Litigation Releases

The list below provides links to litigation releases concerning civil lawsuits brought by the Commission in federal court.

First Quarter

Additional Archives

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Release No. Date Respondents

First Quarter

LR-24054 Feb. 21, 2018 Strong Investment Management, Joseph B. Bronson (f/k/a Joseph B. Engebretson), and John B. Engebretson
See also: SEC Complaint
LR-24053 Feb. 20, 2018 Eric McPhail, et al.
LR-24052 Feb. 16, 2018 Daniel Thibeault, et al.
LR-24051 Feb. 16, 2018 Sharone Perlstein, et al., Jonathan Strum, Alan Weinberg, et al.
Other Release No.: AAER-3923
See also SEC Complaints: Sharone Perlstein et al., Jonathan Strum, Alan Weinberg and Weinberg & Baer LLC
LR-24050 Feb. 15, 2018 Commonwealth Advisors, Inc. and Walter A. Morales
LR-24049 Feb. 15, 2018 Southridge Capital Management LLC, et al.
LR-24048 Feb. 14, 2018 Kevin J. Amell
LR-24047 Feb. 14, 2018 Terrence LeGall
LR-24046 Feb. 14, 2018 Brian S. Block, et al.
LR-24045 Feb. 13, 2018 Timothy S. Batchelor
See also: SEC Complaint
LR-24044 Feb. 12, 2018 Todd M. LaVelle
See also: SEC Complaint
LR-24043 Feb. 12, 2018 Geoffrey H. Lunn, et al.
LR-24042 Feb. 8, 2018 American Bondholders Foundation, LLC
LR-24041 Feb. 2, 2018 Hadsell Chemical Processing, LLC and Robert Walton, Jr.
LR-24040 Feb. 2, 2018 Tom Simeo
LR-24039 Feb. 2, 2018 Boston Trading and Research, LLC, et al.
LR-24038 Feb. 2, 2018 Nicholas J. Genovese, Willow Creek Investments, LP, and Willow Creek Advisors, LLC
See also: SEC Complaint
LR-24037 Jan. 31, 2018 James S. Polese, et al.
See also: SEC Complaint
LR-24036 Jan. 30, 2018 Pawel P. Dynkowski, et al.
LR-24035 Jan. 26, 2018 One or More Unknown Traders in the Securities of Bioverativ, Inc.
See also: SEC Complaint
LR-24034 Jan. 25, 2018 Robert L. Sonfield, Jason Landess, et al.
LR-24033 Jan. 24, 2018 Quicksilver Stock Transfer and Alan Shinderman
See also: SEC Complaint
LR-24032 Jan. 24, 2018 Robert H. Shapiro, Woodbridge Group of Companies, LLC, et al.
See also: SEC Order
LR-24031 Jan. 22, 2018 Hoplon Financial Group et al.
See also: SEC Complaint
LR-24030 Jan. 22, 2018 Ash Narayan, The Ticket Reserve Inc. a/k/a Forward Market Media, Inc., Richard M. Harmon, and John A. Kaptrosky
See also: SEC Complaint
LR-24029 Jan. 22, 2018 Daniel H. Glick, et al
LR-24028 Jan. 11, 2018 David S. Haddad, et al.
See also: SEC Complaint
LR-24027 Jan. 9, 2018 David B. Kaplan, Esq., et al.
LR-24026 Jan. 8, 2018 Joseph A. Rubbo, et al.
LR-24025 Jan. 5, 2018 Malachi Financial Products, Inc., et al.
See also: SEC Complaint
LR-24024 Jan. 5, 2018 Owen H. Naccarato
See also: SEC Complaint
LR-24023 Jan. 3, 2018 Khaled "Kal" Bassily