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SEC Enforcement Actions

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

10,345 releases indexed · page 74 of 104.

LR-22292 · 3/13/2012
Frank Mazzola et al.
LR-22285 · 3/12/2012
Fernando J. Espuelas et al.
LR-22286 · 3/12/2012
United American Ventures, LLC, et al
LR-22287 · 3/12/2012
Larry Goldstone, Clarence Simmons, and Jane Starrett
LR-22284 · 3/11/2012
Alissa Joelle Kueng
LR-22280 · 3/8/2012
Steven J. Harrold
LR-22281 · 3/8/2012
Edward V. Ellis, Sr. and Jennifer L. Seidel
LR-22279 · 3/7/2012
Koss Corporation and Michael J. Koss
LR-22278 · 3/6/2012
Prime Star Group, Inc., et al.
LR-22275 · 3/5/2012
Brian Raymond Callahan, Horizon Global Advisors Ltd. and Horizon Global Advisors, LLC
LR-22276 · 3/5/2012
Rajnish K. Das and Stormy L. Dean
LR-22277 · 3/5/2012
Brookstreet Securities Corp. and Stanley C. Brooks
LR-22274 · 3/4/2012
William F. Duncan and John M. Williams
LR-22273 · 2/29/2012
Marleen Jantzen and John Jantzen
LR-22271 · 2/29/2012
Robert S. Woodruff, et al.
LR-22272 · 2/29/2012
Frank T. Noyes, et al.
LR-22268 · 2/29/2012
Magnum d’Or Resources, Inc., et al.
LR-22269 · 2/29/2012
Gregory N. McKnight, et al.
LR-22270 · 2/29/2012
Mark Anthony Longoria, et al.
LR-22265 · 2/29/2012
The BISYS Group, Inc.
LR-22266 · 2/29/2012
Jeremy Blackburn and Anthony Banas
LR-22054 · 7/28/2011
James E. Koenig
LR-22052 · 7/21/2011
Gerald Harold Levine, et al.
LR-22053 · 7/21/2011
Trevor G. Cook, Patrick J. Kiley, et al. and Jason Bo-Alan Beckman, et al.
LR-22049 · 7/19/2011
Compania International Financiera S.A., et al.
LR-22050 · 7/19/2011
Robert Doyle
LR-22051 · 7/19/2011
Michael Cardillo
LR-22048 · 7/18/2011
Howard B. Wildstein
LR-22046 · 7/17/2011
Robert D. Orr, Leland G. Orr, Michael S. Lowry, Michael S. Hess, Kyle L. Garst, and Travis W. Vrbas
LR-22047 · 7/17/2011
Martin J. Druffner, et. al.
LR-22042 · 7/14/2011
Galleon Management, LP, et al.
LR-22043 · 7/14/2011
James M. Peister, et al.
LR-22044 · 7/14/2011
Mark Anthony Longoria, et al.
LR-22045 · 7/14/2011
Charles C. Slowey, Jr., et al.
LR-22039 · 7/14/2011
Vinayak S. Gowrish
LR-22040 · 7/14/2011
Jeffery A. Lowrance, et al.
LR-22041 · 7/14/2011
Darrel West and Own My Travel, LLC, and Professionally Assisted Marketing, Inc.
LR-22038 · 7/13/2011
Robert C. Brown, Jr., et al.
LR-22037 · 7/12/2011
Armor Holdings, Inc.
LR-22034 · 7/11/2011
Ronald F. LeGrand and Frederick E. Wheat, Jr.
LR-22035 · 7/11/2011
Retail Pro, Inc. (fka Island Pacific, Inc.), et al.
LR-22036 · 7/11/2011
Sam Otto Folin, Benchmark Asset Managers LLC, and Harvest Managers LLC
LR-22032 · 7/10/2011
Presto Telecommunications, Inc. and Alfred Louis Vassallo, Jr.
LR-22033 · 7/10/2011
John N. Irwin and Jacklin Associates, Inc.
LR-22030 · 7/6/2011
Joshua Constantin et al.
LR-22031 · 7/6/2011
J.P. Morgan Securities LLC
LR-22028 · 7/5/2011
Navigators International Management Co., Ltd., James R. Spurger and Benjamin W. Young, Jr.
LR-22029 · 7/5/2011
Carl E. Binette and Peter E. Talbot
LR-22027 · 7/4/2011
John Raffle, David Applegate and Kathy Raffle
LR-22024 · 6/30/2011
ICP Asset Management, LLC, ICP Securities, LLC, Institutional Credit Partners, LLC, Thomas C. Priore, Lori A. Priore, and Bertrand H. Smyers
LR-22025 · 6/30/2011
Locke Capital Management, Inc. and Leila C. Jenkins
LR-22026 · 6/30/2011
Michael L. Rothenberg, et al.
LR-22023 · 6/30/2011
Fernando J. Espuelas et al.
LR-22019 · 6/29/2011
Edward A. Allen, David L. Olson, and A&O Investments, LLC
LR-22020 · 6/29/2011
Robert M. Esposito, Gregory A. King, Jack R. Belluscio and Anscott Industries, Inc.
LR-22021 · 6/29/2011
Galleon Management, LP, et al.
LR-22022 · 6/29/2011
Shawn A. Icely
LR-22018 · 6/29/2011
Brian Gibson, Douglas Newton and Real American Brands, Inc., n/k/a Real American Capital Corp., Donald W. Klein and KCM Holdings Corp., Thomas Schroepfer a/k/a Thomas Schroepfer Baetsen, Charles Fuentes, and Smokefree Innotec, Inc.
LR-22017 · 6/28/2011
Richard Verdiramo, Vincent L. Verdiramo, Edward Meyer, Jr., and Victoria Chen
LR-22015 · 6/27/2011
Francisco Illarramendi et al.
LR-22016 · 6/27/2011
Michael E. Kelly, et al.
LR-22013 · 6/26/2011
Elite Resources, et al.
LR-22014 · 6/26/2011
Peter L. Jensen and Thomas C. Tekulve, Jr.
LR-22012 · 6/21/2011
Radical Bunny, LLC, Tom Hirsch, Berta Walder, Howard Walder, and Harish Shah
LR-22007 · 6/20/2011
Paul R. Allen
LR-22008 · 6/20/2011
J.P.Morgan Securities LLC (f/k/a J.P. Morgan Securities Inc.); Edward S. Steffelin
LR-22009 · 6/20/2011
Florin S. Ilovici, et al.
LR-22010 · 6/20/2011
Galleon Management, LP, et al.
LR-22011 · 6/20/2011
Cutillo et al.
LR-22006 · 6/19/2011
David Ronald Allen, et al.
LR-22004 · 6/16/2011
Adam Smith
LR-22005 · 6/16/2011
Feinblatt, et al.
LR-22003 · 6/16/2011
Founding Partners Capital Management Co., et al.
LR-22002 · 6/15/2011
Farkas; Brown; Kissick; Kelly
LR-21998 · 6/13/2011
U.S. Technologies, Inc. and C. Gregory Earls
LR-21999 · 6/13/2011
Lanexa Management LLC and Thomas C. Hardin
LR-22000 · 6/13/2011
Thomas C. Hardin
LR-22001 · 6/13/2011
Brian J. Smart and Smart Assets, LLC
LR-21996 · 6/12/2011
Phillip E. (Rick) Powell
LR-21997 · 6/12/2011
Norman Forrest Germany, et al.
LR-21995 · 6/8/2011
Copper King Mining Corp, Alexander Lindale, LLC., Mark D. Dotson, Wilford R. Blum and Stephen G. Bennett
LR-21993 · 6/7/2011
Onele Trading & Finance Ltd.
LR-21994 · 6/7/2011
Michael E. Kelly, et al.
LR-21992 · 6/6/2011
David Ronald Allen, et al.
LR-21990 · 6/5/2011
Dean A. Goetz
LR-21991 · 6/5/2011
One or More Unknown Purchasers of Securities of Telvent GIT S.A.
LR-21989 · 6/2/2011
Ronald Abernathy, Arthur Weiss and Sovereign International Group, LLC
LR-21988 · 6/2/2011
Association for Betterment Through Education and Love, Inc., et al.
LR-21984 · 6/1/2011
Bruce E. Snyder, Jr.
LR-21985 · 6/1/2011
Michael L. Rothenberg, et al.
LR-21986 · 6/1/2011
Carol McKeown, et al.
LR-21987 · 6/1/2011
Cheng Yi Liang, et al.
LR-21983 · 5/26/2011
Edward L. Moskop and Financial Services Moskop & Associates, Inc.
LR-21978 · 5/25/2011
Gregory A. Seib
LR-21979 · 5/25/2011
PCSEdventures!.com, Inc., Anthony A. Maher, and Shannon M. Stith
LR-21980 · 5/25/2011
Giuseppe Tullio Abatemarco
LR-21981 · 5/25/2011
Donald L. Johnson, Defendant, and Dalila Lopez, Relief Defendant
LR-21982 · 5/25/2011
Alfred S. Teo, Sr. and M.A.A.A. Trust
LR-21976 · 5/23/2011
e-Smart Technologies, Inc., et al.
LR-21977 · 5/23/2011
Abraham Haim

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