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SEC Enforcement Actions

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

10,345 releases indexed · page 75 of 104.

LR-21974 · 5/22/2011
David Wallace and Costa Bajjali
LR-21975 · 5/22/2011
Christopher T. Vulliez, et al.
LR-21973 · 5/19/2011
Alero Odell Mack, Jr., et al.
LR-21972 · 5/17/2011
Mary Beth Knight and Rebecca Norton
LR-21971 · 5/15/2011
John Clement & Edgefund Capital, LLC
LR-21970 · 5/15/2011
Francisco Illarramendi, Highview Point Partners, LLC and Michael Kenwood Capital Management, LLC, as Defendants, and Highview Point Master Fund, Ltd., Highview Point Offshore, Ltd., Highview Point LP, Michael Kenwood Asset Management, LLC, Michael Kenwood Energy and Infrastructure LLC, and MKEI Solar, LP, as Relief Defendants
LR-21966 · 5/12/2011
Thor Industries, Inc., and Mark C. Schwartzhoff
LR-21967 · 5/12/2011
Advanced Optics Electronics, Inc., Leslie S. Robins, JDC Swan, Inc. and Jason Claffey
LR-21968 · 5/12/2011
Lloyd V. Barriger
LR-21969 · 5/12/2011
Jay L. LeBoeuf and New Castle Energy
LR-21964 · 5/11/2011
Louis W. Zehil, Strong Branch Ventures IV LP, and Chestnut Capital Partners II, LLC
LR-21965 · 5/11/2011
Luis Felipe Perez
LR-21962 · 5/10/2011
Michael Baker Corporation, John Scullin and Dennis Higgins
LR-21963 · 5/10/2011
George Garcy et al.
LR-21961 · 5/9/2011
Jupiter Group Capital Advisors, LLC, and Rick Cho
LR-21958 · 5/4/2011
ICP Asset Management, LLC, ICP Securities, LLC, Institutional Credit Partners, LLC, and Thomas C. Priore
LR-21959 · 5/4/2011
Robert C. Butler
LR-21960 · 5/4/2011
North American Clearing, Inc., et al.
LR-21955 · 5/3/2011
Allen E. Weintraub and AWMS Acquisitions, Inc., d/b/a Sterling Global Holdings
LR-21956 · 5/3/2011
UBS Financial Services Inc.
LR-21957 · 5/3/2011
Robert D. Orr, Leland G. Orr, Michael S. Lowry, Michael S. Hess, Kyle L. Garst, and Travis W. Vrbas
LR-21953 · 5/2/2011
David Ronald Allen, et al.
LR-21954 · 5/2/2011
Patrick M. Carroll, James P. Carroll, William T. Carroll, David A. Stitt, John P. Monroe, Stephen Somers, David Mark Calcutt and Christopher T. Calcutt
LR-21952 · 5/1/2011
Radical Bunny, LLC, Tom Hirsch, Berta Walder, Howard Walder, and Harish Shah
LR-21951 · 4/28/2011
Magnum d'Or Resources, Inc.,
LR-21950 · 4/27/2011
Jonathan Hollander
LR-21949 · 4/26/2011
K.W. Brown and Company, et al.
LR-21948 · 4/25/2011
J. Kenneth Stringer III, et al.
LR-21947 · 4/24/2011
IU Group, Inc., Elijah Bang (a/k/a Elijah Bhang), and Daniel Lee
LR-21945 · 4/21/2011
David M. Otto, Todd Van Siclen, et al.
LR-21946 · 4/21/2011
Charles C. Slowey, Jr., et al.
LR-21940 · 4/20/2011
Commodities Online, LLC and Commodities Online Management, LLC
LR-21941 · 4/20/2011
Terry M. Phillips
LR-21942 · 4/20/2011
WG Trading Investors, L.P., et al.
LR-21943 · 4/20/2011
Prevost, Harrold, et al.
LR-21944 · 4/20/2011
mUrgent Corporation, et al.
LR-21939 · 4/19/2011
Duane Martin and Gary Trump
LR-21938 · 4/18/2011
Biovail Corporation, Eugene Melnyk, Brian Crombie, John Miszuk, and Kenneth G. Howling
LR-21934 · 4/17/2011
AIC, Inc., et al.
LR-21935 · 4/17/2011
Gianluca Di Nardo, et al.
LR-21936 · 4/17/2011
Robert Glenn Bard, et al.
LR-21937 · 4/17/2011
Art Intellect, Inc. et al.
LR-21933 · 4/14/2011
William K. Harrison, et al.
LR-21931 · 4/14/2011
Richard Elkinson
LR-21932 · 4/14/2011
William K. Harrison, et al.
LR-21929 · 4/13/2011
Inofin, Inc., Michael J. Cuomo, Kevin J. Mann, Sr., Melissa George, Thomas Kevin Keough, David Affeldt, and Nancy Keough
LR-21930 · 4/13/2011
Rebecca Lynn Higgins
LR-21927 · 4/12/2011
East Delta Resources Corp., Victor Sun, David Amsel and Mayer Amsel
LR-21928 · 4/12/2011
Joseph F. “Chip” Skowron III, et al.
LR-21926 · 4/10/2011
Brian D. Fox
LR-21922 · 4/7/2011
Johnson & Johnson
LR-21923 · 4/7/2011
Perry A. Gruss
LR-21924 · 4/7/2011
Paul Nicholson and Professional Investment Exchange, Inc.
LR-21925 · 4/7/2011
Luis Garg, Jason Zakocs, RealFund Investment Trust, First Atlanta LP, Weatherby LP, and Citiprop Corporation
LR-21921 · 4/6/2011
MAM Wealth Management, LLC, MAMW Real Estate Fund General Partner, LLC, Alex Martinez, and Raphael R. Sanchez
LR-21920 · 4/6/2011
Comverse Technology, Inc.
LR-21918 · 4/5/2011
HedgeLender LLC, et al.
LR-21919 · 4/5/2011
Jason Jadidian
LR-21917 · 4/5/2011
Matthew H. Kluger and Garrett D. Bauer
LR-21915 · 4/4/2011
Satyam Computer Services Limited d/b/a Mahindra Satyam
LR-21916 · 4/4/2011
Jason K. Fifield
LR-21914 · 4/3/2011
Douglas A. Glaser
LR-21912 · 3/31/2011
Neurotech Development Corporation, et al.
LR-21913 · 3/31/2011
Joseph J. Monterosso, et. al.
LR-21908 · 3/29/2011
Navigators International Management Co., Ltd., James R. Spurger and Benjamin W. Young, Jr.
LR-21909 · 3/29/2011
LandOak Securities, LLC, et al.
LR-21910 · 3/29/2011
James Clements and Zeina Smidi
LR-21911 · 3/29/2011
Aerokinetic Energy Corporation and Randolph E. Bridwell
LR-21907 · 3/28/2011
Cheng Yi Liang, et al.
LR-21902 · 3/27/2011
Joseph Catapano and Michael Piervinanzi
LR-21903 · 3/27/2011
John Scott Clark, Impact Cash, LLC and Impact Payment Systems, LLC
LR-21904 · 3/27/2011
Gaston E. Cantens and Teresita Cantens
LR-21905 · 3/27/2011
Jose O. Vianna, Jr. and Creswell Equities, Inc.
LR-21906 · 3/27/2011
Marlon Quan, Acorn Capital Group, LLC and Stewardship Investment Advisors, LLC, Defendants and Asset Based Resource Group, LLC and Florene Quan
LR-21901 · 3/24/2011
Daniel Sholom Frishberg
LR-21898 · 3/23/2011
Mike Watson Capital, LLC, Michael P. Watson and Joshua F. Escobedo
LR-21899 · 3/23/2011
Mark A. Duffell
LR-21900 · 3/23/2011
HomePals, LLC, HomePals Investment Club, LLC, Ronnie Eugene Bass, Jr., Abner Alabre and Brian J. Taglieri
LR-21896 · 3/22/2011
Daniel F. Wiener II
LR-21897 · 3/22/2011
James J. Konaxis
LR-21895 · 3/22/2011
Timothy J. Roth, et al.
LR-21894 · 3/21/2011
Michael Rivers and ARKR Trust, LLC
LR-21892 · 3/21/2011
Spyglass Equity Systems, Inc., Richard L. Carter, Preston L. Sjoblom, Tyson D. Elliott, Flatiron Capital Partners, LLC, Flatiron Systems, LLC and David E. Howard II
LR-21893 · 3/21/2011
JSW Financial Inc., James S. Ward, David S. Lee, Edward G. Locker, Richard F. Tipton and David C. Lin
LR-21889 · 3/17/2011
International Business Machines Corporation
LR-21891 · 3/17/2011
Anselm Exploration Co. et al.
LR-21890 · 3/17/2011
Kim Ann Deskovick and Brian S. Haig
LR-21887 · 3/15/2011
Jason Bo-Alan Beckman and the Oxford Private Client Group, LLC, et al.
LR-21888 · 3/15/2011
Timothy S. Durham, et al.
LR-21886 · 3/15/2011
Juno Mother Earth Asset Management, LLC, Eugenio Verzili and Arturo Allan Rodriguez Lopez a/k/a Arturo Rodriguez, Defendants
LR-21885 · 3/14/2011
Charles William Petty, II, et al.
LR-21883 · 3/13/2011
Robert L. Hollier and Wayne A. Dupuis
LR-21884 · 3/13/2011
Frank J. Custable, Jr., et al.
LR-21882 · 3/9/2011
Frederick O'Meally, et. al.
LR-21879 · 3/8/2011
Jason Bo-Alan Beckman and Oxford Private Client Group, LLC, et al.
LR-21880 · 3/8/2011
Fernando J. Espuelas et al.
LR-21881 · 3/8/2011
Larry Michael Parrish
LR-21878 · 3/7/2011
Joseph A. Dawson
LR-21877 · 3/6/2011
Todd Leslie Treadway
LR-21874 · 3/6/2011
Anthony Fareri, Fareri Financial Services, Inc. d/b/a Amerifinancial, and Anthony Fareri & Associates, Inc.

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