Javier Guerra, and Ralph Patino |
07/05/2012 | 10/03/2012 |
2012-66 | SEC v. James Roland Dial, Evan Nicolas Jarvis, and Alexander W. Ellerman |
07/05/2012 | 10/03/2012 |
2012-65 | SEC v. James Clements and Zeina Smidi |
07/05/2012 | 10/03/2012 |
2012-64 | SEC v. Wealth Management LLC; James Putman; and Simone Fevola |
07/05/2012 | 10/03/2012 |
2012-63 | SEC v. Conrad M. Black, F. David Radler and Hollinger, Inc. |
07/05/2012 | 10/03/2012 |
2012-62 | SEC v. New Futures Trading International Corporation and Henry Roche |
07/05/2012 | 10/03/2012 |
2012-61 | SEC v. U.S. Sustainable Energy Corp., John H. Rivera |
07/05/2012 | 10/03/2012 |
2012-71 | SEC v. Jason George Rivera, Jr., Marc Christopher Harmon, The Joseph Rene Corporation, and Executive Members Management Group |
07/05/2012 | 10/03/2012 |
2012-60 | SEC v. Paul R. Beckwith |
06/04/2012 | 09/02/2012 |
2012-59 | SEC v. Matthew H. Kluger and Garrett D. Bauer |
06/04/2012 | 09/02/2012 |
2012-58 | In the Matter of Gualario & Co., LLC and Ronald Gualario |
06/04/2012 | 09/02/2012 |
2012-57 | SEC v. Ashbury Capital Partners, L.P., Ashbury Capital Management, L.L.C., and Mark Yagalla |
06/04/2012 | 09/02/2012 |
2012-56 | SEC v. Francois E. Durmaz (aka Mahmut E. Durmaz), Robert C. Pribilski, USA Retirement Management Services (aka USA Financial Management Services, Inc.) |
06/04/2012 | 09/02/2012 |
2012-55 | SEC v. Marco Glisson |
06/04/2012 | 09/02/2012 |
2012-54 | In the Matter of Martin Currie Inc., and Martin Currie Investment Management Ltd. |
06/04/2012 | 09/02/2012 |
2012-53 | In the Matter of Goldman, Sachs & Co. |
06/04/2012 | 09/02/2012 |
2012-52 | SEC v. Garth Ronald Peterson |
06/04/2012 | 09/02/2012 |
2012-51 | SEC v. Usee, Inc., Terry E. Wiese, and Scott A. Wiese |
06/04/2012 | 09/02/2012 |
2012-50 | SEC v. Halek Energy, LLC, CBO Energy, Inc., Jason A. Halek, and Christopher Chad Wilbourn |
06/04/2012 | 09/02/2012 |
2012-49 | SEC v. Option One Mortgage Corporation n/k/a Sand Canyon Corporation |
06/04/2012 | 09/02/2012 |
2012-48 | SEC v. Kenneth A. Dachman, Scott A. Wolf, and Stone Lion Management, Inc. |
06/04/2012 | 09/02/2012 |
2012-47 | In the Matter of GMB Capital Management LLC n/k/a Clearstream Investments LLC, GMB Capital Partners LLC, Gabriel Bitran and Marco Bitran |
06/04/2012 | 09/02/2012 |
2012-46 | In the Matter of UBS Financial Services Inc. of Puerto Rico |
06/04/2012 | 09/02/2012 |
2012-45 | 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 |
05/02/2012 | 07/31/2012 |
2012-44 | 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 |
05/02/2012 | 07/31/2012 |
2012-43 | SEC v. Pentagon Capital Management PLC and Lewis Chester |
05/02/2012 | 07/31/2012 |
2012-42 | 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 |
05/02/2012 | 07/31/2012 |
2012-41 | SEC v. Timothy J. McGee, Michael W. Zirinsky, Robert L. Zirinsky, Paulo Lam, a/k/a Paul Lam, and Marianna Sze Wan Ho |
05/02/2012 | 07/31/2012 |
2012-40 | SEC v. Neal R. Greenberg |
05/02/2012 | 07/31/2012 |
2012-39 | SEC v. Matthew J. Gagnon |
05/02/2012 | 07/31/2012 |
2012-38 | SEC v. Brenda A. Eschbach |
05/02/2012 | 07/31/2012 |
2012-37 | SEC v. Laurence M. Brown a/k/a Lawrence M. Brown and Ronald J. Mangini |
05/02/2012 | 07/31/2012 |
2012-36 | SEC v. Biomet, Inc. |
05/02/2012 | 07/31/2012 |
2012-35 | 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. |
05/02/2012 | 07/31/2012 |
2012-34 | SEC v. mUrgent Corporation, Vladimir Boris Bugarski, Vladislav Walter Bugarski, and Aleksander Negovan Bugarski |
04/03/2012 | 07/02/2012 |
2012-33 | 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 |
04/03/2012 | 07/02/2012 |
2012-32 | SEC v. Nicos Achilleas Stephanou, Ramesh Chakrapania, Achilleas Stephanou, George Paparrizos a/k/a Georgios Paparrizos, Konstantinos Paparrizos, Michael G. Koulouroudis, and Joseph Contorinis |
04/03/2012 | 07/02/2012 |
2012-31 | SEC v. Robert C. Butler |
04/03/2012 | 07/02/2012 |
2012-30 | SEC v. Smith & Nephew PLC |
04/03/2012 | 07/02/2012 |
2012-29 | SEC v. Magnum d'Or Resources, Inc., Joseph J. Glusic, Shannon Allen, Dwight Flatt, and David Della Sciucca, Jr. |
04/03/2012 | 07/02/2012 |
2012-28 | SEC v. Joseph P. Nacchio, Robert S. Woodruff, Robin R. Szeliga, Afshin Mohebbi, Gregory M. Casey, James J. Kozlowski, and Frank T. Noyes |
04/03/2012 | 07/02/2012 |
2012-27 | SEC v. Andrey C. Hicks and Locust Offshore Management, LLC |
04/03/2012 | 07/02/2012 |
2012-26 | SEC v. Christopher T. Vulliez and Amphor Advisors, LLC |
03/05/2012 | 06/03/2012 |
2012-25 | 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 |
03/05/2012 | 06/03/2012 |
2012-24 | 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 |
03/05/2012 | 06/03/2012 |
2012-23 | SEC. v. Curtis Peterson, Eric Maher, Ronald White, and Express International, LLC |
03/05/2012 | 06/03/2012 |
2012-22 | SEC v. Magyar Telekom, PLC and Deutsche Telekom, AG |
03/05/2012 | 06/03/2012 |
2012-21 | 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 |
03/05/2012 | 06/03/2012 |
2012-20 | SEC v. GE Funding Capital Market Services, Inc. |
03/05/2012 | 06/03/2012 |
2012-19 | SEC v. Luis Garg, Jason Zakocs, RealFund Investment Trust, First Atlanta LP, Weatherby LP, and Citiprop Corporation |
03/05/2012 | 06/03/2012 |
2012-18 | SEC v. CytoCore, Inc., Daniel J. Burns, and Robert F. McCullough, Jr. |
03/05/2012 | 06/03/2012 |
2012-17 | SEC v. Carlo G. Chiaese and C.G.C. Advisors, LLC |
03/05/2012 | 06/03/2012 |
2012-16 | SEC v. Christopher Love Blackwell, AV Bar Reg, Inc., and Millers A Game, LLC |
03/05/2012 | 06/03/2012 |
2012-15 | SEC v. Jerry L. Aubrey, Timothy J. Aubrey, Brian S. Cherry, and Aaron M. Glasser |
03/05/2012 | 06/03/2012 |
2012-14 | 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. |
03/05/2012 | 06/03/2012 |
2012-13 | SEC v. Wachovia Bank, N.A. (n/k/a Wells Fargo Bank, N.A.) |
02/01/2012 | 05/01/2012 |
2012-12 | In the Matter of Gary S. Bell |
02/01/2012 | 05/01/2012 |
2012-11 | 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 |
02/01/2012 | 05/01/2012 |
2012-10 | 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 |
02/01/2012 | 05/01/2012 |
2012-9 | In the Matter of Investment Placement Group and Adolfo Gonzalez-Rubio |
02/01/2012 | 05/01/2012 |
2012-8 | In the Matter of Touradji Capital Management, L.P., Respondent |
02/01/2012 | 05/01/2012 |
2012-7 | SEC v. Myron Weiner |
02/01/2012 | 05/01/2012 |
2012-6 | SEC v. Advanced Optics Electronics, Inc.; Leslie S. Robins; JDC Swan, Inc., and Jason Claffey |
02/01/2012 | 05/01/2012 |
2012-5 | 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. |
02/01/2012 | 05/01/2012 |
2012-4 | SEC v. Aon Corporation |
02/01/2012 | 05/01/2012 |
2012-2 | SEC v. Market Street Advisors; Shawn R. Merriman; LLC-1; LLC-2; Marque LLC-3, and LLC-4 |
02/01/2012 | 05/01/2012 |
2012-1 | SEC v. LandOak Securities, LLC; Patrick L. Martin; and Michael A. Atkins |
02/01/2012 | 05/01/2012 |
2012-3 | SEC v. Richard Dalton and Universal Consulting Resources LLC |
02/01/2012 | 05/01/2012 |
2011-203 | SEC v. Frank C. Calmes, Lynn D. Rowntree, Manny J. Shulman, Younger America, Inc. f/k/a Infinity Acquisition Corp., and James E. Pratt |
01/09/2012 | 04/08/2012 |
2011-204 | 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 |
01/09/2012 | 04/08/2012 |
2011-205 | In the Matter of FTN Financial Securities Corp. |
01/09/2012 | 04/08/2012 |
2011-206 | SEC v. George Wesley Harris, and Giant Operating, LLC |
01/09/2012 | 04/08/2012 |
2011-207 | SEC v. Maynard L. Jenkins |
01/09/2012 | 04/08/2012 |
2011-208 | SEC v. Jerome Krantz, Cary Chasin, and Gary Nadelman |
01/09/2012 | 04/08/2012 |
2011-209 | SEC v. Thomas S. Labry and Cherokee Gas Systems, Inc. |
01/09/2012 | 04/08/2012 |
2011-210 | SEC v. Cheng Yi Liang |
01/09/2012 | 04/08/2012 |
2011-211 | In the Matter of Morgan Stanley Investment Management Inc. |
01/09/2012 | 04/08/2012 |
2011-212 | SEC v. Par Three Financial, Inc. and Melvin D. Ruth |
01/09/2012 | 04/08/2012 |
2011-213 | 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 |
01/09/2012 | 04/08/2012 |
2011-214 | 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 |
01/09/2012 | 04/08/2012 |
2011-215 | 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 |
01/09/2012 | 04/08/2012 |
2011-216 | SEC v. Dr. Joseph F. "Chip" Skowron III and Dr. Yves M. Benhamou |
01/09/2012 | 04/08/2012 |
2011-217 | In the Matter of UBS Securities LLC |
01/09/2012 | 04/08/2012 |