Litigation Releases

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

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Litigation Releases Table

Date	Respondents
Date: Dec. 7, 2023	Respondents: Raymond J. Pirrello, Jr., et al. Release No. LR-25907 See Also: SEC Complaint
Date: Dec. 5, 2023	Respondents: CanaFarma Hemp Products Corp.; Vitaly Fargesen; Igor Palatnik; Frank Barone; Kirill Chumenko Release No. LR-25906 See Also: SEC Complaint
Date: Dec. 5, 2023	Respondents: Marc E. Wexler Release No. LR-25905
Date: Nov. 29, 2023	Respondents: Andrew DeFrancesco, Marlio Mauricio Diaz Cardona, Carlos Felipe Rezk, Nicola Faukovic, and Catherine DeFrancesco Release No. LR-25904 See Also: SEC Complaint , Judgment - Marlio Mauricio Diaz Cardona , Judgment - Carlos Felipe Rezk
Date: Nov. 28, 2023	Respondents: Joseph M. Dupont et al. Release No. LR-25903 See Also: SEC Complaint
Date: Nov. 22, 2023	Respondents: SAExploration Holdings, Inc., et al. Release No. LR-25902, AAER-4474 See Also: SEC Complaint , Amended SEC Complaint , Final Judgment - Brian A. Beatty , Final Judgment - SAExploration Holdings, Inc.
Date: Nov. 21, 2023	Respondents: Twin Spires Financial LLC, Aaron B. Fletcher, Town of Sterlington, Louisiana, and Vern A. Breland Release No. LR-25901 See Also: Final Judgment - Vern A. Breland , SEC Complaint - Vern A. Breland , SEC Complaint - Aaron B. Fletcher and Twin Spires Financial LLC
Date: Nov. 21, 2023	Respondents: Brite Advisors USA, Inc. Release No. LR-25900 See Also: SEC Complaint
Date: Nov. 21, 2023	Respondents: Michael V. Shustek and Vestin Mortgage LLC Release No. LR-25899
Date: Nov. 21, 2023	Respondents: Rio Tinto plc, Rio Tinto Limited, Thomas Albanese, Guy Elliott Release No. LR-25898
Date: Nov. 21, 2023	Respondents: Nadim Ahmed, Mehreen Shah, NYC Green Transportation Group, LLC, NuRide Transportation Group, LLC, Med Trans EB-5 Fund, LLC, Gravitas NYC Regional Center, LLC, Mona Shah & Associates, PLLC Release No. LR-25897 See Also: SEC Complaint
Date: Nov. 21, 2023	Respondents: Payward, Inc. and Payward Ventures, Inc. Release No. LR-25896 See Also: SEC Complaint
Date: Nov. 17, 2023	Respondents: Alan Z. Appelbaum Release No. LR-25895 See Also: Final Judgment
Date: Nov. 16, 2023	Respondents: Marguerite Cassandra Toroian and Bell Rock Capital, LLC Release No. LR-25894
Date: Nov. 15, 2023	Respondents: Matthew Melton Release No. LR-25893 See Also: SEC Complaint
Date: Nov. 15, 2023	Respondents: Jake Soberal and Irma Olguin, Jr. Release No. LR-25892 See Also: SEC Complaint
Date: Nov. 9, 2023	Respondents: John A. Masanotti, Jr. and Middlesex Mortgage Group, LLC Release No. LR-25891 See Also: SEC Complaint
Date: Nov. 8, 2023	Respondents: Premium Point Investments LP et al. Release No. LR-25890 See Also: Final Judgment - Jeremy Shor
Date: Nov. 2, 2023	Respondents: John Hughes Release No. LR-25889 See Also: SEC Complaint
Date: Nov. 1, 2023	Respondents: SafeMoon LLC, SafeMoon US LLC, Kyle Nagy, Braden John Karony, Thomas Glenn Smith Release No. LR-25888 See Also: SEC Complaint
Date: Oct. 31, 2023	Respondents: SolarWinds Corporation and Timothy G. Brown Release No. LR-25887 See Also: SEC Complaint
Date: Oct. 27, 2023	Respondents: Bruce Schoengood, Medifirst Solutions, Inc., and Joshua Tyrell Release No. LR-25886 See Also: SEC Complaint
Date: Oct. 25, 2023	Respondents: Julie Anne Darrah, et al., Release No. LR-25885 See Also: SEC Complaint
Date: Oct. 19, 2023	Respondents: Thor Technologies, Inc. and David Chin Release No. LR-25884 See Also: Final Judgment
Date: Oct. 18, 2023	Respondents: Harmel S. Rayat, RenovaCare, Inc., Jatinder Bhogal, Jeetenderjit Singh Sidhu, and Sharon Fleming Release No. LR-25883
Date: Oct. 17, 2023	Respondents: Brian Marc Rubin Release No. LR-25882 See Also: SEC Complaint
Date: Oct. 13, 2023	Respondents: Frederick L. Sharp et al., Release No. LR-25881 See Also: Judgment
Date: Oct. 5, 2023	Respondents: Elon R. Musk Release No. LR-25880 See Also: Application
Date: Oct. 4, 2023	Respondents: Matthew M. Motil, et al. Release No. LR-25879 See Also: SEC Complaint
Date: Oct. 3, 2023	Respondents: Zera Financial LLC Release No. LR-25878 See Also: SEC Complaint
Date: Oct. 2, 2023	Respondents: Shannon Westhead, et al.; ABFP Income Fund Parallel, LLC, et al. Release No. LR-25877 See Also: SEC Complaint - ABFP Income Fund Parallel, LLC, et al. , SEC Complaint - Shannon Westhead, et al.
Date: Sept. 29, 2023	Respondents: Nano-x Imaging Ltd. and Ran Poliakine Release No. LR-25876 See Also: SEC Complaint
Date: Sept. 29, 2023	Respondents: Christofer Shurian; Utah Regional Investment Fund LLC; CCS of Utah, Inc. Release No. LR-25875 See Also: SEC Complaint
Date: Sept. 29, 2023	Respondents: Steven J. Jacobson; Advisor Resource Council Release No. LR-25874 See Also: SEC Complaint
Date: Sept. 29, 2023	Respondents: Stephone N. Patton, Star Oil and Gas Company, Inc., et al. Release No. LR-25873 See Also: SEC Complaint
Date: Sept. 29, 2023	Respondents: Adam R. Long; L2 Capital, LLC; Oasis Capital LLC Release No. LR-25872 See Also: SEC Complaint
Date: Sept. 29, 2023	Respondents: John Feloni and Stock Squirrel, Inc. Release No. LR-25871 See Also: SEC Complaint
Date: Sept. 29, 2023	Respondents: Luther C. Speight, III and Luther Speight & Company, LLC Release No. LR-25870 See Also: SEC Complaint
Date: Sept. 29, 2023	Respondents: Third Friday Management, LLC and Michael E. Lewitt Release No. LR-25869 See Also: SEC Complaint
Date: Sept. 29, 2023	Respondents: Prager Metis CPAs, LLC, and Prager Metis CPAs LLP Release No. LR-25868 See Also: SEC Complaint
Date: Sept. 29, 2023	Respondents: Bin Hao and Qidian LLC Release No. LR-25867 See Also: SEC Complaint
Date: Sept. 28, 2023	Respondents: Anne Pramaggiore Release No. LR-25866 See Also: SEC Complaint
Date: Sept. 28, 2023	Respondents: Arline E. Woodbury and Joyce L. Holverson Release No. LR-25865 See Also: SEC Complaint
Date: Sept. 28, 2023	Respondents: Ronald E. Filoramo Release No. LR-25864 See Also: SEC Complaint
Date: Sept. 28, 2023	Respondents: Michael Blumer, John Kuprianchik, David Page, Steven Thompson, Joseph Todaro Release No. LR-25863 See Also: SEC Complaint
Date: Sept. 28, 2023	Respondents: Marco A Perez, Pedro Perez Jr., and Olivia Perez Durbin Release No. LR-25862 See Also: SEC Complaint
Date: Sept. 28, 2023	Respondents: Anthony Viggiano, Stephen A. Forlano, Christopher Salamone, and Nathan Bleckley Release No. LR-25861 See Also: SEC Complaint
Date: Sept. 28, 2023	Respondents: Edward O'Donnell and Victor Bozzo Release No. LR-25860 See Also: SEC Complaint
Date: Sept. 27, 2023	Respondents: Robert Del Prete Release No. LR-25859 See Also: Judgment
Date: Sept. 27, 2023	Respondents: Pedram Abraham Mehrian, Strategic Legacy Investment Group, Inc. and SLIG High-Interest Liquid Savings Company Release No. LR-25858 See Also: SEC Complaint
Date: Sept. 27, 2023	Respondents: Adam E. Levin; Rick Bentley Release No. LR-25857 See Also: SEC Complaint - Adam E. Levin , SEC Complaint - Rick Bentley
Date: Sept. 27, 2023	Respondents: Charles Tralka, Thomas Braegelmann, Matthew Sullivan, Jordan Goodman, Good Steward Capital Management, Inc., and Robert L. Barr Release No. LR-25856 See Also: SEC Complaint
Date: Sept. 27, 2023	Respondents: Hyzon Motors Inc., Craig M. Knight, and Max C.B. Holthausen Release No. LR-25855 See Also: SEC Complaint
Date: Sept. 26, 2023	Respondents: Intrusion Inc. Release No. LR-25854 See Also: SEC Complaint
Date: Sept. 26, 2023	Respondents: Philip Verges, James D. Tilton, Jr., Robert F. Malin, Linda Malin, and Blue Citi, LLC, Defendants, and SMEA2Z, LLC, 143 Partners LLC, West Cucharras, LLC, and JDT Trading, LLC, Relief Defendants Release No. LR-25853 See Also: SEC Complaint
Date: Sept. 26, 2023	Respondents: The Diamond Desk Corporation; Adam J. Lowe Release No. LR-25852 See Also: SEC Complaint
Date: Sept. 25, 2023	Respondents: Stephen L. Bailey, Sapphire Exploration LLC, and Harris Exploration Inc. Release No. LR-25851 See Also: SEC Complaint
Date: Sept. 25, 2023	Respondents: Phoenix Outsourced Development, LLC, Edger Solutions Management, Michael McLaughlin, Derek McLaughlin, Louis Peter Goff, Eric Fairbourn, Brian Hubbard, Nicholas Deluca Release No. LR-25850 See Also: SEC Complaint
Date: Sept. 25, 2023	Respondents: Douglas MacWright and Highlander Capital Management, LLC Release No. LR-25849 See Also: SEC Complaint
Date: Sept. 25, 2023	Respondents: Vista Financial Advisors LLC, et al. Release No. LR-25848 See Also: SEC Complaint
Date: Sept. 25, 2023	Respondents: Michael Caridi Release No. LR-25847 See Also: SEC Complaint
Date: Sept. 22, 2023	Respondents: Nathalia I. Burgos, Christian A. Cuesta, Steven A. Fernandez et. al. Release No. LR-25846 See Also: SEC Complaint , SEC Complaint - Amended , SEC Complaint - Nathalia I. Burgos , SEC Complaint - Christian A. Cuesta , SEC Complaint - Steven A. Fernandez
Date: Sept. 22, 2023	Respondents: Empirex Capital LLC and Rafael Alberto Vargas Gonzalez, a/k/a Rafael Vargas Release No. LR-25845 See Also: SEC Complaint
Date: Sept. 22, 2023	Respondents: J.H. Darbie & Co., Inc. Release No. LR-25844 See Also: Final Judgment
Date: Sept. 21, 2023	Respondents: Jonathan Becker Release No. LR-25843 See Also: SEC Complaint
Date: Sept. 21, 2023	Respondents: Jon P. Kubler, Kubler Consulting LLC, Aksarben Evolution LLC, AV Bhill LLC, CFH Texas LLC, Green Saddle LLC Release No. LR-25842 See Also: SEC Complaint
Date: Sept. 21, 2023	Respondents: Aras Investment Business Group S.A.P.I. de C.V., Armando Gutierrez Rosas, Maria de Lourdes Tolentino Roque, Diayanira Rendon Trejo, Efren Norberto Quiroz Gardea and Luis Ricardo Quiroz Gardea Release No. LR-25840 See Also: SEC Complaint
Date: Sept. 21, 2023	Respondents: Luis Carrillo, et al. Release No. LR-25841 See Also: Judgment
Date: Sept. 20, 2023	Respondents: Lufkin Advisors, LLC; Chauncey Forbush Lufkin III Release No. LR-25839 See Also: SEC Complaint
Date: Sept. 19, 2023	Respondents: Tilila Walker Sumchai Release No. LR-25838 See Also: SEC Complaint
Date: Sept. 19, 2023	Respondents: Concord Management LLC and Michael Matlin Release No. LR-25837 See Also: SEC Complaint
Date: Sept. 19, 2023	Respondents: Robert Del Prete Release No. LR-25836 See Also: SEC Complaint
Date: Sept. 19, 2023	Respondents: Faiz M. Chowdhury, DTI Holdings, Inc., and Quantum Age Corporation Release No. LR-25835 See Also: SEC Complaint
Date: Sept. 19, 2023	Respondents: William E. Miller Release No. LR-25834 See Also: SEC Complaint
Date: Sept. 19, 2023	Respondents: MFB 111 Investment, LLC and Monise François Bien Aimé Release No. LR-25833 See Also: SEC Complaint
Date: Sept. 18, 2023	Respondents: Rapid Therapeutic Science Laboratories, Inc. and Donal R. Schmidt, Jr. Release No. LR-25832 See Also: SEC Complaint
Date: Sept. 18, 2023	Respondents: Rondini, et al. Release No. LR-25831 See Also: SEC Complaint
Date: Sept. 18, 2023	Respondents: Jonathan J. Ferrie Release No. LR-25830 See Also: SEC Complaint
Date: Sept. 14, 2023	Respondents: NDB, Inc. and Nima Golsharifi Release No. LR-25829 See Also: SEC Complaint
Date: Sept. 13, 2023	Respondents: Phoenix Asset Group, LLC and Robyn A. Bowman Release No. LR-25828 See Also: SEC Complaint
Date: Sept. 12, 2023	Respondents: Virtu Financial Inc. and Virtu Americas LLC Release No. LR-25827 See Also: SEC Complaint
Date: Sept. 12, 2023	Respondents: Esos Rings, Inc. and Michelle Silverstein aka Michelle Silverstein Bisnoff Release No. LR-25826 See Also: SEC Complaint
Date: Sept. 12, 2023	Respondents: Dharma Teja Nukarapu, et al. Release No. LR-25825 See Also: SEC Complaint
Date: Sept. 12, 2023	Respondents: George Stubos Release No. LR-25824 See Also: Final Judgment
Date: Sept. 8, 2023	Respondents: Mina Tadrus, et al. Release No. LR-25823 See Also: SEC Complaint
Date: Sept. 7, 2023	Respondents: Gridsum Holding, Inc., Guosheng Qi, Huijie He Release No. LR-25822 See Also: SEC Complaint
Date: Sept. 6, 2023	Respondents: Seong Yeol Lee and Ameritrust Corporation, et al. Release No. LR-25821
Date: Sept. 1, 2023	Respondents: Jeremy Koski Release No. LR-25820 See Also: SEC Complaint
Date: Aug. 31, 2023	Respondents: William V. Conn, Jr. Release No. LR-25819 See Also: SEC Complaint
Date: Aug. 31, 2023	Respondents: Brady Jack Speers, Chatree Thiranon, and GHAP, LLC d/b/a Blue Star Texas Release No. LR-25818 See Also: SEC Complaint
Date: Aug. 29, 2023	Respondents: Bittrex, Inc., Bittrex Global, GmbH, William Hiroaki Shihara Release No. LR-25817 See Also: SEC Complaint
Date: Aug. 28, 2023	Respondents: Deyonte Jahtori Anthony Release No. LR-25816 See Also: SEC Complaint
Date: Aug. 24, 2023	Respondents: Romero Cabral da Costa Neto Release No. LR-25815 See Also: SEC Complaint
Date: Aug. 23, 2023	Respondents: John A. DeSalvo Release No. LR-25814 See Also: SEC Complaint
Date: Aug. 21, 2023	Respondents: Daniel V.T. Catenacci Release No. LR-25813 See Also: Final Judgment
Date: Aug. 18, 2023	Respondents: Andrew Wyles Waters Release No. LR-25812 See Also: SEC Complaint
Date: Aug. 18, 2023	Respondents: Keith Crews Release No. LR-25811 See Also: SEC Complaint
Date: Aug. 18, 2023	Respondents: PreIPO Corp., et al. Release No. LR-25810 See Also: SEC Complaint , Order , Motion
Date: Aug. 11, 2023	Respondents: Ashraf Mufareh; ONPASSIVE LLC a/k/a Gofounders and Ofounders; Asmahan Mufareh (relief defendant) Release No. LR-25809 See Also: SEC Complaint , Amended Complaint
Date: Aug. 11, 2023	Respondents: George Iakovou, Vika Ventures LLC, and Penelope Zbravos Release No. LR-25808