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SEC Enforcement Actions

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

10,345 releases indexed · page 86 of 104.

LR-19776 · 7/26/2006
Mark P. Abide, Scott D. Sullivan, Buford Yates, Jr., Betty Vinson and Troy M. Normand, and David F. Myers
LR-19778 · 7/26/2006
One or More Unknown Purchasers of Call Options for the Common Stock of Petco Animal Supplies, Inc.
LR-19779 · 7/26/2006
Roderic Lee Boling III, et al.
LR-19777 · 7/26/2006
Harish K. Pimplaskar and Charan R. Behl
LR-19774 · 7/25/2006
Michael L. Hershey, Robert D. Lear, Landis Associates, LLC, and Tremont Medical, Inc.
LR-19775 · 7/25/2006
Sonja Anticevic et al.
LR-19773 · 7/25/2006
Mark R. Conway and Groundswell Partners LLC
LR-19772 · 7/24/2006
Endocare, Inc., Kevin M. Quilty, and Jerry W. Anderson
LR-19771 · 7/23/2006
Leslie Mersky, et al.
LR-19769 · 7/20/2006
C+ Capital Management, LLC & Won Charlie Yi
LR-19770 · 7/20/2006
Patrick Ballinger, Dennis R. Weaver, Kosta S. Kovachev, Lee E. Larscheid, Benny G. Morris, Darin W. Roberts, Linda M. Sears, Todd F. Walker, Branson City Limits, Inc., Resort Hotels, Inc., Universal Financial Leasing, Inc., and Ozark Ticket and Travel, Inc.
LR-19765 · 7/19/2006
Steven Misner
LR-19766 · 7/19/2006
William T. Owens and Weston L. Smith
LR-19767 · 7/19/2006
John J. Kahl Jr. et al.
LR-19768 · 7/19/2006
Gregory L. Reyes, et al.
LR-19762 · 7/16/2006
David N. Anderson and Nancy C. Dipietro
LR-19763 · 7/16/2006
Time Warner Inc.
LR-19764 · 7/16/2006
Renaissance Asset Fund, Inc., Ronald J. Nadel, and Joseph M. Malone
LR-19761 · 7/13/2006
Pittsford Capital Income Partners, L.L.C., et al.
LR-19759 · 7/12/2006
Geoffrey A. Gish; Weston Rutledge Financial Services, Inc.; Zamindari Capital, LLC; Lexington International Fund, LLC a/k/a Lexington International Fund, Inc.; and Oxford Adams Capital, LLC
LR-19760 · 7/12/2006
Sherwin P. Brown, Jamerica Financial, LLC and Brawta Ventures, LLC
LR-19758 · 7/10/2006
Richard W. Deboe
LR-19757 · 7/9/2006
Deep Rock Oil Company and David W. Taylor, Defendants
LR-19756 · 7/6/2006
Rollin M. Dick and James S. Adams
LR-19753 · 7/4/2006
Focus Financial Associates, Inc.
LR-19754 · 7/4/2006
John Samson, John G. A. Munro, Ian N. Campbell, and John H. Whelan
LR-19755 · 7/4/2006
HydroFlo, Inc. and Dennis Mast
LR-19752 · 7/2/2006
Efoora, Inc. Partners Holding, LLC, David S. Grosky and Melvin S. Dokich
LR-19749 · 6/29/2006
Dale C. Hatch
LR-19751 · 6/29/2006
Marvin Winick, Tekron, Inc. and Luigi Brun
LR-19750 · 6/29/2006
Jeffrey A. Weston and Integrated Equities, Inc.
LR-19748 · 6/28/2006
Wendy Feldman Purner
LR-19742 · 6/27/2006
James L. George, Paul E. Brodhagen, and Michael J. Wright
LR-19743 · 6/27/2006
William T. Owens, et al.
LR-19745 · 6/27/2006
Pension Fund of America, LC, et al.
LR-19746 · 6/27/2006
Virbac Corporation, Thomas L. Bell, Joseph A. Rougraff, Douglas A. Hubert, James C. Robison, and Craig S. Campbell
LR-19747 · 6/27/2006
Raytheon Company, Daniel P. Burnham, and Aldo R. Servello
LR-19744 · 6/27/2006
Frank J. Russo, FJR Corporation, Russo Associates Limited Partnership, Eliot Partners, and Relief Defendant Veritasiti Corporation d/b/a MediaData Corporation
LR-19740 · 6/26/2006
PowerLinx, Inc. (f/k/a SeaView Video Technology, Inc.), George S. Bernardich III, and James R. Cox
LR-19739 · 6/22/2006
T. Gene Gilman, Steven A. Gilman, Arbor Securities, Ltd., and Financial Links, Inc., Defendants, and TradeTek, Ltd. and Commonwealth Financial Holdings, Inc.
LR-19737 · 6/22/2006
Sunray Oil Company, Inc., Abilene Oil & Gas, LP, Larry Stiles, Defendants, and J&L Drilling, LLC, Relief Defendant
LR-19738 · 6/22/2006
Alexander J. Yaroshinsky
LR-19735 · 6/21/2006
Scientific-Atlanta, Inc.
LR-19736 · 6/21/2006
Justin Huscher
LR-19732 · 6/20/2006
Carl R. Rose, et al.
LR-19733 · 6/20/2006
Northshore Asset Management, et al.
LR-19734 · 6/20/2006
Frank R. V. Loomans, Defendant, and Luc F. Loomans, Relief Defendant
LR-19730 · 6/18/2006
Sanjay Kumar and Stephen Richards
LR-19731 · 6/18/2006
Ricardo Cavallero, et al.
LR-19729 · 6/14/2006
Michael K.C. Tom, et al.
LR-19728 · 6/13/2006
Arthur A. Goodwin
LR-19724 · 6/12/2006
Stephen J. Treadway and Kenneth W. Corba
LR-19725 · 6/12/2006
Terry's Tips and Terry F. Allen
LR-19726 · 6/12/2006
Mx Factors LLC, BBH Resources LLC, JTL Financial Group LLC, Richard M. Harkless, Daniel J. Berardi, Jr., Thomas Hawkesworth, and Randall W. Harding
LR-19727 · 6/12/2006
Carl R. Rose, et al.
LR-19722 · 6/8/2006
Matthew Roszak, et al.
LR-19723 · 6/8/2006
Robert E. Shanno; Martin J. Druffner, et al.
LR-19721 · 6/6/2006
Brady M. Schofield
LR-19719 · 6/6/2006
Joseph P. Micatrotto
LR-19720 · 6/6/2006
Greg A. Gadel and Daniel J. Skrypek
LR-19718 · 6/5/2006
Frank J. Russo, FJR Corporation, Russo Associates Limited Partnership and Eliot Partners
LR-19716 · 6/4/2006
BAWAG P.S.K. Bank für Arbeit und Wirtschaft und Österreichische Postsparkasse Aktiengesellschaft
LR-19717 · 6/4/2006
Marion D. Sherrill
LR-19713 · 5/31/2006
Allen Z. Wolfson, et al.
LR-19714 · 5/31/2006
Jay Slesinger, et al., and Jay Rice
LR-19715 · 5/31/2006
Universo Foneclub Corporation, Sanderley R. De Vasconcelos, a/k/a Sann Rodrigues, a/k/a Sanderley Vasconcelos, Rev. Victor Sales, a/k/a Victor William, a/k/a Victor Sales DeBrito, a/k/a Victor Sales Brito
LR-19712 · 5/30/2006
Frederick W. Anton III
LR-19711 · 5/23/2006
Michael B. Johnson and Michael Johnson & Company, LLC
LR-19710 · 5/22/2006
Federal National Mortgage Association
LR-19707 · 5/21/2006
Focus Financial Associates, Inc.
LR-19708 · 5/21/2006
James Tambone and Robert Hussey
LR-19704 · 5/18/2006
Dennis A. Martin
LR-19705 · 5/18/2006
Geoffrey A. Gish; Weston Rutledge Financial Services, Inc.; Zamindari Capital, LLC; Lexington International Fund, LLC a/k/a Lexington International Fund, Inc.; and Oxford Adams Capital, LLC
LR-19706 · 5/18/2006
Leslie A. Arouh
LR-19702 · 5/16/2006
Carlos H. Soto, et al.
LR-19703 · 5/16/2006
Vincent P. Iannazzo and Milton E. Stanson
LR-19701 · 5/15/2006
Timothy M. Roberts
LR-19698 · 5/14/2006
Robert J. Downs, Jr. and Stephen J. Messina
LR-19699 · 5/14/2006
Exotics.com, Inc.
LR-19700 · 5/14/2006
Jeffrey L. Gibson and Investment Property Management, LLC
LR-19697 · 5/11/2006
Anthony C. Sudol III, Michael G. Sudol and Richard J. Sudol
LR-19695 · 5/10/2006
HKW Trading, LLC, et al.
LR-19696 · 5/10/2006
Sonja Anticevic et al.
LR-19693 · 5/9/2006
Morgan Stanley & Co. Incorporated
LR-19694 · 5/9/2006
Henry C. Yuen
LR-19692 · 5/8/2006
Samuel Israel III and Daniel E. Marino
LR-19691 · 5/7/2006
Dennis A. Martin
LR-19690 · 5/7/2006
Scott B. Hollenbeck, Timothy L. Bradshaw and Steven K. Gilley
LR-19689 · 5/4/2006
EFS, LLC, Freedom Fidelity, LLC, James N. Pratt, SP&V, LLC and Timothy V. Coffin
LR-19687 · 5/3/2006
Delano N. Sta.Ana
LR-19688 · 5/3/2006
Bio-Heal Laboratories, Inc., Defendant, MRMG Holdings, Inc., Kess Associates, Inc. ICOR, Inc., Bela Enterprises, LLC, and Gibson Island Enterprises, LLC, Relief Defendants
LR-19686 · 5/3/2006
W. L. Ware Enterprises and Investments, Inc., d/b/a Ware Enterprises and Investments, Inc., Ware Enterprises and Investments, LLC, and W.L. Ware Enterprises and Investments, LLC, and Warren L. Ware
LR-19685 · 5/2/2006
Michael E. Peppel, Ira H. Stanley, Jr. and David J. White
LR-19682 · 5/1/2006
L. Dennis Kozlowski, Mark H. Swartz, and Mark A. Belnick
LR-19683 · 5/1/2006
Deephaven Capital Management, LLC and Bruce Lieberman
LR-19684 · 5/1/2006
Marnie L. Sharpe and Leonard P. Leclerc
LR-19681 · 5/1/2006
Barry A. Bingham and Bingham Capital Management Corporation
LR-19678 · 4/30/2006
L. Dennis Kozlowski, Mark H. Swartz, and Mark A. Belnick
LR-19679 · 4/30/2006
Barrington Schneer
LR-19680 · 4/30/2006
CMG-Capital Management Group Holding Company, LLC and Keith G. Gilabert

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