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SEC Enforcement Actions

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

10,345 releases indexed · page 67 of 104.

LR-23503 · 3/28/2016
AVEO Pharmaceuticals, Inc., et al.
LR-23499 · 3/24/2016
Gilbert G. Lundstrom, et al.
LR-23500 · 3/24/2016
James M. Louks and FiberPoP Solutions, Inc.
LR-23501 · 3/24/2016
John V. Bivona, et al.
LR-23497 · 3/23/2016
Arcturus Corporation, et al.
LR-23498 · 3/23/2016
Dubovoy, et al.
LR-23494 · 3/22/2016
Gregory G. Jones.
LR-23495 · 3/22/2016
Michael Affa, Andrew Affa, Mitchell Brown, Christopher Putnam, and Christopher Nix
LR-23496 · 3/22/2016
Guy Gentile
LR-23493 · 3/20/2016
Bruce D. Strebinger, et al.
LR-23492 · 3/17/2016
John E. Hardy III
LR-23489 · 3/15/2016
Cary Lee Peterson, et al.
LR-23490 · 3/15/2016
Mark A. Jones
LR-23491 · 3/15/2016
Yue Han, et al.
LR-23488 · 3/13/2016
Daniel Thibeault
LR-23486 · 3/10/2016
PTG Capital Partners LTD, et al.
LR-23487 · 3/10/2016
BIC Real Estate Development Corp. et al.
LR-23485 · 3/10/2016
Aequitas Management, LLC, et al.
LR-23484 · 3/9/2016
Reed J. Killion, et al.
LR-23481 · 3/8/2016
Banc de Binary Ltd., et al.
LR-23482 · 3/8/2016
Edwin Yoshihiro Fujinaga and MRI International, Inc., et al.
LR-23483 · 3/8/2016
Jay Y. Fung and Kevin L. Dowd
LR-23480 · 3/6/2016
Rhode Island Commerce Corporation (f/k/a Rhode Island Economic Development Corporation), Wells Fargo Securities, LLC, Peter M. Cannava, Keith W. Stokes, and James Michael Saul
LR-23479 · 3/2/2016
Fortitude Group, Inc., et al.
LR-23478 · 3/1/2016
Daryl M. Payton, et al.
LR-23477 · 2/29/2016
Zachary Zwerko and David L. Post
LR-23474 · 2/29/2016
Steven Fishoff, et al.
LR-23473 · 2/29/2016
Nathan Halsey and TexStar Oil Co., Ltd.
LR-23471 · 2/29/2016
Zavodchiko, et al.
LR-23472 · 2/29/2016
Scott Valente and The ELIV Group, LLC
LR-23475 · 2/29/2016
Steven H. Davis, et. al
LR-23469 · 2/29/2016
Michael Affa, Andrew Affa, Mitchell Brown, Christopher Putnam, and Christopher Nix
LR-23476 · 2/29/2016
Bonan Huang, et al.
LR-23312 · 7/29/2015
Gregory W. Gray, Jr., et al.
LR-23313 · 7/29/2015
ABS Manager, LLC and George Charles Cody Price
LR-23311 · 7/23/2015
Ming Zhao and Liping Zhu
LR-23310 · 7/22/2015
DFRF Enterprises LLC, et al.
LR-23309 · 7/20/2015
Thomas S. Wu and Thomas T. Yu
LR-23307 · 7/19/2015
Michael R. Enea
LR-23308 · 7/19/2015
Donald L. Koch and Koch Asset Management, LLC
LR-23306 · 7/16/2015
Chih Hsuan "Kiki" Lin
LR-23305 · 7/15/2015
Herbert K. Sudfeld, Jr., et al.
LR-23304 · 7/14/2015
Timothy J. McGee, et al.
LR-23303 · 7/13/2015
Harold Bailey "B.J." Gallison, II (A.K.A. Bart Williams), et al. SEC Complaint (public://migration/litigation/complaints/2015/comp23303.pdf)
LR-23302 · 7/12/2015
Frank Tamayo
LR-23301 · 7/9/2015
PTG Capital Partners LTD, et al.
LR-23300 · 7/6/2015
Neal Goyal
LR-23297 · 7/5/2015
Navistar International Corp.
LR-23298 · 7/5/2015
Luca International Group, LLC, et al.
LR-23299 · 7/5/2015
Baldwin et al.
LR-23296 · 7/1/2015
DFRF Enterprises LLC, et al.
LR-23295 · 6/30/2015
Malcolm Segal
LR-23294 · 6/25/2015
Interinvest Corporation, Inc. et al.
LR-23293 · 6/24/2015
Gregg R. Mulholland
LR-23292 · 6/23/2015
Capital Cove Bancorp LLC and Christopher M. Lee aka Rashid K. Khalfani
LR-23291 · 6/22/2015
Phil Donnahue Williamson
LR-23290 · 6/17/2015
Norstra Energy Inc., Glen Landry and Eric Dany
LR-23288 · 6/16/2015
Interinvest Corporation, Inc. et al.
LR-23289 · 6/16/2015
Eric McPhail, et al.
LR-23287 · 6/15/2015
Dimitry Braverman and Vitaly Pupynin
LR-23286 · 6/14/2015
Capital Financial Partners, LLC et al. Will D. Allen and Susan C. Daub
LR-23284 · 6/11/2015
Matthew G. Teeple et al. Andrew Miller
LR-23285 · 6/11/2015
Ryan L. Cook and HelpMed, Inc., et al.
LR-23282 · 6/10/2015
Aquaphex Total Water Resources and Gregory Jones
LR-23283 · 6/10/2015
Joshua A. Yudell and OCFB LLC, et al.
LR-23281 · 6/10/2015
Charles Raymond Langston III, CRL Management, LLC, and Guarantee Reinsurance, Ltd.
LR-23279 · 6/8/2015
Michael J. Fefferman, Chad E. Wiegand, and Akis C. Eracleous
LR-23280 · 6/8/2015
Andrew L. Evans
LR-23278 · 6/7/2015
Anthony Andrade, et al.
LR-23277 · 6/3/2015
David Rivard
LR-23275 · 6/2/2015
ClearPath Wealth Management, LLC et al.
LR-23276 · 6/2/2015
Mark F. Spangler and The Spangler Group, Inc.
LR-23274 · 6/1/2015
Edmond L. Lonergan and Green Planet Group, Inc.
LR-23273 · 5/31/2015
John A. Grant, Sage Advisory Group, LLC and Benjamin Lee Grant
LR-23272 · 5/28/2015
Robert P. DePalo, Joshua B. Gladtke, Gregg A. Lerman, Pangaea Trading Partners LLC, Arjent LLC, Arjent Limited, Excalibur Asset Management LLC, Rosemarie DePalo (Relief Defendant), and Allied International Fund, Inc. (Relief Defendant),
LR-23269 · 5/27/2015
Adam S. Gottbetter, Mitchell G. Adam, and K. David Stevenson
LR-23270 · 5/27/2015
Luis Chang and Everbright Development Overseas, Limited
LR-23271 · 5/27/2015
Mike Taxon and Itamar Cohen
LR-23268 · 5/26/2015
Gregory Geswein, Kevin Krakora, and Sandra Miller
LR-23266 · 5/19/2015
China Valves Technology, Inc., et al.
LR-23267 · 5/19/2015
Wwebnet, Inc. and Robert L. Kelly
LR-23265 · 5/18/2015
Sethi Petroleum, LLC and Sameer Sethi
LR-23264 · 5/17/2015
Eric McPhail, et al.
LR-23263 · 5/14/2015
Palladino, et al.
LR-23261 · 5/13/2015
Brian D. Jorgenson, et al.
LR-23262 · 5/13/2015
North Star Finance LLC, Thomas G. Ellis, Yasuo Oda, Thomas H. Vetter, Michael K. Martin, Sharon L. Salinas, Capital Source Funding LLC, Capital Source Lending LLC
LR-23259 · 5/12/2015
ITT Educational Services, Inc., Kevin M. Modany, and Daniel M. Fitzpatrick
LR-23260 · 5/12/2015
Iftikar Ahmed, et al.
LR-23258 · 5/11/2015
FX & Beyond Corporation and Steve H. Karroum
LR-23256 · 5/10/2015
Christopher A. Novinger, et al.
LR-23257 · 5/10/2015
Timothy J. McGee, et al.
LR-23255 · 5/7/2015
ClearPath Wealth Management, LLC and Patrick Evans Churchville, et al.
LR-23253 · 5/6/2015
Charles H. Merchant, Sr. and Southern USA Resources, Inc.
LR-23254 · 5/6/2015
David R. Gibson, et al.
LR-23252 · 5/5/2015
North Dakota Developments, LLC, Robert L. Gavin, and Daniel J. Hogan, et. al.
LR-23251 · 4/30/2015
Rudolf D. Pameijer, et al.
LR-23250 · 4/29/2015
Joel I. Wilson et al.
LR-23249 · 4/28/2015
Xiaoyu Xia and Yanting Hu
LR-23248 · 4/27/2015
Frank Perkins Hixon, Jr., et al.
LR-23247 · 4/26/2015
Robert Asti

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