Home/Federal/SEC Enforcement

SEC Enforcement Actions

U.S. Securities and Exchange Commission litigation releases sourced from SEC.gov.

10,345 releases indexed · page 100 of 104.

LR-16970 · 4/17/2001
Malcolm B. Wittenberg
LR-16966 · 4/16/2001
Michael D. Richmond
LR-16967 · 4/16/2001
Steven T. Snyder
LR-16964 · 4/16/2001
Excal Enterprises, Inc., et al.
LR-16965 · 4/16/2001
James Brown, Pinnacle Capital Advisors, and Austin Tanner
LR-16962 · 4/15/2001
John N. Brincat, Sr. and Bradley Vallem
LR-16963 · 4/15/2001
Eric E. Resteiner
LR-16961 · 4/12/2001
J&K Global Marketing Corp. et al.
LR-16960 · 4/11/2001
First Americap Corporation, Capital Relations Group, LLC, Stephen Harrison Thomas, Robert Douglas Williams, Tiji Thomas, Cyrus Industries, Inc., f/k/a Icon Trading, Inc., Raece B. Richardson and Byteaudio.com,Inc.
LR-16956 · 4/9/2001
Matthew Joel Mesplou
LR-16957 · 4/9/2001
Ives Health Company and M. Keith Ives
LR-16958 · 4/9/2001
Todd Roberti
LR-16959 · 4/9/2001
Melissa K. Quizenbeury
LR-16955 · 4/8/2001
Steven H. Schiffer, Joann R. Schulz, Gary S. Kramer, Jonathan Solow, Frank J. Cannata, and Peter G. Mintz
LR-16954 · 4/5/2001
Frank L. Harris, III
LR-16953 · 4/4/2001
Cristan K. Blackman, et al.
LR-16951 · 4/3/2001
Source Energy Corporation and Timothy R. Kraft
LR-16952 · 4/3/2001
Rajiv Vohra, Sean T. Healey, Lantern Investments, Ltd., Lipton Holdings, Ltd., and Beaufort Holdings, Ltd.
LR-16950 · 4/2/2001
Steven E. Thorn, Craig A. Morgan, Karen A. Estrada, Global Investors Group, LLC, First Financial Ventures, LLC, Second Financial Ventures, LLC, Third Financial Ventures, LLC, Fund Global, LLC and Global Equity Group, LLC
LR-16949 · 4/1/2001
Robert P. Oliver, Walter W. White, Gerald W. White, Howard White and Daniel P. Patton
LR-16948 · 3/29/2001
Montedison, S.p.A.
LR-16946 · 3/28/2001
Mauricio A. Gutierrez and Sharp Capital, Inc., et al.
LR-16947 · 3/28/2001
Sean Edward St. Heart
LR-16942 · 3/22/2001
Nancy J. Cheal
LR-16943 · 3/22/2001
Brett L. Bouchy and Richard C. Whelan
LR-16944 · 3/22/2001
Gateway Technologies, Inc., The Cheyenne Holding Corp., Randolph S. Ross and Timothy J. Kavanagh
LR-16945 · 3/22/2001
Pinnfund USA, Inc., Peregrine Funding, Inc., Allied Capital Partners, Grafton Partners, Six Sigma, LLC a/k/a 6 Sigma, LLC, Michael J. Fanghella, James L. Hillman, Reliance Holdings, LLC, and Kelly Cook a/k/a Kelly Jaye a/k/a Kelly Spagnola
LR-16937 · 3/21/2001
Anthony Dong-Yin Shen, Srinivas Anumolu, Ronald W. Pinto, Deborah J. Breckenridge, and Dominick J. Savino
LR-16938 · 3/21/2001
Heartland Group, Inc.
LR-16939 · 3/21/2001
Robert C. Schuster
LR-16940 · 3/21/2001
Earl A. Abbott, Richard L. Stalvey, Glenn Purdue, Robert E. Gerwin, Kenneth C. Nunn and Thomas J. O'Keeffe
LR-16941 · 3/21/2001
Pinnfund USA, Inc., Peregrine Funding, Inc., Allied Capital Partners, Grafton Partners, Six Sigma, LLC a/k/a 6 Sigma, LLC, Michael J. Fanghella, James L. Hillman, Reliance Holdings, LLC, and Kelly Cook a/k/a Kelly Jaye a/k/a Kelly Spagnola
LR-16936 · 3/20/2001
Aron Oleg Bronstein, et al.
LR-16934 · 3/15/2001
Lewis Allen Rivlin, Edwin Earl Huling III, and Alfred Huascar Velarde, as Defendants; and Z-Finance, S.A., Anthony P. Zioudas, Hedley Finance Ltd., Christian Dante, and Chrysanthos Chrysostomou, as Relief Defendants
LR-16935 · 3/15/2001
Hawa Corporation, Hawa Communications, Inc., Hawa Med, Inc., Ilona Alexis Mandelbuam, Robert E. Duke, and Sara Gomez De Ferro
LR-16933 · 3/14/2001
Aaron C. Finch
LR-16932 · 3/13/2001
Simon M. Rosenfeld, Terry D. Kochanowski, and John F. Yakimczyk
LR-16931 · 3/12/2001
Charles R. Homa, Michael Gause, et al.
LR-16928 · 3/8/2001
Todd J. Lascola, et al.
LR-16929 · 3/8/2001
Global Telelink Services, Inc., Global Contact Corporation and Robert Smith III
LR-16930 · 3/8/2001
Families On Line Corporation, Mark C. Thurman, and Robert D. Fieney
LR-16925 · 3/7/2001
Yun Soo Oh Park and Tokyo Joe's Societe Anonyme Corp.
LR-16926 · 3/7/2001
Lloyd E. Wollmershauser a/k/a The PennyStockMan
LR-16927 · 3/7/2001
Terry V. Koontz, et al.
LR-16922 · 3/1/2001
Vigue et al.
LR-16923 · 3/1/2001
Luis Bulas, Jr.
LR-16924 · 3/1/2001
Amazon Natural Treasures, Inc. Michael A. Sylver and Domingos Loricchio Jr.
LR-16921 · 2/28/2001
Jared Ray Leisek and Byron John Leisek
LR-16909 · 2/28/2001
Stephen G. Donahue and Donahue Securities Inc.
LR-16910 · 2/28/2001
Walter A. Forbes and E. Kirk Shelton
LR-16911 · 2/28/2001
Regald B. Smith
LR-16912 · 2/28/2001
Vigue et al.
LR-16913 · 2/28/2001
Sunset Investment Group, Inc., James Brown, Pinnacle Capital Advisors, and Austin Tanner
LR-16914 · 2/28/2001
Kenneth W. Schilling
LR-16916 · 2/28/2001
Internet Solutions for Business, Inc., and Lawrence Shaw
LR-16917 · 2/28/2001
Smart-Mart, Inc., Timothy A. McMurray and Bradley D. Woy
LR-16918 · 2/28/2001
Chidwhite Enterprises, Inc. and Jerry L. Chidester
LR-16919 · 2/28/2001
Pinkmonkey.com, Inc. and Patrick R. Greene
LR-16920 · 2/28/2001
Rumorsearch.com, Inc. and Jeremy Johnson
LR-16908 · 2/28/2001
Edward Gurin, Joshua Gurin and Trinarc Corporation
LR-16907 · 2/28/2001
David E. Fitzgerald and Pacific Genesis Group, Inc.
LR-16905 · 2/28/2001
Kenneth T. Tripoli, et al.
LR-16906 · 2/28/2001
Robin McEachin
LR-16903 · 2/28/2001
Daniel J. Lagermeier
LR-16904 · 2/28/2001
Ferrofluidics Corp., Ronald Moskowitz, Jerome R. Allen, Jan R. Kirk, Stephen P. Morin, Bruce S. Moody, and The 1991 RPM Irrevocable Trust
LR-16902 · 2/28/2001
Advance Local Development Corp., et. al.
LR-16897 · 2/28/2001
Edward J. Paradis, Jr. and Walter R. Snyder, Jr.
LR-16898 · 2/28/2001
Future Strategies Srl a/k/a Future Strategies International
LR-16899 · 2/28/2001
Joanne M. Moore, Ann W. McCausland and Michael J. McCausland
LR-16900 · 2/28/2001
Certain Unknown Purchasers of Common Stock of Financial Security Assurance Holdings, Ltd
LR-16896 · 2/28/2001
TAC International Limited, Douglas R. Walker, Craig Southwood, Larry B. Richardson and Jan Harry "Jack" Wilded
LR-16891 · 2/28/2001
Biosonics, Inc.
LR-16893 · 2/28/2001
David M. Brooks
LR-16894 · 2/28/2001
Alexis A. Arlett
LR-16895 · 2/28/2001
Gordon J. Rollert
LR-16890 · 2/28/2001
Alan M. Stricoff
LR-16889 · 2/28/2001
Brycar Financial Corporation and Bryan J. Egan
LR-16888 · 2/28/2001
Martin R. Frankel, John A. Hackney. Robert J. Guyer,Liberty National Securities, Inc., Gary Atnip and Sonia Howe Radencovici
LR-16887 · 2/28/2001
Jeffrey L. Fuller, Rebecca L. Schultz, and C. Eric Baumann
LR-16886 · 2/28/2001
E-Biz Ventures, et al.
LR-16877 · 2/28/2001
Ari Parnes, ADAR Equities, LLC, Shauel Seitler, JacobHerman, Yezhak Dov Knoll, and Myron Raisman
LR-16878 · 2/28/2001
Midpoint Trading Corp. and One or More Unknown Traders ofOptions on Common Stock of Ralston Purina Co.
LR-16879 · 2/28/2001
Latin American Services Co., Ltd., Cyprus Funds, Inc., EricV. Bartoli, Douglas R. Shisler, James L. Binge And Peter J. Esposito
LR-16880 · 2/28/2001
David M. Bonrouhi
LR-16881 · 2/28/2001
Jerome E. Rosen, Diversified Corporate Consulting Group,Joseph D. Radcliffe, William A. Calvo III, Wall Street Management Group,Robert Ciofalo, Calvin Moore, Thomas Clines, Heidi DeConde Clines, AndKathleen Connell
LR-16882 · 2/28/2001
Benny L. Judah and Excel Lease Fund, Inc.;
LR-16883 · 2/28/2001
Stewart, et al.
LR-16884 · 2/28/2001
Fred Carter and Wendell Carter
LR-16885 · 2/28/2001
David W. McConnell and Charles P. Morrison
LR-16875 · 2/28/2001
Barry J. Goodman et al.
LR-16876 · 2/28/2001
William H. Clark
LR-16873 · 2/28/2001
First Entertainment, Inc., and Abraham B. Goldberg
LR-16874 · 2/28/2001
Friendly Power Co., LLC, Friendly Power Co., Inc., Friendly Power Franchise Co., Scott J. Levine, Sabrina Levine and Dwight Stephens;
LR-16915 · 2/28/2001
John E. Brinker, Jr., Gary J. Bentz, Castlerock Consulting, LLC, Guardian First Limited, Inc. (a Nevada corporation), Guardian First Limited, Inc. (a Grenada corporation), Wellington Bank and Trust, Ltd., Wellington Capital Holdings Ltd., Inc., Wellington Capital Holdings, Ltd., Wellington International Investments, Inc., Wellington First International Investments, Inc. and all subsequently numbered Wellington International Investments, Inc. entities, Alpha Advantage II, Inc., Eleven Eighty-Five
LR-16901 · 2/28/2001
Maria Iacovelli, Richard Morrisey, Jerry Thornthwaite, and Marvin Kogod
LR-16892 · 2/28/2001
Elfindepan, S.A., Southern Financial Group, Tracy CalvinDunlap, Jr., Barry Lowe, James L. McCall, Strategic Asset Funds, S.A. EdmundMenden, Michael Menden and Michael Zieglmeier, defendants, and C.R.C.C. LLCand Patrick Wilson, relief defendants
LR-16872 · 2/28/2001
Keith J. Kim, Douglas K. Park, and William I. Park
LR-16638 · 7/30/2000
Meridian Asset Management, Inc., et al
LR-16639 · 7/30/2000
Ramon R. Obod
LR-16640 · 7/30/2000
John R. Manion, Rocco J. Anselmo, James L. Rammelt, Ivan Kron, Donald S. Italia and William E. Sklar

This is legal information, not legal advice. Laws vary by jurisdiction and change frequently. Always verify current law with official sources and consult a licensed attorney in your jurisdiction for advice on your specific situation.