Home/Federal/SEC Enforcement

SEC Enforcement Actions

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

10,345 releases indexed · page 99 of 104.

LR-17071 · 7/17/2001
David Clark Stewart
LR-17067 · 7/15/2001
William L. Brotherton and International Business Consortium, Inc.
LR-17066 · 7/12/2001
Paul J. Montle, et al.
LR-17065 · 7/9/2001
Packetswitch.com and Steven A. Ristau
LR-17064 · 7/8/2001
Green Oasis Environmental, Inc., William D. Carraway, Raymond C. O'Brien and Ronald V. Reece, Defendants, Mary Ann Carraway, Relief Defendant
LR-17063 · 7/5/2001
Enterprises Solutions, Inc., Herbert S. Cannon, and Dr. John A. Solomon
LR-17062 · 7/5/2001
Great White Marine & Recreation, Inc.
LR-17059 · 7/4/2001
Jack S. Silver
LR-17060 · 7/4/2001
Brycar Financial Corporation and Bryan J. Egan, Defendants, and Carol A. Egan, Cara D. Solorio and Jesse Solorio, Relief Defendants
LR-17061 · 7/4/2001
Tradamax Group, Inc., Pattinson Hayton, and Conrad Diaz
LR-17058 · 7/2/2001
Mar-Jeanne Tendler, Arthur Tendler and Billie M. Jolson
LR-17056 · 7/1/2001
Douglas G. McCaskey, Neal E. Fitzpatrick, Jr., Hope D. Trowbridge and Marcorp, Inc.
LR-17043 · 6/29/2001
The AppleTree Companies, et al.
LR-17055 · 6/28/2001
Terry V. Koontz
LR-17057 · 6/28/2001
Garry W. Stroud, individually and d/b/a Diamond Global Holding Trust, Euro Credit and Exchange Bank Ltd., and Angelic International
LR-17053 · 6/25/2001
Jared Ray Leisek and Byron John Leisek
LR-17054 · 6/25/2001
World Financial & Investment Co., Inc. and Victor M. Wilson
LR-17050 · 6/24/2001
Vladislav Steven Zubkis, International Brands, Inc., Z-3 Capital Corporation, and Mark Scialdone
LR-17051 · 6/24/2001
Brycar Financial Corporation and Bryan J. Egan, Defendants, and Carol A. Egan, Cara D. Solorio and Jesse Solorio, Relief Defendants
LR-17052 · 6/24/2001
Thomas Carter
LR-17047 · 6/21/2001
Donna Yun and Jerry Burch
LR-17048 · 6/21/2001
Nolan W. Wade, individually and d/b/a Capital Financial Consultants, and Charles E. Campbell
LR-17049 · 6/21/2001
Kenneth R. Payne, et al.
LR-17044 · 6/20/2001
Richard P. Smyth, Arnold E. Johns, Jr., Michael J. Becker and Alan T. Davis
LR-17045 · 6/20/2001
Euro Security Fund, Giovanni Piacitelli, Ron Sleegers, International Structures Consulting B.V., Mrs. Urs Heller, Meindert Panagiotis Hakkert, Franck Hakkert, H.J.M. De Boer, C.J. Broekema, E.H. Van Geenen, Hendrik Marinus Bouwmeester, Hans P. Romanesko, Mrs. A. Verkaik, and one or more unknown purchasers of common stock of Elsag Bailey Process Automation, N.V.
LR-17046 · 6/20/2001
Tradamax Group, Inc., Pattinson Hayton and Conrad Diaz
LR-17040 · 6/19/2001
Pinnfund USA, Inc., Peregrine Funding, Inc., Allied Capital Partners, Grafton Partners, Six Sigma, LLC a/k/a 6 Sigma, LLC, Michael J. Fanghella, Reliance Holdings, LLC, and Kelly Cook a/k/a Kelly Jaye a/k/a Kelly Spagnola
LR-17042 · 6/19/2001
Ron Messenger, James T. Rush, Scott K. Barton and Gary Hubschman
LR-17041 · 6/19/2001
Edward Thomas Jung and E. Thomas Jung Partners, Ltd., also d/b/a ETJ Partners, Ltd.
LR-17038 · 6/18/2001
Stephen C. Sayre, Independent Financial Reports, Inc. and Silver Screen Industries, Inc.
LR-17039 · 6/18/2001
Arthur Andersen LLP
LR-17036 · 6/17/2001
The Globus Group, Inc., et al.
LR-17037 · 6/17/2001
Linville Group, LLC, et al.
LR-17035 · 6/12/2001
Jorge Eduardo Ballesteros Franco, et al.
LR-17034 · 6/11/2001
Michael I. Nnebe, Nelson C. Walker, Steven S. Bocchino, Daniel M. Coyle, Jr., and Luis Colon, Jr.
LR-17032 · 6/10/2001
World Homes, Inc., Merle Ferguson and Susan Donohue
LR-17033 · 6/10/2001
Reed E. Slatkin
LR-17030 · 6/6/2001
Redneck Foods, Inc.
LR-17031 · 6/6/2001
Ian Renert, et al.
LR-17027 · 6/5/2001
William J. Tishman, Jeffrey M. Goldberg, Robert E. Duke and Sam Sara Investments, Inc.
LR-17028 · 6/5/2001
Marc David Levine, et al.
LR-17029 · 6/5/2001
Thomas Houck and Michael Lewis
LR-17024 · 6/4/2001
Am-Pac International, Inc.
LR-17025 · 6/4/2001
David J. Naughton, et al.
LR-17026 · 6/4/2001
Leonard B. Greer and Judah Wernick
LR-17023 · 6/3/2001
TPG Capital Corporation
LR-17021 · 5/31/2001
Burton G. Friedlander, Friedlander International Limited, Friedlander Management Limited, Friedlander Capital Management, Friedlander Limited Partnership, and Opal International Fund
LR-17022 · 5/31/2001
Henry T. Pietraszek
LR-17020 · 5/30/2001
International Heritage, Inc., Stanley H. Van Etten, Claude W. Savage, Larry G. Smith, and International Heritage, Incorporated
LR-17019 · 5/24/2001
Todd J. Lascola et al.
LR-17017 · 5/23/2001
Pacific Air Transport, Inc. and Robert B. Hirsh
LR-17018 · 5/23/2001
Thomas J. Kearns
LR-17013 · 5/22/2001
Gene Irving Garland, Jr., individually and dba Association for Retired Persons Financial Services and Sharla Dawn Holland
LR-17014 · 5/22/2001
Steve Madden
LR-17015 · 5/22/2001
Steve Madden
LR-17016 · 5/22/2001
Walter Königseder
LR-17012 · 5/21/2001
Funding Resources Group, et al.
LR-17011 · 5/20/2001
Lindsey Paul Vinson and Fairmount Development L.C.
LR-17010 · 5/17/2001
Gorsek, et al.
LR-17009 · 5/16/2001
David J. Naughton, et al.
LR-17008 · 5/16/2001
Club Atlanta Travel, Inc., David L. Straub, Frank Garner, and Fred Garner
LR-17003 · 5/15/2001
Phoenix Telecom, L.L.C., Jerold Benjamin Clawson, Jerry Deland Beacham and H. Ellis Ragland, Jr.
LR-17004 · 5/15/2001
Michael Andrew Petrescu-Comnene
LR-17005 · 5/15/2001
W. Blake Brock, Kathy O. Brock, and Kenneth L. Unker
LR-17006 · 5/15/2001
Tandem Management Inc., William F. Branston, Eugene B. Deveney, and Peter S. Alsop
LR-17007 · 5/15/2001
Paul Shingledecker
LR-17001 · 5/14/2001
Albert J. Dunlap, Russell A. Kersh, Robert J. Gluck, Donald R. Uzzi, Lee B. Griffith, and Phillip E. Harlow
LR-17002 · 5/14/2001
Allan Boren, et al.
LR-16999 · 5/13/2001
Michael R. Hendrix et al.,
LR-17000 · 5/13/2001
Pacific Biometrics, Inc.
LR-16997 · 5/10/2001
Alejandro Duclaud Gonzalez de Castilla, et al.
LR-16998 · 5/10/2001
Reed E. Slatkin
LR-16994 · 5/9/2001
Charles R. Homa, Michael Gause, et al.
LR-16995 · 5/9/2001
Capital Consultants, LLC, Jeffrey L. Grayson, and Barclay L. Grayson
LR-16996 · 5/9/2001
Guido Bensberg, et al.
LR-16993 · 5/8/2001
Market Traders LLC and Arcangelo Capozzolo
LR-16991 · 5/7/2001
Jorge Eduardo Ballesteros Franco, et al.
LR-16992 · 5/7/2001
Pinnfund USA, Inc., Peregrine Funding, Inc., Allied Capital Partners, Grafton Partners, Six Sigma, LLC A/K/A 6 Sigma, LLC, Michael J. Fanghella, Reliance Holdings, LLC, and Kelly Cook A/K/A Kelly Jaye A/K/A Kelly Spagnola
LR-16988 · 5/6/2001
Jerry M. Walker and Craig R. Clark
LR-16989 · 5/6/2001
Internet Telecommunications Albany System SMR, et al.
LR-16990 · 5/6/2001
Phillip H. Ezell, individually and doing business as 21st Century Funding
LR-16986 · 5/2/2001
Robert J. Monski
LR-16987 · 5/2/2001
Daniel R. Dugan
LR-16985 · 5/1/2001
Nunzio P. DeSantis
LR-16983 · 5/1/2001
Stevin R. Hoover and Hoover Capital Management, Inc.
LR-16984 · 5/1/2001
New York Stock Exchange, Inc.
LR-16981 · 4/30/2001
Sunstate FX Inc. et al.
LR-16982 · 4/30/2001
Terry Don Rader
LR-16980 · 4/30/2001
U.S. Environmental, Inc., et al.
LR-16978 · 4/29/2001
Parvin Gidvani
LR-16979 · 4/29/2001
The Gateway Association, The Gateway Association (Illinois), Richard J. Collins, Bill Wilson, Jerome Coppage, David A. Morgenstern, William J. Windsor, Linda A. Fehl, Malcolm Silverman, Janet Collins and Christine J. Todd
LR-16975 · 4/25/2001
Alexandra Elizabeth Montgomery, William Kenneth Nestor and Harriet Gluck
LR-16976 · 4/25/2001
David J. Naughton, et al.
LR-16977 · 4/25/2001
Elfindepan, S.A., Southern Financial Group, Tracy Calvin Dunlap, Jr., Barry Lowe, James L. McCall, Strategic Asset Funds, S.A., Edmund Menden, Michael Menden and Michael Zieglmeier, defendants, and C.R.C.C. LLC and Patrick Wilson, relief defendants
LR-16973 · 4/24/2001
Rajiv Vohra, Sean T. Healey, Lantern Investments, Ltd., Lipton Holdings, Ltd., and Beaufort Holdings, Ltd.
LR-16974 · 4/24/2001
Jose Zollino, George Fahey and Inverworld, Inc et al.
LR-16972 · 4/22/2001
Robert K. Gasper and James D. Fairfield
LR-16971 · 4/18/2001
J. Van Oliver
LR-16968 · 4/17/2001
Bruce J. Kingdon, Kenneth Goglia, and Harvey Plante
LR-16969 · 4/17/2001
Eric E. Resteiner, et al.

This is legal information, not legal advice. Laws vary by jurisdiction and change frequently. Always verify current law with official sources and consult a licensed attorney in your jurisdiction for advice on your specific situation.