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SEC Enforcement Actions

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

10,345 releases indexed · page 29 of 104.

LR-19489
Colin Nathanson
LR-19490
Bradley T. Smith, et al.
LR-19487
Sidney V. Corder
LR-19488
Bradford C. Bleidt, et al.
LR-19486
Barry J. Goodman, et al.
LR-19483
WMDS, Inc. et al.
LR-19484
Claude Lefebvre et al.
LR-19485
Cedric Kushner Promotions, Inc., et al.
LR-19481
Peter S. Jessop, Socius Holdings Ltd., SIGF, S.A., Steven R. Wright, International Solutions, Inc., Shawn Casius and Logic's Consulting, Inc.
LR-19482
David M. Wolfson et al.
LR-19479
David T. Thomson, CPA, and David T. Thomson PC
LR-19480
Joel Steinger, et al.
LR-19477
Friedman's Inc.
LR-19478
Vincent A. Lenarcic, Jr. and New Vision Investment Funds, LLC, Defendants, and QMA Investment Management, LLC, Relief Defendant
LR-19474
Berton M. Hochfeld and Hochfeld Capital Management
LR-19475
James A. Franklin, et al.
LR-19476
Integrated Services Group Inc., James L. Rowton and David M. Loev
LR-19473
Mark R. Conway and Groundswell Partners LLC
LR-19471
Allixon International Corp., et al.
LR-19472
Focus Financial Associates, Inc.
LR-19468
Paul E. Johnson
LR-19469
Save The World Air, Inc., Jeffrey Alan Muller, and Billy Blackwelder
LR-19470
Amerindo Investment Advisors Inc., et al.
LR-19464
WMDS, Inc.; One Universe Online, Inc.; Seng Tan; James Bunchan and Christian Rochon
LR-19465
PacketPort.com, Inc., Ronald Durando, PacketPort, Inc., Microphase Corp., Robert H. Jaffe, Gustave Dotoli, IP Equity, Inc., M. Christopher Agarwal, Theodore Kunzog, and William Coons, III
LR-19466
James E. Franklin, et al.
LR-19463
Kevin James Quinn
LR-19461
Learn Waterhouse, Inc.; Randall Treadwell; Rick D. Sluder; Larry C. Saturday; and Arnulfo M. Acosta
LR-19462
High Park Investment Group Inc., a Nevada Corporation; Harbor Financial Investment Group, Inc., a Nevada Corporation and Edward R. Showalter
LR-19460
Mark R. Conway and Groundswell Partners LLC
LR-19459
Russ R. Luciano, et al.
LR-19458
National Presto Industries, Inc.
LR-19456
Zvi Fuks, A.K.A. Zvi Fuchs, and Sabina Ben-Yehuda, A.K.A. Sonia Ben Yehuda
LR-19457
One or More Unknown Purchasers of Call Options for the Common Stock of Placer Dome Inc.
LR-19452
Uncommon Media Group, Inc., et al.
LR-19453
Philip J. Yoder Individually and d/b/a All The Way to the Top
LR-19454
Brian Crowley, Robert Henuset, Ritchie Langfield, Frank Lysiak, Ernie Rosenberg, Dale Schulz, and Larry Stone
LR-19455
David G. Zilli
LR-19450
Lohmus Haavel & Viisemann, et al.
LR-19451
William F. Mahon and Dean J. Jupiter et. al.
LR-19448
Bill L. Stapleton
LR-19449
Northshore Asset Management, et al.
LR-19446
International BioChemical Industries, Inc. and Timothy Moses
LR-19447
William E. Kraemer, et al.
LR-19443
Ocumed Group, Inc., Alfred R. Caggia and Louise A. Cummings
LR-19444
Robert R. Ross et al.
LR-19445
James P. Lewis Jr.
LR-19442
Randall Treadwell
LR-19441
Donald Matthew Greth and Brenda B. Melton
LR-19440
Rhino Ecosystems, Inc., et al.
LR-19437
Lucent Technologies Inc., et al.
LR-19438
Eric Tyra, Scott Wynne, Peter Berman, and Scott Carey
LR-19439
Scott Gershon, Paul Cifaldi, Neil Silver and Robert Davis
LR-19433
Glen W. Hilker, et al.
LR-19436
William F. Mahon and Dean J. Jupiter et. al.
LR-19431
FairPax.com, FairPax, Inc. and John Does 1-20
LR-19432
Brandmakers, Inc. and Gary F. Labrozzi
LR-19430
Daryl G. Desjardins, Robert S. Zaba, Alnoor Jiwan, Ronald D. Brouillette, Jr. and Brian A. Koehn
LR-19426
Charles L. Harris, Tradewinds International, L.L.C. and Tradewinds International II, L.P.
LR-19427
Joseph W. Daniel
LR-19428
Wood River Capital Management, LLC, et al.
LR-19429
Robert B. Petrosky
LR-19423
Edward Thomas Jung
LR-19424
Scott R. Sacane, et al.
LR-19425
Gregory Applegate
LR-19422
Theodore Charles Sihpol III
LR-19421
Gary L. Pilgrim, et al.
LR-19417
Fred Gold, John D. Parson and Brendon P. McDonald
LR-19418
KPMG LLP, et al.
LR-19419
Ken C. Chow, et al.
LR-19420
W.L. Ware Enterprises, Inc., et al., and Warren L. Ware
LR-19413
Benjamin Rogatinsky and Reuven Rogatinsky
LR-19414
One or More Unknown Purchasers of Call Options for the Common Stock of InVision Technologies, Inc.
LR-19415
Spear & Jackson, Inc.
LR-19416
Duane Kimble and Carene Kunkler and In the Matter of Duane Kimble, CPA, and Carene Kunkler
LR-19411
United Currency Group, Inc. and Adam Swickle
LR-19412
Learn Waterhouse, Inc.; Randall Treadwell; Rick D. Sluder; Larry C. Saturday; and Arnulfo M. Acosta
LR-19409
Frank M. Bergonzi, Martin L. Grass, and Franklin C. Brown
LR-19410
Ehrenkrantz King Nussbaum, Inc., Anthony Ottimo, and Brendan E. Murray
LR-19404
Michael K.C. Tom, et al.
LR-19405
LeeRoy Allen, Jr.
LR-19408
NJ Affordable Homes Corp. And Wayne Puff
LR-19399
K.L. Group, LLC, et al.
LR-19400
Steven M. Bolla, Washington Investment Network, Susan Bolla and Robert Radano
LR-19401
Michael J. Lawler
LR-19402
Saad, et al.
LR-19403
Del Global Technologies Corp., Inc.,et al.
LR-19398
Larry W. Tyler, Advanced Financial Services, Inc., et al.
LR-19396
Amit Mathur, et al.
LR-19397
David C. Guenthner And Jay M. Samuelson
LR-19392
Harvey P. Tabb
LR-19393
Brian G. Paquette and William G. Lawrence
LR-19394
Paul Sandifur, Jr., et al.
LR-19390
John W. Surgent, et al.
LR-19391
Keith G. Baxter, Ronald J. Goedde, Richard D. Nye, Robert E. Ellington and Anthony W. O'Dell
LR-19386
Barry J. Goodman et al.
LR-19387
Armand Dauplaise and Bernard Shinder
LR-19388
Herman's World of Sports, Inc., Thomas J. Dzwilewski, Michael Eisemann, and Louis Montaino
LR-19389
Jerry C. Moyes
LR-19385
Vincent Steckler

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