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Litigation Releases Archives 2010
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
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 SEC Litigation Releases RSS Feed
| Release No. |
Date |
Action |
|
Fourth Quarter
|
|
LR-21795
|
Dec 27, 2010 |
Alcatel-Lucent, S.A.
See also: SEC Complaint |
|
LR-21794
|
Dec 23, 2010 |
One or More Unknown Purchasers of Options of InterMune, Inc.
See also: SEC Complaint |
|
LR-21793
|
Dec 23, 2010 |
Michael E. Kelly, et al. |
|
LR-21792
|
Dec 23, 2010 |
One or More Unknown Purchasers of Securities of Martek Biosciences Corporation |
|
LR-21791
|
Dec 22, 2010 |
Pharma Holdings, Inc., Edward Klapp IV and Edward Klapp Jr.
See also: SEC Complaint |
|
LR-21790
|
Dec 22, 2010 |
Amit V. Patel
See also: SEC Complaint |
|
LR-21789
|
Dec 22, 2010 |
Kenneth W. Burnt, Perimeter Wealth Financial Services, Inc., and KSB Financial, Inc.
See also: SEC Complaint |
|
LR-21788
|
Dec 22, 2010 |
Jason R. Hyatt, Jay Johnson and Hyatt Johnson Capital, LLC |
|
LR-21787
|
Dec 21, 2010 |
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
See also: SEC Complaint |
|
LR-21786
|
Dec 21, 2010 |
Alternate Energy Holdings, Inc., Donald L. Gillispie, and Jennifer Ransom, Defendants, and Bosco Financial, LLC and Energy Executive Consulting, LLC, Relief Defendants |
|
LR-21785
|
Dec 20, 2010 |
Alfred Clay Ludlum III, Printz Capital Management, LLC, Printz Financial Group, Inc., and PCM Global Holdings, LLC
See also: SEC Complaint |
|
LR-21784
|
Dec 20, 2010 |
Joseph M. Elles
Other Release Number(s): AAER-3219
See also: SEC Complaint |
|
LR-21783
|
Dec 16, 2010 |
Alternate Energy Holdings, Inc., Donald L. Gillispie, and Jennifer Ransom, Defendants, and Bosco Financial, LLC and Energy Executive Consulting, LLC, Relief Defendants |
|
LR-21782
|
Dec 16, 2010 |
Kenneth Ira Starr, et al
See also: SEC Complaint |
|
LR-21781
|
Dec 16, 2010 |
William K. Harrison, et al. |
|
LR-21780
|
Dec 15, 2010 |
Banc of America Securities LLC and Banc of America Investment Services, Inc. |
|
LR-21779
|
Dec 15, 2010 |
Marcus Luna, Nathan Montgomery, Adam Daskivich, David Murtha, St. Paul Venture Fund LLC, Minnesota Venture Capital, Inc., Real Estate of Minnesota, Inc., Matrix Venture Capital, Inc.
See also: SEC Complaint |
|
LR-21778
|
Dec 13, 2010 |
Alanar, Inc., et al. |
|
LR-21777
|
Dec 13, 2010 |
William A. Huber and Hubadex, Inc. |
|
LR-21776
|
Dec 13, 2010 |
Smart Online, Inc., et al. |
|
LR-21775
|
Dec 13, 2010 |
Arthur Nadel, et al. |
|
LR-21774
|
Dec 13, 2010 |
BarrierMed, Inc., BarrierMed Glove Co. and Victor J. Ragucci |
|
LR-21773
|
Dec 13, 2010 |
Superior Opportunities, Inc., et al. |
|
LR-21772
|
Dec 13, 2010 |
Helvetia Pharmaceuticals, Inc., et al. |
|
LR-21771
|
Dec 13, 2010 |
Mercer Capital, Inc, et al. |
|
LR-21770
|
Dec 10, 2010 |
RAE Systems Inc.
See also: SEC Complaint |
|
LR-21769
|
Dec 10, 2010 |
Vitesse Semiconductor Corporation, Louis R. Tomasetta, Eugene F. Hovanec, Yatin D. Mody, and Nicole R. Kaplan
Other Release Number(s): AAER-3217
See also: SEC Complaint |
|
LR-21768
|
Dec 10, 2010 |
Daniel Spitzer et al. |
|
LR-21767
|
Dec 8, 2010 |
Brett A. Cohen and David V. Myers
See also: SEC Complaint |
|
LR-21766
|
Dec 8, 2010 |
One or More Unknown Purchasers of Securities of Wimm-Bill-Dann Foods OJSC
See also: Temporary Restraining Order |
|
LR-21765
|
Dec 7, 2010 |
Jeffery J. Temple and Benedict M. Pastro
See also: SEC Complaint |
|
LR-21764
|
Dec 6, 2010 |
Joshua Konigsberg, Louis Fischler, and MediSys Corp. |
|
LR-21763
|
Dec 6, 2010 |
Daniel O'Riordan |
|
LR-21762
|
Dec 6, 2010 |
Stephen F. Clifford d/b/a Clifford Financial Assocs. |
|
LR-21761
|
Dec 3, 2010 |
Clifton K. Oram, et al. |
|
LR-21760
|
Dec 2, 2010 |
BroCo Investments, Inc. and Valery Maltsev |
|
LR-21759
|
Dec 1, 2010 |
Jennifer L. Dodge, Grant M. Carroll, Tamara M. Davis, and The Cornerstone TKD, LLC |
|
LR-21758
|
Nov 30, 2010 |
Arnold McClellan and Annabel McClellan
See also: SEC Complaint |
|
LR-21757
|
Nov 24, 2010 |
One Equity Corp., et al. |
|
LR-21756
|
Nov 24, 2010 |
Charles William Petty, II, et al. |
|
LR-21755
|
Nov 24, 2010 |
Crossroads Financial Planning, Inc., and Julie M. Jarvis, et al. |
|
LR-21754
|
Nov 23, 2010 |
Richard Dalton and Universal Consulting Resources LLC, Defendants, and Marie Dalton, Relief Defendant
See also: SEC Complaint |
|
LR-21753
|
Nov 23, 2010 |
Jacob (“Kobi”) Alexander, et al.
Other Release Number(s): AAER-3215 |
|
LR-21752
|
Nov 22, 2010 |
Financial Services Moskop and Associates, Inc. and Edward L. Moskop
See also: SEC Complaint |
|
LR-21751
|
Nov 22, 2010 |
George Georgiou |
|
LR-21750
|
Nov 18, 2010 |
Joanne Crupi and Annette Bongiorno
See also: SEC Complaints: Joann Crupi and Annette Bongiorno |
|
LR-21749
|
Nov 18, 2010 |
Mohit A. Khanna, MAK 1 Enterprises Group, LLC, et al. |
|
LR-21748
|
Nov 18, 2010 |
Steven L. Rattner
See also: SEC Complaint |
|
LR-21747
|
Nov 17, 2010 |
Richard Dalton and Universal Consulting Resources LLC, Defendants, and Marie Dalton, Relief Defendant
See also: SEC Complaint |
|
LR-21746
|
Nov 17, 2010 |
Merendon Mining (Nevada) Inc., Larry Lee Adair, Milowe Allen Brost a/k/a Milo Brost, M.B. Gonne or Phillip K. Collins, Ward K. Capstick, Bradley Dean Regier, Gary Allen Sorenson a/k/a Don Grey Fox, Martin M. Werner, Syndicated Gold Depository Inc., now known as Bahama Resources Alliance Ltd., Merendon Mining Corp. Ltd., Institute For Financial Learning Group of Companies, Inc. |
|
LR-21745
|
Nov 17, 2010 |
Charles C. Conaway and John T. McDonald, Jr. |
|
LR-21744
|
Nov 16, 2010 |
Scott M. Ross |
|
LR-21743
|
Nov 15, 2010 |
Winning Kids, Inc., et al. |
|
LR-21742
|
Nov 15, 2010 |
Integrity Financial AZ, LLC, Steven R. Long, Stanley M. Paulic, Walter W. Knitter, and Robert C. Koeller |
|
LR-21741
|
Nov 15, 2010 |
Lanexa Management LLC and Thomas C. Hardin and Franz N. Tudor
See also: SEC Complaints: Lanexa Management LLC and Thomas C. Hardin and Franz N. Tudor |
|
LR-21740
|
Nov 15, 2010 |
Thomas C. Hardin
See also: SEC Complaint |
|
LR-21739
|
Nov 15, 2010 |
Amit Mathur, Entrust Capital Management, Inc., and Raheev Johar |
|
LR-21738
|
Nov 12, 2010 |
Great American Technologies, Inc. and Vincent Setteducate a/k/a Vincent Sette |
|
LR-21737
|
Nov 10, 2010 |
Joseph Paul Zada and Zada Enterprises, LLC
See also: SEC Complaint |
|
LR-21736
|
Nov 10, 2010 |
Overland Energy, Inc., Acorn Energy, Inc., Garry B. Smith, Robert J. Nelson and Steven M. Ray, Defendants, and Tega Operating Company, Relief Defendant
See also: SEC Complaint |
|
LR-21735
|
Nov 10, 2010 |
LocatePlus Holdings Corporation
Other Release Number(s): AAER-3213
See also: SEC Complaint |
|
LR-21734
|
Nov 10, 2010 |
Robert J. Sucarato d/b/a New York Financial Company |
|
LR-21733
|
Nov 9, 2010 |
Duane Martin and Gary Trump
Other Release Number(s): AAER-3212 |
|
LR-21732
|
Nov 8, 2010 |
Galleon Management, LP, et al. |
|
LR-21731
|
Nov 4, 2010 |
Alero Odell Mack, Jr., et al.
See also: SEC Complaint |
|
LR-21730
|
Nov 4, 2010 |
Igor Poteroba, Aleksey Koval, Alexander Vorobiev, and Relief Defendants Tatiana Vorobieva and Anjali Walter |
|
LR-21729
|
Nov 4, 2010 |
Tidewater Inc.
Other Release Number(s): AAER-3207
See also: SEC Complaint |
|
LR-21728
|
Nov 4, 2010 |
Noble Corporation
Other Release Number(s): AAER-3206
See also: SEC Complaint |
|
LR-21727
|
Nov 4, 2010 |
Panalpina, Inc.
Other Release Number(s): AAER-3205
See also: SEC Complaint |
|
LR-21726
|
Nov 4, 2010 |
Pride International, Inc.
Other Release Number(s): AAER-3203
See also: SEC Complaint |
|
LR-21725
|
Nov 4, 2010 |
Transocean Inc.
Other Release Number(s): AAER-3202
See also: SEC Complaint |
|
LR-21724
|
Nov 4, 2010 |
GlobalSantaFe Corp.
Other Release Number(s): AAER-3201
See also: SEC Complaint |
|
LR-21723
|
Nov 3, 2010 |
Gary A. Reys |
|
LR-21722
|
Nov 3, 2010 |
Cohmad Securities Corp., et al. |
|
LR-21721
|
Nov 2, 2010 |
Dr. Yves M. Benhamou
See also: SEC Complaint |
|
LR-21720
|
Nov 2, 2010 |
Noor Mohammed
See also: SEC Complaint |
|
LR-21719
|
Nov 2, 2010 |
Javeed A. Matin and Wilshire Equity, Inc.
See also: SEC Complaint |
|
LR-21718
|
Nov 1, 2010 |
Cohmad Securities Corp., et al.
See also: SEC Complaint |
|
LR-21717
|
Oct 29, 2010 |
Michael Muzio |
|
LR-21716
|
Oct 29, 2010 |
BIH Corporation, et al. |
|
LR-21715
|
Oct 29, 2010 |
Steven Brewer, Adam Erickson, Brewer Investment Group, LLC, Brewer Financial Services, LLC, and Brewer Investment Advisors, LLC
See also: SEC Complaint |
|
LR-21714
|
Oct 29, 2010 |
James D. Sterling
See also: SEC Complaint |
|
LR-21713
|
Oct 29, 2010 |
Elite Resources, LLC, et al.
See also: SEC Complaint |
|
LR-21712
|
Oct 28, 2010 |
Boston Trading and Research, LLC, Ahmet Devrim Akyil and Craig Karlis
See also: SEC Complaint |
|
LR-21711
|
Oct 27, 2010 |
Stephen F. Clifford d/b/a Clifford Financial Assocs. |
|
LR-21710
|
Oct 27, 2010 |
Presto Telecommunications, Inc. and Alfred Louis Vassallo, Jr. |
|
LR-21709
|
Oct 25, 2010 |
Southridge Capital Management LLC, Southridge Advisors LLC, and Stephen M. Hicks
See also: SEC Complaint |
|
LR-21708
|
Oct 25, 2010 |
Berkshire Resources, L.L.C., et al. |
|
LR-21707
|
Oct 22, 2010 |
Winning Kids, Inc., et al. |
|
LR-21706
|
Oct 22, 2010 |
Prime Time Group, Inc., et al. |
|
LR-21705
|
Oct 21, 2010 |
Shawn A. Icely |
|
LR-21704
|
Oct 21, 2010 |
Jose O. Vianna, Jr. and Creswell Equities, Inc. |
|
LR-21703
|
Oct 21, 2010 |
Office Depot, Inc.
Other Release Number(s): AAER-3199 |
|
LR-21702
|
Oct 21, 2010 |
Online-Registries, Inc. and David G. Stern, as Defendants, and Michele Ritter, as Relief Defendant
See also: SEC Complaint |
|
LR-21701
|
Oct 21, 2010 |
Carlo G. Chiaese, et al. |
|
LR-21700
|
Oct 19, 2010 |
East Delta Resources Corp., Victor Sun, David Amsel and Mayer Amsel |
|
LR-21699
|
Oct 19, 2010 |
Paul T. Mannion, Jr., Andrew S. Reckles, PEF Advisors LLC, and PEF Advisors Ltd.
See also: SEC Complaint |
|
LR-21698
|
Oct 19, 2010 |
Carl E. Binette and Peter E. Talbot |
|
LR-21697
|
Oct 18, 2010 |
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 |
|
LR-21696
|
Oct 15, 2010 |
Brian N. Lines, Scott G.S. Lines, LOM (Holdings) Ltd., Lines Overseas Management Ltd., LOM Capital Ltd., LOM Securities (Bermuda) Ltd., LOM Securities (Cayman) Ltd., LOM Securities (Bahamas) Ltd., Anthony W. Wile, Wayne E. Wile, Robert J. Chapman, William Todd Peever, Phillip James Curtis, and Ryan G. Leeds |
|
LR-21695
|
Oct 15, 2010 |
Jason K. Fifield
See also: SEC Complaint |
|
LR-21694
|
Oct 14, 2010 |
Bruce F. Prévost, David W. Harrold, Palm Beach Capital Management LP, and Palm Beach Capital Management LLC
See also: SEC Complaint |
|
LR-21693
|
Oct 14, 2010 |
Algird M. Norkus and Financial Update, Inc.
See also: SEC Complaint |
|
LR-21692
|
Oct 14, 2010 |
LocatePlus Holdings Corporation
Other Release Number(s): AAER-3197
See also: SEC Complaint |
|
LR-21691
|
Oct 7, 2010 |
Scott R. Sand and Ingen Technologies, Inc; Jeffrey Galpern; Jean R. Charbit and Tzemach David Netzer Korem; Anthony Mellone, Alex Parsinia, Larry Wilcox, Macada Holding, Inc. f/k/a Tri-Star Holdings, Inc., Zcom Networks, Inc., and The UC HUB Group; Bruce Palmer and AccessKey IP, Inc.; John "Buckeye" Epstein, Steven E. Humphries, Earthworks Entertainment, Inc., and The Fight Zone, Inc. a/k/a Gold Recycle Corp. |
|
LR-21690
|
Oct 7, 2010 |
Barbra Alexander et. al.
See also: SEC Complaint |
|
LR-21689
|
Oct 7, 2010 |
Archie Paul Reynolds and Success Trust |
|
LR-21688
|
Oct 7, 2010 |
Robert R. Anderson and Rosand Enterprises, Inc.
See also: SEC Complaint |
|
LR-21687A
|
Oct 7, 2010 |
Gianluca Di Nardo, et al.
See also: SEC Complaint |
|
LR-21686
|
Oct 7, 2010 |
Imperia Invest IBC
See also: SEC Complaint |
|
LR-21685
|
Oct 6, 2010 |
Marleen Jantzen and John Jantzen
See also: SEC Complaint |
|
LR-21684
|
Oct 5, 2010 |
Carlo G. Chiaese, et al.
See also: SEC Complaint |
|
LR-21683
|
Oct 4, 2010 |
(Intentionally omittted) |
|
LR-21682
|
Oct 4, 2010 |
Regions Bank |
|
LR-21681
|
Oct 4, 2010 |
Igor Poteroba, Aleksey Koval, Alexander Vorobiev, and Relief Defendants Tatiana Vorobieva and Anjali Walter |
|
LR-21680
|
Oct 4, 2010 |
U.S. Pension Trust Corp., et al. |
|
Third Quarter
|
|
LR-21679A
|
Sep 30, 2010 |
W. Anthony Huff, et al.
Other Release Number(s): AAER-3193A |
|
LR-21678
|
Sep 30, 2010 |
Rex C. Steffes, Cliff M. Steffes, Rex R. Steffes, Bret W. Steffes, Robert J. Steffes and W. Gary Griffiths
See also: SEC Complaint |
|
LR-21677
|
Sep 30, 2010 |
Forman, et al.
Other Release Number(s): AAER-3192 |
|
LR-21676
|
Sep 30, 2010 |
Raymond Thomas and Strictly Stocks Investment Company, Inc. |
|
LR-21675
|
Sep 30, 2010 |
Quri Resources, Inc. and Jaime Santiago Gomez
See also: SEC Complaint |
|
LR-21674
|
Sep 30, 2010 |
Atlantis Technology Group and Christoper Dubeau
See also: SEC Complaint |
|
LR-21673
|
Sep 29, 2010 |
ABB Ltd
Other Release Number(s): AAER-3191 |
|
LR-21672
|
Sep 29, 2010 |
Sage Advisory Group, LLC and Benjamin Lee Grant
See also: SEC Complaint |
|
LR-21671
|
Sep 28, 2010 |
Richard Dean Carter |
|
LR-21670
|
Sep 28, 2010 |
Brantley Capital Management, LLC, Robert Pinkas, and Tab Keplinger |
|
LR-21669
|
Sep 28, 2010 |
Paul R. Beckwith, et al.
See also: SEC Complaint |
|
LR-21668
|
Sep 28, 2010 |
Robert L. Duncan
See also: SEC Complaint |
|
LR-21667
|
Sep 27, 2010 |
Richard A. Hansen, et al.
See also: SEC Complaint |
|
LR-21666
|
Sep 27, 2010 |
Brian Hollnagel and BCI Aircraft Leasing, Inc. |
|
LR-21665
|
Sep 24, 2010 |
Michael Jobe and Richard Vlasich
See also: SEC Complaint |
|
LR-21664
|
Sep 24, 2010 |
Mark E. Salyer, et al. |
|
LR-21663
|
Sep 24, 2010 |
Mark Johnson, et al. |
|
LR-21662
|
Sep 24, 2010 |
Presto Telecommunications, Inc., et al.
See also: SEC Complaint |
|
LR-21661
|
Sep 23, 2010 |
M. Mark McAdams and R. Dane Freeman |
|
LR-21660
|
Sep 22, 2010 |
Delphi Corporation, John Blahnik, et al.
Other Release Number(s): AAER-3188 |
|
LR-21659
|
Sep 22, 2010 |
Gustav George Bujkovsky, et al.
See also: SEC Complaint |
|
LR-21658
|
Sep 21, 2010 |
UBS Securities LLC and UBS Financial Services, Inc. |
|
LR-21657
|
Sep 21, 2010 |
True North Finance Corporation, f/k/a CS Financing Corporation, et al.
Other Release Number(s): AAER-3187 |
|
LR-21656
|
Sep 20, 2010 |
BIH Corporation, et al.
See also: SEC Complaint |
|
LR-21655
|
Sep 16, 2010 |
LADP Acquisition, Inc., et al.
See also: SEC Complaint |
|
LR-21654
|
Sep 16, 2010 |
Randy M. Cho |
|
LR-21653
|
Sep 16, 2010 |
David R. Slaine |
|
LR-21652
|
Sep 16, 2010 |
Global Materials & Services, Inc., et al |
|
LR-21651
|
Sep 16, 2010 |
Trade-LLC, et al. |
|
LR-21650
|
Sep 15, 2010 |
Biovail Corporation, Eugene Melnyk, Brian Crombie, John Miszuk, and Kenneth G. Howling
Other Release Number(s): AAER-3186 |
|
LR-21649
|
Sep 15, 2010 |
Amante Corporation, et al. |
|
LR-21648
|
Sep 14, 2010 |
Robert A. Berlacher, Lancaster Investment Partners, L.P., Northwood Capital Partners, L.P., Cabernet Partners, L.P., Chardonnay Partners, L.P., Insignia Partners, L.P., VFT Special Ventures, Ltd., LIP Advisors, LLC, NCP Advisors, LLC, and RAB Investment Company, LLC |
|
LR-21647
|
Sep 14, 2010 |
Wall Street Communications, Inc., et al. |
|
LR-21646
|
Sep 14, 2010 |
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-21645
|
Sep 10, 2010 |
Thomas J. Dudchik
See also: SEC Complaint |
|
LR-21644
|
Sep 10, 2010 |
Dr. Bobby V. Khan
See also: SEC Complaint |
|
LR-21643
|
Sep 9, 2010 |
Affiliated Computer Services, Inc.
Other Release Number(s): AAER-3182
See also: SEC Complaint |
|
LR-21642
|
Sep 3, 2010 |
Berkshire Resources, L.L.C., et al. |
|
LR-21641
|
Sep 2, 2010 |
Sandra Venetis, Systematic Financial Services, Inc., Systematic Financial Associates, Inc., and Systematic Financial Services, LLC |
|
LR-21640
|
Sep 1, 2010 |
Sujata Sachdeva and Julie Mulvaney
Other Release Number(s): AAER-3180
See also: SEC Complaint |
|
LR-21639
|
Sep 1, 2010 |
Lucent Technologies, Inc., et al.
Other Release Number(s): AAER-3179 |
|
LR-21638
|
Sep 1, 2010 |
James W. Self Jr. and Stephen R. Goldfield
See also: SEC Complaint |
|
LR-21637
|
Sep 1, 2010 |
Halek Energy, LLC, CBO Energy, Inc., Jason A. Halek and Christopher Chad Wilbourn
See also: SEC Complaint |
|
LR-21636
|
Aug 31, 2010 |
Urs Kamber
Other Release Number(s): AAER-3178 |
|
LR-21635
|
Aug 30, 2010 |
PCS Edventures!.com, Inc.
See also: SEC Amended Complaint |
|
LR-21634
|
Aug 27, 2010 |
Robert W. Davis and Randall D. Imhoff
Other Release Number(s): AAER-3177
See also: SEC Complaints SEC v. Davis and SEC v. Imhoff |
|
LR-21633
|
Aug 27, 2010 |
Trevor G. Cook, et al. |
|
LR-21632
|
Aug 25, 2010 |
K&L International Enterprises, Inc., et al. |
|
LR-21631
|
Aug 25, 2010 |
Juan Jose Fernandez Garcia and Luis Martin Caro Sanchez
See also: SEC Complaint |
|
LR-21630
|
Aug 24, 2010 |
Escala Group, Inc., Gregory Manning, and Larry Lee Crawford, CPA
Other Release Number(s): AAER-3174 |
|
LR-21629
|
Aug 18, 2010 |
James E. Gansman et al. |
|
LR-21628
|
Aug 18, 2010 |
Thompson Consulting, Inc. |
|
LR-21627
|
Aug 18, 2010 |
Prime Time Group, Inc., et al. |
|
LR-21626
|
Aug 13, 2010 |
Amante Corporation, Commonwealth Capital Management, Inc., Edward M. Denigris, and William D. Dyer |
|
LR-21625
|
Aug 13, 2010 |
Kevin J. Schott
See also: SEC Complaint |
|
LR-21624
|
Aug 12, 2010 |
Jon C. Ginder, Northamerican Energy Group, Inc., and Northamerican Energy Group, Corp.
See also: SEC Complaint |
|
LR-21623
|
Aug 11, 2010 |
William A. Huber and Hubadex, Inc.
See also: SEC Complaint |
|
LR-21622
|
Aug 9, 2010 |
Karlheinz Redekopp and International Commercial Television, Inc.
See also: SEC Complaints v. International Commercial Television and Karl Redekopp |
|
LR-21621
|
Aug 6, 2010 |
Jason M. Genet |
|
LR-21620
|
Aug 6, 2010 |
Michael E. Kelly, et al. |
|
LR-21619
|
Aug 6, 2010 |
CJ's Financial and Candice D. Campbell
See also: SEC Complaint |
|
LR-21618
|
Aug 6, 2010 |
Universal Corporation, Inc. and Alliance One International, Inc.
Other Release Number(s): AAER-3170
See also: SEC Complaints v. Universal Corporation and Alliance One International |
|
LR-21617
|
Aug 5, 2010 |
Joe Summers
Other Release Number(s): AAER-3169
See also: SEC Complaint |
|
LR-21616
|
Aug 5, 2010 |
James W. McIntosh, et al., and Mark T. Schwetschenau
Other Release Number(s): AAER-3168
See also: SEC Complaints v. McIntosh et al. and Schwetschenau |
|
LR-21615
|
Aug 5, 2010 |
David P. Turner and Ousama M. Naaman
Other Release Number(s): AAER-3167
See also: SEC Complaint |
|
LR-21613A
|
Aug 5, 2010 |
Al-Raya Investment Company and Waleed Khalid Al-Braikan as Representative of the Heirs of Hazem Khalid Al-Braikan, et al.
See also: Amended SEC Complaint |
|
LR-21614
|
Aug 4, 2010 |
Joseph R. Porche, et al.
See also: SEC Complaint |
|
LR-21612
|
Aug 4, 2010 |
Thomas P. Flanagan and Patrick T. Flanagan
Other Release Number(s): AAER-3164
See also: SEC Complaint |
|
LR-21611
|
Aug 4, 2010 |
Randy M. Cho |
|
LR-21610
|
Aug 2, 2010 |
Gregory Todd Froning
See also: SEC Complaint |
|
LR-21609
|
Jul 30, 2010 |
Brad A. Morrice et al.
Other Release Number(s): AAER-3162 |
|
LR-21608
|
Jul 30, 2010 |
Matthew W. Hardey, L. Cyrus DeBlanc, and Joe E. Penland
Other Release Number(s): AAER-3161 |
|
LR-21607
|
Jul 29, 2010 |
Samuel E. Wyly, et al.
See also: SEC Complaint |
|
LR-21606
|
Jul 29, 2010 |
WG Trading Investors, L.P. |
|
LR-21605
|
Jul 29, 2010 |
Citigroup Inc.
See also: SEC Complaint |
|
LR-21604
|
Jul 28, 2010 |
Geotec, Inc. f/k/a Geotec Thermal Generators, Inc., Bradley T. Ray, William Richard Lueck, and Stephen D. Chanslor |
|
LR-21603
|
Jul 28, 2010 |
Thomas Fisher, et al. |
|
LR-21602
|
Jul 27, 2010 |
General Electric Company; Ionics, Inc.; and Amersham plc
Other Release Number(s): AAER-3159
See also: SEC Complaint |
|
LR-21601
|
Jul 23, 2010 |
Pequot Capital Management, Inc., et al. |
|
LR-21600
|
Jul 23, 2010 |
Sunrise Senior Living, Inc., et al.
Other Release Number(s): AAER-3157
See also: SEC Complaint |
|
LR-21599
|
Jul 22, 2010 |
Dell Inc., Michael S. Dell, Kevin B. Rollins, James M. Schneider, Leslie L. Jackson, Nicholas A.R. Dunning
Other Release Number(s): AAER-3156
See also: SEC Complaint |
|
LR-21598
|
Jul 22, 2010 |
Carl W. Jasper |
|
LR-21597
|
Jul 22, 2010 |
Laurence M. Brown, et al. |
|
LR-21596
|
Jul 22, 2010 |
Maxo Francois, a/k/a "Max Francois", et al. |
|
LR-21595
|
Jul 20, 2010 |
Larry P. Langford, et al. |
|
LR-21594
|
Jul 19, 2010 |
Gary S. Becker, Gregory S. Schaefer, and Dillon Scott Securities, Inc. |
|
LR-21593
|
Jul 16, 2010 |
Trident Microsystems, Inc., Frank C. Lin, and Peter Y. Jen
Other Release Number(s): AAER-3154
See also: SEC Complaint |
|
LR-21592
|
Jul 15, 2010 |
Goldman, Sachs & Co. and Fabrice Tourre |
|
LR-21591
|
Jul 9, 2010 |
InvestSource, Inc. and Songkram Roy Sahachaisere
See also: SEC Complaint |
|
LR-21590
|
Jul 8, 2010 |
Prime Time Group, Inc., et al. |
|
LR-21589
|
Jul 8, 2010 |
Winning Kids, Inc., et al. |
|
LR-21588
|
Jul 7, 2010 |
ENI, S.p.A. and Snamprogetti Netherlands, B.V.
Other Release Number(s): AAER-3149 |
|
LR-21587
|
Jul 7, 2010 |
Brien Santarlas |
|
LR-21586
|
Jul 2, 2010 |
Travis L. Wright |
|
Second Quarter
|
|
LR-21585
|
Jun 30, 2010 |
Citigroup Global Markets, Inc.; RBC Capital Markets Corporation; and Wachovia Securities, LLC |
|
LR-21584
|
Jun 29, 2010 |
Robert Stinson, Jr., et al.
See also: SEC Complaint |
|
LR-21583
|
Jun 29, 2010 |
Michael E. Kelly, et al. |
|
LR-21582
|
Jun 29, 2010 |
Life Wealth Management, Inc. and Jeffery S. Preston |
|
LR-21581
|
Jun 29, 2010 |
Veraz Networks, Inc.
See also: SEC Complaint |
|
LR-21580
|
Jun 29, 2010 |
Carol McKeown, Daniel F. Ryan, Meadow Vista Financial Corp., and Downshire Capital, Inc.
See also: SEC Complaint |
|
LR-21579
|
Jun 28, 2010 |
Daniel Spitzer et al.
See also: SEC Complaint |
|
LR-21578
|
Jun 28, 2010 |
Technip
Other Release Number(s): AAER-3147
See also: SEC Complaint |
|
LR-21577
|
Jun 28, 2010 |
Brian N. Lines, et al. |
|
LR-21572
|
Jun 26, 2010 |
One or More Unknown Traders in the Common Stock of Certain Issuers (a/k/a AWE Trading, Inc. and Andrew Andersen) |
|
LR-21576
|
Jun 25, 2010 |
Aamer Abdullah
See also: SEC Complaint |
|
LR-21575
|
Jun 25, 2010 |
Ricardo H. Goldman |
|
LR-21574
|
Jun 25, 2010 |
North American Clearing, Inc., et al. |
|
LR-21573
|
Jun 25, 2010 |
Southwestern Medical Solutions, Inc., John R. Hedges, Richard R. Powell, and Basil J. Meecham |
|
LR-21571
|
Jun 25, 2010 |
BroCo Investments and Valery Maltsev |
|
LR-21570
|
Jun 25, 2010 |
Anthony C. Zufelt, Joseph A. Nelson, David M. Decker, Jr., Cache D. Decker, Zufelt Business Services, Inc. (d.b.a. Zufelt, Inc.), Silver Leaf Investments, Inc., JCN, Inc., JCN Capital, LLC, and JCN International, LLC, Defendants, and Jennifer M. Zufelt, Shae L. Morgan, Garth W. Jarman, Jr., Eric R. Nelson, and Kevin J. Wilcox
See also: SEC Complaint |
|
LR-21569
|
Jun 25, 2010 |
Estate of Kenneth Wayne McLeod, Federal Employee Benefits Group, Inc., and F&S Asset Management Group, Inc.
See also: SEC Complaint |
|
LR-21568
|
Jun 24, 2010 |
Aura Financial Services, Inc. et al. |
|
LR-21567
|
Jun 23, 2010 |
Advanced Technologies Group, Ltd., Alexander Stelmak and Abelis Raskas
See also: SEC Complaint |
|
LR-21566
|
Jun 22, 2010 |
Anthony T. Banas |
|
LR-21565
|
Jun 22, 2010 |
Mobile Ready Entertainment Corp., Michael H. Magolnick, and Craig A. Mora |
|
LR-21564
|
Jun 22, 2010 |
Trade-LLC, et. al |
|
LR-21563
|
Jun 22, 2010 |
ICP Asset Management, LLC, ICP Securities, LLC, Institutional Credit Partners, LLC, and Thomas C. Priore
See also: SEC Complaint |
|
LR-21562
|
Jun 18, 2010 |
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 |
|
LR-21561
|
Jun 17, 2010 |
Matthew Jennings, Westmoore Management, LLC, Westmoore Investment, L.P., Westmoore Capital Management, Inc., Westmoore Capital, LLC |
|
LR-21560
|
Jun 17, 2010 |
Martin T. Wegener et al.
See also: SEC Complaint |
|
LR-21559
|
Jun 17, 2010 |
Andres Leyva |
|
LR-21558
|
Jun 16, 2010 |
Gregg Thomas Rennie |
|
LR-21557
|
Jun 16, 2010 |
Aaron Donald Vallett and A.D. Vallett & Co. LLC |
|
LR-21556
|
Jun 14, 2010 |
United American Ventures, LLC, Philip Lee David Jack Thomas, Eric J. Hollowell, Matthew A. Dies, Integra Investment Group, LLC, and Anthony J. Oliva
See also: SEC Complaint |
|
LR-21555
|
Jun 14, 2010 |
Joseph P. Collins
Other Release Number(s): AAER-3145 |
|
LR-21554
|
Jun 11, 2010 |
Chimay Capital Management Inc. and Guy Albert de Chimay
See also: SEC Complaint |
|
LR-21553
|
Jun 11, 2010 |
Richard Elkinson |
|
LR-21552
|
Jun 10, 2010 |
Merendon Mining (Nevada) Inc., Larry Lee Adair, Milowe Allen Brost a/k/a Milo Brost, M.B. Gonne or Phillip K. Collins, Ward K. Capstick, Bradley Dean Regier, Gary Allen Sorenson a/k/a Don Grey Fox, Martin M. Werner, Syndicated Gold Depository Inc., now known as Bahama Resources Alliance Ltd., Merendon Mining Corp. Ltd., Institute For Financial Learning Group of Companies, Inc.
See also: SEC Complaint |
|
LR-21551
|
Jun 9, 2010 |
Lucent Technologies, Inc., et al.
Other Release Number(s): AAER-3142 |
|
LR-21550
|
Jun 9, 2010 |
William G. Mortensen and Feng Zheng
Other Release Number(s): AAER-3141 |
|
LR-21549
|
Jun 8, 2010 |
Petrogas Overseas Trading, LP and Samuel O. LeMaire, Defendants, and Petroenergy, Inc., Relief Defendant |
|
LR-21548
|
Jun 3, 2010 |
Walter A. Forbes and E. Kirk Shelton
Other Release Number(s): AAER-3138 |
|
LR-21547
|
Jun 3, 2010 |
Anthony A. James and James Asset Advisory, L.L.C. |
|
LR-21546
|
Jun 3, 2010 |
Aaron Donald Vallett and A.D. Vallett & Co. LLC
See also: SEC Complaint |
|
LR-21545
|
Jun 2, 2010 |
Elizabeth A. Dragon
See also: SEC Complaint |
|
LR-21544
|
Jun 2, 2010 |
Luis Felipe Perez
See also: SEC Complaint |
|
LR-21543
|
Jun 2, 2010 |
Diebold, Inc.; Walden O'Dell; and Gregory Geswein, Kevin Krakora, and Sandra Miller
Other Release Number(s): AAER-3137
See also: SEC Complaint v. Diebold; SEC Complaint v. O'Dell; SEC Complaint v. Geswein, Krakora, and Miller |
|
LR-21542
|
Jun 1, 2010 |
Anthony Bonica |
|
LR-21541
|
Jun 1, 2010 |
Kenneth Ira Starr, Starr Investment Advisors, LLC, and Starr & Company, LLC |
|
LR-21540
|
May 28, 2010 |
Pequot Capital Management, Inc. and Arthur J. Samberg
See also: SEC Complaint |
|
LR-21539
|
May 27, 2010 |
Blake G. Williams, TBeck Capital, Inc., Warren Street Investments, Inc., Victoria Financial Consultants, LLC, BGW Enterprises, Inc., Emerging Resources, Inc., Valek Investments, Inc., Derek Lopez, and Da Big Kahuna, LLC
See also: SEC Complaint |
|
LR-21538
|
May 27, 2010 |
John M. Donnelly, et al. |
|
LR-21537
|
May 27, 2010 |
GTF Enterprises, Inc., Gedrey Thompson, Dean Lewis, and Sezzie Goodluck |
|
LR-21536
|
May 27, 2010 |
Yonni Sebbag and Bonnie Jean Hoxie |
|
LR-21535
|
May 26, 2010 |
Mitchell, Porter & Williams, Inc., The Adivanala AA Investment Trust, AB3, Inc., Thomas L. Mitchell |
|
LR-21534
|
May 26, 2010 |
Gene T. Mancinelli |
|
LR-21533
|
May 25, 2010 |
Christopher W. Bass, Swiss Capital Harbor-USA, LLC, Swiss Capital Harbor Fund A Partners, L.P., Swiss Capital Harbor Fund B Partners, L.P., and Swiss Capital Harbor Fund C Partners, L.P.
See also: SEC Complaint |
|
LR-21532
|
May 25, 2010 |
Matthew J. Gagnon
See also: SEC Complaint |
|
LR-21531
|
May 25, 2010 |
Forest Resources Management Corp., et al. |
|
LR-21530
|
May 21, 2010 |
Brian Hollnagel and BCI Aircraft leasing, Inc. |
|
LR-21529
|
May 21, 2010 |
Edward A. Allen, David L. Olson, and A and O Investments, LLC
See also: SEC Complaint |
|
LR-21528
|
May 21, 2010 |
Lydia Capital, LLC et al. |
|
LR-21527
|
May 20, 2010 |
Charles McCall
Other Release Number(s): AAER-3136 |
|
LR-21526
|
May 17, 2010 |
Galleon Management, LP, et al. |
|
LR-21525
|
May 12, 2010 |
David F. Merrick, Traders International Return Network, MS, Inc., GTT Services, Inc., MDD Consulting, Inc., and Go ! Tourism, Inc. |
|
LR-21524
|
May 11, 2010 |
Diatect International Corp., et al.
Other Release Number(s): AAER-3134 |
|
LR-21523
|
May 11, 2010 |
Robert S. Furst, et al.
Other Release Number(s): AAER-3133 |
|
LR-21522
|
May 11, 2010 |
Peter G. Grabler
See also: SEC Complaint |
|
LR-21521
|
May 11, 2010 |
Leonard J. Adams
See also: SEC Complaint |
|
LR-21520
|
May 6, 2010 |
Dennis Lee Keating II
See also: SEC Complaint |
|
LR-21519
|
May 6, 2010 |
Exotics.com, Inc., et al.
Other Release Number(s): AAER-3132 |
|
LR-21518
|
May 6, 2010 |
Stephen Clifford and Stephen F. Clifford d/b/a Clifford Financial Assocs. |
|
LR-21517
|
May 5, 2010 |
William A. DiBella |
|
LR-21516
|
May 5, 2010 |
CFO-5, LLC, Trinity International Enterprises, Inc., Stanley W. Anderson, Edwin A. Smith, Charles L. Kennedy, Michael D. Norton, individually and d/b/a Global Asset Services, and Nicholas R. Fair
See also: SEC Complaint |
|
LR-21515
|
May 5, 2010 |
Spongetech Delivery Systems, Inc., RM Enterprises International, Inc., Steven Y. Moskowitz, Michael E. Metter, George Speranza, Joel Pensley and Jack Halperin
Other Release Number(s): AAER-3131
See also: SEC Complaint |
|
LR-21514
|
May 4, 2010 |
Michael Graf and Larry E. Pust |
|
LR-21513
|
May 4, 2010 |
Seven Palm Investments, LLC, et al.
See also: SEC Complaint |
|
LR-21512
|
May 4, 2010 |
New Day Atlanta, LLC d/b/a NDA Financial, LLC, Andrew L. Avery and Lee E. Marks
See also: SEC Complaint |
|
LR-21511
|
May 4, 2010 |
Matthew John Ryan and Prime Rate and Return, LLC, individually and doing business as American Integrity Financial Co.
See also: SEC Complaint |
|
LR-21510
|
Apr 30, 2010 |
TierOne Converged Networks, Inc., Kevin Mark Weaver, and Ronald Celmer
See also: SEC Complaint |
|
LR-21509
|
Apr 29, 2010 |
Bobby J. Elkin, Jr., Baxter J. Myers, Thomas G. Reynolds, and Tommy L. Williams
See also: SEC Complaint |
|
LR-21508
|
Apr 28, 2010 |
Peter W. Fisher, et al.; Phillip W. Offill, Jr., et al.; and David B. Stocker, et al. |
|
LR-21507
|
Apr 26, 2010 |
Carl W. Jasper |
|
LR-21506
|
Apr 26, 2010 |
Neil V. Moody and Christopher D. Moody |
|
LR-21505
|
Apr 26, 2010 |
Gary J. Gross |
|
LR-21504
|
Apr 26, 2010 |
Darrel West and Own My Travel, LLC, and Professionally Assisted Marketing, Inc. |
|
LR-21503
|
Apr 26, 2010 |
BarrierMed, Inc., BarrierMed Glove Co. and Victor J. Ragucci |
|
LR-21502
|
Apr 23, 2010 |
Susan G. Slovak
See also: SEC Complaint |
|
LR-21501
|
Apr 23, 2010 |
Ainsworth, et al. |
|
LR-21500
|
Apr 23, 2010 |
Onyx Capital Advisors, LLC, Roy Dixon, Jr. and Michael A. Farr |
|
LR-21499
|
Apr 22, 2010 |
Osvaldo Pitters et al. |
|
LR-21498
|
Apr 22, 2010 |
Exotics.com, Inc., et al.
Other Release Number(s): AAER-3128 |
|
LR-21497
|
Apr 21, 2010 |
Jeffrey R. Neufeld and Paridon Capital Management LLC f/k/a Tritone Capital Management, LLC
See also: SEC Complaint |
|
LR-21496
|
Apr 21, 2010 |
Richard Karp |
|
LR-21495
|
Apr 21, 2010 |
Nevin K. Shapiro
See also: SEC Complaint |
|
LR-21494
|
Apr 20, 2010 |
Gryphon Holdings, Inc. et al.
See also: SEC Complaint |
|
LR-21493
|
Apr 20, 2010 |
Galleon Management, LP, et al. |
|
LR-21492
|
Apr 19, 2010 |
Frank J. Custable, Jr., et al. |
|
LR-21491
|
Apr 19, 2010 |
Collins & Aikman Corporation, et al.
Other Release Number(s): AAER-3127 |
|
LR-21490
|
Apr 16, 2010 |
Exotics.com, Inc., et al. |
|
LR-21489
|
Apr 16, 2010 |
Goldman, Sachs & Co. and Fabrice Tourre
See also: SEC Complaint |
|
LR-21488
|
Apr 15, 2010 |
Integrity Financial AZ, LLC, Steven R. Long, Stanley M. Paulic, Walter W. Knitter, and Robert C. Koeller
See also: SEC Complaint |
|
LR-21487
|
Apr 15, 2010 |
Quadrangle Group LLC and Quadrangle GP Investors II, L.P.
See also: SEC Complaint; Final Consent Judgment |
|
LR-21486
|
Apr 14, 2010 |
Innovative Advisory Services, Inc., Innovative Advisory Services LLC, Island Trader LLC, and Richard H. Nickles
See also: SEC Complaint |
|
LR-21485
|
Apr 14, 2010 |
Gerald Harold Levine, et al. |
|
LR-21484
|
Apr 14, 2010 |
Trevor G. Cook, Patrick J. Kiley, et al. |
|
LR-21483
|
Apr 9, 2010 |
Renee Marie Brown, et al |
|
LR-21482
|
Apr 9, 2010 |
Scott D. Farah, Donald E. Dodge, Financial Resources Mortgage, Inc., and C L and M, Inc., as Defendants, and Center Harbor Christian Church, as Relief Defendant
See also: SEC Complaint |
|
LR-21481
|
Apr 8, 2010 |
Michael E. Kelly, et al. |
|
LR-21480
|
Apr 7, 2010 |
Symbol Technologies, Inc., et al.
Other Release Number(s): AAER-3126 |
|
LR-21479
|
Apr 7, 2010 |
Stefan Benger, et al. |
|
LR-21478
|
Apr 6, 2010 |
Compass Capital Group, Inc., Mark A. Lefkowitz, Alvin L. Dahl, John R. Dumble, John C. Hopf, Kevin D. Romney, and Shane H. Traveller |
|
LR-21477
|
Apr 6, 2010 |
Founding Partners Capital Management Co, et. al. |
|
LR-21476
|
Apr 2, 2010 |
Stanford International Bank, et al. |
|
LR-21475
|
Apr 2, 2010 |
Ramy Y. El-Batrawi, GenesisIntermedia, Inc., Ultimate Holdings, Ltd., Adnan M. Khashoggi, Richard J. Evangelista, Wayne Breedon, and Douglas E. Jacobson |
|
LR-21474
|
Apr 2, 2010 |
Daniel O'Riordan
See also: SEC Complaint |
|
LR-21473
|
Apr 1, 2010 |
Kevin H. Blood
See also: SEC Complaint |
|
LR-21472
|
Apr 1, 2010 |
Morando Berrettini and Ralph J. Pirtle
See also: SEC Complaint |
|
LR-21471
|
Apr 1, 2010 |
Stephen C. Bond
See also: SEC Complaint |
|
First Quarter
|
|
LR-21470
|
Mar 31, 2010 |
Arthur J. Cutillo, et al. |
|
LR-21469
|
Mar 31, 2010 |
Gary Navarro |
|
LR-21468
|
Mar 31, 2010 |
Creative Capital Consortium, LLC, et. al. |
|
LR-21467
|
Mar 30, 2010 |
James M. Nicholson, et al. |
|
LR-21466
|
Mar 29, 2010 |
Brian Travis, et al. |
|
LR-21465
|
Mar 29, 2010 |
Oleksandr Dorozhko |
|
LR-21464
|
Mar 29, 2010 |
Enrique F. Villalba, Jr.
See also: SEC Complaint |
|
LR-21463
|
Mar 29, 2010 |
Dynkowski, et al.
See also: SEC Complaint |
|
LR-21462
|
Mar 25, 2010 |
Richard V. Priddy, Charles L. Sample, and J. Michael Broullire
See also: SEC Complaint |
|
LR-21461
|
Mar 25, 2010 |
James H. Park |
|
LR-21460
|
Mar 25, 2010 |
Igor Poteroba, Aleksey Koval, Alexander Vorobiev, and Relief Defendants Tatiana Vorobieva and Anjali Walter
See also: SEC Complaint |
|
LR-21459
|
Mar 24, 2010 |
Douglas F. Vaughan, The Vaughan Company, Realtors, Inc., and Vaughan Capital, LLC
See also: SEC Complaint |
|
LR-21458
|
Mar 22, 2010 |
American Settlement Associates, LLC, Charles C. Jordan and Kelly T. Gipson
See also: SEC Complaint |
|
LR-21457
|
Mar 19, 2010 |
Bear, Stearns & Co. Inc., J.P. Morgan Securities Inc., Lehman Brothers, Inc., Merrill Lynch, Pierce, Fenner & Smith Incorporated, U.S. Bancorp Piper Jaffray, Inc., UBS Securities LLC, f/k/a UBS Warburg LLC, Goldman, Sachs & Co., Citigroup Global Markets Inc., f/k/a Salomon Smith Barney Inc., Credit Suisse First Boston LLC, f/k/a Credit Suisse First Boston Corporation, Morgan Stanley & Co. Incorporated, Deutsche Bank Securities, Inc. and Thomas Weisel Partners LLC |
|
LR-21456
|
Mar 19, 2010 |
Exotics.com, Inc., et al.
Other Release Number(s): AAER-3121 |
|
LR-21455
|
Mar 19, 2010 |
M. Mark McAdams and R. Dane Freeman
See also: SEC Complaint |
|
LR-21454
|
Mar 18, 2010 |
Innospec, Inc.
See also: SEC Complaint |
|
LR-21453
|
Mar 16, 2010 |
C. Jones & Company, Carter Allen Jones, Timothy J. Miles, Gaylen P. Johnson, and Jonathan Curshen |
|
LR-21452
|
Mar 16, 2010 |
BroCo Investments and Valery Maltsev
See also: SEC Complaint |
|
LR-21451
|
Mar 15, 2010 |
Vinod Gupta; Vasant H. Raval; Rajnish K. Das and Stormy L. Dean
See also: SEC Complaint vs. Gupta; SEC Complaint vs. Raval; SEC Complaint vs. Das and Dean |
|
LR-21450
|
Mar 15, 2010 |
Stephen X. Kim and Spyglass Management, L.P., Defendants
See also: SEC Complaint |
|
LR-21449
|
Mar 11, 2010 |
Robert M. Esposito, Gregory A. King, Jack R. Belluscio and Anscott Industries, Inc. |
|
LR-21448
|
Mar 11, 2010 |
Darryl Lamonth Clark |
|
LR-21447
|
Mar 10, 2010 |
Richard Verdiramo, Vincent L. Verdiramo, Edward Meyer, Jr., and Victoria Chen
See also: SEC Complaint |
|
LR-21446
|
Mar 10, 2010 |
Jose O. Vianna, Jr. and Creswell Equities, Inc.
See also: SEC Complaint |
|
LR-21445
|
Mar 10, 2010 |
Francois E. Durmaz (aka Mahmut E. Durmaz), Robert C. Pribilski, USA Retirement Management Services (aka Usa Financial Management Services, Inc.), Defendants, and Sibel Ince, Mehmet Karakus, Marlali Gayrimenkul Yatirimlari, Marlali Investment Company, LLC, Gulen Enterprises, Inc., Relief Defendants
See also: SEC Complaint |
|
LR-21444
|
Mar 10, 2010 |
Jay Lapine
Other Release Number(s): AAER-3119 |
|
LR-21443
|
Mar 9, 2010 |
Presstek, Inc. and Edward J. Marino
See also: SEC Complaint |
|
LR-21442
|
Mar 9, 2010 |
Salvatore Zangari
See also: SEC Complaint |
|
LR-21441
|
Mar 8, 2010 |
Darko S. Mrakuzic |
|
LR-21440
|
Mar 5, 2010 |
Wealth Management LLC et al. |
|
LR-21439
|
Mar 5, 2010 |
Chaya Unger
See also: SEC Complaint |
|
LR-21438
|
Mar 5, 2010 |
Charles C. Conaway and John T. McDonald, Jr. |
|
LR-21437
|
Mar 4, 2010 |
Kathleen S. Dobens, Charles T. Dobens, Joseph A. Roche, Silex Group, LLC, Preakness Apartments I & II, LLC, Cherry Hills Apartments of Forth Worth, LLC, and Clear River Partners, LLC, as Defendants, and East Coast Investment Solutions, LLC, The Dobens Company, LLC, Crosscreeks Apartments I and Crosscreeks Apartments II, LLC, as Relief Defendants
See also: SEC Complaint |
|
LR-21436
|
Mar 4, 2010 |
Alan Todd May and Prosper Oil and Gas, Inc. a/k/a Prosper Energy, Inc.
See also: SEC Complaint |
|
LR-21435
|
Mar 4, 2010 |
Joseph Grendys et al.
Other Release Number(s): AAER-3118 |
|
LR-21434
|
Mar 4, 2010 |
Rodney E. Wallace, Joe B. Dorman and John A. Blank
See also: SEC Complaint |
|
LR-21433
|
Mar 4, 2010 |
Sean David Morton, Vajra Productions, LLC, 27 Investments, LLC, and Magic Eight Ball Distributing, Inc., defendants, and Melissa Morton and Prophecy Research Institute, relief defendants
See also: SEC Complaint |
|
LR-21432
|
Mar 4, 2010 |
Mitchell, Porter & Williams, Inc., The Adivanala AA Investment Trust, AB3, Inc., Thomas L. Mitchell
See also: SEC Complaint |
|
LR-21431
|
Mar 3, 2010 |
American Equity Investment Life Holding Company, David J. Noble, and Wendy C. Waugaman
See also: SEC Complaint |
|
LR-21430
|
Mar 3, 2010 |
Gaston E. Cantens and Teresita Cantens
See also: SEC Complaint |
|
LR-21429
|
Mar 3, 2010 |
Ross Owen Haugen |
|
LR-21428
|
Mar 3, 2010 |
Verint Systems Inc.
Other Release Number(s): AAER-3117
See also: SEC Complaint against Verint; Order Instituting Proceedings |
|
LR-21427
|
Mar 2, 2010 |
Envision Direct L.L.C. and Gary R. Headding
See also: SEC Complaint |
|
LR-21426
|
Feb 25, 2010 |
George Georgiou |
|
LR-21425
|
Feb 25, 2010 |
John A. Foley et al.
See also: SEC Complaint |
|
LR-21424
|
Feb 25, 2010 |
Daniel Bonventre
Other Release Number(s): AAER-3115
See also: SEC Complaint |
|
LR-21423
|
Feb 23, 2010 |
Frank J. Custable, Jr., et al. |
|
LR-21422
|
Feb 23, 2010 |
Lawrence "Lee" Loomis et al.
See also: SEC Complaint |
|
LR-21421
|
Feb 22, 2010 |
Kay Services, LLC, et al. |
|
LR-21420
|
Feb 22, 2010 |
In Re Application for an Order Enforcing Administrative Subpoena |
|
LR-21419
|
Feb 22, 2010 |
Suman, et al. |
|
LR-21418
|
Feb 19, 2010 |
Steven W. Salutric
See also: SEC Complaint |
|
LR-21417
|
Feb 19, 2010 |
Pacific Asian Atlantic Foundation and Samuel M. Natt
See also: SEC Complaint |
|
LR-21416
|
Feb 18, 2010 |
Greenstone Holdings, Inc. et al.
See also: SEC Complaint |
|
LR-21415
|
Feb 16, 2010 |
Steven Scoppetuolo, et al.
See also: SEC Complaint |
|
LR-21414
|
Feb 16, 2010 |
Gerald D. Horn
See also: SEC Complaint |
|
LR-21413
|
Feb 16, 2010 |
Alliance Transcription Services, Inc., et al. |
|
LR-21412
|
Feb 12, 2010 |
Michael J. Byrd |
|
LR-21411
|
Feb 12, 2010 |
Samuel B. Vitale and Joyce D. Vitale
See also: SEC Complaint |
|
LR-21410
|
Feb 5, 2010 |
Richard Elkinson |
|
LR-21409
|
Feb 4, 2010 |
Henry T. Nicholas III, Henry Samueli, William J. Ruehle, and David Dull |
|
LR-21408
|
Feb 4, 2010 |
State Street Bank and Trust Company
See also: SEC Complaint |
|
LR-21407
|
Feb 4, 2010 |
Bank of America Corporation
See also: Notice of Motion; Exhibit A; Supporting Brief |
|
LR-21406
|
Feb 3, 2010 |
Coadum Advisors, Inc.; Mansell Capital Partners III, LLC; James A. Jeffery; Thomas E. Repke; Coadum Capital Fund 1, LLC; Coadum Capital Fund II, LP; Coadum Capital Fund III, LP; and Mansell Acquisition Company LP |
|
LR-21405
|
Feb 3, 2010 |
Joshua Z. Levinberg
See also: SEC Complaint |
|
LR-21404
|
Feb 3, 2010 |
Bruce A. Macdonald and Robert A. Maresca, Defendants, and Bruce K. Bohlander, Relief Defendant
See also: SEC Complaint |
|
LR-21403
|
Feb 2, 2010 |
David R. Slaine
See also: SEC Complaint |
|
LR-21402
|
Feb 2, 2010 |
Grant Ivan Grieve, Finvest Asset Management, LLC; and Finvest Fund Management, LLC |
|
LR-21401
|
Feb 2, 2010 |
Stephen Czarnik
See also: SEC Complaint |
|
LR-21400
|
Feb 2, 2010 |
Winning Kids, Inc., Christian Hainsworth, Robert Comiskey, Edward Tamimi, and Victor Selenow, Defendants
See also: SEC Complaint |
|
LR-21399
|
Feb 1, 2010 |
David W. Wehrs and Maryland Title and Escrow Co., Inc.
See also: SEC Complaint |
|
LR-21398
|
Feb 1, 2010 |
Vincent Montagna and Christine Palmer |
|
LR-21397
|
Jan 29, 2010 |
Galleon Management, LP, et al.
See also: SEC Complaint |
|
LR-21396A
|
Jan 28, 2010 |
Tsukuda-America Inc. et al.
Other Release Number(s): AAER-3111A
See also: SEC Complaint; SEC Rel. No. 33-9102 (January 26, 2010) and the related Division of Enforcement Statement. |
|
LR-21395
|
Jan 26, 2010 |
East Delta Resources Corp., Victor Sun, David Amsel and Mayer Amsel
See also: SEC Complaint |
|
LR-21394
|
Jan 25, 2010 |
Michael Lauer, et al. |
|
LR-21393
|
Jan 22, 2010 |
Fleming, et al. |
|
LR-21392
|
Jan 22, 2010 |
Avi Fogel
See also: SEC Complaint |
|
LR-21391
|
Jan 22, 2010 |
Nicor Inc. and Jeffrey L. Metz |
|
LR-21390
|
Jan 22, 2010 |
Brian Travis, et al. |
|
LR-21389
|
Jan 22, 2010 |
Steven E. Nothern |
|
LR-21388
|
Jan 21, 2010 |
Assurant, Inc.
Other Release Number(s): AAER-3109
See also: SEC Complaint |
|
LR-21387
|
Jan 21, 2010 |
Robert Feeback, et al.
See also: SEC Complaint |
|
LR-21386
|
Jan 21, 2010 |
Bernard Daniel Braver
See also: SEC Complaint |
|
LR-21385
|
Jan 20, 2010 |
One Equity Corp., et al.
See also: Claims Materials |
|
LR-21384
|
Jan 20, 2010 |
General Re Corporation
Other Release Number(s): AAER-3108
See also: SEC Complaint |
|
LR-21383
|
Jan 20, 2010 |
Charles J. Marquardt
See also: SEC Complaint |
|
LR-21382
|
Jan 19, 2010 |
Jamie L. Solow
See also: SEC Complaint; Order of Civil Contempt |
|
LR-21381
|
Jan 19, 2010 |
Andres L. Pimstein, The Bottom Line of South Florida, Inc. and Summit Trading LLC |
|
LR-21380
|
Jan 19, 2010 |
Berkshire Resources, et al. |
|
LR-21379
|
Jan 15, 2010 |
Gregg Thomas Rennie |
|
LR-21378
|
Jan 13, 2010 |
Zachariah P. Zachariah, et al. |
|
LR-21377
|
Jan 12, 2010 |
Bank of America Corporation
See also: SEC Complaint |
|
LR-21376
|
Jan 12, 2010 |
Phillip Macdonald, Martin Gollan, and Michael Goodman |
|
LR-21375
|
Jan 12, 2010 |
Robert E. Lane, et al. |
|
LR-21374
|
Jan 11, 2010 |
NATCO Group Inc.
Other Release Number(s): AAER-3102 |
|
LR-21373
|
Jan 11, 2010 |
Lance Poulsen, et al. |
|
LR-21372
|
Jan 11, 2010 |
Neil V. Moody and Christopher D. Moody |
|
LR-21371
|
Jan 11, 2010 |
Bank of America Corporation
See also: SEC Complaint |
|
LR-21370
|
Jan 11, 2010 |
Brooke D. Wagner
See also: SEC Complaint |
|
LR-21369
|
Jan 11, 2010 |
NewPoint Financial Services, Inc., et al.
See also: SEC Complaint |
|
LR-21368
|
Jan 11, 2010 |
Ryan M. Reynolds, Desmond J. Milligan, Jason W. Brola, Timothy T. Page, Market 99 Ltd., f/k/a eCarfly, Inc., Tryst Capital Group, LLC, Griffdom Enterprises, Inc., Testre, L.P. and Bellatalia, L.P. |
|
LR-21367
|
Jan 8, 2010 |
Edward P. May and E-M Management Co. LLC |
|
LR-21366
|
Jan 8, 2010 |
Steve W. Salutric
See also: SEC Complaint |
|
LR-21365
|
Jan 8, 2010 |
Thomas A. Labry and Cherokee Gas Systems, Inc.
See also: SEC Complaint |
|
LR-21364
|
Jan 8, 2010 |
Richard Elkinson
See also: SEC Complaint |
|
LR-21363
|
Jan 7, 2010 |
Gerald P. Alexander, CJB Consulting, Inc., and Regis Filia Holdings, Inc.
See also: Judgment |
|
LR-21362
|
Jan 6, 2010 |
Michael F. Shanahan, Sr., et al. |
|
LR-21361
|
Jan 6, 2010 |
Daniel H. Bayly, et al.
Other Release Number(s): AAER-3094 |
|
LR-21360
|
Jan 5, 2010 |
Reza Saleh and Amir Saleh |
|
LR-21359
|
Jan 5, 2010 |
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-21358
|
Jan 4, 2010 |
Nolan Wayne Wade |
http://www.sec.gov/litigation/litreleases/litrelarchive/litarchive2010.shtml
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