Actions Resulting from Referrals to Federal and State Authorities
| LR-22705 | May 22, 2013 | John Anthony Stilwell, Dr. Michael Curtis Moore, and Jillian Margaret Murphy See also: SEC Complaint |
| LR-22700 | May 15, 2013 | Matthew C. Devlin, et al. |
| LR-22692 | Apr. 30, 2013 | A.L. Waters Capital, LLC, et al. |
| Press Release | April 26, 2013 | Milton Man Sentenced to 17 Years for Orchestrating Large Ponzi Scheme and Massive Mail Fraud |
| LR-22683 | Apr. 23, 2013 | Gibraltar Global Securities Inc., and Warren A. Davis See also: SEC Complaint |
| 2013-66 | Apr. 22, 2013 | SEC Charges Former Executive with Insider Trading On Nonpublic Information Obtained as Part of Professional Group |
| 2013-62 | Apr. 16, 2013 | SEC Charges Canada-Based Investment Banker with Insider Trading |
| Release No. 13-050 | April 15, 2013 | Ex-Stockbroker Arraigned on Charges of Orchestrating Series of Multi-Million Dollar Market Manipulation Stock Schemes |
| 2013-59 | Apr. 11, 2013 | SEC Names Jennifer Marietta-Westberg as Deputy Director of the Division of Risk, Strategy, and Financial Innovation |
| 2013-47 | Mar. 26, 2013 | SEC Charges California-Based Hedge Fund Analyst and Two Others with Insider Trading |
| Press Release | Mar. 22, 2013 | David Levy and Donna Levy See Also: U.S. v. David Levy, et al. S5 Indictment |
| LR-22659 | Mar. 22, 2013 | Juan Carlos Bertini See also: SEC Complaint |
| 2013-46 | Mar. 22, 2013 | SEC Charges Hedge Fund Manager and Brokerage CEO with Fraud |
| 2013-41 | Mar. 15, 2013 | CR Intrinsic Agrees to Pay More than $600 Million in Largest-Ever Settlement for Insider Trading Case |
| 2013-39 | Mar. 15, 2013 | SEC Charges San Diego Lawyers and Others in an International Market Manipulation Scheme |
| LR-22641 | Mar. 12, 2013 | Hunter |
| LR-22640 | Mar. 11, 2013 | Michael Dale Lackey See also: SEC Complaint |
| 2013-34 | Mar. 7, 2013 | SEC Charges California-Based Lawyer with Issuing Fraudulent Legal Opinion Letters |
| 2013-25 | Feb. 21, 2013 | SEC Charges Virgin Islands-Based Investment Adviser with Defrauding Clients |
| 34-68948 | Feb. 19, 2013 | VitaminSpice Inc. See also Order |
| LR-22616 | Feb. 12, 2013 | Howard Brett Berger and Michelle Berger |
| LR-22612 | Feb. 6, 2013 | James Balchan See also: SEC Complaint |
| LR-22606 | Jan. 30, 2013 | Blake R. Wellington and Daniel J. Vance |
| LR-22599 | Jan. 23, 2013 | Jonathan C. Gilchrist See also: SEC Complaint |
| LR-22596 | Jan. 17, 2013 | John M. Darden III See also: SEC Complaint |
| LR-22580 | Dec. 21, 2012 | GLR Capital Management, LLC, GLR Advisors, LLC, John A. Geringer, and Relief Defendant GLR Growth Fund, L.P. |
| 2012-262 | Dec. 11, 2012 | SEC Charges New Jersey-Based Consultant to Chinese Reverse Merger Companies with Violating Securities Laws |
| 2012-261 | Dec. 11, 2012 | SEC Charges New York-Based Fund Manager with Conducting Fraudulent Trading Schemes |
| 2012-255 | Dec. 5, 2012 | SEC Charges 10 in Insider Trading Ring Around Investment Banker's Illegal Tips on Impending Mergers |
| 2012-248 | Nov. 30, 2012 | Brazilian Ex-Banker to Pay $5.1 Million for Insider Trading in Burger King Stock |
| 2012-247 | Nov. 30, 2012 | SEC Charges Connecticut-Based Business Executive with Insider Trading During Bidding Process |
| LR-22537 | Nov. 20, 2012 | Joel I. Wilson et al. See also: SEC Complaint |
| 2012-237 | Nov. 20, 2012 | SEC Charges Hedge Fund Firm CR Intrinsic and Two Others in $276 Million Insider Trading Scheme Involving Alzheimer's Drug |
| 2012-234 | Nov. 19, 2012 | SEC Charges Ring of High School Buddies with Insider Trading in Health Care Stocks |
| LR-22519 | Oct. 25, 2012 | Frank A. LoBue See also: SEC Complaint |
| LR-22512 | Oct. 18, 2012 | A.L. Waters Capital, LLC, et al. |
| 2012-212 | Oct. 18, 2012 | Hong Kong Firm to Pay $14 Million to Settle Insider Trading Charges |
| LR-22505 | Oct. 4, 2012 | Lion Capital Management, LLC and Hausmann-Alain Banet See also: SEC Complaint |
| LR-22497 | Sep. 27, 2012 | Jauyo ("Jason") Lee and Victor Chen See also: SEC Complaint |
| LR-22495 | Sep. 27, 2012 | 8000, Inc., Jonathan E. Bryant, Thomas J. Kelly, and Carl N. Duncan, Esq. See also: SEC Complaint |
| 2012-195 | Sep. 20, 2012 | SEC Freezes Assets of Insider Trader in Burger King Stock |
| 2012-193 | Sep. 20, 2012 | SEC Charges Three in North Carolina With Insider Trading |
| 2012-179 | Sept. 5, 2012 | SEC Charges Public Relations Executive With Insider Trading in Client's Stock |
| 2012-167 | Aug. 28, 2012 | SEC Charges Eight in Georgia-Based Insider Trading Ring |
| LR-22455 | Aug. 21, 2012 | SEC Charges Former Array BioPharma Manager For Insider Trading See also: SEC Complaint |
| LR-22444 | Aug. 10, 2012 | SEC Charges Participants in $5 Million Boiler Room Scheme See also: SEC Complaint |
| LR-22434 | Aug. 3, 2012 | SEC Charges Massachusetts Resident with Insider Trading in Art Technology, Inc. See also: SEC Complaint |
| LR-22430 | Jul. 30, 2012 | Siris, et al. and Hu, et al. See also: Complaint Against Peter Siris et al. and Complaint Against Alan Sheinwald et al. |
| 2012-145 | Jul. 27, 2012 | SEC Freezes Assets of Insider Traders in Nexen Acquisition |
| 2012-143 | Jul. 25, 2012 | SEC Charges Close Friend of Staffing Company CEO with Insider Trading Around Acquisition |
| LR-22413 | Jul. 10, 2012 | Apparao Mukkamala, Suresh Anne, Jitendra Prasad Katneni, Mallikarjunarao Anne, and Rao A.K. Yalamanchili See also: SEC Complaint |
| 2012-101 | May 24, 2012 | May 24, 2012 |
| LR-22375 | May 24, 2012 | GLR Capital Management, LLC, GLR Advisors, LLC, Geringer, Luck & Rode LLC, John A. Geringer, and Relief Defendant GLR Growth Fund, L.P. See also: SEC Complaint |
| 2012-89 | May 9, 2012 | SEC Charges New York Man With Manipulating Biopharmaceutical Stocks and Conducting Unregistered Sales of Securities |
| LR-22360A | May 8, 2012 | Mohammed Mark Amin, Robert Reza Amin, Michael Mahmood Amin, Sam Saeed Pirnazar, Mary Teresa Coley, and Ali Tashakori |
| 2012-84 | May 7, 2012 | SEC Charges Montana-Based Paralegal and Her Father in Insider Trading Scheme |
| LR-22357 | May 7, 2012 | Angela Milliard et al. See also: SEC Complaint |
| LR-22356 | May 4, 2012 | A.L. Waters Capital, LLC, et al. |
| 2012-82 | May 2, 2012 | SEC Charges Florida Stock Scheme Mastermind and 10 Cohorts |
| 2012-54 | Apr. 6, 2012 | SEC Freezes Accounts of Six Chinese Citizens and One Offshore Entity Charged with Insider Trading |
| 2012-44 | Mar. 15, 2012 | SEC Charges Chicago-Based Management Consultant With Insider Trading |
| LR-22293 | Mar. 15, 2012 | Sherif Mityas |
| 2012-41 | Mar. 13, 2012 | SEC Charges Five With Insider Trading on Confidential Merger Negotiations Between Philadelphia Company and Japanese Firm |
| LR-22288 | Mar. 14, 2012 | Timothy J. McGee, et al. See also: SEC Complaint |
| LR-22280 | Mar. 9, 2012 | Steven J. Harrold See also: SEC Complaint |
| LR-22274 | Mar. 5, 2012 | William F. Duncan and John M. Williams |
| LR-22238 | Jan. 26, 2012 | Igors Nagaicevs See also: SEC Complaint |
| LR-22234 | Jan. 24, 2012 | Robert Ward, Benjamin Lewis, Stanley Lewis, and Jamie Lewis See also: SEC Complaint |
| LR-22233 | Jan. 24, 2012 | Dale Shafer, Joseph Mroz and Jason Gonski See also: SEC Complaint |
| LR-22223 | Jan. 11, 2012 | Earl C. Arrowood and Parker H. "Pete" Petit See also: SEC Complaint |
| LR-22205 | Dec. 21, 2011 | John R. Easom, et al. See also: SEC Complaint |
| 2011-262 | Dec. 12, 2011 | SEC Charges "Shell Packagers" and Several Others in Penny Stock Scheme |
| LR-22189 | Dec. 12, 2011 | Alternative Green Technologies, Inc. See also: SEC Complaint |
| LR-22169 | Nov. 25, 2011 | Jeffrey S. Richardson See also: SEC Complaint |
| 2011-253 | Dec. 6, 2011 | SEC Freezes Assets of Four Chinese Citizens Charged with Insider Trading |
| LR-22118 | Oct. 11, 2011 | M. Jason Hanold See also: SEC Complaint |
| LR-22099 | Sep. 19, 2011 | One or More Unknown Purchasers of Securities of Global Industries, Ltd. See also: SEC Complaint |
| LR-22099 | Sep. 19, 2011 | One or More Unknown Purchasers of Securities of Global Industries, Ltd. See also: SEC Complaint |
| LR-22080 | Aug. 31, 2011 | Clay Capital Management, LLC, James F. Turner II, Scott A. Vollmar, Scott A. Robarge and Mark A. Durbin See also: SEC Complaint |
| LR-22048 | Jul. 19, 2011 | Howard B. Wildstein |
| LR-21997 | Jun. 13, 2011 | Norman Forrest Germany, et al. See also: SEC Complaint |
| LR-21951 | Apr. 29, 2011 | Magnum d'Or Resources, Inc., See also: SEC Complaint |
| 2011-85 | Apr. 6, 2011 | SEC Charges Corporate Attorney and Wall Street Trader in $32 Million Insider Trading Ring |
| LR-21896 | Mar. 23, 2011 | Daniel F. Wiener II See also: SEC Complaint |
| 2011-69 | Mar. 17, 2011 | SEC Charges Kentucky Steel Company Executives With Insider Trading |
| LR-21879 | Mar. 9, 2011 | Jason Bo-Alan Beckman and Oxford Private Client Group, LLC, et al. See also: SEC Complaint |
| LR-21877 | Mar. 7, 2011 | Todd Leslie Treadway See also: SEC Complaint |
| LR-21874 | Mar. 7, 2011 | Anthony Fareri, Fareri Financial Services, Inc. d/b/a Amerifinancial, and Anthony Fareri & Associates, Inc. |
| 2011-46 | Feb. 18, 2011 | SEC Charges Seven in Global Warming Pump-and-Dump Scheme |
| LR-21858 | Feb. 16, 2011 | Brett A. Cohen; David V. Myers; Aaron J. Scalia; and Stephen J. Scalia See also: SEC Complaint |
| LR-21811 | Jan. 13, 2011 | CytoCore, Inc., et al. See also: SEC Complaint |
| 2011-9 | Jan. 13, 2011 | SEC Charges Former Board Chairman and Two Business Associates in Insider Trading Scheme |
| 2010-249 | Dec. 16, 2010 | SEC Brings Fraud Charges Against Self-Described Idaho Nuclear Power Company |
| 2010-241 | Dec. 8, 2010 | SEC Charges Uncle and Nephew in Insider Trading Scheme |
| 2010-240 | Dec. 7, 2010 | SEC Charges Former Law Firm Technology Manager and Brother-in-Law in Serial Insider Trading Scheme |
| LR-21675 | Sep 30, 2010 | Quri Resources, Inc. and Jaime Santiago Gomez See also: SEC Complaint |
| LR-21674 | Sep 30, 2010 | Atlantis Technology Group and Christoper Dubeau See also: SEC Complaint |
| LR-21696 | Oct 15, 2010 | Brian N. Lines, Scott G.S. Lines, LOM (Holdings) Ltd., Lines Overseas Management Ltd., LOM Capital Ltd., LOM Securities (Bermuda) Ltd., LOM Securities (Cayman) Ltd., LOM Securities (Bahamas) Ltd., Anthony W. Wile, Wayne E. Wile, Robert J. Chapman, William Todd Peever, Phillip James Curtis, and Ryan G. Leeds |
| LR-21619 | Aug 6, 2010 | CJ's Financial and Candice D. Campbell See also: SEC Complaint |
| 2010-108 | Jun. 25, 2010 | SEC Charges Benefits Consultant to Government Agencies With Ponzi Scheme |
| LR-21515 | May 5, 2010 | Spongetech Delivery Systems, Inc., RM Enterprises International, Inc., Steven Y. Moskowitz, Michael E. Metter, George Speranza, Joel Pensley and Jack Halperin Other Release Number(s): AAER-3131 See also: SEC Complaint |
| LR-21472 | Apr 1, 2010 | Morando Berrettini and Ralph J. Pirtle See also: SEC Complaint |
| 2010-44 | Mar. 24, 2010 | SEC Charges Securities Professionals in Insider Trading Scheme Using Coded E-Mail |
| LR-21452 | Mar 16, 2010 | BroCo Investments and Valery Maltsev See also: SEC Complaint |
| LR-21425 | Feb 25, 2010 | John A. Foley et al. See also: SEC Complaint |
| LR-21404 | Feb 3, 2010 | Bruce A. Macdonald and Robert A. Maresca, Defendants, and Bruce K. Bohlander, Relief Defendant See also: SEC Complaint |
| R-21263 | Oct. 27, 2009 | Stanko J. Grmovsek See also: SEC Complaint |
| LR-21259 | Oct. 22, 2009 | Lambros D. Ballas See also: SEC Complaint |
| LR-21240 | Oct. 7, 2009 | Feng "Frank" Xie See also: SEC Complaint |
| LR-21231 | Sep. 30, 2009 | K&L International Enterprises, Inc., et al. |
| LR-21193A | Sep. 1, 2009 | Golden Apple Oil and Gas, Inc., et. al. See also: SEC Complaint |
| LR-21192 | Aug. 31, 2009 | Sarath B. Gangavarapu See also: SEC Complaint |
| LR-21183 | Aug. 24, 2009 | Nancy Jewell, Kristin Mays, and Matthew B. Murphy, III See also: SEC Complaint |
| LR-21179 | Aug. 18, 2009 | Eric Todd Seiden and Kamal Abdallah See also: SEC Complaint |
| LR-21160 | Jul. 30, 2009 | Robert Glenn Bard and Vision Specialist Group LLC See also: SEC Complaint |
| 2009-173 | Jul. 28, 2009 | SEC Halts $50 Million Offering Fraud and Ponzi Scheme in Detroit Area |
| LR-21132 | Jul. 15, 2009 | Kevan D. Acord et al. See also: SEC Complaint |
| LR-21122 | Jul. 9, 2009 | Pointer Worldwide, Ltd et al. See also: SEC Complaint |
| LR-21084 | Jun. 12, 2009 | ZNext Mining Corporation, Inc. and Elvira G. Gamboa See also: SEC Complaint |
| LR-21083 | Jun. 12, 2009 | Blackout Media Corporation and Sandy Winick Other Release No.: AAER-2990 See also: SEC Complaint |
| LR-21072 | Jun. 8, 2009 | Robert L. Hollier and Wayne A. Dupuis See also: SEC Complaint |
| LR-21069 | Jun. 4, 2009 | Tajyar, et al. See also: SEC Complaint |
| LR-20953A | Mar. 13, 2009 | Michael Biello See also: SEC Complaint |
| LR-20937 | Mar. 9, 2009 | The Regency Group, LLC; Scott F. Gelbard; Jeffrey S. Koslosky; Aaron S. Lamkin; John J. Coutris; Michael J. Coutris; J. Coutris Partners, LP; Joseph S. Fernando; Wellington Capital Enterprises, Inc.; James J. Coutris; and Dimitrios I. Gountis See also: SEC Complaint |
| LR-20931 | Mar. 5, 2009 | Anthony Fareri, Fareri Financial Services, Inc. d/b/a Amerifinancial, and Anthony Fareri & Associates, Inc. See also: SEC Complaint |
| LR-20926 | Mar. 5, 2009 | Diversified Lending Group, Inc., et al. |
| LR-20892 | Feb. 10, 2009 | George David Gordon, Joshua Wayne Lankford, and Dean Joseph Sheptycki See also: SEC Complaint |
| LR-20831 | Dec. 18, 2008 | Matthew C. Devlin, Jamil A. Bouchareb, Daniel A. Corbin, Frederick E. Bowers, Thomas R. Faulhaber, Eric A. Holzer, Jeffrey R. Glover, Corbin Investment Holdings, LLC and Augustus Management, defendants, and Maria T. Checa, Lee H. Corbin, LLC and Checa International, Inc., relief defendants See also: Complaint in this matter |
| LR-20805A | Nov. 13, 2008 | Jonathan Wilson See also: Complaint in this matter |
| LR-20804A | Nov. 13, 2008 | William M. Gallahair See also: Complaint in this matter |
| LR-20789 | Oct. 23, 2008 | Brett C. Maas See also: Complaint in this matter |
| LR-20765 | Oct. 1, 2008 | Joseph J. Queri Jr., Gary M. Gosson, et al.; Joseph J. Queri Jr., Joseph J. Queri Sr., et al. See also: Complaint v. Queri Jr., Gosson, et al. Complaint v. Queri Jr., Queri Sr., et al. |
| LR-20759 | Sep. 30, 2008 | Samir I. Abed and Elias J. Antoun See also: Complaint in this matter |
| LR-20754 | Sep. 29, 2008 | Carlos J. Petry See also: Complaint in this matter |
| LR-20750 | Sep. 26, 2008 | Stephen Michael Strauss See also: Complaint in this matter |
| LR-20743 | Sep. 25, 2008 | Jan A. Norelid and Pedro Gil Simoes See also: Complaint in this matter |
| LR-20656 | Jul. 29, 2008 | George J. Simchuk See also: Complaint in this matter |
| LR-20646 | Jul. 16, 2008 | William J. Rauch See also: Complaint in this matter |
| LR-20645 | Jul. 15, 2008 | Homeland Safety International, Inc. F/K/A Sniffex, Inc.; Mark B. Lindberg, Petar D. Mihaylov, Yuri Markov, Paul B. Johnson, and Nicholas V. Klausgaard and Ilona V. Klausgaard; and Mark B. Lindberg See also: Complaint v. Homeland Safety International, Inc. et al. Complaint v. Lindberg |
| LR-20610 | Jun. 4, 2008 | Jeffrey P. Myers See also: Complaint in this matter |
| LR-20589 | May 20, 2008 | Gordon C. Bigler See also: Complaint in this matter |
| LR-20564 | May 12, 2008 | Zachariah P. Zachariah, et al. See also: Complaint in this matter |
| LR-20542 | Apr. 29, 2008 | Charles R. Norton and Chad R. Norton |
| LR-20529 | Apr. 17, 2008 | Michael A. Stummer See also: Complaint in this matter |
| LR-20496 | Mar. 14, 2008 | Ryan M. Reynolds, et al. See also: Complaint in this matter |
| LR-20474 | Mar. 4, 2008 | Stanley Manne See also: Complaint in this matter |
| LR-20465 | Feb. 25, 2008 | GMC Holding Corporation and Richard Brace See also: Complaint in this matter |
| LR-20431A | Jan. 18, 2008 | Ernesto Tapanes See also: Complaint in this matter |