Selected Securities Litigation posted by the SEC  Legal Actions

 

Release No.	Date	Action
Second Quarter
LR-19663	Apr. 19, 2006	Sherwin P. Brown, Jamerica Financial and Brawta Ventures, LLC
LR-19662	Apr. 18, 2006	David A. Dadante
LR-19661	Apr. 18, 2006	Michael Lauer, et al. See also: Order in this matter
LR-19660	Apr. 17, 2006	Credit First Fund, LP, Credit First, LLC, Credit First Income Plus, LLC, Investors First Financial Services, Inc., Investors Guild, Inc., and David R. Lund
LR-19659	Apr. 17, 2006	John P. Utsick et al.
LR-19658	Apr. 17, 2006	David L. McMillan
LR-19657	Apr. 17, 2006	Tyco International Ltd. Other Release No.: AAER-2414 See also: Complaint in this matter
LR-19656	Apr. 13, 2006	Thom A. Faria, Stephen J. McLaughlin and William M. Stickney See also: Complaint in this matter
LR-19655	Apr. 13, 2006	Ramy El-Batrawi, et al. See also: Complaint in this matter
LR-19654	Apr. 13, 2006	Garner Anthony See also: Complaint in this matter
LR-19653	Apr. 12, 2006	Dollar General Corp., et al. Other Release No.: AAER-2411
LR-19652	Apr. 12, 2006	PKF and Anthony Frederick John Mead Other Release No.: AAER-2410 See also: Complaint in this matter
LR-19651	Apr. 11, 2006	Carl Rausch See also: Complaint in this matter
LR-19650	Apr. 11, 2006	Sonja Anticevic et al. See also: Complaint in this matter; Complaint Exhibit A; Complaint Exhibit B
LR-19649	Apr. 10, 2006	Kenneth M. Gerland and Christopher M. Bernabei; Patrick I. Garvey; and Diane Karaoulis See also: Complaint v. Gerland and Bernabei; Complaint v. Garvey; Complaint v. Karaoulis
LR-19648	Apr. 10, 2006	Xiangsha Feng
LR-19647	Apr. 10, 2006	Thomas J. Gerbasio, et al.
LR-19646	Apr. 7, 2006	James Vincent O'Brien, et al.
LR-19645	Apr. 7, 2006	Exotics.com, Inc., et al. Other Release No.: AAER-2408
LR-19644	Apr. 7, 2006	Mark T. Ellis
LR-19643	Apr. 6, 2006	Armand Dauplaise and Bernard Shinder
LR-19642	Apr. 6, 2006	Faisal Zafar and Sameer Thawani See also: Complaint in this matter
LR-19641	Apr. 5, 2006	JB Oxford Holdings, Inc., National Clearing Corporation, James G. Lewis, Kraig L. Kibble, and James Y. Lin
LR-19640	Apr. 4, 2006	Unlimited Cash, Inc., Douglas Network Enterprises, Sneed Financial Service, LLC, Wayne Douglas Flesher, Nancy Carol Khalial, and Clifton Curtis Sneed, Jr. See also: Complaint in this matter
LR-19639	Apr. 4, 2006	Andreas Badian, Jacob Spinner, Mottes Drillman, Jeffrey Graham, Pond Securities Corp. d/b/a Pond Equities, Ezra Birnbaum and Shaye Hirsch See also: Complaint in this matter
LR-19638	Apr. 4, 2006	SBM Investment Certificates, Inc., f/k/a 1ST Atlantic Guaranty Corp., SBM Certificate Company, Geneva Capital Partners, LLC and Eric M. Westbury See also: Complaint in this matter
LR-19637	Apr. 3, 2006	Jon E. Hankins, et al.
LR-19636	Apr. 3, 2006	Alexander J. Yaroshinsky
First Quarter
LR-19635	Mar. 31, 2006	2DoTrade, Inc., George Russell Taylor, Barry William Gewin aka Barry Peters, Eric T. Landis, Dominic Roelandt, Michael D. Karsch, L. Van Stillman, David A. Wood, Jr., Clinton Walker, Oxford and Hayes, Ltd., FG & P Consulting, Ltd. Hackney Holdings, Ltd., Weston Partners, Inc., Infiniti Corporate Services, Ltd., Argo Financial, Ltd., 21st Equity Partners, Inc., MCG Partners, Inc., and LMR, Ltd. See also: Complaint in this matter
LR-19634	Mar. 31, 2006	Sherry L. Gibson
LR-19633	Mar. 31, 2006	Brian J. Stucke
LR-19632	Mar. 30, 2006	Sherwin P. Brown, Jamerica Financial and Brawta Ventures, LLC See also: Complaint in this matter
LR-19631	Mar. 30, 2006	Conrad P. Seghers and James R. Dickey
LR-19630	Mar. 29, 2006	Thomas A. Skoulis, Peter M. Frankl, Alan B. Lefkof and William D. Baker Other Release No.: AAER-2404 See also: Complaint in this matter
LR-19629	Mar. 29, 2006	Eric Tyra, Scott Wynne, Peter Berman, and Scott Carey
LR-19628	Mar. 29, 2006	Terry F. Favilla and Gary R. Dowell See also: Complaint in this matter
LR-19627	Mar. 29, 2006	Fernando J. Espuelas et al. Other Release No.: AAER-2401 See also: Complaint in this matter
LR-19626	Mar. 29, 2006	Cobalt Multifamily Investors I, LLC. Cobalt Multifamily Co. I, LLC, Cobalt Funding, LLC, Mark A. Shapiro, Irving J. Stitsky, and William B. Foster, Defendants, and Vail Mountain Trust, Relief Defendant See also: Complaint in this matter
LR-19625	Mar. 28, 2006	Alexander J. Yaroshinsky
LR-19624	Mar. 28, 2006	Gregory A. Brady, et al. Other Release No.: AAER-2400
LR-19623	Mar. 27, 2006	David T. Leboe and Dale G. Rasmussen Other Release No.: AAER-2399 See also: Complaint in this matter
LR-19622	Mar. 22, 2006	Savvides & Partners/PKF Cyprus, Pavlos Meletiou, R.K. Dhawan and Co., and R.K. Dhawan Other Release No.: AAER-2398 See also: Complaint in this matter
LR-19621	Mar. 22, 2006	Michael Morrell, et al.
LR-19620	Mar. 21, 2006	Travis E. Correll, et al.
LR-19619	Mar. 21, 2006	Converge Global, Inc.
LR-19618	Mar. 21, 2006	Wind Farm, Inc., et al.
LR-19617	Mar. 21, 2006	Bruce Hill, et al. Other Release No.: AAER-2396
LR-19616	Mar. 21, 2006	A.B. Watley Group, Inc., Paul F. Coughlin, William B. Deakins, Warren R. Fellus, Keith M. Geller, Keevin H. Leonard, Robert F. Malin, Steven E. Malin, Linus N. Nwaigwe, Michael A. Picone, Bryan S. Rogers, and Keith A. Rogers See also: Complaint in this matter
LR-19615	Mar. 20, 2006	Teresa V. Fernandez
LR-19614	Mar. 20, 2006	Barry Richard Kusatzky Other Release No.: AAER-2394
LR-19613	Mar. 17, 2006	Eric Resteiner, et al.
LR-19612	Mar. 16, 2006	C. Jones & Company, Carter Allen Jones, Timothy J. Miles, Gaylen P. Johnson, and Jonathan Curshen
LR-19611	Mar. 16, 2006	KS Advisors, Inc., KS Condor Partner, Ltd., II, Damian Partners, LLC, Scott Fine and Kevin Boyle
LR-19610	Mar. 16, 2006	Eric Walsh, John Abresch, et al.
LR-19609	Mar. 16, 2006	Patrick A. Grotto, Mark B. Leffers and Jon M. Bloodworth
LR-19608	Mar. 14, 2006	Gary Lynn McDuff
LR-19607	Mar. 14, 2006	Langley Partners, L.P., North Olmsted Partners, L.P., Quantico Partners, L.P., and Jeffrey Thorp
LR-19606	Mar. 10, 2006	BMA Ventures, Inc. and William Robert Kepler
LR-19605	Mar. 9, 2006	Scott R. Sacane, et al.
LR-19604	Mar. 9, 2006	Vector Medical Technologies, Inc., Michael H. Salit, James P. Farnell, Michael J. Farnell, David A. Zimmerman, and Stanley Wasser
LR-19603	Mar. 9, 2006	Opsis Technologies Int'l, Inc., et al.
LR-19602	Mar. 8, 2006	Delano N. Sta.Ana See also: Complaint in this matter
LR-19601	Mar. 8, 2006	Michael A. Liberty, et al. See also: Complaint in this matter
LR-19600	Mar. 8, 2006	K.L. Group, LLC, et al.
LR-19599	Mar. 8, 2006	Eduardo A. Masferrer, Juan Carlos Bernace and John M.R. Jacobs
LR-19598	Mar. 8, 2006	Viatical Capital, Inc., et al.
LR-19597	Mar. 8, 2006	Geek Securities, Inc., Geek Advisors, Inc. , Kautilya "Tony" Sharma, and Neal R. Wadhwa
LR-19596	Mar. 7, 2006	Sunbelt Development Corporation, Wendell Rogers, Donald Hammond and Willie Davis
LR-19595	Mar. 7, 2006	Latin American Services, Inc., et al.
LR-19594	Mar. 7, 2006	One or More Unknown Traders of Options on Common Stock of Ralston Purina Co.
LR-19593	Mar. 7, 2006	Paul Simmons, Rodney Gilbert, John Zankowski, Esq., Kerry Kennedy, Stanley Siciliano and Eric Littman, Esq.
LR-19592	Mar. 7, 2006	Charis Johnson, LifeClicks, LLC, and 12daily Pro
LR-19591	Mar. 6, 2006	Craig H. Reinhard, et al. See also: Complaint in this matter
LR-19590	Mar. 6, 2006	Michael Lauer, et al. See also: Complaint in this matter
LR-19589	Mar. 3, 2006	Sharon E. Vaughn and Directors Financial Group, Ltd. See also: Complaint in this matter
LR-19588	Mar. 3, 2006	Kevin Hobbs et al.
LR-19587	Mar. 2, 2006	Mitchell Drucker and Ronald Drucker, Defendants, and William Minerva, Relief Defendant See also: Complaint in this matter
LR-19586	Mar. 2, 2006	Alan Cao and Jun Shi
LR-19585	Mar. 2, 2006	Symbol Technologies, Inc., et al. Other Release No.: AAER-2391
LR-19584	Mar. 1, 2006	Carl R. Rose, Lawrence A. Clasby, et al.
LR-19583	Mar. 1, 2006	Paul J. Silvester, et al.
LR-19582	Mar. 1, 2006	Allen Z. Wolfson, et al.
LR-19581	Feb. 28, 2006	Kirk S. Wright, International Management Associates, LLC; International Management Associates Advisory Group, LLC; International Management Associates Platinum Group, LLC; International Management Associates Emerald Fund, LLC; International Management Associates Taurus Fund, LLC; International Management Associates Growth & Income Fund, LLC; International Management Associates Sunset Fund, LLC; Platinum II Fund, LP; and Emerald II Fund, LP
LR-19580	Feb. 27, 2006	Jeffrey P. Jorissen, Gary A. Shiffman and Mary A. Petrella
LR-19579	Feb. 27, 2006	Charis Johnson, Lifeclicks, LLC, and 12daily Pro See also: Complaint in this matter
LR-19578	Feb. 27, 2006	NetEase.com, Inc. Other Release No.: AAER-2382 See also: Complaint in this matter
LR-19577	Feb. 24, 2006	August M. Cruciotti See also: Notice in this matter
LR-19576	Feb. 24, 2006	Carl R. Rose, et al.
LR-19575	Feb. 23, 2006	Dean J. Sheptycki
LR-19574	Feb. 23, 2006	Edward S. Digges, Jr.; Nexstar Communications, LLC; TMT Equipment Company, LLC; TMT Management Group, LLC; POSA, LLC; POSA TMT, LLC; Televest Communications, LLC; Televest Group, LLC and Spin Drift, LLC
LR-19573	Feb. 22, 2006	KPMG LLP, et al.
LR-19572	Feb. 17, 2006	Vestron Financial Corp., et al.
LR-19571	Feb. 17, 2006	iBIZ Technology Corp., Kenneth W. Schilling, H. Mark Perkins, Jeffrey Firestone, Jerrold B. McRoberts, and D. Scott Elliott See also: Complaint in this matter
LR-19570	Feb. 17, 2006	Patrick Kirkland
LR-19569	Feb. 17, 2006	Lambert Vander Tuig, The Carolina Development Company, Inc. and Jonathan Carman See also: Complaint in this matter
LR-19568	Feb. 16, 2006	Sanjiv S. Agarwala
LR-19567	Feb. 16, 2006	Eric J. McCracken, et al. Other Release No.: AAER-2375
LR-19566	Feb. 15, 2006	Paul J. Silvester and Ben F. Andrews, Jr.
LR-19565	Feb. 15, 2006	Credit First Fund, LP, et al.
LR-19564	Feb. 14, 2006	Lori G. Addison See also: Complaint in this matter
LR-19563	Feb. 13, 2006	Ronald J. Bauer
LR-19562	Feb. 10, 2006	George A. Todt, et al.
LR-19561	Feb. 9, 2006	MSTG Solutions, Inc. and Gil Kim
LR-19560	Feb. 9, 2006	American International Group, Inc. Other Release No.: AAER-2371 See also: Complaint in this matter
LR-19559	Feb. 9, 2006	Brad A. Weaver and Beta Asset Management, Inc.
LR-19558	Feb. 8, 2006	Elsie M. Leung Other Release No.: AAER-2374
LR-19557	Feb. 7, 2006	Bruce E. Snyder, Jr. Other Release No.: AAER-2372
LR-19556	Feb. 6, 2006	Joshua Yafa, et al.
LR-19555	Feb. 6, 2006	John R. Shrewder, The Franklin Group, Inc., Ashley Miron Leshem, and Ananda Capital Partners, Inc. See also: Complaint in this matter
LR-19554	Feb. 3, 2006	Edward S. Digges, Jr.; Nexstar Communications, LLC; TMT Equipment Company, LLC; TMT Management Group, LLC; POSA, LLC; POSA TMT, LLC; Televest Communications, LLC; Televest Group, LLC and Spin Drift, LLC
LR-19553	Feb. 2, 2006	William A. Day
LR-19552	Feb. 2, 2006	Ronald Ferguson, Elizabeth Monrad, Robert Graham, Christopher Garand, and Christian Milton Other Release No.: AAER-2369 See also: Complaint in this matter
LR-19551	Feb. 2, 2006	Wallace Nakano
LR-19550	Jan. 31, 2006	Mark Kishel
LR-19549	Jan. 31, 2006	Victor J. Menezes See also: Complaint in this matter
LR-19548	Jan. 30, 2006	Thomas P. Clark Other Release No.: AAER-2368
LR-19547	Jan. 30, 2006	WMDS, Inc. et al. See also: Complaint in this matter
LR-19546	Jan. 30, 2006	U.S. Wind Farming, Inc., William L. Telander, et al.
LR-19545	Jan. 27, 2006	Teresa V. Fernandez
LR-19544	Jan. 26, 2006	James J. McDermott, et al.
LR-19543	Jan. 26, 2006	Allan Boren, et al.
LR-19542	Jan. 25, 2006	Morgan Cooper, et al.
LR-19541	Jan. 24, 2006	Paul Simmons, Rodney Gilbert, John Zankowski, Esq., Kerry Kennedy, Stanley Siciliano and Eric Littman, Esq.
LR-19540	Jan. 24, 2006	Learn Waterhouse, Inc.; Randall Treadwell; Rick D. Sluder; Larry C. Saturday; and Arnulfo M. Acosta
LR-19539	Jan. 23, 2006	Ernesto Sibal, et al.
LR-19538	Jan. 23, 2006	Mark Kishel See also: Complaint in this matter
LR-19537	Jan. 20, 2006	Stansbury Holdings Corporation, Aldine J. Coffman, Jr., Dennis R. Staal, CPA, Richard E. Sellers, CPA, and Sellers & Associates P.C. Other Release No.: AAER-2366
LR-19536	Jan. 20, 2006	Fortress Financial Group, Inc. and Jeffrey A. Richie
LR-19535a	Jan. 20, 2006	i2 Technologies, Inc. See also: Court order; SEC'S Unopposed Motion for Approval of Distribution Plan
LR-19534	Jan. 20, 2006	Groh Asset Management, Inc. and Roger O. Groh See also: Complaint in this matter
LR-19533	Jan. 20, 2006	Eric Tyra, Scott Wynne, Peter Berman, and Scott Carey Other Release No.: AAER-2365
LR-19532	Jan. 19, 2006	Sport-Haley, Inc., Steve S. Auger, and Kenneth R. LeCrone Other Release No.: AAER-2364
LR-19531	Jan. 18, 2006	Deog Kyoon Jeong See also: Complaint in this matter
LR-19530	Jan. 13, 2006	Roger A. Householder
LR-19529	Jan. 13, 2006	Kimberly J. Carrella, et al.
LR-19528	Jan. 12, 2006	Thomas J. Bucknum See also: Complaint in this matter
LR-19527	Jan. 10, 2006	Richard A. Svoboda and Michael A. Robles
LR-19526	Jan. 10, 2006	Daniel Calugar and Security Brokerage, Inc.
LR-19525	Jan. 10, 2006	Anthony F. Giordano See also: Complaint in this matter
LR-19524	Jan. 6, 2006	eWealth Securities, Inc., et al.
LR-19523	Jan. 5, 2006	David M. Faubert, et al.
LR-19521	Jan. 4, 2006	Alan C. Goldsworthy, Walter T. Hilger, and Mark E. Sullivan Other Release No.: AAER-2361 See also: Complaint in this matter
LR-19520	Jan. 4, 2006	McAfee, Inc. Other Release No.: AAER-2360 See also: Complaint in this matter
LR-19519	Jan. 3, 2006	Dennis S. Herula et al.
LR-19518	Jan. 3, 2006	Lee David Edelman See also: Complaint in this matter
LR-19517	Jan. 3, 2006	Karnig H. Durgarian, Jr.,Donald F. McCracken, Ronald B. Hogan, Virginia A. Papa, Kevin F. Crain, and Sandra G. Childs See also: Complaint in this matter