Home/Federal/SEC Enforcement

SEC Enforcement Actions

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

10,345 releases indexed · page 36 of 104.

LR-17935
Alfred M. Lemcke, et al.
LR-17936
Premier Marketing And Investments, Inc. and Nicholas Roblee a/k/a Nicholas Richmond
LR-17937
I-Net Providers, et al.
LR-17938
Robert N. Rooks, John W. Duffell III and Charles E. Yost II
LR-17939
Dale Carone, et al.
LR-17940
Phong Nguyen and Chanh Nguyen
LR-17931
First Choice Management Services, Inc. and Gary Van Waeyenberghe
LR-17932
Robert Williams
LR-17929
Sheldon Maschler, Jeffrey A. Citron, Michael Mccarty, Erik Maschler, Heartland Securities Corporation, Aaron Elbogen, Moishe Zelcer, Raft Investments, Inc., and Jes Management Corporation
LR-17930
Joshua M. Levine
LR-17925
Jordan Enterprises LLC, et al.
LR-17926
Richard Alyn Waage and Haarlem Universal Corporation
LR-17927
William Grabske
LR-17928
Sandra K. Simpson and Daphne Ann Pattee
LR-17923
Robertson Stephens, Inc.
LR-17924
Jeffrey Kalina
LR-17922
Paul E. Johnson
LR-17921
Kevin J. Morrison, et al.
LR-17914
Discovery Capital Group, Erik Walsh, and John Abresch
LR-17915
Harral Dunbar, Jr., Individually and d/b/a Ghost International
LR-17890
Anthony Burges and Burges Asset Management, Inc.
LR-17917
Scott K. Ginsburg
LR-17918
James L. George, Paul E. Brodhagen and Michael J. Wright
LR-17919
Dianna Blairtorbett a/k/a Dianna Blair Torbett a/k/a Dianna Blair-Torbett, Individually and d/b/a McMinn Consultants, and McMinn Consultants, Limited
LR-17920
Asset Recovery And Management Trust, S.A., Frank Ray Johnson, Milton E. Vaughn, and Carlos Fernandez Alfaro
LR-17913
Frank L. Peitz, Daniel B. Benson, Randall W. Law, Monica Iles, and Robert D. Paladino, et al.
LR-17911
Maxxon, Inc., Gifford M. Mabie, Jr., Thomas R. Coughlin Jr. and Rhonda R. Vincent
LR-17909
Russell W. Jones and R&D Marketing, Inc.
LR-17910
Raymond M. Marker, et al.
LR-17907
W.J. Nolan & Co., Inc.
LR-17908
William R. Kerr and China Investment Group, Ltd.
LR-17904
U.S. Technologies Inc. and C. Gregory Earls
LR-17905
Terry L. Dowdell, et al.
LR-17906
eWealth Securities, Inc., et al.
LR-17903
Alejandro Duclaud Gonzalez de Castilla, et al.
LR-17901
BigPlayStocks.com, Inc. and John R. Luers
LR-17902
David M. Brooks
LR-17895
Eugene M. Carriere, James S. Eberhart, Richard Hines, and Kenneth Gottlieb
LR-17896
Frank E. Walsh, Jr.
LR-17897
Jorge Eduardo Ballesteros Franco, et al.
LR-17898
Ira A. Gerard and Karen S. Harris
LR-17899
Jui-Teng Lin
LR-17900
Gordon J. Rollert
LR-17894
Harral Dunbar, Jr., individually and d/b/a Ghost International
LR-17891
Susan Moore
LR-17892
Southmark Advisory, Inc., Southmark, Inc., and Wendell D. Belden
LR-17893
Rand E. Shapiro and John D. Weil
LR-17889
Capital Acquisitions, Inc, et al.
LR-17886
Leonard L. Zanello, Sr., Ihor A."Gary" Humesky, Steven B. Rodd, and Robert F. Broege, Jr.
LR-17885
A. B. Financing and Investments, Inc. and Anthony Blissett
LR-17875
Web Hosting Headquarters Partnership, et al.
LR-17876
Morgan Cooper
LR-17877
Leah Industries, Inc., et al.
LR-17878
Stuart A. Slonin, and The Strategies Group, Inc.
LR-17879
Jeffrey D. Chandler and Randall Jordon
LR-17880
Bruce B. Edmondson, CPA
LR-17881
John E. Brinker, Jr., Gary J. Bentz, et al.
LR-17882
Rafi M. Khan
LR-17883
Betty L. Vinson and Troy M. Normand
LR-17884
Rajiv Vohra, Sean T. Healey, Lantern Investments, Ltd., Lipton Holdings, Ltd., and Beaufort Holdings, Ltd.
LR-17871
Andrew S. Marks
LR-17872
California Autocare Corporation, Autocare Americorp, Joseph Sanfellipo, James E. Gasper, Kimball R. Vance, Jr. and Elihu M. Sigal
LR-17873
Pattinson Hayton, et al.
LR-17874
Paul R. Johnson, et al.
LR-17869
Ralph K. Ungermann, Alan J. McMillan, and James O. Mitchell
LR-17870
IBF Collateralized Finance Corp., et al.
LR-17867
Thomas Fletcher & Co. Inc., et al.
LR-17864
Ryan J. Fontaine and Simpleton Holdings Corporation, a/k/a Signature Investments Hedge Fund
LR-17865
Ari Parnes, ADAR Equities, LLC, Shauel Seitler, Jacob Herman, Yezhak Dov Knoll, and Myron Raisman
LR-17866
WorldCom, Inc.
LR-17860
Siebel Systems, Inc.
LR-17861
ICN Pharmaceuticals, Inc., Milan Panic, Nils O. Johannesson and David C. Watt
LR-17862
Roys Poyiadjis, Lycourgos Kyprianou and AremisSoft Corp., et al.
LR-17857
Thomas Fletcher & Co. Inc. et al.
LR-17858
Eric E. Resteiner, et al.
LR-17854
Inorganic Recycling Corp., et al.
LR-17855
Phillip E. White
LR-17856
Keith Mohn, Mohn Asset Management, L.L.C., Mohn Financial Group, L.L.C., J. Patrick Kisor, PDK International, Inc., Agave, Ltd., Genesis Trading Associates, L.L.C., NCB Investments, Inc., PCM, L.L.C., Jason Malkin, and Gilbert Howard
LR-17850
Rodolfo Luzardo, Elias I. Kodsi, and Alain D. Kodsi
LR-17851
Merchant Capital LLC, Steven C. Wyer and Kurt V. Beasley, Defendants, and New Vision Financial LLC, Relief Defendant
LR-17852
TenFold Corporation, Gary D. Kennedy, Robert P. Hughes, Stanley G. Hanks, and Wynn K. Clayton
LR-17848
Dennis Herula et al.
LR-17849
Network International Investment Corporation, et al.
LR-17847
Net World Marketing, Inc. et al.
LR-17845
Earl A. Abbott, Richard L. Stalvey, Glenn Perdue, Robert E. Gerwin, Kenneth C. Nunn and Thomas J. O'Keeffe
LR-17846
Michael G. Horsey, CPA, Michael D. Watson, CPA, and Sallie D. Feldman, CPA
LR-17840
Von Christopher Cummings, et al.
LR-17841
Beacon Hill Asset Management LLC, Beacon Hill Master, Ltd., Bristol Fund, Ltd., Safe Harbor Fund L.P., Safe Harbor Asset Management, LLC, Milestone Plus Partners L.P. and Milestone Global Advisors, L.P.
LR-17842
David F. Myers and Buford Yates, Jr.
LR-17843
Larry Ohms
LR-17844
California Autocare Corporation, Autocare Americorp, Joseph Sanfellipo, James E. Gasper, Kimball R. Vance, Jr., and Elihu M. Sigal
LR-17836
Albert Dunlap et al.
LR-17837
Adelphia Communications Corporation, John J. Rigas, Timothy J. Rigas, Michael J. Rigas, James P. Rigas, James R. Brown, and Michael C. Mulcahey
LR-17838
Barry L. Saffer
LR-17839
Miriam Santos, Michael F. Hollendoner and Peter J. Burns
LR-17835
800America.com, Inc., et al.
LR-17834
Russo Securities, Inc. and Kimberly Kent
LR-17832
International Heritage, Inc., Stanley H. Van Etten, Claude W. Savage, Larry G. Smith and International Heritage, Incorporated, a Nevada Corporation
LR-17829
WorldCom, Inc.
LR-17830
Steven V. Cotton

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.