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AAFM American Academy of Financial Management - Protecting High Net Worth Clients

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Investment Fraud

Ten Questions To Ask About Any Investment Opportunity
With any investment, whether promoted in person, by mail, telephone, or on the Internet, a wise investor should always slow down, ask questions, and get written information. Take notes so you have a record of what you were told, in case you have a dispute later.


Is the investment registered with the SEC and the state securities agency in the state where I live or is it subject to an exemption?

Is the person recommending this investment registered with my state securities agency? Is there a record of any complaints about this person?

How does this investment match my investment objectives?

Where is the company incorporated? Will you send me the latest reports that have been filed on this company?

What are the costs to buy, hold, and sell this investment? How easily can I sell?

Who is managing the investment? What experience do they have?

What is the risk that I could lose the money I invest?

What return can I expect on my money? When?

How long has the company been in business? Are they making money, and if so, how? What is their product or service? What other companies are in this business?

How can I get more information about this investment, such as audited financial statements?

 

 

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Reports of Investigations

Release No. Date Details
34-51283 Mar. 1, 2005 Report of Investigation Pursuant to Section 21(a) of the Securities Exchange Act of 1934 and Commission Statement on potential Exchange Act Section 10(b) and Section 14(a) liability
34-51163 Feb. 9, 2005 Report of Investigation Pursuant to Section 21(a) of the Securities Exchange Act of 1934 (“Exchange Act”) Regarding The Nasdaq Stock Market, Inc. (“Nasdaq”), as Overseen By Its Parent, The National Association of Securities Dealers, Inc. (“NASD”)
34-46898 Nov. 25, 2002 Report of Investigation Pursuant to Section 21(a) of the Securities Exchange Act of 1934: Motorola, Inc.
34-44969 Oct. 23, 2001 Report of Investigation Pursuant to Section 21(a) of the Securities Exchange Act of 1934 and Commission Statement on the Relationship of Cooperation to Agency Enforcement Decisions
34-39157 Sep. 30, 1997 Report of Investigation Pursuant to Section 21(a) of the Securities Exchange Act of 1934 Concerning the Conduct of Certain Former Officers and Directors of W. R. Grace & Co.
No Release Number Aug. 8, 1996 Report Persuant to Section 21(a) of the Securities Exchange Act of 1934 Regarding the NASD and the NASDAQ Market
34-36761 Jan. 24, 1996 Report of Investigation in the Matter of County of Orange, California as it Relates to the Conduct of the Members of the Board of Supervisors

 

Release No. Date Action
Third Quarter
LR-19811 Aug. 23, 2006 Paul A. Spray, Thomas E. Loyd, Marc Barhonovich, et al.
LR-19810 Aug. 22, 2006 Lohmus Haavel & Viisemann, et al.
LR-19809 Aug. 21, 2006 One Wall Street, Inc., et al.
See also: Complaint in this matter
LR-19808 Aug. 17, 2006 Armand Dauplaise and Bernard Shinder
Other Release No.: AAER-2476
LR-19807 Aug. 17, 2006 Mark R. Conway
LR-19806 Aug. 17, 2006 Dawn M. Schlegel and Sandra Hatfield
Other Release No.: AAER-2475
See also: Complaint in this matter
LR-19805 Aug. 17, 2006 Jeffery Steven Stone, et al.
LR-19804 Aug. 16, 2006 Eric Walsh, John Abresch et al.
LR-19803 Aug. 15, 2006 David M. Pillor
See also: Complaint in this matter; Litigation Release No. 19078
LR-19802 Aug. 11, 2006 U.S. Wind Farming, Inc., William L. Telander, et al.
See also: Complaint in this matter
LR-19801 Aug. 10, 2006 Jon W. James; J.W. James & Associates; J.W. James Borrowing Entity, LLC; J.W. James Investment Group Fund One, LLC; The James Company Fund I, LLC; The James Company Borrowing Entity, LLC; Virtual Cash Flow Corporation; The Cloaking Device, Inc.; and J.W. James Acquisitions, LLC
See also: Complaint in this matter
LR-19800 Aug. 10, 2006 Paul W. Mikus and John V. Cracchiolo
Other Release No.: AAER-2473
See also: Complaint in this matter
LR-19799 Aug. 10, 2006 Tri Energy, Inc., H & J Energy Company, Inc., Marina Investors Group, Inc., Lowell Decker, Robert Jennings, Henry Jones, Arthur Simburg, Mildred Stultz, DJM, LLC, Financial MD, Inc., Financial MD and Associates, Inc., Daniel J. Merriman, Global Village Records, and La Vie D'Argent, as defendants, and R.P.J. Investment Group, Inc., T.M.A. Investment Enterprises, Thomas Avery, and Wing NGA Lau, a/k/a Adrienne Lau, as relief defendants
See also: Complaint in this matter
LR-19798 Aug. 10, 2006 David Sarna, et ano.
See also: Complaint in this matter
LR-19797 Aug. 9, 2006 Chance M. Vought and John M. Lucarelli
LR-19796 Aug. 9, 2006 Jacob (“Kobi”) Alexander, David Kreinberg, and William F. Sorin
Other Release No.: AAER-2472
See also: Complaint in this matter
LR-19795 Aug. 8, 2006 Peter D. Kirschner and Media Magic, Inc.
See also: Complaint in this matter; Release No. 34-54281
LR-19794 Aug. 7, 2006 Martha Stewart and Peter Bacanovic
See also: Complaint in this matter
LR-19793 Aug. 3, 2006 Archie Paul Reynolds a/k/a Dr. A. Paul Reynolds and Success Trust and Holding LLC
See also: Complaint in this matter
LR-19792 Aug. 3, 2006 Robert J. Bradbury, Dolphin & Bradbury, Incorporated and Margaret B. Bradbury as Relief Defendant
See also: Complaint in this matter
LR-19791 Aug. 3, 2006 American-Amicable Life Insurance Company of Texas; Pioneer American Insurance Company; and Pioneer Security Life Insurance Company
See also: Complaint in this matter
LR-19790 Aug. 2, 2006 Upshaw and Associates, L.L.C. et al.
LR-19789A Aug. 2, 2006 Dennis S. Herula et al.
LR-19788 Aug. 2, 2006 ETS Payphones, Inc., and Charles E. Edwards, Defendant
LR-19787 Aug. 1, 2006 Nicholas A. Czuczko
See also: Complaint in this matter
LR-19786 Aug. 1, 2006 Blast Energy Services, Inc. f/k/a Verdisys, Inc., Daniel W. Williams and Andrew G. Wilson
Other Release No.: AAER-2471
LR-19785 Aug. 1, 2006 David A. Zwick, et al.
LR-19784 Aug. 1, 2006 Richard P. Smyth, Arnold E. Johns, Jr., Michael J. Becker and Alan T. Davis
LR-19783 Aug. 1, 2006 Anuradha D. Saad, et al.
LR-19782 Jul. 31, 2006 Leslie Mersky, et al.
LR-19781 Jul. 31, 2006 James R. Powell, Ralph Mitchell, Mark J. Corjay, E. Suzanne Garrett, and Michael D. Scannell
Other Release No.: AAER-2469
LR-19780 Jul. 31, 2006 Paul Johnson
LR-19779 Jul. 27, 2006 Roderic Lee Boling III, et al.
See also: Complaint in this matter
LR-19778 Jul. 27, 2006 One or More Unknown Purchasers of Call Options for the Common Stock of Petco Animal Supplies, Inc.
LR-19777 Jul. 27, 2006 Harish K. Pimplaskar and Charan R. Behl
See also: Complaint in this matter
LR-19776 Jul. 27, 2006 Mark P. Abide, Scott D. Sullivan, Buford Yates, Jr., Betty Vinson and Troy M. Normand, and David F. Myers
Other Release No.: AAER-2467
See also: Complaint in this matter
LR-19775 Jul. 26, 2006 Sonja Anticevic et al.
See also: Complaint in this matter
LR-19774 Jul. 26, 2006 Michael L. Hershey, Robert D. Lear, Landis Associates, LLC, and Tremont Medical, Inc.
See also: Administrative Proceeding No. IA-2538
LR-19773 Jul. 26, 2006 Mark R. Conway and Groundswell Partners LLC
LR-19772 Jul. 25, 2006 Endocare, Inc., Kevin M. Quilty, and Jerry W. Anderson
Other Release No.: AAER-2464
See also: Complaint in this matter
LR-19771 Jul. 24, 2006 Leslie Mersky, et al.
See also: Administrative Proceeding No. 34-54196
LR-19770 Jul. 21, 2006 Patrick Ballinger, Dennis R. Weaver, Kosta S. Kovachev, Lee E. Larscheid, Benny G. Morris, Darin W. Roberts, Linda M. Sears, Todd F. Walker, Branson City Limits, Inc., Resort Hotels, Inc., Universal Financial Leasing, Inc., and Ozark Ticket and Travel, Inc.
LR-19769 Jul. 21, 2006 C+ Capital Management, LLC & Won Charlie Yi
LR-19768 Jul. 20, 2006 Gregory L. Reyes, et al.
See also: Complaint in this matter
LR-19767 Jul. 20, 2006 John J. Kahl Jr. et al.
See also: Complaint in this matter
LR-19766 Jul. 20, 2006 William T. Owens and Weston L. Smith
Other Release No.: AAER-2461
LR-19765 Jul. 20, 2006 Steven Misner
See also: Complaint in this matter
LR-19764 Jul. 17, 2006 Renaissance Asset Fund, Inc., Ronald J. Nadel, and Joseph M. Malone
See also: Complaint in this matter
LR-19763 Jul. 17, 2006 Time Warner Inc.
See also: Notice in this matter
LR-19762 Jul. 17, 2006 David N. Anderson and Nancy C. Dipietro
LR-19761 Jul. 14, 2006 Pittsford Capital Income Partners, L.L.C., et al.
LR-19760 Jul. 13, 2006 Sherwin P. Brown, Jamerica Financial, LLC and Brawta Ventures, LLC
LR-19759 Jul. 13, 2006 Geoffrey A. Gish; Weston Rutledge Financial Services, Inc.; Zamindari Capital, LLC; Lexington International Fund, LLC a/k/a Lexington International Fund, Inc.; and Oxford Adams Capital, LLC
LR-19758 Jul. 11, 2006 Richard W. Deboe
See also: Administrative Proceeding No. 34-54114
LR-19757 Jul. 10, 2006 Deep Rock Oil Company and David W. Taylor, Defendants
See also: Complaint in this matter
LR-19756 Jul. 7, 2006 Rollin M. Dick and James S. Adams
Other Release No.: AAER-2458
LR-19755 Jul. 5, 2006 HydroFlo, Inc. and Dennis Mast
LR-19754 Jul. 5, 2006 John Samson, John G. A. Munro, Ian N. Campbell, and John H. Whelan
Other Release No.: AAER-2456
See also: Complaint in this matter
LR-19753 Jul. 5, 2006 Focus Financial Associates, Inc.
LR-19752 Jul. 3, 2006 Efoora, Inc. Partners Holding, LLC, David S. Grosky and Melvin S. Dokich
See also: Complaint in this matter
Second Quarter
LR-19751 Jun. 30, 2006 Marvin Winick, Tekron, Inc. and Luigi Brun
See also: Administrative Proceeding Nos. 34-54072, 33-8718 and 33-8719
LR-19750 Jun. 30, 2006 Jeffrey A. Weston and Integrated Equities, Inc.
See also: Complaint in this matter
LR-19749 Jun. 30, 2006 Dale C. Hatch
LR-19748 Jun. 29, 2006 Wendy Feldman Purner
See also: Complaint in this matter; Administrative Proceeding No. 34-54068
LR-19747 Jun. 28, 2006 Raytheon Company, Daniel P. Burnham, and Aldo R. Servello
See also: Complaint in this matter; Administrative Proceeding No. 33-8715
LR-19746 Jun. 28, 2006 Virbac Corporation, Thomas L. Bell, Joseph A. Rougraff, Douglas A. Hubert, James C. Robison, and Craig S. Campbell
Other Release No.: AAER-2452
See also: Administrative Proceeding Nos. 33-8716 and 33-8717
LR-19745 Jun. 28, 2006 Pension Fund of America, LC, et al.
LR-19744 Jun. 28, 2006 Frank J. Russo, FJR Corporation, Russo Associates Limited Partnership, Eliot Partners, and Relief Defendant Veritasiti Corporation d/b/a MediaData Corporation
LR-19743 Jun. 28, 2006 William T. Owens, et al.
Other Release No.: AAER-2450
LR-19742 Jun. 28, 2006 James L. George, Paul E. Brodhagen, and Michael J. Wright
LR-19741A Jun. 27, 2006 AirTrac, Inc., Clarence Friend, and Christopher Bryan
LR-19740 Jun. 27, 2006 PowerLinx, Inc. (f/k/a SeaView Video Technology, Inc.), George S. Bernardich III, and James R. Cox
Other Release No.: AAER-2446
See also: Complaint in this matter; Administrative Proceeding Nos. 34-54048 and 34-53049
LR-19739 Jun. 23, 2006 T. Gene Gilman, Steven A. Gilman, Arbor Securities, Ltd., and Financial Links, Inc., Defendants, and TradeTek, Ltd. and Commonwealth Financial Holdings, Inc.
LR-19738 Jun. 23, 2006 Alexander J. Yaroshinsky
See also: Amended Complaint in this matter
LR-19737 Jun. 23, 2006 Sunray Oil Company, Inc., Abilene Oil & Gas, LP, Larry Stiles, Defendants, and J&L Drilling, LLC, Relief Defendant
LR-19736 Jun. 22, 2006 Justin Huscher
LR-19735 Jun. 22, 2006 Scientific-Atlanta, Inc.
Other Release No.: AAER-2443
See also: Complaint in this matter; Administrative Proceeding Nos. 34-54030 and 34-54031
LR-19734 Jun. 21, 2006 Frank R. V. Loomans, Defendant, and Luc F. Loomans, Relief Defendant
LR-19733 Jun. 21, 2006 Northshore Asset Management, et al.
LR-19732 Jun. 21, 2006 Carl R. Rose, et al.
LR-19731 Jun. 19, 2006 Ricardo Cavallero, et al.
See also: Complaint in this matter; Temporary Restraining Order
LR-19730 Jun. 19, 2006 Sanjay Kumar and Stephen Richards
Other Release No.: AAER-2442
LR-19729 Jun. 15, 2006 Michael K.C. Tom, et al.
LR-19728 Jun. 14, 2006 Arthur A. Goodwin
LR-19727 Jun. 13, 2006 Carl R. Rose, et al.
LR-19726 Jun. 13, 2006 Mx Factors LLC, BBH Resources LLC, JTL Financial Group LLC, Richard M. Harkless, Daniel J. Berardi, Jr., Thomas Hawkesworth, and Randall W. Harding
LR-19725 Jun. 13, 2006 Terry's Tips and Terry F. Allen
LR-19724 Jun. 13, 2006 Stephen J. Treadway and Kenneth W. Corba
See also: Complaint in this matter
LR-19723 Jun. 9, 2006 Robert E. Shanno; Martin J. Druffner, et al.
LR-19722 Jun. 9, 2006 Matthew Roszak, et al.
See also: Complaint in this matter
LR-19721 Jun. 7, 2006 Brady M. Schofield
Other Release No.: AAER-2440
See also: Complaint in this matter
LR-19720 Jun. 7, 2006 Greg A. Gadel and Daniel J. Skrypek
Other Release No.: AAER-2439
See also: Complaint in this matter
LR-19719 Jun. 7, 2006 Joseph P. Micatrotto
Other Release No.: AAER-2438
See also: Complaint in this matter
LR-19718 Jun. 6, 2006 Frank J. Russo, FJR Corporation, Russo Associates Limited Partnership and Eliot Partners
See also: Complaint in this matter
LR-19717 Jun. 5, 2006 Marion D. Sherrill
LR-19716 Jun. 5, 2006 BAWAG P.S.K. Bank für Arbeit und Wirtschaft und Österreichische Postsparkasse Aktiengesellschaft
See also: Complaint in this matter
LR-19715 Jun. 1, 2006 Universo Foneclub Corporation, Sanderley R. De Vasconcelos, a/k/a Sann Rodrigues, a/k/a Sanderley Vasconcelos, Rev. Victor Sales, a/k/a Victor William, a/k/a Victor Sales DeBrito, a/k/a Victor Sales Brito
See also: Complaint in this matter
LR-19714 Jun. 1, 2006 Jay Slesinger, et al., and Jay Rice
See also: Complaint v. Slesinger et al. and Complaint v. Rice
LR-19713 Jun. 1, 2006 Allen Z. Wolfson, et al.
LR-19712 May 31, 2006 Frederick W. Anton III
See also: Complaint in this matter
LR-19711 May 24, 2006 Michael B. Johnson and Michael Johnson & Company, LLC
LR-19710 May 23, 2006 Federal National Mortgage Association
Other Release No.: AAER-2433
See also: Complaint in this matter
LR-19708 May 22, 2006 James Tambone and Robert Hussey
See also: Complaint in this matter
LR-19707 May 22, 2006 Focus Financial Associates, Inc.
LR-19706 May 19, 2006 Leslie A. Arouh
LR-19705 May 19, 2006 Geoffrey A. Gish; Weston Rutledge Financial Services, Inc.; Zamindari Capital, LLC; Lexington International Fund, LLC a/k/a Lexington International Fund, Inc.; and Oxford Adams Capital, LLC
See also: Complaint in this matter
LR-19704 May 19, 2006 Dennis A. Martin
LR-19703 May 17, 2006 Vincent P. Iannazzo and Milton E. Stanson
LR-19702 May 17, 2006 Carlos H. Soto, et al.
LR-19701 May 16, 2006 Timothy M. Roberts
See also: Complaint in this matter
LR-19700 May 15, 2006 Jeffrey L. Gibson and Investment Property Management, LLC
LR-19699 May 15, 2006 Exotics.com, Inc.
Other Release No.: AAER-2429
See also: Administrative Proceeding
LR-19698 May 15, 2006 Robert J. Downs, Jr. and Stephen J. Messina
See also: Complaint in this matter
LR-19697 May 12, 2006 Anthony C. Sudol III, Michael G. Sudol and Richard J. Sudol
LR-19696 May 11, 2006 Sonja Anticevic et al.
LR-19695 May 11, 2006 HKW Trading, LLC, et al.
LR-19694 May 10, 2006 Henry C. Yuen
LR-19693 May 10, 2006 Morgan Stanley & Co. Incorporated
See also: Complaint in this matter
LR-19692 May 9, 2006 Samuel Israel III and Daniel E. Marino
See also: Administrative Proceeding
LR-19691 May 8, 2006 Dennis A. Martin
See also: Complaint in this matter
LR-19690 May 8, 2006 Scott B. Hollenbeck, Timothy L. Bradshaw and Steven K. Gilley
LR-19689 May 5, 2006 EFS, LLC, Freedom Fidelity, LLC, James N. Pratt, SP&V, LLC and Timothy V. Coffin
LR-19688 May 4, 2006 Bio-Heal Laboratories, Inc., Defendant, MRMG Holdings, Inc., Kess Associates, Inc. ICOR, Inc., Bela Enterprises, LLC, and Gibson Island Enterprises, LLC, Relief Defendants
LR-19687 May 4, 2006 Delano N. Sta.Ana
LR-19686 May 4, 2006 W. L. Ware Enterprises and Investments, Inc., d/b/a Ware Enterprises and Investments, Inc., Ware Enterprises and Investments, LLC, and W.L. Ware Enterprises and Investments, LLC, and Warren L. Ware
LR-19685 May 3, 2006 Michael E. Peppel, Ira H. Stanley, Jr. and David J. White
Other Release No.: AAER-2425

See also: Complaint in this matter
LR-19684 May 2, 2006 Marnie L. Sharpe and Leonard P. Leclerc
See also: Complaint in this matter
LR-19683 May 2, 2006 Deephaven Capital Management, LLC and Bruce Lieberman
See also: Complaint in this matter
LR-19682 May 2, 2006 L. Dennis Kozlowski, Mark H. Swartz, and Mark A. Belnick
LR-19681 May 2, 2006 Barry A. Bingham and Bingham Capital Management Corporation
LR-19680 May 1, 2006 CMG-Capital Management Group Holding Company, LLC and Keith G. Gilabert
See also: Complaint in this matter
LR-19679 May 1, 2006 Barrington Schneer
LR-19678 May 1, 2006 L. Dennis Kozlowski, Mark H. Swartz, and Mark A. Belnick
LR-19677 Apr. 28, 2006 Kimberly J. Carrella, et al.
LR-19676 Apr. 27, 2006 James J. Farley and Shelley J. Farley
LR-19675 Apr. 27, 2006 Lumenis Ltd., Sagi A. Genger and Kevin Morano
Other Release No.: AAER-2423
See also: Complaint in this matter
LR-19674 Apr. 27, 2006 Gregory Applegate
LR-19673 Apr. 27, 2006 Ingles Markets Incorporated
Other Release No.: AAER-2422
See also: Complaint in this matter
LR-19672 Apr. 26, 2006 BodyScan Corporation and Anthony Sciuto
LR-19671 Apr. 26, 2006 Dominick Savino, et al.
LR-19670 Apr. 26, 2006 New Energy Corp., Tor Ewald, Geneva Financial Ltd., Marcelino Colt aka Marcelino Colt Vasquez, Magnum Financial, LLC, Michael S. Manahan, Bld Trust, Barclay Davis, Loretta Davis, Burke T. Maxfield, York Chandler, and Hector Campa Acedo
LR-19669 Apr. 26, 2006 Dean J. Sheptycki
LR-19668 Apr. 25, 2006 Ranko Cucuz, William D. Shovers, Jesus Bonilla-Valdez, Ronald Lee Kolakowski, and HLI Operating Company, Inc., f/k/a Hayes Lemmerz International, Inc.
Other Release No.: AAER-2420
See also: Complaint in this matter
LR-19667 Apr. 25, 2006 Nelson J. Obus, Peter F. Black, Thomas Bradley Strickland, Wynnefield Partners Small Cap Value L.P., Wynnefield Partners Small Cap Value L.P. I, Wynnefield Partners Small Cap Value Offshore Fund, Ltd.
See also: Complaint in this matter
LR-19666 Apr. 25, 2006 Garner Anthony
LR-19665 Apr. 24, 2006 David N. Anderson and Nancy C. Dipietro
See also: Complaint in this matter
LR-19664 Apr. 24, 2006 Bank of New York
See also: Complaint in this matter
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
Other Release No.: AAER-2413
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
Other Release No.: AAER-2407
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
Other Release No.: AAER-2402
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
See also: Complaint in this matter
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-19522 Jan. 5, 2006 Bruce M. Perry and M. Brooks Turkel
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

 

 

 

 

 

 

 

 

 

 

 

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