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SEC Enforcement Actions

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

10,345 releases indexed · page 71 of 104.

LR-22727 · 6/13/2013
James Fry
LR-22724 · 6/11/2013
Bridge Securities, LLC, et al.
LR-22725 · 6/11/2013
Victor Dosti and Whittier Trust Company
LR-22726 · 6/11/2013
Reema D. Shah and Robert W. Kwok
LR-22721 · 6/10/2013
Cutillo et al.
LR-22722 · 6/10/2013
Blake Richards
LR-22723 · 6/10/2013
Leslie J. Jacobs, II, and Andrew W. Jacobs
LR-22720 · 6/9/2013
MayfieldGentry Realty Advisors, LLC, et al.
LR-22717 · 6/6/2013
Bruce W. Tomlinson
LR-22718 · 6/6/2013
Banc de Binary Ltd.
LR-22719 · 6/6/2013
China Natural Gas, Inc. and Qinan Ji
LR-22714 · 6/4/2013
Laidlaw Energy Group, Inc. and Michael Bartoszek
LR-22715 · 6/4/2013
Thomas Fisher, et al.
LR-22711 · 6/2/2013
PACCAR Inc, et al.
LR-22712 · 6/2/2013
Detroit Memorial Partners, LLC and Mark Morrow
LR-22713 · 6/2/2013
Thomas Rubin, Christopher Scott, et al.
LR-22710 · 5/30/2013
Robert A. Gist, et al.
LR-22708 · 5/29/2013
John A. Grant, Sage Advisory Group, LLC and Benjamin Lee Grant
LR-22709 · 5/29/2013
MedLink International, Inc., Aurelio Vuono, and James Rose
LR-22707 · 5/23/2013
Daniel Bergin, et al.
LR-22706 · 5/22/2013
Blake Richards
LR-22705 · 5/21/2013
John Anthony Stilwell, Dr. Michael Curtis Moore, and Jillian Margaret Murphy
LR-22704 · 5/19/2013
Ren Hu
LR-22703 · 5/16/2013
Charles J. Dushek, et al.
LR-22702 · 5/16/2013
Robert Fowler and US Capital Funding II Series Trust 1, Inc. a/k/a US Capital Investments II (HK) Limited
LR-22701 · 5/15/2013
Deer Hill Financial Group, LLC, et al.
LR-22699 · 5/14/2013
RINO International Corporation, Dejun "David" Zou, and Jianping "Amy" Qiu
LR-22700 · 5/14/2013
Matthew C. Devlin
LR-22698 · 5/7/2013
Subaye, Inc. and James T. Crane
LR-22697 · 5/6/2013
Richard Verdiramo, Vincent L. Verdiramo, Edward Meyer, Jr., and Victoria Chen
LR-22695 · 5/2/2013
Jennifer E. Thoennes
LR-22696 · 5/2/2013
Grant Ivan Grieve, Finvest Asset Management, LLC, and Finvest Fund Management, LLC
LR-22693 · 4/30/2013
Well Advantage Limited, et al.
LR-22694 · 4/30/2013
Steven Palladino, et al.
LR-22691 · 4/29/2013
Adondakis, et al.
LR-22692 · 4/29/2013
A.L. Waters Capital, LLC, et al.
LR-22690 · 4/28/2013
City of Victorville, et al.
LR-22686 · 4/25/2013
Joshua Constantin, et al.
LR-22687 · 4/25/2013
Hilton, et al..
LR-22688 · 4/25/2013
John Michael Kelly, et al.
LR-22689 · 4/25/2013
InnoVida Holdings LLC, et al.
LR-22685 · 4/24/2013
USA Real Estate Fund 1, Inc. and Daniel F. Peterson
LR-22684 · 4/22/2013
Zufelt, et al.
LR-22683 · 4/22/2013
Gibraltar Global Securities Inc., and Warren A. Davis
LR-22682 · 4/21/2013
Mark D. Begelman
LR-22681 · 4/18/2013
Linda Woolf, Hands On Capital, Inc., et al.
LR-22680 · 4/17/2013
Andrew Farmer and Iridium Capital, Ltd.
LR-22678 · 4/16/2013
Jauyo (“Jason”) Lee and Victor Chen
LR-22679 · 4/16/2013
Joseph M. Mancuso
LR-22673 · 4/15/2013
Inter Reef, Ltd. dba Profitable Sunrise, Melland Company S.R.O., Color Shock S.R.O., Solutions Company S.R.O. and Fortuna-K S.R.O.
LR-22672 · 4/15/2013
Parker Drilling Company
LR-22675 · 4/15/2013
True North Finance Corp., et al.
LR-22676 · 4/15/2013
Uriel Sharef, et al.
LR-22677 · 4/15/2013
Noble Innovations, Inc.
LR-22674 · 4/15/2013
Richard Bruce Moore
LR-22671 · 4/14/2013
David Miller
LR-22670 · 4/10/2013
Scott London et al.
LR-22668 · 4/7/2013
Matthew John Ryan, et al.
LR-22669 · 4/7/2013
Glenn Hoppes, United States Energy Corp., TN-KY Development Fund LP, TN-KY Development Fund II LP and TN-KY Development Fund III LP
LR-22666 · 4/4/2013
Inter Reef, Ltd. dba Profitable Sunrise, Melland Company S.R.O., Color Shock S.R.O., Solutions Company S.R.O. and Fortuna-K S.R.O.
LR-22667 · 4/4/2013
Inofin, Inc., Michael J. Cuomo, Kevin J. Mann, Sr., Melissa George, Thomas Kevin Keough, David Affeldt, and Nancy Keough
LR-22665 · 4/2/2013
Garfield Taylor, Inc., et al.
LR-22662 · 3/31/2013
Sigma Capital Management, LLC, et al.
LR-22663 · 3/31/2013
Well Advantage Limited, et al.
LR-22664 · 3/31/2013
John J. Bravata, et al.
LR-22661 · 3/28/2013
Lowell Gene "Bob" Hancher, et al.
LR-22660 · 3/25/2013
Matthew G. Teeple, David T. Riley, and John V. Johnson
LR-22656 · 3/21/2013
Timothy J. Roth, et al.
LR-22657 · 3/21/2013
Joseph Grendys et al.
LR-22658 · 3/21/2013
Rajarengan (a/k/a Rengan) Rajaratnam
LR-22659 · 3/21/2013
Juan Carlos Bertini
LR-22654 · 3/19/2013
3 Eagles Research & Development LLC, Harry Dean Proudfoot III, Matthew Dale Proudfoot, Laurie Anne Vrvilo and Dennis Ashley Bukantis
LR-22653 · 3/19/2013
Douglas F. Whitman and Whitman Capital, LLC
LR-22655 · 3/19/2013
Andrey C. Hicks
LR-22648 · 3/18/2013
Gregg D. Caplitz, et al.
LR-22649 · 3/18/2013
K2 Unlimited, Inc., 211 Ventures, LLC, Diane Glatfelter, Robert Rice, and Robert Anderson
LR-22650 · 3/18/2013
Sigma Capital Management, LLC et al.
LR-22651 · 3/18/2013
E-Monee.com, Inc. et al.
LR-22652 · 3/18/2013
Gary J. Martel, d/b/a Martel Financial Group and MFG Funding
LR-22647 · 3/17/2013
CR Intrinsic Investors, LLC et al.
LR-22646 · 3/14/2013
Mercury Interactive, LLC (f/k/a Mercury Interactive Corporation), Amnon Landan, Sharlene Abrams, Douglas Smith, and Susan Skaer
LR-22645 · 3/14/2013
Carrillo Huettel LLP, et al.
LR-22644 · 3/13/2013
Edmund E. Wilson and Walter L. Ross
LR-22643 · 3/12/2013
Securities and Exchange Commission v. Frederick J. O’Meally et al.
LR-22641 · 3/11/2013
Alexander John Hunter and Thomas Edward Hunter
LR-22642 · 3/11/2013
Alvin R. Brown, First Choice Investment, Inc. and Advanced Corporate Enterprises, Inc. d/b/a A-Corp Enterprises a/k/a ACorp Development a/k/a A-Corp Investment
LR-22640 · 3/10/2013
Michael Dale Lackey
LR-22638 · 3/7/2013
Brian R. Reiss
LR-22639 · 3/7/2013
Inteligentry, Ltd., PlasmERG, Inc., PTP Licensing, Ltd. and John P. Rohner
LR-22633 · 3/6/2013
J.C. Reed & Company, Inc., J.C. Reed Advisory Group, LLC, Barron A. Mathis, and Estate of John C. Reed, Lana L. Reed, Executor
LR-22634 · 3/6/2013
Gerald D. Kegley, et al.
LR-22635 · 3/6/2013
M. Mark McAdams and R. Dane Freeman
LR-22636 · 3/6/2013
Robert Crane
LR-22637 · 3/6/2013
Scott I. Kupersmith, et al.
LR-22632 · 3/4/2013
Colin McCabe (D/B/A Elite Stock Report, The Stock Profiteer, and Resource Stock Advisor)
LR-22631 · 3/3/2013
Randal Kent Hansen, et al.
LR-22625 · 2/28/2013
New Stream Capital, LLC, New Stream Capital (Cayman), Ltd., David A. Bryson, Bart C. Gutekunst, Richard Pereira, and Tara Bryson, et al.
LR-22619 · 2/28/2013
Sean David Morton, Vajra Productions, LLC, 27 Investments, LLC, and Magic Eight Ball Distributing, Inc., defendants, and Melissa Morton and Prophecy Research Institute, relief defendants
LR-22600 · 2/28/2013
AutoChina International Limited, Hui Kai Yan, Rui Ge Dong, Victory First Limited, Rainbow Yield Limited, Yong Qi Li, Ai Xi Ji, Ye Wang, Zhong Wen Zhang, Li Xin Ma, Yong Li Li, and Shu Ling Li
LR-22589 · 2/28/2013
Volt Information Sciences, Inc. and Debra L. Hobbs and Jack J. Egan, Jr.

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.