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Litigation Releases Archives 2009
The list below provides links to litigation releases concerning civil lawsuits brought by the Commission in federal court.
Fourth Quarter | Third Quarter | Second Quarter | First Quarter
Additional Archives
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 SEC Litigation Releases RSS Feed
| Release No. |
Date |
Action |
| Fourth Quarter |
| LR-21357 |
Dec. 31, 2009 |
UTStarcom, Inc.
Other Release No.: AAER-3093
See also: SEC Complaint
|
| LR-21356 |
Dec. 30, 2009 |
Walter A. Forbes et al.
Other Release No.: AAER-3091
|
| LR-21355 |
Dec. 29, 2009 |
Harold H. Jaschke
See also: SEC Complaint
|
| LR-21354 |
Dec. 29, 2009 |
HomePals, LLC, HomePals Investment Club, LLC, Ronnie Eugene Bass, Jr., Abner Alabre and Brian J. Taglieri
|
| LR-21353 |
Dec. 24, 2009 |
Homestead Properties, L.P.; Homestead Limited, L.L.C.; California Wealth Management Group, d.b.a. IFC Advisory; Heath M. Biddlecome; William C. Tak, Defendants; and Homestead Northland MHC, LLC and Jackson MHC, L.L.C., Relief Defendants
|
| LR-21352 |
Dec. 23, 2009 |
Crossroads Financial Planning, Inc., and Julie M. Jarvis
|
| LR-21351 |
Dec. 23, 2009 |
Golden Apple Oil and Gas, Inc., et al.
See also: Judgment as to Jay Budd
|
| LR-21350 |
Dec. 23, 2009 |
Richard E. McDonald, et al.
Other Release No.: AAER-3089
See also: SEC Complaint
|
| LR-21349 |
Dec. 23, 2009 |
Alliance Transcription Services, Inc.
|
| LR-21348 |
Dec. 23, 2009 |
Rockwell Energy of Texas, LLC, Rockwell Energy Management, LLC, Gregory S. Shindler, Bradley M. James, W. Todd Smith, Stuart E. Rawitt, and Brian W. Walsh
See also: SEC Complaint
|
| LR-21347 |
Dec. 23, 2009 |
Nicolas Patrick Benoit Condroyer and Gilles Robert Roger
See also: SEC Complaint
|
| LR-21346 |
Dec. 22, 2009 |
Triton Financial, LLC, et al.
See also: SEC Complaint
|
| LR-21345 |
Dec. 22, 2009 |
William Jacobson
See also: SEC Complaint
|
| LR-21344 |
Dec. 18, 2009 |
Trevor G. Cook, Patrick J. Kiley, et al.
|
| LR-21343 |
Dec. 18, 2009 |
Stephen F. Clifford d/b/a Clifford Financial Associates
|
| LR-21342 |
Dec. 17, 2009 |
John W. Dwyer and Theodore P. Noncek
Other Release No.: AAER-3088
See also Complaints: John W. Dwyer and Theodore P. Noncek
|
| LR-21341 |
Dec. 17, 2009 |
Pointer Worldwide, Ltd et al.
|
| LR-21340 |
Dec. 17, 2009 |
Inter Global Technologies, Inc. and Michael E. Tomayko
See also: SEC Complaint
|
| LR-21339 |
Dec. 16, 2009 |
Vinayak S. Gowrish, Adnan S. Zaman, Pascal S. Vaghar, Sameer N. Khoury, Defendants, and Elias N. Khoury, Relief Defendant
See also: SEC Complaint
|
| LR-21338 |
Dec. 16, 2009 |
Dean P. Gross and Gregory W. Laser
See also: SEC Complaint
|
| LR-21337 |
Dec. 15, 2009 |
Eagle Development Enterprises, Inc., Eagle Storage & Development, LLC, Eagle Aviation Sales & Leasing, LLC, Michael J. Bowen, defendants, and Eagle Assets & Management, LLC, Eagle Housing & Development AZ, LLC, Eagle Housing & Development, Inc., and Eagle Helicopters & Aviation, Inc., relief defendants
See also: SEC Complaint
|
| LR-21336 |
Dec. 15, 2009 |
Canopy Financial, Inc. and Jeremy J. Blackburn
|
| LR-21335 |
Dec. 14, 2009 |
Bobby Benton
See also: SEC Complaint
|
| LR-21334 |
Dec. 14, 2009 |
Robert R. Ross, et al.
See also: Order Disbursing Funds
|
| LR-21333 |
Dec. 14, 2009 |
Frank J. Russo, FJR Corporation, Russo Associates Limited Partnership, Eliot Partners and Veritasiti d/b/a Media Data Corporation, as Relief Defendant
|
| LR-21332 |
Dec. 10, 2009 |
Brien P. Santarlas
See also: SEC Complaint
|
| LR-21331 |
Dec. 10, 2009 |
Investools Inc., Michael J. Drew, and Eben D. Miller
See also: SEC Complaint
|
| LR-21330 |
Dec. 10, 2009 |
Berkshire Resources, et al.
|
| LR-21329 |
Dec. 8, 2009 |
Rockford Funding Group, et. al.
See also: SEC Complaint
|
| LR-21328 |
Dec. 8, 2009 |
Brookstreet Securities Corp.
See also: SEC Complaint
|
| LR-21327 |
Dec. 7, 2009 |
Brad A. Morrice, et al.
Other Release No.: AAER-3079
See also: SEC Complaint
|
| LR-21326 |
Dec. 7, 2009 |
John E. Brake
|
| LR-21325 |
Dec. 4, 2009 |
Striker Petroleum, LLC, et al.
See also: SEC Complaint
|
| LR-21324 |
Dec. 4, 2009 |
Canopy Financial, Inc. and Jeremy J. Blackburn
|
| LR-21323 |
Dec. 4, 2009 |
Black Box Corporation, Frederick C. Young, and Anna M. Baird
Other Release No.: AAER-3073
See also: SEC Complaint
|
| LR-21322 |
Dec. 4, 2009 |
Nova Gen Corporation, Margaret Grey, and Paul Randall Fraley
See also: SEC Complaint
|
| LR-21321 |
Dec. 4, 2009 |
Provident Royalties, LLC, et al.
|
| LR-21320 |
Dec. 2, 2009 |
Shidaal Express, Inc. and Mohamud Abdi Ahmed
|
| LR-21319 |
Dec. 2, 2009 |
Compass Capital Group, Inc., Mark A. Lefkowitz, Alvin L. Dahl, John R. Dumble, John C. Hopf, Kevin D. Romney, and Shane H. Traveller
|
| LR-21318 |
Dec. 2, 2009 |
Sonja Anticevic, et al.
|
| LR-21317 |
Dec. 1, 2009 |
Whitney D. Lund, Sr. and Standard Transfer & Trust Co.
See also: SEC Complaint
|
| LR-21316 |
Dec. 1, 2009 |
HomePals, LLC, HomePals Investment Club, LLC, Ronnie Eugene Bass, Jr., Abner Alabre and Brian J. Taglieri
|
| LR-21315 |
Nov. 30, 2009 |
William A. DiBella and North Cove Ventures LLC
|
| LR-21314 |
Nov. 30, 2009 |
Home Solutions of America, Inc., Frank J. Fradella, Brian M. Marshall, Jeffrey M. Mattich, Rick J. O'Brien, Stephen C. Gingrich, Thomas L. Davis and Jeffrey T. Craft
Other Release No.: AAER-3071
See also: SEC Complaint
|
| LR-21313 |
Nov. 24, 2009 |
Trevor G. Cook, Patrick J. Kiley, et al
See also: SEC Complaint
|
| LR-21312 |
Nov. 23, 2009 |
David K. Donovan, Jr. and David R. Hinkle
|
| LR-21311 |
Nov. 23, 2009 |
Capital Mountain Holding Corporation, et al.
See also: SEC Complaint
|
| LR-21310 |
Nov. 20, 2009 |
Shidaal Express, Inc. and Mohamud Abdi Ahmed
See also: SEC Complaint
|
| LR-21309 |
Nov. 20, 2009 |
Khaled Mohammed Sharif Al Sayed Al Hashemi a.k.a Khaled Al Hashemi
|
| LR-21308 |
Nov. 19, 2009 |
R. Brooke Dunn and Nicholas P. Howey
|
| LR-21307 |
Nov. 19, 2009 |
Khaled Mohammed Sharif Al Sayed Al Hashemi a.k.a Khaled Al Hashemi
|
| LR-21306 |
Nov. 19, 2009 |
Mohit A. Khanna, MAK 1 Enterprises Group, LLC, et al.
|
| LR-21305 |
Nov. 18, 2009 |
Big Apple Consulting USA, Inc., MJMM Investments, LLC, Marc Jablon, Matthew Maguire, Mark C. Kaley, and Keith Jablon
See also: SEC Complaint
|
| LR-21304 |
Nov. 18, 2009 |
Homestead Properties, L.P.; Homestead Limited, L.L.C.; California Wealth Management Group, d.b.a. IFC Advisory; Heath M. Biddlecome; William C. Tak, Defendants; and Homestead Northland MHC, LLC and Jackson MHC, L.L.C., Relief Defendants
|
| LR-21303 |
Nov. 18, 2009 |
Francis Elias Axiaq
|
| LR-21302 |
Nov. 17, 2009 |
Benjamin Silva, III and Diane Bjorkstrom
Other Release No.: AAER-3070
See also Complaints: Benjamin Silva, III; Diane Bjorkstrom
|
| LR-21301 |
Nov. 17, 2009 |
Mantria Corporation, Troy B. Wragg, Amanda E. Knorr, Speed of Wealth, LLC, Wayde M. McKelvy, and Donna M. McKelvy
See also: SEC Complaint
|
| LR-21300 |
Nov. 16, 2009 |
Bancinsurance Corporation and John S. Sokol
Other Release No.: AAER-3069
See also: SEC Complaint
|
| LR-21299 |
Nov. 16, 2009 |
Wall Street Communications, Inc., et al.
|
| LR-21298 |
Nov. 16, 2009 |
Superior Opportunities, Inc., J.F. Simms & Co., LLC, William J. Hickey, Sean A. Osborne and Jon F. Simms
|
| LR-21297 |
Nov. 16, 2009 |
Creative Capital Consortium, LLC, et. al.
|
| LR-21296 |
Nov. 16, 2009 |
GMC Holding Corporation and Richard Brace
|
| LR-21295 |
Nov. 16, 2009 |
Concorde America, Inc., et al.
|
| LR-21294 |
Nov. 16, 2009 |
Global Development & Environmental Resources, Inc., et al.
|
| LR-21293 |
Nov. 13, 2009 |
Albert Fase Kaleta, et al.
See also: SEC Complaint
|
| LR-21292 |
Nov. 13, 2009 |
Jerome O'Hara and George Perez
See also: SEC Complaint
|
| LR-21291 |
Nov. 12, 2009 |
Osvaldo Pitters et al.
|
| LR-21290 |
Nov. 12, 2009 |
SafeNet, Inc., et. al.
Other Release No.: AAER-3068
See also: SEC Complaint
|
| LR-21289 |
Nov. 10, 2009 |
Ezra C. Levy
|
| LR-21288 |
Nov. 9, 2009 |
Thomas B. Evans
|
| LR-21287 |
Nov. 6, 2009 |
Joseph A. Fontanetta et al.
|
| LR-21286 |
Nov. 6, 2009 |
Robert Wayne Tedder, et al.
|
| LR-21285 |
Nov. 6, 2009 |
Nicos Achilleas Stephanou et al.
|
| LR-21284 |
Nov. 5, 2009 |
Galleon Management, LP, Raj Rajaratnam, Rajiv Goel, Anil Kumar, Danielle Chiesi, Mark Kurland, Robert Moffat, New Castle Funds LLC, Roomy Khan, Deep Shah, Ali T. Far, Choo-Beng Lee, Far & Lee LLC, Spherix Capital LLC, Ali Hariri, Zvi Goffer, David Plate, Gautham Shankar, Schottenfeld Group LLC, Steven Fortuna, and S2 Capital Management, LP
See also: SEC Complaint
|
| LR-21283 |
Nov. 5, 2009 |
Arthur J. Cutillo, Jason C. Goldfarb, Zvi Goffer, Craig C. Drimal, Schottenfeld Group, LLC, Gautham Shankar, David Plate, Emanuel Goffer, and Michael Kimelman
See also: SEC Complaint
|
| LR-21282 |
Nov. 4, 2009 |
Merge Healthcare Incorporated, Richard Linden, and Scott Veech
Other Release No.: AAER-3067
|
| LR-21281 |
Nov. 4, 2009 |
Steven V. Cotton
Other Release No.: AAER-3066
|
| LR-21280 |
Nov. 4, 2009 |
Charles E. LeCroy, and Douglas W. MacFaddin
See also: SEC Complaint
|
| LR-21279 |
Nov. 4, 2009 |
David J. Hernandez and Relief Defendants NextStep Medical Staffing IL, Inc., NextStep Holdings, Inc., Spectrum Entertainment Group, Inc., The Ilumina Group, Inc., and Gina M. Hernandez
|
| LR-21278 |
Nov. 4, 2009 |
James J. Treacy, et al.
Other Release No.: AAER-3065
|
| LR-21277 |
Nov. 4, 2009 |
Symbol Technologies, Inc., et al.
Other Release No.: AAER-3064
|
| LR-21276 |
Nov. 3, 2009 |
Peter S. Jessop, et al.
|
| LR-21275 |
Nov. 3, 2009 |
Randy M. Cho
|
| LR-21274 |
Nov. 3, 2009 |
David G. Friehling, C.P.A and Friehling & Horowitz, CPA's, P.C.
|
| LR-21273 |
Nov. 2, 2009 |
Syndicated Food Services International, Inc., et al.
|
| LR-21272 |
Oct. 30, 2009 |
China Holdings, Inc. and Julianna Lu (a.k.a. Jenny XueJian Lu)
Other Release No.: AAER-3063
See also: SEC Complaint
|
| LR-21271 |
Oct. 30, 2009 |
King Chuen Tang a/k/a Chen Tang, Ronald Yee, Zisen Yu, Joseph Seto, Ming Siu, King S. Tang a/k/a James K. Tang, and Ying Kit Yu a/k/a Eddie Yu, Defendants, and Venture Associates Fund I, Tang Capital Partners, Acceleration Capital Partners, American Pegasus Long Short Fund Segregated Portfolio, Ping Lee Tang, Ka Ling Lee, Yin Lee Ka, Cheung-Ting Ka, Sylvia Tsui, Doi Ping Siu, Yuen-Lai Ma, Leung-Kee Siu, Rosalie Cho, Minor Child I and Minor Child II, minor children of Defendant King Chuen Tang a/k/a Chen Tang, Relief Defendants
See also: SEC Complaint
|
| LR-21270 |
Oct. 30, 2009 |
Robert E. Lane, et al.
|
| LR-21269 |
Oct. 30, 2009 |
Robert E. Lane, et al.
|
| LR-21268 |
Oct. 29, 2009 |
Video Without Boundaries, Inc. (d/b/a China Logistics Group Inc.), et al.
|
| LR-21267 |
Oct. 29, 2009 |
J. Bennett Grocock
See also: SEC Complaint
|
| LR-21266 |
Oct. 29, 2009 |
Amante Corporation, Commonwealth Capital Management, Inc., Edward M. Denigris, and William D. Dyer
See also: SEC Complaint
|
| LR-21265 |
Oct. 29, 2009 |
HomePals, LLC, HomePals Investment Club, LLC, Ronnie Eugene Bass, Jr., Abner Alabre and Brian J. Taglieri
|
| LR-21264 |
Oct. 28, 2009 |
Charles R. Kokesh
See also: SEC Complaint
|
| LR-21263 |
Oct. 27, 2009 |
Stanko J. Grmovsek
See also: SEC Complaint
|
| LR-21262A |
Oct. 27, 2009 |
Rick J. Boros |
| LR-21261 |
Oct. 27, 2009 |
Thompson Price Holding Inc., et al.
|
| LR-21260 |
Oct. 23, 2009 |
Don N. Spaugy
See also: SEC Complaint
|
| LR-21259 |
Oct. 22, 2009 |
Lambros D. Ballas
See also: SEC Complaint
|
| LR-21258 |
Oct. 22, 2009 |
Charles C. Slowey, Jr.; Endeavor Partners, LLC; Endeavor Capital Management Group, LLC; Edward D. Puttick, Sr.; Advanced Planning Securities, Inc.; Gregory L. Oldham; Glenn R. Harris; and Oldham Harris Inc.
See also: SEC Complaint
|
| LR-21257 |
Oct. 21, 2009 |
Rita White
|
| LR-21256 |
Oct. 21, 2009 |
John Zeglis, As Executor, Successor/Representative To James D. Zeglis, Gautam Gupta, Jim W. Dixon and Lance D. McKee
|
| LR-21255 |
Oct. 16, 2009 |
Galleon Management, LP, Raj Rajaratnam, Rajiv Goel, Anil Kumar, Danielle Chiesi, Mark Kurland, Robert Moffat and New Castle LLC
See also: SEC Complaint
|
| LR-21254 |
Oct. 16, 2009 |
Marvel Partners, marvelpartners.us, marvelpartners.net, and John Does, Nos. 1-5
See also: SEC Complaint
|
| LR-21253 |
Oct. 16, 2009 |
Lion Gate Capital, Inc. and Kenneth Rickel
|
| LR-21252 |
Oct. 16, 2009 |
Forest Resources Management Corp., et al.
|
| LR-21251 |
Oct. 16, 2009 |
HomePals Investment Club, LLC, HomePals, LLC, Ronnie Eugene Bass, Jr., Abner Alabre and Brian J. Taglieri
See also: SEC Complaint
|
| LR-21250 |
Oct. 15, 2009 |
Ethan Kass
See also: SEC Complaint
|
| LR-21249 |
Oct. 15, 2009 |
Benjamin P. Jones, William F. Jones, III, William T. Dailey, III, and Jeremiah E. Carroll; and Alissa Joelle Kueng
See also Complaints: as to Benjamin P. Jones, William F. Jones, III, William T. Dailey, III, and Jeremiah E. Carroll and
as to Alissa Joelle Kueng
|
| LR-21248 |
Oct. 15, 2009 |
David F. Merrick, Traders International Return Network, MS, Inc., GTT Services, Inc., MDD Consulting, Inc., and Go ! Tourism, Inc.
See also: SEC Complaint
|
| LR-21247 |
Oct. 13, 2009 |
John N. Milne
Other Release No.: AAER-3058
|
| LR-21246 |
Oct. 9, 2009 |
Joseph J. Queri, Jr., Gary M. Gosson, et al.
|
| LR-21245 |
Oct. 9, 2009 |
Thomas J. Petters
|
| LR-21244 |
Oct. 8, 2009 |
Mitchel S. Guttenberg, Erik R. Franklin, David M. Tavdy, Mark E. Lenowitz, Robert D. Babcock, Andrew A. Srebnik, Ken Okada, David A. Glass, Marc R. Jurman, Randi E. Collotta, Christopher K. Collotta, Q Capital Investment Partners, LP, DSJ International Resources Ltd. (d/b/a Chelsey Capital), and Jasper Capital LLC, C.A.
|
| LR-21243 |
Oct. 8, 2009 |
Irwin Boock, Stanton B. J. DeFreitas, Nicolette D. Loisel, Roger L. Shoss, and Jason C. Wong, Birte Boock, and 1621566 Ontario, Inc.
See also: SEC Complaint
|
| LR-21242 |
Oct. 8, 2009 |
Mx Factors LLC, BBH Resources LLC, JTL Financial Group LLC, Richard M. Harkless, Daniel J. Berardi, Jr., Thomas Hawkesworth, and Randall W. Harding
|
| LR-21241 |
Oct. 7, 2009 |
Randy M. Cho
See also: SEC Complaint
|
| LR-21240 |
Oct. 7, 2009 |
Feng "Frank" Xie
See also: SEC Complaint
|
| LR-21239 |
Oct. 7, 2009 |
Syndicated Food Services International, Inc., et al.
|
| LR-21238 |
Oct. 6, 2009 |
Biopure Corporation et al.
|
| LR-21237 |
Oct. 5, 2009 |
John J. Bravata, et al.
|
| LR-21236 |
Oct. 5, 2009 |
Matthew W. Hardey, L. Cyrus DeBlanc, and Joe E. Penland
Other Release No.: AAER-3055
|
| LR-21235 |
Oct. 1, 2009 |
Ronald Ferguson, Elizabeth Monrad, Christian Milton, Robert Graham and Christopher Garand
Other Release No.: AAER-3062
|
| LR-21234 |
Oct. 1, 2009 |
Hedgelender LLC et al.
See also: SEC Complaint
|
| LR-21233 |
Oct. 1, 2009 |
Mitchell Drucker and Ronald Drucker, Defendants, and William Minerva, Relief Defendant
|
| Third Quarter |
| LR-21232 |
Sep. 30, 2009 |
Jason M. Genet
See also: SEC Complaint
|
| LR-21231 |
Sep. 30, 2009 |
K&L International Enterprises, Inc., et al.
|
| LR-21230 |
Sep. 30, 2009 |
William A. Huber and Hubadex, Inc.
See also: SEC Complaint
|
| LR-21229 |
Sep. 30, 2009 |
AGCO Corporation
See also: SEC Complaint
|
| LR-21228 |
Sep. 30, 2009 |
Michael A. Rivers and ARKR Trust LLC
Other Release No.: AAER-3060
|
| LR-21227 |
Sep. 29, 2009 |
3001 AD, LLC, Jimmy L. Barker, Robert J. Ladrach, Marc S. Rifkin, Ronald B. Bowsky, Jack Maddock and Michael Weidgans
See also: SEC Complaint
|
| LR-21226 |
Sep. 28, 2009 |
George Wesley Harris and Giant Operating, LLC, Defendants, and Stephen Christopher Plunkett, Giant Petroleum, Inc. and DSSC Operating LLC, Relief Defendants
|
| LR-21225 |
Sep. 28, 2009 |
Maximum Return Investments, Inc. and Clelia A. Flores
|
| LR-21224 |
Sep. 28, 2009 |
K&L International Enterprises, Inc., et al.
See also: SEC Complaint
|
| LR-21223 |
Sep. 28, 2009 |
Frank Bluestein
See also: SEC Complaint
|
| LR-21222 |
Sep. 24, 2009 |
Christopher A. Black
See also: SEC Complaint
|
| LR-21221 |
Sep. 24, 2009 |
Reza Saleh and Amir Saleh
See also: SEC Complaint
|
| LR-21220 |
Sep. 23, 2009 |
ConnectAJet.com, Inc., et al.
See also: SEC Complaint
|
| LR-21219 |
Sep. 23, 2009 |
John P. Utsick, et al.
|
| LR-21218 |
Sep. 22, 2009 |
David L. Hersh
|
| LR-21217 |
Sep. 21, 2009 |
Uncommon Media Group, Inc., et al.
|
| LR-21216 |
Sep. 21, 2009 |
Uncommon Media Group, Inc., et al.
|
| LR-21215 |
Sep. 21, 2009 |
Regions Bank
See also: SEC Complaint
|
| LR-21214 |
Sep. 21, 2009 |
John J. Bravata, et al.
|
| LR-21213 |
Sep. 18, 2009 |
Charles Johnson, Jr., Christopher Benyo, Michael Kennedy, John Tuli, and Kent Wakeford
Other Release No.: AAER-3052
|
| LR-21212 |
Sep. 16, 2009 |
Tony E. Morrison and Texas Securities Partners LLC
See also: SEC Complaint
|
| LR-21211 |
Sep. 16, 2009 |
Michael Lauer, et al.
|
| LR-21210 |
Sep. 14, 2009 |
Stuart W. Fuhlendorf and Isilon Systems, Inc.
Other Release No.: AAER-3050
See also:
SEC Complaint v. Fuhlendorf
SEC Complaint v. Isilon Systems
|
| LR-21209 |
Sep. 14, 2009 |
Allen W. Moss
See also: SEC Complaint
|
| LR-21208 |
Sep. 11, 2009 |
Robert D. Falor, et al.
|
| LR-21207 |
Sep. 11, 2009 |
Bernard Cole, William Hennessy, Douglas Hodge and Robert Steimle
Other Release No.: AAER-3049
See also: SEC Complaint
|
| LR-21206 |
Sep. 11, 2009 |
Paul D. Poetter, et. al.
See also: SEC Complaint
|
| LR-21205 |
Sep. 11, 2009 |
Tenet Healthcare Corporation, et al.
Other Release No.: AAER-3047
|
| LR-21204 |
Sep. 11, 2009 |
Daryl O. Anderson
See also: SEC Complaint
|
| LR-21203 |
Sep. 9, 2009 |
Angel Acquisition Corp., et al
|
| LR-21202 |
Sep. 9, 2009 |
Timothy J. Huff
Other Release No.: AAER-3046
See also: SEC Complaint
|
| LR-21201 |
Sep. 9, 2009 |
Jeff L. Soisson and Karen Kaye Walker
See also: SEC Complaint
|
| LR-21200 |
Sep. 8, 2009 |
Gary A. Reys; CellCyte Genetics Corporation and Ronald W. Berninger
See also:
SEC Complaint v. Reys
SEC Complaint v. CellCyte Genetics and Berninger
|
| LR-21199 |
Sep. 8, 2009 |
Philip G. Barry, Leverage Group, Leverage Option Management Co., Inc., and North American Financial Services
See also: SEC Complaint
|
| LR-21198 |
Sep. 8, 2009 |
Sidney S. Hanson, Charlotte M. Hanson, Queen Shoals, LLC, Queen Shoals II, LLC, Queen Shoals Capital, LLC, Queen Shoals Fund, LLC, Queen Shoals Group, LLC, Queen Shoals Holdings, LLC, Dominion Growth Fund, LLC, Dynasty Growth Fund, LLC, Heritage Growth Fund, LLC, Secure Wealth Fund, LLC, Select Fund, LLC, Two Oaks Fund, LLC
See also: SEC Complaint
|
| LR-21197 |
Sep. 3, 2009 |
Doyle Scott Elliott, Scott Elliott, Inc., Michael Xirinachs, Emerald Asset Advisors LLC, Robert Weidenbaum, and CLX & Associates, Inc.
See also: SEC Complaint
|
| LR-21196 |
Sep. 3, 2009 |
Jeffrey L. Mowen et al.
See also: SEC Complaint
|
| LR-21195 |
Sep. 3, 2009 |
The Hain Celestial Group, Inc.
Other Release No.: AAER-3045
See also: SEC Complaint
|
| LR-21194 |
Sep. 1, 2009 |
VeriFone Holdings, Inc. and Paul Periolat
Other Release No.: AAER-3044
See also: SEC Complaint
|
| LR-21193A |
Sep. 1, 2009 |
Golden Apple Oil and Gas, Inc., et. al.
See also: SEC Complaint
|
| LR-21192 |
Aug. 31, 2009 |
Sarath B. Gangavarapu
See also: SEC Complaint
|
| LR-21191 |
Aug. 31, 2009 |
David A. Souza and D.A. Souza Investments
See also: SEC Complaint
|
| LR-21190 |
Aug. 28, 2009 |
Oscar H. Meza
Other Release No.: AAER-3041
See also: SEC Complaint
|
| LR-21189A |
Aug. 27, 2009 |
Michael J. Moore and Moore & Associates Chartered
Other Release No.: AAER-3040
|
| LR-21188 |
Aug. 27, 2009 |
Ben-Wal Leasing Company, et al.
|
| LR-21187 |
Aug. 27, 2009 |
Duane N. Martin and Gary Trump
See also: SEC Complaint
|
| LR-21186 |
Aug. 27, 2009 |
William Graulich, IV and iVest International Holdings, Inc.
See also: SEC Complaint
|
| LR-21185A |
Aug. 27, 2009 |
John F. Marshall, et al.
See also: SEC Complaint
|
| LR-21184 |
Aug. 26, 2009 |
Titan Wealth Management, LLC, Point West Partners, LLC, and Thomas Lester Irby II, Defendants, and Joseph Romanow, David Romanow, Karen Bowie, France Michaud, John J. Kim, and Pegasus Holdings Group, Inc.
|
| LR-21183 |
Aug. 24, 2009 |
Nancy Jewell, Kristin Mays, and Matthew B. Murphy, III
See also: SEC Complaint
|
| LR-21182 |
Aug. 23, 2009 |
Darrel West and Own My Travel, LLC
See also: SEC Complaint
|
| LR-21181 |
Aug. 20, 2009 |
Mohit A. Khanna and MAK 1 Enterprises Group, LLC, et al.
See also: SEC Complaint
|
| LR-21180 |
Aug. 19, 2009 |
Daniel M. Kantrowitz
See also: SEC Complaint
|
| LR-21179 |
Aug. 18, 2009 |
Eric Todd Seiden and Kamal Abdallah
See also: SEC Complaint
|
| LR-21178 |
Aug. 13, 2009 |
Brantley Capital Management, LLC, Robert Pinkas, and Tab Keplinger
See also: SEC Complaint |
| LR-21177 |
Aug. 12, 2009 |
Terex Corporation
Other Release No.: AAER-3035
See also: SEC Complaint |
| LR-21176 |
Aug. 12, 2009 |
L. Daniel Ferrer
See also: SEC Complaint |
| LR-21175 |
Aug. 12, 2009 |
Edwin B. Lyon, IV, et al.
See also: SEC Complaint
|
| LR-21174 |
Aug. 11, 2009 |
Frank DiPascali, Jr.
See also: SEC Complaint
|
| LR-21173 |
Aug. 7, 2009 |
2Randall Consulting Group, LLC and Brion Gary Randall, Defendants
See also: SEC Complaint
|
| LR-21172 |
Aug. 6, 2009 |
Vladimir Chekholko
See also: SEC Complaint
|
| LR-21170 |
Aug. 6, 2009 |
Maurice R. Greenberg and Howard I. Smith
Other Release No.: AAER-3032
See also: SEC Complaint
|
| LR-21169 |
Aug. 5, 2009 |
Albert J. Rasch, Jr., Kathleen R. Novinger, Sandra B. Masino, and 144 Opinions, Inc.
|
| LR-21168 |
Aug. 5, 2009 |
Johannes Gerhardus Andreae
Other Release No.: AAER-3030
|
| LR-21167 |
Aug. 4, 2009 |
Omar Ali Rizvi, Bellwether Venture Capital Fund I, Inc., and Strategy Partners, LLC
|
| LR-21166 |
Aug. 4, 2009 |
General Electric Company
Other Release No.: AAER-3029
See also: SEC Complaint
|
| LR-21165 |
Aug. 3, 2009 |
Medical Capital Holdings, Inc.; Medical Capital Corporation; Medical Provider Funding Corporation VI; Sidney M. Field; and Joseph J. Lampariello
|
| LR-21164 |
Aug. 3, 2009 |
Bank of America Corp.
See also: SEC Complaint; SEC Amended Complaint
|
| LR-21163 |
Aug. 3, 2009 |
Kenneth Selterman and Patti Tay
Other Release No.: AAER-3028
See also: SEC Complaint
|
| LR-21162 |
Jul. 31, 2009 |
Nature's Sunshine Products, Inc., Douglas Faggioli and Craig D. Huff
See also: SEC Complaint
|
| LR-21161 |
Jul. 31, 2009 |
Steven E. Tennies and Price Geld & Company, Inc.
See also: SEC Complaint
|
| LR-21160 |
Jul. 30, 2009 |
Robert Glenn Bard and Vision Specialist Group LLC
See also: SEC Complaint
|
| LR-21159 |
Jul. 30, 2009 |
Steven R. Chamberlain, Elaine M. Brown and Gary A. Prince |
| LR-21158 |
Jul. 29, 2009 |
Diversity Capital Investments, Inc., et al.
See also: SEC Complaint
|
| LR-21157 |
Jul. 28, 2009 |
Radical Bunny, LLC, Tom Hirsch, Berta Walder, Howard Walder, and Harish Shah
See also: SEC Complaint
|
| LR-21156 |
Jul. 28, 2009 |
Avery Dennison Corporation
Other Release No.: AAER-3020
See also: SEC Complaint
|
| LR-21155 |
Jul. 28, 2009 |
John J. Bravata, et al.
See also: SEC Complaint
|
| LR-21154 |
Jul. 27, 2009 |
Khaled Mohammed Sharif Al Sayed Al Hashemi a.k.a Khaled Al Hashemi
See also: SEC Complaint
|
| LR-21153 |
Jul. 27, 2009 |
Darryl Lamonth Clark
|
| LR-21152 |
Jul. 23, 2009 |
Hazem Khalid Al-Braikan
|
| LR-21151 |
Jul. 23, 2009 |
Philip E. Lowery
|
| LR-21150 |
Jul. 23, 2009 |
West Marine, Inc.
Other Release No.: AAER-3019
See also: SEC Complaint
|
| LR-21149A |
Jul. 23, 2009 |
Maynard L. Jenkins
Other Release No.: AAER-3025
See also: SEC Complaint
|
| LR-21148 |
Jul. 23, 2009 |
Joel M. Arnold, Grant P. Graham, John M. Walker, and Richard L. Weston
Other Release No.: AAER-3018
|
| LR-21147 |
Jul. 23, 2009 |
Michael K.C. Tom, et al.
|
| LR-21146 |
Jul. 22, 2009 |
Christopher Castaldo, et al.
|
| LR-21145 |
Jul. 22, 2009 |
Jeffrey A. Hayden and Barry S. Griffin, et al.
|
| LR-21144 |
Jul. 21, 2009 |
Deborah Duffy
See also: SEC Complaint
|
| LR-21143 |
Jul. 21, 2009 |
Morgan Keegan & Company, Inc. |
| LR-21142 |
Jul. 21, 2009 |
The Formula, Inc., The Formula, LLC, and Brian A. Neiman
|
| LR-21141 |
Jul. 20, 2009 |
Medical Capital Holdings, Inc.; Medical Capital Corporation; Medical Provider Funding Corporation VI; Sidney M. Field; and Joseph J. Lampariello
|
| LR-21140 |
Jul. 20, 2009 |
Andres Leyva
|
| LR-21139 |
Jul. 17, 2009 |
Blue Bottle Limited and Matthew C. Stokes
|
| LR-21138 |
Jul. 17, 2009 |
Excellency Investment Realty Trust, Inc. and David Mladen
See also: SEC Complaint
|
| LR-21137 |
Jul. 16, 2009 |
Matthew W. Hardey, L. Cyrus DeBlanc, and Joe E. Penland
Other Release No.: AAER-3012
See also: SEC Complaint
|
| LR-21136 |
Jul. 16, 2009 |
Mark T. Turkcan
Other Release No.: AAER-3011
|
| LR-21135 |
Jul. 15, 2009 |
John W. Lawton, Paramount Partners, LP, and Crossroad Capital Management, LLC
|
| LR-21133 |
Jul. 15, 2009 |
Anthony Perez and Ian C. Perez; Math J. Hipp Jr.; Carl E. Binette and Peter E. Talbot
See also:
SEC Complaint v. Perez and Perez
SEC Complaint v. Hipp
SEC Complaint v. Binette and Talbot
|
| LR-21132 |
Jul. 15, 2009 |
Kevan D. Acord et al.
See also: SEC Complaint
|
| LR-21131 |
Jul. 15, 2009 |
Angel Acquisition Corp., et al
|
| LR-21130 |
Jul. 15, 2009 |
Dmitriy Butko
|
| LR-21129 |
Jul. 14, 2009 |
L. Dennis Kozlowski, Mark H. Swartz, and Mark A. Belnick
Other Release No.: AAER-3010
|
| LR-21128 |
Jul. 14, 2009 |
Richard D. Power, Edward Federman, and Richard J. "Skip" Heger
Other Release No.: AAER-3009
|
| LR-21127 |
Jul. 14, 2009 |
Sean Nathan Healy, Defendant, and Shalese Rania Healy and Sand Dollar Investing Partners, LLC, Relief Defendants
See also: SEC Complaint
|
| LR-21126 |
Jul. 13, 2009 |
David M. Otto, Todd Van Siclen, MitoPharm Corporation, Pak Peter Cheung, Wall Street PR, Inc., Charles Bingham
See also: SEC Complaint
|
| LR-21125 |
Jul. 10, 2009 |
Alanar, Inc., et al.
|
| LR-21124 |
Jul. 10, 2009 |
Thomas J. Petters, Gregory M. Bell and Lancelot Investment Management LLC, Defendants, and Inna Goldman, Inna Goldman Revocable Trust, Asia Trust Ltd., Blue Sky Trust, and Gregory Bell Revocable Trust, Relief Defendants
See also: SEC Complaint
|
| LR-21123 |
Jul. 10, 2009 |
Colonial Investment Management LLC, Colonial Fund LLC and Cary G. Brody
See also: Findings of Fact and Conclusions of Law
|
| LR-21122 |
Jul. 9, 2009 |
Pointer Worldwide, Ltd et al.
See also: SEC Complaint
|
| LR-21121 |
Jul. 9, 2009 |
James B. Duncan; Hendrix M. Montecastro; Maurice E. McLeod; Pacific Wealth Management, LLC; Stonewood Consulting, Inc.; and Total Return Fund, LLC
|
| LR-21120 |
Jul. 8, 2009 |
Sky Capital LLC a/k/a Granta Capital LLC, Ross Mandell, Stephen Shea, Adam Harrington Ruckdeschel, Arn Wilson, Michael Passaro and Robert Grabowski
See also: SEC Complaint
|
| LR-21119 |
Jul. 8, 2009 |
Jerry F. Wells, Jr.
Other Release No.: AAER-3008
See also: SEC Complaint
|
| LR-21118 |
Jul. 7, 2009 |
Provident Royalties, LLC et al.
See also: SEC Complaint
|
| LR-21117 |
Jul. 6, 2009 |
Doral Financial Corporation and First BanCorp
Other Release No.: AAER-3007
|
| LR-21116 |
Jul. 2, 2009 |
Geotec, Inc. a/k/a Geotec Thermal Generators, Inc., Bradley T. Ray, William Richard Lueck, and Stephen D. Chanslor
See also: SEC Complaint
|
| LR-21115 |
Jul. 1, 2009 |
James H. Park
See also: SEC Complaint
|
| LR-21114 |
Jul. 1, 2009 |
Michael T. Rand
Other Release No.: AAER-3003
See also: SEC Complaint
|
| LR-21113 |
Jul. 1, 2009 |
Ryan M. Jindra and Envision Investment Advisors, LLC, defendants, and Envision Financial Group, Inc., relief defendant
See also: SEC Complaint
|
| Second Quarter |
| LR-21112 |
Jun. 30, 2009 |
Don Warner Reinhard
|
| LR-21111 |
Jun. 30, 2009 |
Ricardo H. Goldman
|
| LR-21110 |
Jun. 29, 2009 |
Karnig H. Durgarian, Jr., et al.
|
| LR-21109 |
Jun. 29, 2009 |
Finbar Securities Corp., et al.
|
| LR-21108 |
Jun. 29, 2009 |
Headstart Advisers Limited, et al.
|
| LR-21107 |
Jun. 25, 2009 |
Mark Cocchiola and Steven Venechanos; Jack Gaglio; and Robert Quattrone, et al.
Other Release No.: AAER-3001
|
| LR-21106 |
Jun. 25, 2009 |
Steven R. Garfinkel and Michael O'Hanlon
Other Release No.: AAER-3000
|
| LR-21105 |
Jun. 25, 2009 |
Prime Time Group, Inc.
See also: SEC Complaint
|
| LR-21104 |
Jun. 24, 2009 |
Michael J. Muzio
See also: SEC Complaint
|
| LR-21103 |
Jun. 24, 2009 |
Richard F. Selden
|
| LR-21102 |
Jun. 24, 2009 |
Regan & Company and Michael C. Regan
See also: SEC Complaint
|
| LR-21101 |
Jun. 24, 2009 |
Moises Pacheco, Advanced Money Management, Inc., and Business Development & Consulting Co., et al.
See also: SEC Complaint
|
| LR-21100 |
Jun. 23, 2009 |
Gary S. Becker, Gregory S. Schaefer, and Dillon Scott Securities, Inc.
See also: SEC Complaint
|
| LR-21099 |
Jun. 22, 2009 |
Steven E. Nothern
|
| LR-21098 |
Jun. 22, 2009 |
Horst W. Schroeder
Other Release No.: AAER-2998
|
| LR-21097 |
Jun. 22, 2009 |
Warren B. Schmidgall and David E. Watson
Other Release No.: AAER-2997
|
| LR-21096 |
Jun. 22, 2009 |
Stanley Chais
See also: SEC Complaint
|
| LR-21095 |
Jun. 22, 2009 |
Cohmad Securities Corporation, Maurice J. Cohn, Marcia B. Cohn, and Robert M. Jaffe
See also: SEC Complaint
|
| LR-21094 |
Jun. 22, 2009 |
Pinnacle Business Management, Jeffrey G. Turino, et al.
|
| LR-21093 |
Jun. 22, 2009 |
FTC Capital Markets, Inc., FTC Emerging Markets, Inc. also d/b/a FTC Group, Guillermo David Clamens and Lina Lopez a/k/a Nazly Cucunuba Lopez
|
| LR-21092 |
Jun. 19, 2009 |
Stanford International Bank, Ltd., et al.
See also: SEC Second Amended Complaint
|
| LR-21091 |
Jun. 18, 2009 |
Ulticom, Inc. and Lisa M. Roberts
Other Release No.: AAER-2995
See also:
SEC Complaint v. Ulticom
SEC Complaint v. Roberts
|
| LR-21090 |
Jun. 18, 2009 |
Comverse Technology, Inc.
Other Release No.: AAER-2994
See also: SEC Complaint
|
| LR-21089 |
Jun. 18, 2009 |
Joseph Hirko, et al.
Other Release No.: AAER-2993
|
| LR-21088 |
Jun. 17, 2009 |
Horizon Property Holdings, L.C. and Cydney Sanchez |
| LR-21087 |
Jun. 17, 2009 |
Jerry D. Cash and David E. Grose
Other Release No.: AAER-2991
See also: SEC Complaint
|
| LR-21086 |
Jun. 16, 2009 |
Mitchel S. Guttenberg, Erik R. Franklin, David M. Tavdy, Mark E. Lenowitz, Robert D. Babcock, Andrew A. Srebnik, Ken Okada, David A. Glass, Marc R. Jurman, Randi E. Collotta, Christopher K. Collotta, Q Capital Investment Partners, LP, DSJ International Resources Ltd. (d/b/a Chelsey Capital), and Jasper Capital LLC
|
| LR-21085 |
Jun. 15, 2009 |
David J. Hernandez, also doing business as “NextStep Financial Services, Inc.”
See also: SEC Complaint
|
| LR-21084 |
Jun. 12, 2009 |
ZNext Mining Corporation, Inc. and Elvira G. Gamboa
See also: SEC Complaint
|
| LR-21083 |
Jun. 12, 2009 |
Blackout Media Corporation and Sandy Winick
Other Release No.: AAER-2990
See also: SEC Complaint
|
| LR-21082 |
Jun. 12, 2009 |
John S. Morgan, Marian I. Morgan, Morgan European Holdings ApS a/k/a Money Talks, Inc., ApS, Stephen E. Bowman, Bowman Marketing Group, Inc., and Thomas D. Woodcock, Jr.
|
| LR-21081 |
Jun. 12, 2009 |
Aura Financial Services, Inc., Ronald E. Hardy, Jr., Peter C. Dunne, Qais R. Bhavnagari, Dipin Malla, Sandeep Singh, and Raymond Rapaglia
See also: SEC Complaint
|
| LR-21080 |
Jun. 11, 2009 |
Forest Resources Management Corp., et al.
|
| LR-21079 |
Jun. 10, 2009 |
Phillip Macdonald, Martin Gollan, and Michael Goodman
See also: SEC Complaint
|
| LR-21078 |
Jun. 10, 2009 |
Matthew D. Weitzman
See also: SEC Complaint
|
| LR-21077 |
Jun. 9, 2009 |
Christopher M. Kunkel
See also: SEC Complaint
|
| LR-21076 |
Jun. 9, 2009 |
Peter C. Son, Jin K. Chung, SNC Asset Management, Inc., and SNC Investments, Inc.
See also: SEC Complaint
|
| LR-21075 |
Jun. 9, 2009 |
Lorenz Kohler and Swiss Real Estate International Holding AG, Defendants, and Sacho Todorov Dermendjiev, Relief Defendant
See also: SEC Complaint
|
| LR-21074 |
Jun. 9, 2009 |
Berkshire Resources, L.L.C., et al.
|
| LR-21073 |
Jun. 9, 2009 |
John M. Donnelly, et al.
|
| LR-21072 |
Jun. 8, 2009 |
Robert L. Hollier and Wayne A. Dupuis
See also: SEC Complaint
|
| LR-21071 |
Jun. 8, 2009 |
Alexis Ampudia, a/k/a Alexis Geancarlos Ampudia Navalo, a/k/a Alexis Emias, a/k/a Alexis Rojas
|
| LR-21070 |
Jun. 5, 2009 |
Wall Street Communications, Inc. et al.
|
| LR-21069 |
Jun. 4, 2009 |
Tajyar, et al.
See also: SEC Complaint
|
| LR-21068A |
Jun. 4, 2009 |
Angelo Mozilo, David Sambol, and Eric Sieracki
Other Release No.: AAER-3023
See also: SEC Complaint
|
| LR-21067 |
Jun. 4, 2009 |
Lena Yan
|
| LR-21066 |
Jun. 3, 2009 |
Banc of America Investment Services, Inc.; RBC Capital Markets Corporation; and Deutsche Bank Securities Inc.
See also Complaints: Bank of America; RBC; and Deutsche Bank
|
| LR-21065 |
Jun. 1, 2009 |
Charles C. Conaway and John T. McDonald, Jr.
|
| LR-21064 |
May 29, 2009 |
Mark R. Hamlin, Kingdom First Trading, LLC, and Kingdom First Corp.
See also: SEC Complaint
|
| LR-21063 |
May 29, 2009 |
Thomas Wurzel
Other Release No.: AAER-2980
See also: SEC Complaint
|
| LR-21062 |
May 29, 2009 |
David E. Ruskjer
See also: SEC Complaint
|
| LR-21061 |
May 28, 2009 |
William Betta, Jr., et al.
See also: SEC Complaint
|
| LR-21060 |
May 27, 2009 |
Pegasus Wireless Corporation, Jasper Knabb, and Stephen Durland
See also: SEC Complaint
|
| LR-21059 |
May 27, 2009 |
James E. Gansman, et al.
|
| LR-21058 |
May 27, 2009 |
Richard J. Miller, Gary S. Jensen, and Michael E. Beaulieu
See also: SEC Complaint
Other Release No.: AAER-2977
|
| LR-21057 |
May 26, 2009 |
Gendreau & Associates, Inc., and Jacques R. Gendreau |
| LR-21056 |
May 26, 2009 |
PrivateFX Global One Ltd., SA, 36 Holdings, Ltd., Robert D. Watson, and Daniel J. Petroski |
| LR-21055 |
May 21, 2009 |
Wealth Management LLC, James Putman, and Simone Fevola
|
| LR-21054 |
May 21, 2009 |
Richard Karp
See also: SEC Complaint
|
| LR-21053 |
May 21, 2009 |
Pawel P. Dynkowski, Matthew W. Brown, Jacob Canceli, Gerard J. D'Amaro, Joseph Mangiapane Jr., Nathan M. Michaud, Marc J. Riviello and Adam S. Rosengard
See also: SEC Complaint
|
| LR-21052 |
May 20, 2009 |
FTC Capital Markets, Inc., FTC Emerging Markets, Inc. also d/b/a FTC Group, Guillermo David Clamens and Lina Lopez a/k/a Nazly Cucunuba Lopez
See also: SEC Complaint
|
| LR-21051 |
May 20, 2009 |
Zachariah P. Zachariah, et al.
|
| LR-21050 |
May 19, 2009 |
David B. Stocker., et al.
|
| LR-21049 |
May 19, 2009 |
Phillip W. Offill, Jr., et al.
|
| LR-21048 |
May 19, 2009 |
Apogee Technology, Inc., David B. Meyers and Annette Jaynes
Other Release No.: AAER-2972
See also: SEC Complaint
|
| LR-21047 |
May 19, 2009 |
W. Anthony Huff, et al.
|
| LR-21046 |
May 19, 2009 |
Michael Lauer, et al.
|
| LR-21045 |
May 18, 2009 |
Sun Group, et al.
See also: SEC Complaint
|
| LR-21044 |
May 18, 2009 |
WellCare Health Plans, Inc.
Other Release No.: AAER-2971
See also: SEC Complaint
|
| LR-21043 |
May 18, 2009 |
Gregg Thomas Rennie
|
| LR-21042 |
May 18, 2009 |
Monster Worldwide, Inc.
Other Release No.: AAER-2970
See also: SEC Complaint
|
| LR-21041 |
May 15, 2009 |
Gordon A. Driver and Axcess Automation, LLC
See also: SEC Complaint
|
| LR-21040 |
May 15, 2009 |
Wellco Energy, LLC, Justin William Rifkin, Patrick V. Looper, Richard G. Pacheco, and Dustin D. White
See also: SEC Complaint
|
| LR-21039 |
May 15, 2009 |
Gary A. Ray
Other Release No.: AAER-2969
See also: SEC Complaint
|
| LR-21038 |
May 14, 2009 |
Sherbourne Capital Management, Ltd., Sherbourne Financial, Ltd., Paul G. Bultmeyer, and Arthur J. Piacentini
See also: SEC Complaint
|
| LR-21037 |
May 13, 2009 |
Amit Mathur, et al.
|
| LR-21036 |
May 12, 2009 |
Henry Morris et al.
See also: SEC Complaint
|
| LR-21035 |
May 11, 2009 |
Kiselak Capital Group, LLC et al
See also: SEC Complaint
|
| LR-21034 |
May 11, 2009 |
Daniel W. Nodurft
See also: SEC Complaint
|
| LR-21033 |
May 11, 2009 |
Novo Nordisk A/S
See also: SEC Complaint
|
| LR-21032 |
May 11, 2009 |
Robert Todd Beardsley and George Lindenberg
|
| LR-21031 |
May 8, 2009 |
Hartmut Theodor Rose and James Patrick Reedy
See also: SEC Complaint
|
| LR-21030 |
May 8, 2009 |
C. Wesley Rhodes, Jr., Rhodes Econometrics, Inc., The Rhodes Company, and Resource Transactions, Inc.
|
| LR-21029 |
May 8, 2009 |
Courtney D. Smith
|
| LR-21028 |
May 7, 2009 |
Exotics.com, Inc., et al.
|
| LR-21027 |
May 7, 2009 |
Finbar Securities Corp., et al.
|
| LR-21026 |
May 6, 2009 |
Robert P. Copeland
|
| LR-21025 |
May 5, 2009 |
Reserve Management Company, Inc., Resrv Partners, Inc., Bruce Bent Sr. and Bruce Bent II
See also: SEC Complaint
|
| LR-21024 |
May 5, 2009 |
Albert J. Rasch, Jr., Kathleen R. Novinger, Sandra B. Masino, and 144 Opinions, Inc.
See also: SEC Complaint
|
| LR-21023 |
May 5, 2009 |
Jon-Paul Rorech, et. al.
See also: SEC Complaint
|
| LR-21022 |
May 1, 2009 |
Lambert Vander Tuig, The Carolina Development Company, Inc. and Jonathan Carman
|
| LR-21021 |
May 1, 2009 |
Daryn P. Fleming and Mathew C. Bruce
|
| LR-21020 |
Apr. 30, 2009 |
Maher F. Kara, Michael F. Kara, Emile Y. Jilwan, Zahi T. Haddad, Bassam Y. Salman, and Karim I. Bayyouk; Joseph Azar; Nasser Mardini
See also:
SEC Complaint v. Maher F. Kara et al.
SEC Complaint v. Joseph Azar
SEC Complaint v. Nasser Mardini
|
| LR-21019 |
Apr. 30, 2009 |
Golden State Equity Investors, Inc.
See also: SEC Complaint
|
| LR-21018 |
Apr. 30, 2009 |
Henry Morris, David J. Loglisci, Barrett N. Wissman, Raymond B. Harding, Saul M. Meyer, Nosemote LLC, Pantigo Emerging LLC, Purpose LLC, Flandana Holdings Ltd., Tuscany Enterprises LLC, W Investment Strategies, HFV Management LP, HFV Asset Management LP and Aldus Equity Partners, L.P.
See also: SEC Complaint
|
| LR-21017 |
Apr. 29, 2009 |
Bradley L. Ruderman, Ruderman Capital Management, LLC, Ruderman Capital Partners, LLC, and Ruderman Capital Partners A, LLC
See also: SEC Complaint
|
| LR-21016 |
Apr. 29, 2009 |
Frederick J. Barton, Barton Asset Management, LLC, and TwinSpan Capital Management, LLC
|
| LR-21015 |
Apr. 28, 2009 |
Matthew J. Browne
See also: SEC Complaint
|
| LR-21014 |
Apr. 28, 2009 |
Michael Strauss, Stephen Hozie and Robert Bernstein
Other Release No.: AAER-2967
See also: SEC Complaint
|
| LR-21013 |
Apr. 27, 2009 |
Private Equity Management Group LLC, et al.
See also: SEC Complaint
|
| LR-21012 |
Apr. 27, 2009 |
Ponta Negra Fund I, LLC et al.
See also: SEC Complaint
|
| LR-21011 |
Apr. 24, 2009 |
David Praise, et al.
|
| LR-21010 |
Apr. 23, 2009 |
Founding Partners Capital Management Company, William Gunlicks, Sun Capital, Inc., Sun Capital Healthcare, Inc., Founding Partners Stable-Value Fund, LP, Founding Partners Stable-Value Fund II, LP, Founding Partners Global Fund, Ltd., and Founding Partners Hybrid-Value Fund, LP.
See also: SEC Complaint
|
| LR-21009 |
Apr. 22, 2009 |
Benny L. Judah, et al.
See also: SEC Complaint
|
| LR-21008 |
Apr. 21, 2009 |
Joseph J. Queri, Jr., Gary M. Gosson, et al.; Joseph J. Queri, Jr., Joseph J. Queri, Sr., et al.
|
| LR-21007 |
Apr. 20, 2009 |
David A. Williams, Sherwood Secured Income Fund, LLC, WFG Holdings, Inc., and Williams Financial Group, LLC
See also: SEC Complaint
|
| LR-21006 |
Apr. 20, 2009 |
Donald Anthony Walker Young, et al.
See also: SEC Complaint
|
| LR-21005 |
Apr. 17, 2009 |
William M. Gallahair
|
| LR-21004 |
Apr. 16, 2009 |
J. Thomas Talbot
|
| LR-21003 |
Apr. 15, 2009 |
Michael E. Kelly, et al.
|
| LR-21002 |
Apr. 15, 2009 |
Edward T. Stein et al.
|
| LR-21001 |
Apr. 15, 2009 |
Henry Morris, David J. Loglisci, Barrett N. Wissman, Raymond B. Harding, Nosemote LLC, Pantigo Emerging LLC, Purpose LLC, Flandana Holdings Ltd., Tuscany Enterprises LLC, W Investment Strategies, HFV Management LP and HFV Asset Management LP
See also: SEC Complaint
|
| LR-21000 |
Apr. 15, 2009 |
Tri Energy, Inc., H & J Energy Company, Inc., Marina Investors Group, Inc., Lowell Decker, Robert Jennings, Henry Jones, Arthur Simburg, Mildred Stultz, DJM, LLC, Financial MD, Inc., Financial MD and Associates, Inc., Daniel J. Merriman, Global Village Records, and La Vie D'Argent, as defendants, and R.P.J. Investment Group, Inc., T.M.A. Investment Enterprises, Thomas Avery, and Wing NGA Lau, a/k/a Adrienne Lau, as relief defendants
|
| LR-20999 |
Apr. 14, 2009 |
Osvaldo Pitters, Terrell J. Kuykendall and Steven M. Ivester
|
| LR-20998 |
Apr. 14, 2009 |
Isaac I. Ovid, Aaron Riddle, J. Jonathan Coleman, Stephen Cina, Cory A. Martin, Timothy Smith, Robert J. Riddle, Jadis Capital, Inc., Jadis Investments, LLC, and Logos Multi-Strategy Hedge Fund I, LP
See also: SEC Complaint
|
| LR-20997 |
Apr. 13, 2009 |
Maximum Return Investments, Inc. and Clelia A. Flores
|
| LR-20996 |
Apr. 10, 2009 |
Crossroads Financial Planning, Inc., and Julie M. Jarvis
See also: SEC Complaint
|
| LR-20995 |
Apr. 10, 2009 |
Kent H. Roberts
|
| LR-20994 |
Apr. 9, 2009 |
Robert P. Copeland
See also: SEC Complaint
|
| LR-20993A |
Apr. 8, 2009 |
Lydia Capital, LLC et al.
|
| LR-20992 |
Apr. 7, 2009 |
Market Street Advisors, Shawn R. Merriman, LLC-1, LLC-2, Marque LLC-3, and LLC-4
See also: SEC Complaint
|
| LR-20991 |
Apr. 7, 2009 |
Finbar Securities Corp., et al.
See also: SEC Complaint
|
| LR-20990 |
Apr. 7, 2009 |
Ryan M. Reynolds, et al.
See also: SEC Amended Complaint |
| LR-20989 |
Apr. 6, 2009 |
Gregory L. Reyes, et al.
|
| LR-20988 |
Apr. 6, 2009 |
Oversea Chinese Fund Limited Partnership, et al.
See also: SEC Complaint
|
| LR-20987 |
Apr. 6, 2009 |
Whispering Winds Properties, LLC; LM Beagle Properties, LLC; Karlena, Inc.; Axis International, Inc.; and Dan Wise aka Danny Wise
|
| LR-20986 |
Apr. 3, 2009 |
Sun Empire LLC, et al.
See also: SEC Complaint
|
| LR-20985 |
Apr. 3, 2009 |
Spear & Jackson, Inc., et al.
|
| LR-20984 |
Apr. 2, 2009 |
Frank C. Calmes, Lynn D. Rowntree, Manny J. Shulman, James E. Pratt, et al.
|
| LR-20983 |
Apr. 1, 2009 |
Edward T. Stein, et. al.
|
| LR-20982 |
Apr. 1, 2009 |
Take-Two Interactive Software, Inc.
Other Release No.: AAER-2957
See also: SEC Complaint
|
| First Quarter |
| LR-20981 |
Mar. 31, 2009 |
John Hyun Joon Min and Dime Financial Group LLC
See also: SEC Complaint
|
| LR-20980 |
Mar. 31, 2009 |
Forest Resources Management Corp., et al.
|
| LR-20979 |
Mar. 30, 2009 |
CyberKey Solutions, Inc. and James E. Plant
|
| LR-20978 |
Mar. 30, 2009 |
WMDS, Inc. One Universe Online, Inc., Seng Tan, James Bunchan and Christian Rochon
Other Release No.: AAER-2956
|
| LR-20977 |
Mar. 27, 2009 |
Andrew S. Mackey and Inger L. Jensen
|
| LR-20976 |
Mar. 27, 2009 |
Sonja Anticevic, et al.
|
| LR-20975 |
Mar. 27, 2009 |
Delphi Corporation, Judith Kudla, et al.
Other Release No.: AAER-2955
|
| LR-20974 |
Mar. 26, 2009 |
Millennium Bank, et al.
See also: SEC Complaint
|
| LR-20973 |
Mar. 25, 2009 |
Gerald P. Alexander, CJB Consulting, Inc., and Regis Filia Holdings, Inc.
See also: SEC Complaint
|
| LR-20972 |
Mar. 25, 2009 |
The Nutmeg Group, LLC, et al.
See also: SEC Complaint
|
| LR-20971 |
Mar. 25, 2009 |
John M. Donnelly, et al.
|
| LR-20970 |
Mar. 24, 2009 |
David Scott Cacchione
See also: SEC Complaint
|
| LR-20969 |
Mar. 24, 2009 |
Innova Energy LLC, et al.
See also: SEC Complaint
|
| LR-20968 |
Mar. 23, 2009 |
International Realty Holdings, Inc., et al.
See also: SEC Complaint
|
| LR-20967 |
Mar. 23, 2009 |
Anthony Vassallo, Kenneth Kenitzer, and Equity Investment Management and Trading, Inc.
|
| LR-20966 |
Mar. 23, 2009 |
Anthony A. James and James Asset Advisory, L.L.C.
|
| LR-20965 |
Mar. 23, 2009 |
Escala Group, Inc., Gregory Manning, and Larry Lee Crawford, CPA
Other Release No.: AAER-3031
See also: SEC Complaint
|
| LR-20964 |
Mar. 20, 2009 |
Mercury Interactive, LLC (f/k/a Mercury Interactive Corporation), Amnon Landan, Sharlene Abrams, Douglas Smith, and Susan Skaer
Other Release No.: AAER-2953
|
| LR-20963 |
Mar. 19, 2009 |
Henry Morris, David Loglisci, Nosemote LLC, Pantigo Emerging LLC, and Purpose LLC
See also: SEC Complaint
|
| LR-20962A |
Mar. 18, 2009 |
Albert K. Hu, Asenqua, Inc., Asenqua Capital Management, LLC, AQC Asset Management, Ltd., and Fireside Capital Management, Ltd.
See also: SEC Complaint
|
| LR-20961 |
Mar. 18, 2009 |
Darrel T. Uselton and Jack E. Uselton
|
| LR-20960 |
Mar. 18, 2009 |
Sky Way Global LLC (dba Sky Way Global, Inc.), Brent C. Kovar, Glenn A. Kovar, James S. Kent, Kenneth Bruce Baker (aka Bruce Baker), and Kenneth R. Kramer
See also: SEC Complaint
|
| LR-20959 |
Mar. 18, 2009 |
David G. Friehling, C.P.A and Friehling & Horowitz, CPA's, P.C.
Other Release No.: AAER-2992
See also: SEC Complaint
|
| LR-20958 |
Mar. 17, 2009 |
Tecumseh Holdings Corporation, et al.
|
| LR-20957 |
Mar. 17, 2009 |
Paul M. Gozzo and PMG Capital, LLC
See also: SEC Complaint
|
| LR-20956 |
Mar. 16, 2009 |
K.W. Brown and Company, et al.
|
| LR-20955 |
Mar. 13, 2009 |
Peter W. Fisher, et al. and Phillip W. Offill, Jr., et al.
|
| LR-20954 |
Mar. 13, 2009 |
Glenn E. Glasshagel
|
| LR-20953A |
Mar. 13, 2009 |
Michael Biello
See also: SEC Complaint
|
| LR-20952 |
Mar. 13, 2009 |
Automated Trading Desk Specialists, LLC; E*Trade Capital Markets LLC; Melvin Securities, LLC and Melvin & Company, LLC; Sydan, LP; and TradeLink, LLC
|
| LR-20951 |
Mar. 13, 2009 |
Sunwest Management, Inc., et al.
|
| LR-20950 |
Mar. 12, 2009 |
Quest Software, Inc., Vincent C. Smith, John J. Laskey, and Kevin E. Brooks
Other Release No.: AAER-2949
See also: SEC Complaint
|
| LR-20949A |
Mar. 12, 2009 |
MedQuist Inc.; John A. Donohoe; and Brian J. Kearns and Bruce J. Van Fossen
Other Release No.: AAER-3022A
See also:
SEC Complaint v. MedQuist Inc.
SEC Complaint v. John A. Donohoe, Jr.
SEC Complaint v. Brian J. Kearns and Bruce J. Van Fossen
|
| LR-20948 |
Mar. 12, 2009 |
Brian Travis, et al.
See also: SEC Complaint
|
| LR-20947 |
Mar. 12, 2009 |
Howard P. Richman
|
| LR-20946 |
Mar. 12, 2009 |
Brian J. Smart, et al.
See also: SEC Complaint
|
| LR-20945 |
Mar. 11, 2009 |
PowerCold Corporation, Francis L. Simola, Joseph C. Cahill, and Grayling R. Hofer
Other Release No.: AAER-2948
See also: SEC Complaint
|
| LR-20944 |
Mar. 11, 2009 |
Peter W. Fisher, et al.; Phillip W. Offill, Jr., et al.; David B. Stocker, et al.
|
| LR-20943 |
Mar. 11, 2009 |
Anthony Vassallo, Kenneth Kenitzer, and Equity Investment Management and Trading, Inc.
See also: SEC Complaint
|
| LR-20942 |
Mar. 11, 2009 |
Stephen P. Gardner, et al.
Other Release No.: AAER-2947
|
| LR-20941 |
Mar. 11, 2009 |
John M. Donnelly, et al.
See also: SEC Complaint
|
| LR-20940 |
Mar. 10, 2009 |
C. Jones & Company, Carter Allen Jones, Timothy J. Miles, Gaylen P. Johnson, and Jonathan Curshen
|
| LR-20939 |
Mar. 10, 2009 |
iBIZ Technology Corp., Kenneth W. Schilling, H. Mark Perkins, Jeffrey Firestone, Jerrold B. McRoberts, and D. Scott Elliott
|
| LR-20938 |
Mar. 10, 2009 |
Allen Barnett, et al.
Other Release No.: AAER-2946
See also: SEC Complaint
|
| LR-20937 |
Mar. 9, 2009 |
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
See also: SEC Complaint
|
| LR-20936 |
Mar. 9, 2009 |
Locke Capital Management, Inc. and Leila C. Jenkins
See also: SEC Complaint
|
| LR-20935 |
Mar. 6, 2009 |
Shelby Dean Martin, D. Martin Enterprises, Inc. and DM Ventures, LLC
See also: SEC Complaint
|
| LR-20934 |
Mar. 6, 2009 |
Gary Richetelli
See also: SEC Complaint
|
| LR-20933A |
Mar. 6, 2009 |
Martin G. Fraser, Don W. Watson, Edward W. O'Brien, and Gary M. Opper
Other Release No.: AAER-3024
|
| LR-20932 |
Mar. 6, 2009 |
CRE Capital Corporation and James G. Ossie
|
| LR-20931 |
Mar. 5, 2009 |
Anthony Fareri, Fareri Financial Services, Inc. d/b/a Amerifinancial, and Anthony Fareri & Associates, Inc.
See also: SEC Complaint
|
| LR-20930 |
Mar. 5, 2009 |
John W. Lawton, Paramount Partners LP, and Crossroad Capital Management, LLC
See also: Order of Preliminary Injunction
|
| LR-20929 |
Mar. 5, 2009 |
Competitive Technologies, Inc., et. al
|
| LR-20928 |
Mar. 5, 2009 |
Zahra Ghods and RUSA Cap., Inc., Defendants, and Unisource Cap., LLC, Relief Defendant
|
| LR-20927 |
Mar. 5, 2009 |
Pediatrix Medical Group, Inc.
Other Release No.: AAER-2943
See also: SEC Complaint
|
| LR-20926 |
Mar. 5, 2009 |
Diversified Lending Group, Inc., et al.
|
| LR-20925 |
Mar. 4, 2009 |
Ray M. White and CRW Management, L.P.
See also: SEC Complaint and Order
|
| LR-20924 |
Mar. 4, 2009 |
James M. Nicholson, et. al.
|
| LR-20923 |
Mar. 4, 2009 |
Scott A. Livengood, John W. Tate, and Randy S. Casstevens
See also: SEC Complaint
|
| LR-20922 |
Mar. 4, 2009 |
Automated Trading Desk Specialists, LLC; E*Trade Capital Markets LLC; Melvin Securities, LLC and Melvin & Company, LLC; Sydan, LP; and TradeLink, LLC
See also:
SEC Complaint v. Automated Trading Desk Specialists, LLC
SEC Complaint v. E*Trade Capital Markets LLC
SEC Complaint v. Melvin Securities, LLC and Melvin & Company, LLC
SEC Complaint v. Sydan, LP
SEC Complaint v. TradeLink, LLC
|
| LR-20921 |
Mar. 3, 2009 |
Stephen L. Hochberg
|
| LR-20920 |
Mar. 2, 2009 |
Sunwest Management, Inc., Canyon Creek Development, Inc., Canyon Creek Financial, LLC, and Jon M. Harder
See also: SEC Complaint
|
| LR-20919 |
Mar. 2, 2009 |
Nathan A. Chapman, et al.
|
| LR-20918 |
Feb. 27, 2009 |
Daren L. Palmer and Trigon Group, Inc.
|
| LR-20917 |
Feb. 27, 2009 |
Phillip R. Trujillo, Wealth Management Resources, LLC, PTV 22, LLC, PTV 33, LLC, and PTV 44, LLC
See also: SEC Complaint
|
| LR-20916 |
Feb. 26, 2009 |
Lawrence B. Evans et al.
Other Release No.: AAER-2940
|
| LR-20915 |
Feb. 26, 2009 |
Matthew E. Kopsky and Ronald W. Davis
|
| LR-20914 |
Feb. 26, 2009 |
Zomax, Inc., et al.
|
| LR-20913 |
Feb. 25, 2009 |
North Hills Management LLC, et al.
See also: SEC Complaint
|
| LR-20912 |
Feb. 25, 2009 |
WG Trading Investors, L.P., et al.
See also: SEC Complaint
|
| LR-20911 |
Feb. 25, 2009 |
James M. Nicholson and Westgate Capital Management, LLC, Defendants, and Westgate Absolute Return Fund, LP, et al., Relief Defendants
See also: SEC Complaint
|
| LR-20910 |
Feb. 25, 2009 |
Frederick O'Meally, et. al.
|
| LR-20909 |
Feb. 24, 2009 |
Victor P. Machado and Frank Lu
See also: SEC Complaint
|
| LR-20908 |
Feb. 23, 2009 |
Global Development & Environmental Resources, Inc., et al.
|
| LR-20907 |
Feb. 20, 2009 |
John W. Lawton, Paramount Partners LP, and Crossroad Capital Management, LLC
See also: SEC Complaint and Temporary Restraining Order
|
| LR-20906 |
Feb. 19, 2009 |
Billion Coupons, Inc. (aka Billion Coupons Investment) and Marvin R. Cooper
See also: SEC Complaint
|
| LR-20905 |
Feb. 18, 2009 |
UBS AG
See also: SEC Complaint
|
| LR-20904 |
Feb. 18, 2009 |
William L. Walters
|
| LR-20903 |
Feb. 17, 2009 |
Biovail Corporation, Eugene Melnyk, Brian Crombie, John Miszuk, and Kenneth G. Howling
|
| LR-20902 |
Feb. 17, 2009 |
Research in Motion Limited, Dennis Kavelman, Arcangelo Loberto, James Balsillie and Mihal Lazaridis
Other Release No.: AAER-2937
See also: SEC Complaint
|
| LR-20901 |
Feb. 17, 2009 |
Stanford International Bank, et al.
See also: SEC Complaint;
SEC First Amended Complaint; Memorandum of Law
|
| LR-20900 |
Feb. 13, 2009 |
Virginia A. Papa, Kevin F. Crain, and Sandra G. Childs
|
| LR-20899 |
Feb. 12, 2009 |
George Georgiou
See also: SEC Complaint
|
| LR-20898 |
Feb. 11, 2009 |
Meridian Holdings, Inc., Anthony C. Dike and Michelle V. Nguyen
Other Release No.: AAER-2936
|
| LR-20897A |
Feb. 11, 2009 |
Halliburton Company and KBR, Inc.
Other Release No.: AAER-2935A
See also: SEC Complaint
|
| LR-20896 |
Feb. 11, 2009 |
ITT Corporation
Other Release No.: AAER-2934
See also: SEC Complaint
|
| LR-20895 |
Feb. 10, 2009 |
Joseph J. Queri Jr., Gary M. Gosson, et al.
|
| LR-20894 |
Feb. 10, 2009 |
Marc T. Duchesne, Jeffrey A. Hayden, Gregory A. Moffit, Robert S. Parsley, and Nationwide Capital Corp.
|
| LR-20893 |
Feb. 10, 2009 |
Grant Ivan Grieve, Finvest Asset Management, LLC; and Finvest Fund Management, LLC
See also: SEC Complaint
|
| LR-20892 |
Feb. 10, 2009 |
George David Gordon, Joshua Wayne Lankford, and Dean Joseph Sheptycki
See also: SEC Complaint
|
| LR-20891 |
Feb. 10, 2009 |
Thom A. Faria, Stephen J. McLaughlin and William M. Stickney
Other Release No.: AAER-2932
|
| LR-20890 |
Feb. 9, 2009 |
Craig T. Jolly and Quest Holdings, Inc.
See also: SEC Complaint
|
| LR-20889 |
Feb. 9, 2009 |
Bernard L. Madoff and Bernard L. Madoff Investment Securities LLC
|
| LR-20888 |
Feb. 6, 2009 |
Lewis E. Graham II and FLOWorks, Inc., defendants, and Linworth LLC, relief defendant
See also: SEC Complaint
|
| LR-20887 |
Feb. 6, 2009 |
Andrew S. Mackey and Inger L. Jensen
|
| LR-20886 |
Feb. 6, 2009 |
Ross Owen Haugen
|
| LR-20885 |
Feb. 5, 2009 |
Wachovia Securities, LLC
See also: SEC Complaint
|
| LR-20884 |
Feb. 5, 2009 |
Nicos Achilleas Stephanou, Ramesh Chakrapani, Achilleas Stephanou, George Paparrizos a/k/a Georgios Paparrizos, Konstantinos Paparrizos, Michael G. Koulouroudis and Joseph Contorinis
See also: SEC Complaint
|
| LR-20883 |
Feb. 5, 2009 |
Enterprises, LLC, Brian V. Prendergast, Worldwide Equity Corporation, Donald R. Smith, and Yuail I. Enwia
See also: SEC Complaint
|
| LR-20882 |
Feb. 4, 2009 |
Mark T. Turkcan
Other Release No.: AAER-2930
See also: SEC Complaint
|
| LR-20881 |
Feb. 4, 2009 |
Stefan H. Benger, et al.
See also: SEC Complaint
|
| LR-20880 |
Feb. 4, 2009 |
Biovail Corporation, Eugene Melnyk, Brian Crombie, John Miszuk, and Kenneth G. Howling
|
| LR-20879 |
Feb. 4, 2009 |
Scott M. Ross
See also: SEC Complaint
|
| LR-20878 |
Feb. 2, 2009 |
Forest Resources Management Corp., et al.
|
| LR-20877 |
Feb. 2, 2009 |
Vector Medical Technologies, Inc., Michael H. Salit, James P. Farnell, Michael J. Farnell, David A. Zimmerman, and Stanley Wasser
|
| LR-20876 |
Jan. 30, 2009 |
Lumenis Ltd., Sagi A. Genger and Kevin Morano
Other Release No.: AAER-2929
|
| LR-20875 |
Jan. 30, 2009 |
James N. Stanard, et al.
|
| LR-20874 |
Jan. 30, 2009 |
Gen-See Capital Corporation and Richard S. Piccoli
|
| LR-20873 |
Jan. 28, 2009 |
Gordon B. Grigg and ProTrust Management, Inc., et al.
See also: SEC Complaint
|
| LR-20872 |
Jan. 28, 2009 |
Lydia Capital, LLC et al.
|
| LR-20871 |
Jan. 28, 2009 |
Asset Recovery and Management Trust, et. al.
|
| LR-20870 |
Jan. 28, 2009 |
James Mulhearn, Damian Delgado, and Adrian Balboa
|
| LR-20869 |
Jan. 27, 2009 |
Jeffery Steven Stone, et al.
|
| LR-20868A |
Jan. 26, 2009 |
University Lab Technologies, Inc., et al.
|
| LR-20867 |
Jan. 26, 2009 |
Transnational Fund, Inc., a/k/a National Savings, and Michael Luckett
|
| LR-20866 |
Jan. 26, 2009 |
Jordan H. Mintz and Rex R. Rogers
Other Release No.: AAER-2925
|
| LR-20865 |
Jan. 23, 2009 |
Gregg Thomas Rennie
See also: SEC Complaint
|
| LR-20864 |
Jan. 23, 2009 |
Ranko Cucuz, William D. Shovers, Jesus Bonilla-Valdez, Ronald Lee Kolakowski, and HLI Operating Company, Inc., f/k/a Hayes Lemmerz International, Inc.
Other Release No.: AAER-2923
|
| LR-20863A |
Jan. 22, 2009 |
Aaron S. Cooksey
See also: SEC Complaint
|
| LR-20862 |
Jan. 22, 2009 |
Catherine R. McEnroe, Noreen O'Loughlin and Martin R. von Ruden
Other Release No.: AAER-2922
See also: SEC Complaint
|
| LR-20861 |
Jan. 22, 2009 |
General Motors Corporation
Other Release No.: AAER-3033
See also: SEC Complaint
|
| LR-20860 |
Jan. 21, 2009 |
Urs Kamber, Stephan Husi and Richard Jon May
Other Release No.: AAER-2919
|
| LR-20859 |
Jan. 21, 2009 |
Ross Owen Haugen
See also: SEC Complaint
|
| LR-20858 |
Jan. 21, 2009 |
Arthur Nadel, et al.
See also: SEC Complaint
|
| LR-20857 |
Jan. 21, 2009 |
Rod Cameron Stringer, individually and d/b/a RCS Hedge Fund
|
| LR-20856 |
Jan. 15, 2009 |
Platforms Wireless International Corp., William C. Martin, Charles B. Nelson, Robert D. Perry, Francois M. Draper, and Victor L. Ziller
|
| LR-20855 |
Jan. 15, 2009 |
Marco Glisson
See also: SEC Complaint
|
| LR-20854 |
Jan. 15, 2009 |
BarrierMed, Inc., BarrierMed Glove Co. and Victor J. Ragucci
See also: SEC Complaint
|
| LR-20853 |
Jan. 15, 2009 |
CRE Capital Corporation and James G. Ossie
See also: SEC Complaint
|
| LR-20852 |
Jan. 13, 2009 |
John Zeglis, As Executor, Successor/Representative To James D. Zeglis, Gautam Gupta, Lance D. McKee, and Jim W. Dixon
|
| LR-20851 |
Jan. 13, 2009 |
Kevin J. Heron
|
| LR-20850 |
Jan. 12, 2009 |
Jarrod W. McMillin, et al.
See also: SEC Complaint
|
| LR-20849 |
Jan. 9, 2009 |
Gen-See Capital Corp. and Richard S. Piccoli
|
| LR-20848 |
Jan. 8, 2009 |
Gen-See Capital Corp. and Richard S. Piccoli
See also: SEC Complaint
|
| LR-20847 |
Jan. 8, 2009 |
Joseph S. Forte, et al.
See also: SEC Complaint
|
| LR-20846 |
Jan. 7, 2009 |
Joel Steinger, et al.
|
| LR-20845 |
Jan. 7, 2009 |
Stephen C. Sayre, et al.
|
| LR-20844 |
Jan. 6, 2009 |
Martin J. Druffner, et. al.
|
| LR-20843 |
Jan. 6, 2009 |
Savvides & Partners/PKF Cyprus, Pavlos Meletiou, R.K. Dhawan and Co., and R.K. Dhawan
Other Release No.: AAER-2917
|
| LR-20842 |
Jan. 6, 2009 |
Anthony A. James
|
| LR-20841 |
Jan. 5, 2009 |
Braintree Energy, Inc. and Howard Graham
|
http://www.sec.gov/litigation/litreleases/litrelarchive/litarchive2009.shtml
|
