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SEC Enforcement Actions

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

10,345 releases indexed · page 79 of 104.

LR-21114 · 6/30/2009
Michael T. Rand
LR-21115 · 6/30/2009
James H. Park
LR-21111 · 6/29/2009
Ricardo H. Goldman
LR-21112 · 6/29/2009
Don Warner Reinhard
LR-21108 · 6/28/2009
Headstart Advisers Limited, et al.
LR-21109 · 6/28/2009
Finbar Securities Corp., et al.
LR-21110 · 6/28/2009
Karnig H. Durgarian, Jr., et al.
LR-21105 · 6/24/2009
Prime Time Group, Inc.
LR-21106 · 6/24/2009
Steven R. Garfinkel and Michael O'Hanlon
LR-21107 · 6/24/2009
Mark Cocchiola and Steven Venechanos; Jack Gaglio; and Robert Quattrone, et al.
LR-21101 · 6/23/2009
Moises Pacheco, Advanced Money Management, Inc., and Business Development & Consulting Co., et al.
LR-21102 · 6/23/2009
Regan & Company and Michael C. Regan
LR-21103 · 6/23/2009
Richard F. Selden
LR-21104 · 6/23/2009
Michael J. Muzio
LR-21100 · 6/22/2009
Gary S. Becker, Gregory S. Schaefer, and Dillon Scott Securities, Inc.
LR-21096 · 6/21/2009
Stanley Chais
LR-21097 · 6/21/2009
Warren B. Schmidgall and David E. Watson
LR-21098 · 6/21/2009
Horst W. Schroeder
LR-21099 · 6/21/2009
Steven E. Nothern
LR-21093 · 6/21/2009
FTC Capital Markets, Inc., FTC Emerging Markets, Inc. also d/b/a FTC Group, Guillermo David Clamens and Lina Lopez a/k/a Nazly Cucunuba Lopez
LR-21094 · 6/21/2009
Pinnacle Business Management, Jeffrey G. Turino, et al.
LR-21095 · 6/21/2009
Cohmad Securities Corporation, Maurice J. Cohn, Marcia B. Cohn, and Robert M. Jaffe
LR-21092 · 6/18/2009
Stanford International Bank, Ltd., et al.
LR-21089 · 6/17/2009
Joseph Hirko, et al.
LR-21090 · 6/17/2009
Comverse Technology, Inc.
LR-21091 · 6/17/2009
Ulticom, Inc. and Lisa M. Roberts
LR-21087 · 6/16/2009
Jerry D. Cash and David E. Grose
LR-21088 · 6/16/2009
Horizon Property Holdings, L.C. and Cydney Sanchez
LR-21086 · 6/15/2009
Mitchel S. Guttenberg, Erik R. Franklin, David M. Tavdy, Mark E. Lenowitz, Robert D. Babcock, Andrew A. Srebnik, Ken Okada, David A. Glass, Marc R. Jurman, Randi E. Collotta, Christopher K. Collotta, Q Capital Investment Partners, LP, DSJ International Resources Ltd. (d/b/a Chelsey Capital), and Jasper Capital LLC
LR-21085 · 6/14/2009
David J. Hernandez, also doing business as “NextStep Financial Services, Inc.”
LR-21081 · 6/11/2009
Aura Financial Services, Inc., Ronald E. Hardy, Jr., Peter C. Dunne, Qais R. Bhavnagari, Dipin Malla, Sandeep Singh, and Raymond Rapaglia
LR-21082 · 6/11/2009
John S. Morgan, Marian I. Morgan, Morgan European Holdings ApS a/k/a Money Talks, Inc., ApS, Stephen E. Bowman, Bowman Marketing Group, Inc., and Thomas D. Woodcock, Jr.
LR-21083 · 6/11/2009
Blackout Media Corporation and Sandy Winick
LR-21084 · 6/11/2009
ZNext Mining Corporation, Inc. and Elvira G. Gamboa
LR-21080 · 6/10/2009
Forest Resources Management Corp., et al.
LR-21078 · 6/9/2009
Matthew D. Weitzman
LR-21079 · 6/9/2009
Phillip Macdonald, Martin Gollan, and Michael Goodman
LR-21076 · 6/8/2009
Peter C. Son, Jin K. Chung, SNC Asset Management, Inc., and SNC Investments, Inc.
LR-21077 · 6/8/2009
Christopher M. Kunkel
LR-21073 · 6/8/2009
John M. Donnelly, et al.
LR-21074 · 6/8/2009
Berkshire Resources, L.L.C., et al.
LR-21075 · 6/8/2009
Lorenz Kohler and Swiss Real Estate International Holding AG, Defendants, and Sacho Todorov Dermendjiev, Relief Defendant
LR-21072 · 6/7/2009
Robert L. Hollier and Wayne A. Dupuis
LR-21071 · 6/7/2009
Alexis Ampudia, a/k/a Alexis Geancarlos Ampudia Navalo, a/k/a Alexis Emias, a/k/a Alexis Rojas
LR-21070 · 6/4/2009
Wall Street Communications, Inc. et al.
LR-21067 · 6/3/2009
Lena Yan
LR-21069 · 6/3/2009
Tajyar, et al.
LR-21066 · 6/2/2009
Banc of America Investment Services, Inc.; RBC Capital Markets Corporation; and Deutsche Bank Securities Inc.
LR-21065 · 5/31/2009
Charles C. Conaway and John T. McDonald, Jr.
LR-21062 · 5/28/2009
David E. Ruskjer
LR-21063 · 5/28/2009
Thomas Wurzel
LR-21064 · 5/28/2009
Mark R. Hamlin, Kingdom First Trading, LLC, and Kingdom First Corp.
LR-21061 · 5/27/2009
William Betta, Jr., et al.
LR-21058 · 5/26/2009
Richard J. Miller, Gary S. Jensen, and Michael E. Beaulieu
LR-21059 · 5/26/2009
James E. Gansman, et al.
LR-21060 · 5/26/2009
Pegasus Wireless Corporation, Jasper Knabb, and Stephen Durland
LR-21057 · 5/25/2009
Gendreau & Associates, Inc., and Jacques R. Gendreau
LR-21056 · 5/25/2009
PrivateFX Global One Ltd., SA, 36 Holdings, Ltd., Robert D. Watson, and Daniel J. Petroski
LR-21054 · 5/20/2009
Richard Karp
LR-21055 · 5/20/2009
Wealth Management LLC, James Putman, and Simone Fevola
LR-21053 · 5/20/2009
Pawel P. Dynkowski, Matthew W. Brown, Jacob Canceli, Gerard J. D'Amaro, Joseph Mangiapane Jr., Nathan M. Michaud, Marc J. Riviello and Adam S. Rosengard
LR-21051 · 5/19/2009
Zachariah P. Zachariah, et al.
LR-21052 · 5/19/2009
FTC Capital Markets, Inc., FTC Emerging Markets, Inc. also d/b/a FTC Group, Guillermo David Clamens and Lina Lopez a/k/a Nazly Cucunuba Lopez
LR-21046 · 5/18/2009
Michael Lauer, et al.
LR-21047 · 5/18/2009
W. Anthony Huff, et al.
LR-21048 · 5/18/2009
Apogee Technology, Inc., David B. Meyers and Annette Jaynes
LR-21049 · 5/18/2009
Phillip W. Offill, Jr., et al.
LR-21050 · 5/18/2009
David B. Stocker., et al.
LR-21042 · 5/17/2009
Monster Worldwide, Inc.
LR-21043 · 5/17/2009
Gregg Thomas Rennie
LR-21044 · 5/17/2009
WellCare Health Plans, Inc.
LR-21045 · 5/17/2009
Sun Group, et al.
LR-21039 · 5/14/2009
Gary A. Ray
LR-21040 · 5/14/2009
Wellco Energy, LLC, Justin William Rifkin, Patrick V. Looper, Richard G. Pacheco, and Dustin D. White
LR-21041 · 5/14/2009
Gordon A. Driver and Axcess Automation, LLC
LR-21038 · 5/13/2009
Sherbourne Capital Management, Ltd., Sherbourne Financial, Ltd., Paul G. Bultmeyer, and Arthur J. Piacentini
LR-21037 · 5/12/2009
Amit Mathur, et al.
LR-21036 · 5/11/2009
Henry Morris et al.
LR-21032 · 5/10/2009
Robert Todd Beardsley and George Lindenberg
LR-21033 · 5/10/2009
Novo Nordisk A/S
LR-21034 · 5/10/2009
Daniel W. Nodurft
LR-21035 · 5/10/2009
Kiselak Capital Group, LLC et al
LR-21029 · 5/7/2009
Courtney D. Smith
LR-21030 · 5/7/2009
C. Wesley Rhodes, Jr., Rhodes Econometrics, Inc., The Rhodes Company, and Resource Transactions, Inc.
LR-21031 · 5/7/2009
Hartmut Theodor Rose and James Patrick Reedy
LR-21027 · 5/6/2009
Finbar Securities Corp., et al.
LR-21028 · 5/6/2009
Exotics.com, Inc., et al.
LR-21026 · 5/5/2009
Robert P. Copeland
LR-21023 · 5/4/2009
Jon-Paul Rorech, et. al.
LR-21024 · 5/4/2009
Albert J. Rasch, Jr., Kathleen R. Novinger, Sandra B. Masino, and 144 Opinions, Inc.
LR-21025 · 5/4/2009
Reserve Management Company, Inc., Resrv Partners, Inc., Bruce Bent Sr. and Bruce Bent II
LR-21021 · 4/30/2009
Daryn P. Fleming and Mathew C. Bruce
LR-21022 · 4/30/2009
Lambert Vander Tuig, The Carolina Development Company, Inc. and Jonathan Carman
LR-21020 · 4/29/2009
Maher F. Kara, Michael F. Kara, Emile Y. Jilwan, Zahi T. Haddad, Bassam Y. Salman, and Karim I. Bayyouk; Joseph Azar; Nasser Mardini
LR-21019 · 4/29/2009
Golden State Equity Investors, Inc.
LR-21018 · 4/29/2009
Henry Morris, David J. Loglisci, Barrett N. Wissman, Raymond B. Harding, Saul M. Meyer, Nosemote LLC, Pantigo Emerging LLC, Purpose LLC, Flandana Holdings Ltd., Tuscany Enterprises LLC, W Investment Strategies, HFV Management LP, HFV Asset Management LP and Aldus Equity Partners, L.P.
LR-21016 · 4/28/2009
Frederick J. Barton, Barton Asset Management, LLC, and TwinSpan Capital Management, LLC
LR-21017 · 4/28/2009
Bradley L. Ruderman, Ruderman Capital Management, LLC, Ruderman Capital Partners, LLC, and Ruderman Capital Partners A, LLC
LR-21015 · 4/27/2009
Matthew J. Browne
LR-21014 · 4/27/2009
Michael Strauss, Stephen Hozie and Robert Bernstein

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