SEC Enforcement Actions
U.S. Securities and Exchange Commission litigation releases sourced from SEC.gov.
10,345 releases indexed · page 26 of 104.
- LR-20292Mark Ristow et al.
- LR-20290Joseph Simone, et al.
- LR-20287Senior Resources of Hawaii, Inc. and Mark K. Teruya
- LR-20288University Lab Technologies, Inc. and George Theodoropoulos, a/k/a George Theodore
- LR-20289Swiss Re Financial Products Corporation
- LR-20285Linda Jones and Leslie H. Knox
- LR-20286Carl R. Rose, et al.
- LR-20283Gary M. Milby and Mid-America Energy, Inc.
- LR-20284Martin J. Druffner, et. al.
- LR-20277Sure Trace Security Corporation et al.
- LR-20279Brian E. Haylor
- LR-20280Terax Energy, Inc., et al.
- LR-20281Barry M. Budilov and Raymond J. Green
- LR-20282Efoora, Inc., et al.
- LR-20275Frank A. Dunn, Douglas C. Beatty, Michael J. Gollogly, MaryAnne E. Pahapill (a.k.a. Mary Anne Poland), Douglas A. Hamilton, Craig A. Johnson, James B. Kinney and Kenneth R.W. Taylor
- LR-20276Smart Online, Inc., et al.
- LR-20274Real Estate Partners, Inc. et al.
- LR-20273Orlando Joseph Jett
- LR-20272Senior Resources Of Hawaii, Inc. and Mark K. Teruya
- LR-20269Michael Saquella, a.k.a. Michael Paloma, and Lawrence Kaplan
- LR-20270Chauncey Shey
- LR-20271Homeland Communications Corporation, et al.
- LR-20265James B. Crofwell
- LR-20266Saks Incorporated
- LR-20267Michael E. Kelly, et al.
- LR-20268Patricia B. Rocklage, William M. Beaver and David G. Jones
- LR-20262Thomas J. Bucknum
- LR-20263Leonard L. Zanello, Sr., Ihor A. "Gary" Humesky, Steven B. Rodd, and Robert F. Broege, Jr.
- LR-20264James B. Roberts, FOMAC International, Inc., and Consultores Las Tres Americas S.A.
- LR-20258Scott R. Sacane, et al.
- LR-20259Roger D. Blackwell et al
- LR-20257Lisa C. Berry and Juniper Networks, Inc.
- LR-20256Pittsford Capital Income Partners, L.L.C., et al.
- LR-20253Charles O. Morgan, Jr., as Personal Representative of the Estate of Frederick J. Kunen, et al.
- LR-20254Brian N. Hollnagel and BCI Aircraft Leasing, Inc.
- LR-20255Secure Investment Services, Inc., American Financial Services, Inc., Lyndon Group, Tnc., Donald F. Neuhaus, and Kimberly A. Snowden
- LR-20251Textron Inc.
- LR-20252Secure Investment Services, Inc., American Financial Services, Inc., Lyndon Group, Inc., Donald F. Neuhaus, and Kimberly A. Snowden
- LR-202482DoTrade, Inc. et al.
- LR-20249Sentinel Management Group, Inc.
- LR-20250John M. Fife and Clarion Management, LLC
- LR-20247Michael J. Byrd
- LR-20244Inter Global Technologies, Inc. and Michael E. Tomayko
- LR-20245Roger D. Blackwell et al
- LR-20246Marc T. Duchesne, Jeffrey A. Hayden, Gregory A. Moffitt, Robert S. Parsley, and Nationwide Capital Corporation
- LR-20243Michael G. Smeraski, et al.
- LR-20240Anthony P. Postiglione, Jr. and William J. Lennon
- LR-20241AOB Commerce, Inc., AOB Asia Fund I, LLC, and Terchi Liao a/k/a Nelson Liao, et al.
- LR-20242Brian Lee and Todd DiRoberto, et al.
- LR-20238Eric Turner and Kenneth May
- LR-20237Earthly Mineral Solutions, Inc., Natural Minerals Processing Company, Roy D. Higgs, Frank L. Schwartz, and Rick Lawton
- LR-20232Kenneth Roy Weare, a/k/a Roy Weaver, J&K Global Marketing Corporation, and AAA-Auction.com, Inc.
- LR-20233Thomas Fisher, Kathleen Halloran, and George Behrens
- LR-20236Amerifirst Funding, Inc., Amerifirst Acceptance Corporation, Jeffery C. Bruteyn and Dennis W. Bowden
- LR-20230Platforms Wireless International Corp., William C. Martin, Charles B. Nelson, Robert D. Perry, Francois M. Draper, and Victor L. Ziller
- LR-20231Michael, Adest & Blumenkrantz, P.C., David Michael, CPA, and Paul Adest, CPA;
- LR-20227First BanCorp
- LR-20228Sierra Brokerage Services, Inc.
- LR-20229Steven E. Muth, Richard J. Rouse, and Bruce J. Bates Brenda P. Murray, Chief Administrative Law Judge
- LR-20225Jerry K. Castleman and Kathleen M. Lynn
- LR-20226David E. Tether
- LR-20223Michael J. Pietrzak, Maurice W. Furlong and Donald E. Jordan
- LR-20224One or More Unknown Purchasers of Call Options for the Common Stock of Petco Animal Supplies, Inc. and Taher Suterwalla
- LR-20222Joseph A. Frohna
- LR-20220Global Asset Partners, LLC, et al.
- LR-20221Carole D. Argo
- LR-20219Integrated Silicon Solution, Inc. and Gary L. Fischer
- LR-19961Suzanne Brown
- LR-19959U.S. Wind Farming, Inc., et al.
- LR-19956Joseph J. Spiegel
- LR-19957Exotics.com, Inc., et al.
- LR-19958U.S. Wind Farming, Inc., et al.
- LR-19955John F. Mangan, Jr.
- LR-19953Richard D. Power, Edward Federman, and Richard J. "Skip" Heger
- LR-19954Michael G. Velasco
- LR-19950Friedman, Billings, Ramsey & Co., Inc., Emanuel J. Friedman and Nicholas J. Nichols
- LR-19960Lawrence B. Evans, David L. McQuillin, and Lisa W. Zappala
- LR-19952Credit First Fund, LP, et al.
- LR-19949Grand Logistic, S.A., et al.
- LR-19946James Barlow Smith, et al.
- LR-19947James E. Franklin Carol Fox Foelak, Administrative Law Judge
- LR-19948Concorde America, Inc., et al.
- LR-19945Uncommon Media Group, Inc., et al.
- LR-19943Bennett Environmental, Inc., John A. Bennett, Robert P.G. Griffiths and Richard L. Stern
- LR-19944Adam M. Lloyd, Carl D. Udler, and Howard J. Miller
- LR-19940Dorothy L. Mahler, John W. Bracewell, III, and Patricia L. Jones
- LR-19941U.S. Gas & Electric, Inc., et al.
- LR-19939Alfred S. Teo, Sr., et al.
- LR-19938International Energy and Resources, Inc.
- LR-19936Howard R. Baer and Kevin C. Baer
- LR-19937Lindsey P. Vinson and Clyde R. Parks
- LR-19934International Fiduciary Corp., S.A., et al.
- LR-19935John Giesecke, Jr., Joseph J. Shew, and John R. DeSimone
- LR-19931Andrew J. Zahn, Philip J. Sexauer, and Cynthia K. Berryman
- LR-19932Bart A. Thielbar, David A. Monaghan, Keith W. Beachler, Jana L. Quam And Cary B. Griswold
- LR-19933China Energy Savings Technology, Inc., et al.
- LR-19930David K. Donovan, Sr.
- LR-19927Peter J. Dawson, et al.
- LR-19928Jonathan Curtis Papa
- LR-19929Robert J. Gallivan
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.