SEC Enforcement Actions

Jerry K. Castleman, Cheryl I. Lipshutz, and Kathleen M. Lynn

Wesley Rhodes, Jr., Rhodes Econometrics, Inc., The Rhodes Company, and Resource Transactions, Inc.

TV Azteca, S.A. de C.V., et al.

Jon W. James; J.W. James & Associates; J.W. James Borrowing Entity, LLC; J.W. James Investment Group Fund One, LLC; The James Company Fund I, LLC; The James Company Borrowing Entity, LLC; Virtual Cash Flow Corporation; The Cloaking Device, Inc.; and J.W. James Acquisitions, LLC

Mark R. Conway

Armand Dauplaise and Bernard Shinder

Crescent Financial Group, Inc., Berkshire Tax Consultants Co., Warfield Capital Management Co., SpencerFerguson Receivables Corp., Thompson & Whitehurst Acquisition Consultants, and McKenzie Goldstein & Associates

Tri Energy, Inc., H & J Energy Company, Inc., Marina Investors Group, Inc., Lowell Decker, Robert Jennings, Henry Jones, Arthur Simburg, Mildred Stultz, DJM, LLC, Financial MD, Inc., Financial MD and Associates, Inc., Daniel J. Merriman, Global Village Records, and La Vie D'Argent, as defendants, and R.P.J. Investment Group, Inc., T.M.A. Investment Enterprises, Thomas Avery, and Wing NGA Lau, a/k/a Adrienne Lau, as relief defendants

U.S. Wind Farming, Inc., William L. Telander, et al.

Alan C. Goldsworthy, Walter T. Hilger, and Mark E. Sullivan

Credit First Fund, L.P., Credit First, LLC, Credit First Income Plus, LLC, Investors Guild, Inc., Investors First Financial Services, Inc., and David Lund

Vector Medical Technologies, Inc., Michael H. Salit, James P. Farnell, Michael J. Farnell, David A. Zimmerman and Stanley B. Wasser

Travis E. Correll, individually and d/b/a Horizon Establishment, Gregory Thompson, Dwight J. Johnson, Harry Robinson "Robbie" Gowdey, individually and d/b/a Atlas and Jericho Productions, Grant Cardno, Neulan D. Midkiff, Travis Correll & Company, Inc., The Liberty Establishment, Inc., Sovereign Capital Investments, S.A., TNT Office Supply, Inc., The Net Worth Group, Inc. and Joshua Tree Group LLC, Defendants, and Banner Shield, LLC, Hospitality Management Group, Inc., Creative Wealth Ventures, L

Jonathan D. Nelson (Defendant), XIT Land & Energy, Inc., Chisum Travel Center, Ltd., Z8 Properties, Ltd., Three Stars Aviation, LLC, and Chisum Coach, Ltd. (Defendants Solely for Purposes of Equitable Relief)

Melkon Gharakhanian, aka Michael Garian

Samuel Israel III; Daniel E. Marino; Bayou Management, LLC; Bayou Accredited Fund, LLC; Bayou Affiliates Fund, LLC; Bayou No Leverage Fund, LLC; and Bayou Superfund, LLC

Gary L. Valinoti

William Edward Sears and Patricia Jean Sears Million

Biopure Corporation, Thomas Moore, Howard Richman and Jane Kober

Bear, Stearns & Co. Inc., Jack Benjamin Grubman, 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, Henry McKelvey Blodget, Morgan Stanley & Co. Incorporated, Deutsche Bank Securities, Inc. and Thomas Weise

Par Three Financial, Inc. and Melvin D. Ruth

Rainmaker Managed Living, LLC, a New York Limited Liability Company; Rainmaker Managed Living, LLC, a California Limited Liability Company; Furman & Dilmaghani P.C.; Alireza Dilmaghani; Sidney F. Levine; and James Joseph Conway

Kenneth K. Livesay, et al.

Mohamad Wael Ibrahim Elzein, Individually and D/B/A Focus Mentors Elzein Management; Hussein Hassan El Zein; and Darin Raymond Knee

Southern Financial Group, Inc., Richard M. Wooten, Charles Dennis McKittrick and Gerald F. Hunter, Jr.,United States District Court for the District of South Carolina, Charleston Division

Mark A. Bailin, Kenneth H. Bowman, Timothy Neal Daly, Michael J. Hannigan, Peter O. Marion, John Nettle, Gordon Redgate, Bruce Robinson, Michael Rogers, Mark A. Bailin

Southern Financial Group, Inc., Richard M. Wooten, Charles Dennis McKittrick and Gerald F. Hunter, Jr.,United States District Court for the District of South Carolina, Charleston Division

Jack A. Brown, Jules Fleder, Roger Sherman, Bernard Ware et al.

John Benjamin Stewart, Jr., Stewart Finance Company, Stewart National Finance Company, Donald N. Ellis and D&E Acquisitions, Inc.

Robert A. Magnan, Investment Recovery Network, Inc., John Delprince, and Old Dominion Securities, Inc.

Global Health; Global Clearing; Global Securities; Goldman Quintero & Associates; Vince Dory And Joshua Adams

RC Investment Corp., Pinnacle Investment Corp., Robert A. Coberly, Jr., and Curtis D. Somoza

Colin Nathanson, Individually And Doing Business As Nathanson Investment Trust, Giant Golf Company, Play Big Enterprises, Inc., Starquest Management, Inc., Whitehawk Consulting Group, Inc., Leafhead Consultants, Inc., Nettel Consulting Corp., Yrmac Consulting Services, Inc., and Millennium Technical Group, Inc.

Internet Broadcast Group, et al.

Brian Lee (aka Brian Lee Petrosian), Todd DiRoberto, Lonnie Dragon and Trevor Watson

Cumulus Media Inc. et al.

Health Maintenance Centers, Inc., Znetix, Inc., Cascade Pointe of Arizona, LLC, Cascade Pointe Of Nevis, LLC, Kevin L. Lawrence, Donovan C. Claflin, Clifford G. Baird, Bainbridge Human Performance Centers, PLLC, Kimberly Alexander, Bonnie M. Couch, Stacy Gray, And Vicki L. Lawrence

Marc N. Geman; G. Marvin Bober, Administrative Law Judge

Global Express Capital Real Estate Investment Fund I, LLC; Global Express Capital Mortgage Corp.; Global Express Securities, Inc.; Connie S. Farris; and Dawn M. Reese

2DoTrade, Inc., George Russell Taylor, Barry William Gewin aka Barry Peters, Eric T. Landis, Dominic Roelandt, Michael D. Karsch, L. Van Stillman, David A. Wood, Jr., Clinton Walker, Oxford and Hayes, Ltd., FG & P Consulting, Ltd., Hackney Holdings, Ltd., Weston Partners, Inc., Infiniti Corporate Services, Ltd., Argo Financial, Ltd., 21st Equity Partners, Inc., MCG Partners, Inc., and LMR, Ltd.

Save the World Air, Inc. et al.

Millennium Capital Hedge Fund, L.P., Millennium Capital Group, LLC, and Andreas F. Zybell

John J. Todd, Robert D. Manza and Jeffrey Weitzen

Patrick Ballinger, Dennis R. Weaver, Kosta S. Kovachev, Lee E. Larscheid, Benny G. Morris, Darin W. Roberts, Linda M. Sears, Todd F. Walker, Branson City Limits, Inc., Resort Hotels, Inc., Universal Financial Leasing, Inc., and Ozark Ticket and Travel, Inc.

William A. Wilkerson and The Phoenix Group of Florida, Inc.

Shoreline Development Company, Todd J. Taylor, Derek K. Gradwell, Paul A. Barrios Iii, Dennis P. O'connell, Jr., Epic Consulting Services, Inc., Coastal Resources, Inc., Northstar Acquisitions And Holdings, Inc., Shoreline Holdings And Acquisitions, Inc. And Spartan Consulting, Inc.

Amazon Natural Treasures, Inc., Michael A. Sylver and Domingos Loricchio Jr.

Craig J. Shaber, Stephen R. Wright, and Bonaventure Capital, Ltd., et al.; and 2DoTrade, Inc., George Russell Taylor, Barry William Gewin aka Barry Peters, Eric T. Landis, Dominic Roelandt, Michael D. Karsch, L. Van Stillman, David A. Wood, Jr., Clinton Walker, Oxford and Hayes, Ltd., FG & P Consulting, Ltd., Hackney Holdings, Ltd., Weston Partners, Inc., Infiniti Corporate Services, Ltd., Argo Financial, Ltd., 21st Equity Partners, Inc., MCG Partners, Inc., and LMR, Ltd.

Vivendi Universal, S.A.

Tecumseh Holdings Corporation, Tecumseh Tradevest LLC, S.B. Cantor & Co., Inc., John L. Milling, Gerard A. McCallion, Anthony M. Palovchik and Dale Carone, Defendants, and Tecumseh Alpha Fund LP, Tecumseh Alpha LLC, and Stracq, Inc., Relief Defendants

Kenneth P. D'Angelo and RBF International, Inc.

Viatical Capital, Inc., d/b/a Life Settlement Network, Life Investment Funding Enterprises, Inc., Charles Douglas York, and Robert Kingston Coyne

Terry L. Kirch

Terry Richard Martin, Silver Legacy Corporation, Silver Sound LLC, Jonas David Smith, Michael W. McCall, Charles J. Tull, Ibis Securities LLC, Kenneth R. Martin, George Tamura, Goldman Sig, Inc., Edward L. Tezak, Signal Mortgage Inc., and John H. White

David Gane, Jeffrey D. Welsh, Southern Financial Services, Ins., Southern Waste, Inc., dba Strategic Investors Group, Charles T. Tamburello, and Capital Research Group, Inc.

A. B. Financing and Investments, Inc., and Anthony Blissett

Online Power Supply Inc., Larry G. Arnold and Kris M. Budinger

Ramiro M. Fernandez-Moris, Daniel S. Lezak, and Ramiro Rafael ("Ray") Fernandez

John Freeman, James Cooper, Benton Erskine, Anthony Seminara, Norman Lehrman, Linda Karlsen, Timothy Siemers, Norman Grossman, Lawrence Schwartz, Michael Akva, Robert Fricker, Richard Zelman, Bradley Burke, Benjamin Cooper, Chad L. Conner, Deon Benson, Gordon K. Allen, Jr., Jon Geibel, and William H. Borders II

Nutrition Superstores.com, Inc., Advanced Wound Care, Inc., Franchise Direct, Inc., Anthony F. Musso, Jr., Jeffery Gill, Wayne Santini and Andrew W. Doney

Virtual Cash Card LLC d/b/a Virtual Cash, Eric L. Turner, Kenneth M. May, Omni Advertising, Inc., Anthony Joseph Pinone (Defendants) and Virtual Cash Card International, Inc., Omni Advertising and Marketing, Inc., Kenance Consulting, Inc. (Relief Defendants)

800America.com, Inc.

Garry W. Stroud, individually and d/b/a Diamond Global Holding Trust, Euro Credit and Exchange Bank Ltd., and Angelic International, et al.

Steven H. Adler

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.

Keith Greenberg and Coyote Consulting and Financial Services, LLP

A.C.L.N., Ltd.; Abderrazak "Aldo" Labiad; Joseph J.H. Bisschops; Alex de Ridder; Pearlrose Holdings International S.A.; Emerald Sea Marine, Inc.; Scott Investments S.A.; BDO International (Cyprus); Minas Ioannou; and Christakis Ioannou (Defendants); and Scandinavian Car Carriers A/S; Pandora Shipping, S.A.; Sergui, Ltd.; Westbound Development Corp.; Maverick Commercial, Inc.; and DCC Limited (Relief Defendants)

Richard A. Svoboda and Michael A. Robles

Allen Z. Wolfson, Mervyn A. Phelan, David Wolfson, Kevin Kirkpatrick, Robert H. Pozner, John R. Chapman, Mervyn A. Phelan, Jr., Craig H. Brown, John W. Cruickshank, Jr., BonnieJean C. Tippetts, Feng Shui Consultants, Inc. (formerly World Alliance Consulting, Inc.), A-Z Professional Consultants Retirement Trust, Inc., AZW Irrevocable Trust, Salomon Grey Financial Corporation, Angelo Paul Koupas, Kyle Rowe, and Christopher Roundtree

David F. Myers

Asthma Disease Management, Inc., George H. Young, Richard A. Manini, Richard B. Anderson, and Colleen Erin Kelly Bishop

Harral Dunbar, Jr., Individually and d/b/a Ghost International

Shoreline Development Company, Todd J. Taylor, Derek K. Gradwell, Paul A. Barrios III, Dennis P. O'Connell, Jr., Epic Consulting Services, Inc., Coastal Resources, Inc., Northstar Acquisitions and Holdings, Inc., Shoreline Holdings and Acquisitions, Inc. and Spartan Consulting, Inc.

Kevin J. Morrison, et al.

The Strategies Group, Inc. and Stuart A. Slonin

Richard F. Rubin, et al.

Church Extension of the Church of God, Inc., United Management Services, Inc., James Perry Grubbs and Shearon Louis Jackson

Saint James Asset Management, Inc. and John Raymond Linney Clain, Defendants and Clain Family Corporation, Relief Defendant

Clif Goldstein, formerly known as Clifford Dixon Noe, Paul Howe Noe, also known as Paul Noe Randall, Carolyn M. Kaplan, Noel Alelov, Russell B. Gerstein, Nuell W. Paschal, Great American Trust Company, Inc., and Great American Trust Corporation, Inc.

Health Maintenance Centers, Inc., Bainbridge Human Performance Centers, PLLC, Znetix, Inc., Cascade Pointe of Arizona, LLC, Cascade Pointe of Nevis, LLC, Kevin L. Lawrence, Donovan C. Claflin, Clifford G. Baird, Kimberly Alexander, Bonnie M. Couch, Stacy Gray and Vicki L. Lawrence

Merrill Scott & Associates, Ltd.; Merrill Scott & Associates, Inc.; Phoenix Overseas Advisers, Ltd.; Gibraltar Permanente Assurance, Ltd.; Patrick M. Brody; David E. Ross II; and Michael Licopantis

Genesis Leasing IX, Inc., Kadie Corp., George Robert Hoffman, Lisa Klinger Paonessa, Brian Dominick Paonessa, Rainwater Investment Group Holdings XI LLC, Excalibur Investment Group Holdings PAIF II, Inc., Excalibur Investment Group Holdings, Inc., Excalibur Investment Group, Inc., Trident/KD Investment Group, Inc., and Endeavor Investment Group, Inc.

Save the World Air, Inc., Jeffrey Alan Muller, and Billy Blackwelder

Maria Iacovelli, Richard Morrisey, Individually, as Custodian for Chelsea Adair Morrisey, as Custodian for Eric Ryan Morrisey, and as Custodian for Andrew Jason Morrisey, Jerry Thornthwaite, and Marvin Kogod

TLC Investments & Trade Co., TLC America, Inc. dba Brea Development Company, TLC Brokerage, Inc., dba TLC Marketing, TLC Development, Inc., TLC Real Properties RLLP-1, Cloud & Associates Consulting, Inc., Ernest F. Cossey, Gary W. Williams, and Thomas G. Cloud

Peter W. Chabot, Chabot Investments, Inc., Sirens Investments, Inc., Sirens Synergy and the Synergy Fund, LLC

Robert L. Bentley, Entrust Group and Bentley Financial Services, Inc.

Web Hosting Headquarters Partnership, Donald E. Rhoades, Kenneth R. Grossfeld, Wayne L. Prichason, Eduardo Villar, and Karyn Miller, et al.

Frank L. Peitz, Daniel B. Benson, Peter A. Loutos, Sr., Robert D. Paladino, Randall W. Law, and Monica M. Iles

BigPlayStocks.com, Inc. and John R. Luers

Donald John Christensen, II, Jack E. Uselton, Marc R. Tow, George W. Guttman, Joseph M. Blumenthal, and Mountain Energy, Inc. ( Additional material – the complaint (https://www.sec.gov/divisions/enforce/extra/lr17144complaint.htm) against Donald John Christensen, II, et al.)

Tri-West Investment Club, Alyn Richard Waage, and Haarlem Universal Corporation

Fred Moldofsky

Daniel L. Zessinger; Carol Fox Foelak, Administrative Law Judge

KS Resources, Weststar Exploration, Inc., Lazar Frederick & Company, John K. Judd, Jr., Mark D. Seigel, Alexander L. Kahan, Betty A. Rubin, Guardian Industries, Inc., Pathfinder Minerals Group, Inc., Alex Kahan Enterprises, Inc., Mid-West Production, Inc., and Jamie B. Seigel

Harold W. Andrews Sr. and Harold W. Andrews Jr.

Steven H. Schiffer, Joann R. Schulz, Gary S. Kramer, Jonathan Solow, Frank J. Cannata, and Peter G. Mintz

Interstate Transfer Company and Janis A. Patterson

Leslye R. Schaefer, Allan G. Schaefer, Paul H. Epstein, and Ronald Zweibaum

TLC Investments & Trade Co., TLC America, Inc. dba Brea Development Company, TLC Brokerage, Inc., dba TLC Marketing, TLC Development, Inc., TLC Real Properties RLLP-1, Cloud & Associates Consulting, Inc., Ernest F. Cossey, Gary W. Williams, and Thomas G. Cloud