SEC Enforcement Actions

Dennis Lee Keating II

Stephen Clifford and Stephen F. Clifford d/b/a Clifford Financial Assocs.

CFO-5, LLC, Trinity International Enterprises, Inc., Stanley W. Anderson, Edwin A. Smith, Charles L. Kennedy, Michael D. Norton, individually and d/b/a Global Asset Services, and Nicholas R. Fair

William A. DiBella

Spongetech Delivery Systems, Inc., RM Enterprises International, Inc., Steven Y. Moskowitz, Michael E. Metter, George Speranza, Joel Pensley and Jack Halperin

Matthew John Ryan and Prime Rate and Return, LLC, individually and doing business as American Integrity Financial Co.

New Day Atlanta, LLC d/b/a NDA Financial, LLC, Andrew L. Avery and Lee E. Marks

Seven Palm Investments, LLC, et al.

Michael Graf and Larry E. Pust

TierOne Converged Networks, Inc., Kevin Mark Weaver, and Ronald Celmer

Bobby J. Elkin, Jr., Baxter J. Myers, Thomas G. Reynolds, and Tommy L. Williams

Peter W. Fisher, et al.; Phillip W. Offill, Jr., et al.; and David B. Stocker, et al.

BarrierMed, Inc., BarrierMed Glove Co. and Victor J. Ragucci

Darrel West and Own My Travel, LLC, and Professionally Assisted Marketing, Inc.

Gary J. Gross

Neil V. Moody and Christopher D. Moody

Carl W. Jasper

Susan G. Slovak

Ainsworth, et al.

Onyx Capital Advisors, LLC, Roy Dixon, Jr. and Michael A. Farr

Exotics.com, Inc., et al.

Osvaldo Pitters et al.

Nevin K. Shapiro

Richard Karp

Jeffrey R. Neufeld and Paridon Capital Management LLC f/k/a Tritone Capital Management, LLC

Galleon Management, LP, et al.

Gryphon Holdings, Inc. et al.

Collins & Aikman Corporation, et al.

Frank J. Custable, Jr., et al.

Goldman, Sachs & Co. and Fabrice Tourre

Exotics.com, Inc., et al.

Quadrangle Group LLC and Quadrangle GP Investors II, L.P.

Integrity Financial AZ, LLC, Steven R. Long, Stanley M. Paulic, Walter W. Knitter, and Robert C. Koeller

Trevor G. Cook, Patrick J. Kiley, et al.

Gerald Harold Levine, et al.

Innovative Advisory Services, Inc., Innovative Advisory Services LLC, Island Trader LLC, and Richard H. Nickles

Scott D. Farah, Donald E. Dodge, Financial Resources Mortgage, Inc., and C L and M, Inc., as Defendants, and Center Harbor Christian Church, as Relief Defendant

Renee Marie Brown, et al

Michael E. Kelly, et al.

Stefan Benger, et al.

Symbol Technologies, Inc., et al.

Founding Partners Capital Management Co, et. al.

Compass Capital Group, Inc., Mark A. Lefkowitz, Alvin L. Dahl, John R. Dumble, John C. Hopf, Kevin D. Romney, and Shane H. Traveller

Daniel O'Riordan

Ramy Y. El-Batrawi, GenesisIntermedia, Inc., Ultimate Holdings, Ltd., Adnan M. Khashoggi, Richard J. Evangelista, Wayne Breedon, and Douglas E. Jacobson

Stanford International Bank, et al.

Stephen C. Bond

Kevin H. Blood

Morando Berrettini and Ralph J. Pirtle

Creative Capital Consortium, LLC, et. al.

Gary Navarro

Arthur J. Cutillo, et al.

James M. Nicholson, et al.

Brian Travis, et al.

Dynkowski, et al.

Enrique F. Villalba, Jr.

Oleksandr Dorozhko

James H. Park

Richard V. Priddy, Charles L. Sample, and J. Michael Broullire

Igor Poteroba, Aleksey Koval, Alexander Vorobiev, and Relief Defendants Tatiana Vorobieva and Anjali Walter

Douglas F. Vaughan, The Vaughan Company, Realtors, Inc., and Vaughan Capital, LLC

American Settlement Associates, LLC, Charles C. Jordan and Kelly T. Gipson

M. Mark McAdams and R. Dane Freeman

Exotics.com, Inc., et al.

Bear, Stearns & Co. Inc., 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, Morgan Stanley & Co. Incorporated, Deutsche Bank Securities, Inc. and Thomas Weisel Partners LLC

Innospec, Inc.

BroCo Investments and Valery Maltsev

C. Jones & Company, Carter Allen Jones, Timothy J. Miles, Gaylen P. Johnson, and Jonathan Curshen

Stephen X. Kim and Spyglass Management, L.P., Defendants

Vinod Gupta; Vasant H. Raval; Rajnish K. Das and Stormy L. Dean

Darryl Lamonth Clark

Robert M. Esposito, Gregory A. King, Jack R. Belluscio and Anscott Industries, Inc.

Richard Verdiramo, Vincent L. Verdiramo, Edward Meyer, Jr., and Victoria Chen

Jay Lapine

Jose O. Vianna, Jr. and Creswell Equities, Inc.

Francois E. Durmaz (aka Mahmut E. Durmaz), Robert C. Pribilski, USA Retirement Management Services (aka Usa Financial Management Services, Inc.), Defendants, and Sibel Ince, Mehmet Karakus, Marlali Gayrimenkul Yatirimlari, Marlali Investment Company, LLC, Gulen Enterprises, Inc., Relief Defendants

Salvatore Zangari

Presstek, Inc. and Edward J. Marino

Darko S. Mrakuzic

Charles C. Conaway and John T. McDonald, Jr.

Chaya Unger

Wealth Management LLC et al.

Mitchell, Porter & Williams, Inc., The Adivanala AA Investment Trust, AB3, Inc., Thomas L. Mitchell

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

Rodney E. Wallace, Joe B. Dorman and John A. Blank

Joseph Grendys et al.

Alan Todd May and Prosper Oil and Gas, Inc. a/k/a Prosper Energy, Inc.

Kathleen S. Dobens, Charles T. Dobens, Joseph A. Roche, Silex Group, LLC, Preakness Apartments I & II, LLC, Cherry Hills Apartments of Forth Worth, LLC, and Clear River Partners, LLC, as Defendants, and East Coast Investment Solutions, LLC, The Dobens Company, LLC, Crosscreeks Apartments I and Crosscreeks Apartments II, LLC, as Relief Defendants

Verint Systems Inc.

Coadum Advisors, Inc.; Mansell Capital Partners III, LLC; James A. Jeffery; Thomas E. Repke; Coadum Capital Fund 1, LLC; Coadum Capital Fund II, LP; Coadum Capital Fund III, LP; and Mansell Acquisition Company LP

Gaston E. Cantens and Teresita Cantens

American Equity Investment Life Holding Company, David J. Noble, and Wendy C. Waugaman

Steven W. Salutric

Pacific Asian Atlantic Foundation and Samuel M. Natt

Envision Direct L.L.C. and Gary R. Headding

Daniel Bonventre

Tara R. Eisler

George Georgiou

Lawrence "Lee" Loomis et al.

Frank J. Custable, Jr., et al.