| | SEC v. David M. Wolfson et al., Contempt Motion, No. 03-CV-XXXX (S.D.N.Y. Oct. 16, 2003), The SEC alleges that David M. Wolfson and others transferred assets in violation of a 2003 asset freeze order and seeks to hold them in contempt and compel repayment and restitution. | SEC-LR |
| 2026-01-30 | | Principals Of ‘Pre-IPO’ Funds Plead Guilty To Defrauding Investors | DOJ-SDNY |
| 2025-01-31 | | SEC v. Max Infinity Management LLC, No. 1:25-cv-549 (S.D.N.Y. Jan. 31, 2025), Complaint, llm-upgrade | SEC-LR |
| 2024-10-11 | | SEC v. NORMAN V. MEIER, No. 24-12602 (S.D.N.Y. Oct. 11, 2024), Complaint, llm-upgrade | SEC-LR |
| 2024-10-11 | | SEC v. Norman V. Meier, No. 26152 (S.D.N.Y. Oct. 11, 2024), U | SEC-LR |
| 2024-08-08 | | SEC v. Thompson Hunt and Associates, No. 11290 (S.D.N.Y. Aug. 8, 2024), Complaint, llm-upgrade | SEC-LR |
| 2024-06-12 | | SEC v. Mario Gogliormella, No. 26021 (S.D.N.Y. Jun. 12, 2024), U | SEC-LR |
| 2024-06-07 | | SEC Charges Three New Yorkers for Raising More Than $184 Million Through Pre-IPO Fraud Schemes | SEC-PR |
| 2024-06-07 | | SEC v. MARIO GOGLIORMELLA | SEC-PR |
| 2023-06-27 | | SEC Obtains Emergency Relief to Halt Pre-IPO Stock Fraud Scheme by Unregistered Broker-Dealer | SEC-PR |
| 2023-06-26 | | U.S. Securities and Exchange Commission v. Vuuzle Media Corp. et al., No. 2:21-cv-1226 (D.N.J. Apr. 20, 2026), The SEC alleges that defendants engaged in a scheme to defraud investors by offering securities in Vuuzle U.S. and Vuuzle UAE and misappropriating over $16.2 million in offering proceeds for personal and fraudulent purposes. | SEC-LR |
| 2023-02-07 | | CEO Of Security Company Sentenced To Five Years In Prison For International Boiler Room Fraud Scheme | DOJ-SDNY |
| 2022-10-27 | | SEC v. Lisser, No. 20-cv-5798 (E.D.N.Y. Dec. 1, 2020), obtained final judgment permanently enjoining defendant from violating antifraud provisions of federal securities laws and ordering disgorgement of $890,092.90 plus prejudgment interest of $71,347.20, satisfied by parallel criminal restitution order | SEC-LR |
| 2022-08-11 | | United States v. Booth, S.D.N.Y. (Aug. 11, 2022), United States sentenced Booth to ten years in prison for conspiracies to commit securities fraud, wire fraud, and money laundering. | DOJ-SDNY |
| 2022-08-10 | | CEO Of Security Company Pleads Guilty To International Boiler Room Fraud Scheme | DOJ-SDNY |
| 2022-06-30 | | United States v. Wright et al. (S.D.N.Y. Jun. 30, 2022), United States sentenced Wright and Hooper to 52 months and 42 months in prison for operating an international boiler room scheme that defrauded elderly victims of more than $16 million. | DOJ-SDNY |
| 2022-04-12 | | SEC v. Justin Wallace Herman, No. 25361 (S.D.N.Y. Apr. 12, 2022), SEC Charges Shareholders, Attorney in Penny Stock Fraud Scheme Litigation Release No | SEC-LR |
| 2022-03-17 | | SEC v. FRANCIS BILLER, No. 22-CV- (S.D.N.Y. Mar. 17, 2022), Complaint, llm-upgrade | SEC-LR |
| 2022-02-09 | | SEC v. Robert Lenard Booth, No. 25326 (S.D.N.Y. Feb. 9, 2022), SEC Charges Six U | SEC-LR |
| 2022-02-09 | | SEC v. Robert Lenard Booth, No. 1:22-cv-1115 (S.D.N.Y. Feb. 9, 2022), Complaint, llm-upgrade | SEC-LR |
| 2022-02-09 | | United States v. Booth et al., S.D.N.Y. (Feb. 9, 2022), United States indicted Booth et al. for conspiracy to commit securities fraud, wire fraud and money laundering through an overseas boiler‑room scheme that defrauded investors worldwide. | DOJ-SDNY |
| 2021-10-26 | | United States v. Nicholas Russell James Gillie et al., Indictment No. 21-cr-00678 (S.D.N.Y. Oct. 26, 2021), Ten foreign nationals indicted for operating a years-long, multimillion-dollar investment and impersonation scheme by conspiring to commit wire fraud, money laundering, and aggravated identity theft. | DOJ-SDNY |
| 2021-09-01 | | SEC v. Dawson L. Davenport, No. 25193 (S.D.N.Y. Aug. 31, 2021), SEC Charges Seven Individuals in Orange County-Based Offering Frauds Litigation Release No | SEC-LR |
| 2021-09-01 | | SEC v. Davenport, No. 269310 (S.D.N.Y. Sept. 1, 2021), Complaint, llm-upgrade | SEC-LR |
| 2021-07-13 | | SEC v. Mimun et al., No. 2:21-cv-01314 (D. Nev. Jul. 13, 2021), alleged that the defendants deceived U.S. retail investors through fraudulent offers and sales of binary options. | SEC-LR |
| 2021-05-25 | | SEC v. Kai Christian Petersen, No. 25098 (S.D.N.Y. May 25, 2021), defs:body | SEC-LR |
| 2021-04-22 | | SEC v. : 19-CV- (___) | SEC-LR |
| 2021-04-22 | | United States v. Christopher Wright, S.D.N.Y. (Apr. 22, 2021), the defendant was charged with wire fraud and money laundering for allegedly operating a telemarketing scheme that sold fraudulent carbon credits to retirees in the United Kingdom. | DOJ-SDNY |
| 2021-03-30 | | United States v. Shah et al., Superseding Indictment (S.D.N.Y. Mar. 30, 2021), Jennifer Shah and Stuart Smith allegedly generated and sold lead lists of victims for a nationwide telemarketing fraud scheme targeting elderly individuals with false business opportunities. | DOJ-SDNY |
| 2021-01-27 | | SEC v. Vuuzle Media Corp., No. 25017 (S.D.N.Y. Jan. 27, 2021), SEC Charges Vuuzle Media Corp | SEC-LR |
| 2021-01-27 | | U.S. Securities and Exchange Commission v. Vuuzle Media Corp., Ronald Shane Flynn, and Richard Marchitto, Civil Action No. 2:21-cv-01226 (D.N.J. Jan. 27, 2021), The SEC alleges that Vuuzle Media Corp., Ronald Shane Flynn, and Richard Marchitto conducted an offering fraud by misrepresenting the company as a legitimate and growing online streaming and entertainment services business while using most | SEC-LR |
| 2021-01-01 | | SEC Charges U.K.-Based Father and Son, and Two Others in Transatlantic Microcap Fraud Scheme | SEC-PR |
| 2021-01-01 | | SEC Charges Vuuzle Media Corp. and Affiliated Individuals in Connection With $14 Million Offering Fraud | SEC-PR |
| 2021-01-01 | | Securities and Exchange Commission v. Vuuzle Media Corp. | SEC-PR |
| 2020-12-01 | | SEC v. Mark Alan Lisser a/k/a Mark Alan a/k/a | SEC-LR |
| 2020-12-01 | | Securities and Exchange Commission v. Mark Alan Lisser a/k/a Mark Alan a/k/a Mark Allen, No. 20-civ-5798 (E.D.N.Y. Dec. 1, 2020), The SEC alleged that Mark Alan Lisser operated boiler rooms to defraud retail investors by misrepresenting investment opportunities and misappropriating over $900,000 of investor funds. | SEC-LR |
| 2020-10-27 | | SEC v. Alex Forester, No. 24952 (S.D.N.Y. Oct. 26, 2020), SEC Charges Seven Individuals with Unregistered Brokerage Activity Related to the Sale of Numerous Microcap Securities Litigation Release No | SEC-LR |
| 2020-09-21 | | SEC v. PowerTradersPress.com, No. 24906 (E.D.N.Y. Sept. 21, 2020), defs:body | SEC-LR |
| 2020-06-11 | | SEC v. PowerTradersPress.com, No. 24834 (E.D.N.Y. Jun. 11, 2020), defs:body | SEC-LR |
| 2020-05-11 | | SEC v. Tucker, No. 24814 (S.D.N.Y. May 11, 2020), SEC Charges Microcap Sales Agent with Fraud Litigation Release No | SEC-LR |
| 2020-03-02 | | SEC v. Bongiorno, No. 24754 (S.D.N.Y. Mar. 2, 2020), SEC Charges Two Men with Fraud and Unregistered Broker Activity Litigation Release No | SEC-LR |
| 2020-01-16 | | SEC v. Drake et al., No. 24718 (S.D.N.Y. Jan. 16, 2020), SEC Charges Eight Unregistered Brokers for Their Participation in Fraudulent Offerings of Microcap Securities Litigation Release No | SEC-LR |
| 2020-01-01 | | SEC Charges Boiler Rooms Operator with Defrauding Retail Investors | SEC-PR |
| 2019-10-10 | | SEC v. Anton Senderov, No. 24641 (S.D.N.Y. Oct. 10, 2019), defs:body | SEC-LR |
| 2019-09-30 | | SEC v. Sechovicz, No. 24631 (S.D.N.Y. Sept. 30, 2019), SEC Charges Internet Marketers with Swindling Main Street Investors Through Phony Infomercials Litigation Release No | SEC-LR |
| 2019-09-30 | | SEC v. Gil Beserglik, No. 24630 (S.D.N.Y. Sept. 30, 2019), defs:body | SEC-LR |
| 2019-09-23 | | SEC v. Benjamin Conde, No. 24609 (E.D.N.Y. Sept. 23, 2019), defs:body | SEC-LR |
| 2019-09-06 | | SEC v. Toon Goggles Inc., No. 24588 (S.D.N.Y. Sept. 6, 2019), defs:body | SEC-LR |
| 2019-04-05 | | United States v. Ketabchi et al., S.D.N.Y. Apr. 5, 2019, Eight men were sentenced to prison for their participation in a telemarketing fraud scheme targeting elderly victims by soliciting payments over the telephone and falsely representing that victims had received promised services. | DOJ-SDNY |
| 2019-01-01 | | SEC Educational Videos Aim to Help Investors Spot and Avoid Fraud | SEC-PR |
| 2019-01-01 | | SEC Charges Three Individuals with Deceiving Main Street Investors Through the Sale of Binary Options | SEC-PR |
| 2019-01-01 | | SEC Brings New Charges in Multimillion Dollar Boiler Room Schemes | SEC-PR |
| 2018-11-15 | | SEC v. Mark Burnett, No. 24353 (E.D.N.Y. Nov. 15, 2018), SEC Brings Additional Charges in New York Boiler Room Scheme Targeting Seniors Litigation Release No | SEC-LR |
| 2018-11-08 | | SEC v. Eric P. Lesak, No. 24339 (D.D.C. Aug. 21, 2018), defs:body | SEC-LR |
| 2018-05-09 | | In re MIGUEL MESA, No. 79123 (S.D.N.Y. May 9, 2018), defs:body | SEC-LR |
| 2018-05-09 | | In re CRAIG V. SIZER, No. 79121 (S.D.N.Y. May 9, 2018), defs:body | SEC-LR |
| 2018-05-09 | | SEC v. Keith Houlihan, No. 24137 (S.D.N.Y. May 9, 2018), Microcap Company President Charged With Boiler Room Fraud Agrees to Lifetime Bars Litigation Release No | SEC-LR |
| 2018-05-09 | | SEC v. Houlihan, S.D. Fla. May 4, 2018, SEC alleged that Keith Houlihan violated antifraud and registration provisions of federal securities laws by participating in a fraudulent scheme that raised approximately $21 million from investors through false statements and an illegal boiler room operation. | SEC-LR |
| 2018-04-16 | | SEC Unveils Public Service Announcement to Promote Background Checks on Investor.gov | SEC-PR |
| 2018-01-01 | | SEC v. RONALD C. MONTANO | SEC-PR |
| 2018-01-01 | | SEC Charges Two Men With Fraud in Fake Trading Accounts Scheme | SEC-PR |
| 2018-01-01 | | Online Marketers Charged With Conning Main Street Investors Through Rags-to-Riches Infomercials | SEC-PR |
| 2018-01-01 | | SEC Brings Additional Charges in New York Boiler Room Scheme Targeting Seniors | SEC-PR |
| 2017-12-18 | | SEC v. Jason A. Wallace, No. 24016 (S.D.N.Y. Sept. 27, 2016), U | SEC-LR |
| 2017-11-30 | | Securities and Exchange Commission v. Joseph A. Rubbo Et Al. | SEC-PR |
| 2017-09-28 | | SEC v. David Howard Welch, No. 23947 (S.D.N.Y. Sept. 27, 2017), defs:body | SEC-LR |
| 2017-09-28 | | SEC v. David Howard Welch et al., No. 15043 (S.D.N.Y. Sept. 28, 2017), Complaint, llm-upgrade | SEC-LR |
| 2017-08-30 | | SEC v. Tennstar Energy, No. 23924 (S.D.N.Y. Aug. 30, 2017), defs:body | SEC-LR |
| 2017-07-12 | | SEC v. Powertraderspress.com, No. 23878 (S.D.N.Y. Jul. 12, 2017), llm-upgrade | SEC-LR |
| 2017-07-12 | | SEC Announces Charges in Massive Telemarketing Boiler Room Scheme Targeting Seniors | SEC-PR |
| 2017-07-07 | | Securities and Exchange Commission v. Carol J. Wayland, John C. Mueller, Kentucky-Tennessee 50 Wells/400 BBLPD Block Limited Partnership, Hp Operations, LLC, C.A.R. Leasing, LLC, Mitchell B. Dow, Barry Liss, and Steve G. Blasko, No. 8:17-CV-01156 (C.D. Cal. July 6, 2017), The SEC alleges that defendants fraudulently offered and sold unregistered securities through a boiler room operation, misusing | SEC-LR |
| 2017-07-07 | | SEC v. Carol J. Wayland, No. 23876 (S.D.N.Y. Jul. 7, 2017), Complaint, llm-upgrade | SEC-LR |
| 2017-06-28 | | SEC v. Patel et al., No. Comp23869 (S.D.N.Y. May 12, 2026), SEC alleged that Patel and others violated securities laws by engaging in fraudulent investment practices. | SEC-LR |
| 2017-03-27 | | SEC v. LottoNet Operating Corp., No. 23791 (S.D.N.Y. Mar. 27, 2017), defs:body | SEC-LR |
| 2017-03-27 | | SEC Halts Boiler Room Scheme Involving State Lottery Tickets | SEC-PR |
| 2017-03-21 | | United States v. Ketabchi et al., S.D.N.Y. Mar. 21, 2017, indicted for wire fraud and money laundering targeting elderly | DOJ-SDNY |
| 2017-02-08 | | SEC v. Oxford City Football Club, No. 23745 (S.D.N.Y. Feb. 8, 2017), defs:body | SEC-LR |
| 2017-01-01 | | SEC Files Charges in Oil Drilling Investment Scheme | SEC-PR |
| 2016-09-28 | | SEC v. Sizer et al., No. 1:16-cv-24106-JAL (S.D. Fla. Sept. 26, 2016), the Commission alleged that the Defendants violated antifraud and broker-dealer registration provisions by operating boiler rooms to defraud investors out of approximately $20 million. | SEC-LR |
| 2016-09-28 | | SEC v. Craig V. Sizer, No. 23658 (S.D.N.Y. Sept. 28, 2016), U | SEC-LR |
| 2016-09-26 | | (collectively “Defendants”) for violating the antifraud and broker-dealer registration provisions | SEC-PR |
| 2016-04-22 | | Sky Capital LLC (aka Granta Capital LLC), Ross Mandell, Steven Shea, Adam Harrington Ruckdeschel, Arn Wilson, Michael Passaro and Robert Grabowski | SEC-LR |
| 2016-04-13 | | Sky Capital LLC (aka Granta Capital LLC), Ross Mandell, Steven Shea, Adam Harrington Ruckdeschel, Arn Wilson, Michael Passaro and Robert Grabowski | SEC-LR |
| 2016-04-07 | | SEC v. Edward Laborio, No. 23512 (S.D.N.Y. Aug. 10, 2012), defs:body | SEC-LR |
| 2016-04-04 | | SEC v. Joseph Andrew Paul, No. 23510 (S.D.N.Y. Apr. 4, 2016), defs:body | SEC-LR |
| 2016-04-04 | | Office of Investor Education and Advocacy at (800) SEC-0330. | SEC-PR |
| 2016-01-01 | | SEC Charges Operators of Fake Day-Trading Firm With Defrauding Inexperienced Investors | SEC-PR |
| 2016-01-01 | | SEC Charges CEO and Boiler Room Operator With Fraud | SEC-PR |
| 2015-12-16 | | SEC v. Oxford City Football Club, No. 23429 (S.D.N.Y. Dec. 16, 2015), U | SEC-LR |
| 2015-12-16 | | 111111:.-----,--.. 1!!!777qqqq@11,., ' .- '''''''''''-secijrities and Exchange Commission | SEC-LR |
| 2015-12-16 | | SEC v. Edward Laborio and Jonathan Fraiman, No. 23430 (S.D.N.Y. Dec. 16, 2015), U | SEC-LR |
| 2015-12-08 | | 111111:.-----,--.. 1!!!777qqqq@11,., ' .- '''''''''''-secijrities and Exchange Commission | SEC-PR |
| 2015-10-01 | | SEC v. Commodore Financial Corp., No. 23376 (S.D.N.Y. Oct. 1, 2015), defs:body | SEC-LR |
| 2015-08-20 | | SEC v. Moshe Yehuda Dunoff, No. 23325 (S.D.N.Y. Aug. 20, 2015), U | SEC-LR |
| 2015-04-16 | | SEC v. ECAREER HOLDINGS, No. 8-80130-CIV (S.D.N.Y. Apr. 16, 2015), Complaint, llm-upgrade | SEC-LR |
| 2015-04-16 | | SEC v. eCareer Holdings, No. 23242 (S.D.N.Y. Apr. 16, 2015), defs:body | SEC-LR |
| 2015-04-09 | | SEC v. Ecareer Holdings, Inc. et al. · Complaint Filed · S.D. Fla. | SEC-PR |
| 2015-04-09 | | SEC Halts Microcap Scheme in South Florida | SEC-PR |
| 2015-01-01 | | SEC: Sports Team Offering Is A Penny Stock Fraud | SEC-PR |
| 2014-12-19 | | SEC v. Premier Links, No. 23163 (S.D.N.Y. Dec. 19, 2014), defs:body | SEC-LR |
| 2014-11-24 | | SEC v. Edward M. Laborio, No. 23140 (S.D.N.Y. Nov. 24, 2014), Complaint, llm-upgrade | SEC-LR |
| 2014-09-15 | | SEC v. DDBO Consulting, No. 23083 (S.D.N.Y. Sept. 15, 2014), llm-upgrade | SEC-LR |
| 2014-07-24 | | SEC v. INTERNATIONAL | SEC-PR |
| 2014-07-24 | | SEC v. INTERNATIONAL (S.D.N.Y. Jul. 24, 2014), Complaint, llm-upgrade | SEC-LR |
| 2014-07-24 | | SEC Announces Additional Charges in Football-Related Boiler Room Scheme | SEC-PR |
| 2014-07-24 | | SEC v. International Stock Transfer Inc and Cecil Frederick Speight, No. 23050 (E.D.N.Y. Jul. 24, 2014), U | SEC-LR |
| 2014-07-24 | | SEC Charges Florida-Based Transfer Agent and Owner with Defrauding Investors | SEC-PR |
| 2014-07-14 | | United States v. Ayache et al., (S.D.N.Y. July 14, 2014), Two leaders of an Israeli lottery fraud ring were sentenced to prison for mail and wire fraud targeting elderly victims in the United States. | DOJ-SDNY |
| 2014-02-20 | | In re Stuart E. Rawitt, No. 295760 (S.D.N.Y. Feb. 20, 2014), defs:body | SEC-LR |
| 2014-02-20 | | SEC v. Samuel Braslau et al., No. 22929 (S.D.N.Y. Feb. 20, 2014), U | SEC-LR |
| 2014-01-01 | | SEC Charges Staten Island-Based Firm With Operating Boiler Room Scheme Targeting Seniors | SEC-PR |
| 2014-01-01 | | SEC v. COMPLAINT | SEC-PR |
| 2014-01-01 | | SEC v. PREMIER LINKS | SEC-PR |
| 2014-01-01 | | SEC Charges Three California Residents Behind Movie Investment Scam | SEC-PR |
| 2014-01-01 | | In re Stuart E. Rawitt | SEC-PR |
| 2014-01-01 | | SEC Charges Two Florida-Based Attorneys for Roles in Offering Fraud by Transfer Agent | SEC-PR |
| 2013-12-16 | | Complaint against Arcturus Corporation (“Arcturus”), Aschere Energy, LLC (“Aschere”), Leon | SEC-LR |
| 2013-12-02 | | SEC v. Edward M. Laborio, No. 22881 (S.D.N.Y. Dec. 2, 2013), Complaint, llm-upgrade | SEC-LR |
| 2013-11-07 | | SEC v. Nicholas Louis Geranio, No. 22865 (S.D.N.Y. May 16, 2012), defs:body | SEC-LR |
| 2013-10-08 | | SEC v. Edward M. Laborio, No. 22836 (S.D.N.Y. Oct. 8, 2013), Complaint, llm-upgrade | SEC-LR |
| 2013-08-05 | | SEC v. John G. Rizzo, No. 22770 (S.D.N.Y. Aug. 5, 2013), U | SEC-LR |
| 2013-08-05 | | Securities and Exchange Commission vs John G Rizzo Complaint For Violations Of Federal Securities Laws | SEC-LR |
| 2013-06-06 | | The SEC’s Office of Investor Education and Advocacy and | SEC-PR |
| 2013-04-08 | | In re United States Energy Corp, No. 2012-01-06 (S.D.N.Y. Apr. 8, 2013), defs:body | SEC-LR |
| 2012-09-26 | | SEC v. David Gengler, No. 22494 (S.D.N.Y. Sept. 26, 2012), defs:body | SEC-LR |
| 2012-09-10 | | SEC v. Bio Defense Corporation et al., D. Mass., the commission alleged an unregistered securities offering fraud scheme involving deceptive overseas boiler‑room operations | SEC-LR |
| 2012-08-10 | | SEC v. Edward M. Laborio, No. 22444 (S.D.N.Y. Aug. 10, 2012), Litigation Release No | SEC-LR |
| 2012-05-16 | | SEC v. Nicholas Louis Geranio, No. 22370 (S.D.N.Y. May 16, 2012), defs:body | SEC-LR |
| 2012-05-16 | | SEC.gov | SEC Charges U.S. Perpetrators in $35 Million International Boiler Room Scheme | SEC-PR |
| 2012-01-01 | | SEC.gov | SEC Charges Boiler Room Operators in Florida-Based Penny Stock Manipulation Scheme | SEC-PR |
| 2012-01-01 | | SEC Charges Boiler Room Operators in Florida-Based Penny Stock Manipulation Scheme | SEC-PR |
| 2011-10-11 | | Progressive Energy Partners, LLC ("PEP"), Jerry L. Aubrey | SEC-LR |
| 2011-04-21 | | SEC v. mUrgent Corporation, No. 21944 (S.D.N.Y. Apr. 21, 2011), defs:body | SEC-LR |
| 2011-04-21 | | SEC v. mURGENT, No. 039999 (S.D.N.Y. Apr. 21, 2011), Complaint, llm-upgrade | SEC-LR |
| 2011-03-22 | | SEC v. Spyglass Equity Systems, No. 21892 (S.D.N.Y. Mar. 22, 2011), llm-upgrade | SEC-LR |
| 2011-03-21 | | David J. Van Havermaat Ca. Bar No. 175761 | SEC-PR |
| 2011-03-21 | | SEC Charges Three Firms and Four Individuals in Los Angeles-Based Boiler Room Operation | SEC-PR |
| 2010-08-13 | | Securities and Exchange Commission v. Denigris et al., No. 09-CIV-61716 (S.D. Fla. Aug. 11, 2010), final judgments entered permanently enjoining defendants from securities law violations and ordering disgorgement, interest, and civil penalties | SEC-LR |
| 2010-04-14 | | Securities and Exchange Commission v. Gerald Harold Levine, et al., No. 2:07-CV-00506 (D. Nev. Apr. 7, 2010), Court enters final judgment against Gerald H. Levine, Marie A. Levine, Alan B. Copeland, and Nu Star Holdings, Inc., ordering disgorgement, prejudgment interest, and civil penalties for securities fraud violations. | SEC-LR |
| 2010-04-07 | | SEC v. Stefan H. Benger, No. 21479 (S.D.N.Y. Apr. 7, 2010), defs:body | SEC-LR |
| 2010-03-04 | | for America and the world, to which the | SEC-PR |
| 2010-01-21 | | Securities and Exchange Commission v. Bernard Daniel Braver, No. 10 Civ. 0469 (S.D.N.Y. Jan. 20, 2010), alleged to have violated securities registration and antifraud provisions by selling unregistered limited partnership interests through misrepresentations of the fund's performance and affiliations | SEC-LR |
| 2010-01-21 | | SEC v. Braver, S.D.N.Y., SEC alleged that Braver fraudulently solicited investments in an unregistered investment company and broker‑dealer, violating the Securities Act and Exchange Act. | SEC-LR |
| 2009-09-29 | | Press Release: SEC Charges Virtual Reality Product Maker and Individuals in Boiler Room Fraud; 2009-210; September 29, 2009 | SEC-PR |
| 2009-09-28 | | SEC v. George Wesley Harris and Giant Operating, No. 21226 (S.D.N.Y. Sept. 27, 2009), Complaint, llm-upgrade | SEC-LR |
| 2009-07-08 | | Sky Capital LLC a/k/a Granta Capital LLC, Ross Mandell, Stephen Shea, Adam Harrington Ruckdeschel, Arn Wilson, Michael Passaro and Robert Grabowski | SEC-LR |
| 2009-07-08 | | Press Release: SEC Charges N.Y.-Based Broker-Dealer and Founder in Multi-Million Dollar Transatlantic Boiler Room Scheme; 2009-152; July 8, 2009 | SEC-PR |
| 2009-03-24 | | SEC v. Innova Energy LLC, No. 20969 (S.D.N.Y. Mar. 23, 2009), Complaint, llm-upgrade | SEC-LR |
| 2009-02-04 | | Press Release: SEC Halts Massive International Boiler Room Scheme; 2009-16; February 4, 2009 | SEC-PR |
| 2009-02-04 | | Philip t. Powers, Handler, Thayer & : Jury Trial Demanded | SEC-LR |
| 2009-02-04 | | SEC v. Stefan H. Benger, No. 20881 (S.D.N.Y. Feb. 4, 2009), defs:body | SEC-LR |
| 2008-07-08 | | SEC v. Alex Rabinovich, No. 20637 (S.D.N.Y. Jul. 8, 2008), defs:body | SEC-LR |
| 2007-11-27 | | Securities and Exchange Commission v. Rabinovich & Associates, LP, Alex Rabinovich, and Joseph Lovaglio, No. (S.D.N.Y. 2026), The SEC alleges that Rabinovich & Associates, Alex Rabinovich, and Joseph Lovaglio engaged in a fraudulent securities offering by making false claims about the Fund's profitability and misrepresenting their affiliations with financial institutions, while also operating asun | SEC-LR |
| 2007-11-27 | | SEC v. Rabinovich & Associates, LP et al., No. 07 Civ. 10547 (S.D.N.Y. Nov. 27, 2007), SEC obtained a temporary restraining order and asset freezes against defendants for allegedly conducting a fraudulent securities offering targeting senior citizens. | SEC-LR |
| 2007-04-18 | | SEC v. Gerald Harold Levine (S.D.N.Y. Apr. 18, 2007), Complaint, llm-upgrade | SEC-LR |
| 2007-04-18 | | SEC v. Nu Star Holdings, No. 20077 (S.D.N.Y. Apr. 18, 2007), U | SEC-LR |
| 2006-11-28 | | SEC v. Millennium Financial, No. 19926 (S.D.N.Y. May 22, 2002), U | SEC-LR |
| 2006-10-04 | | SEC v. Eric Walsh, No. 19859 (S.D.N.Y. Oct. 4, 2006), U | SEC-LR |
| 2006-08-16 | | SEC v. Eric Walsh, No. 19804 (S.D.N.Y. Aug. 16, 2006), U | SEC-LR |
| 2006-03-16 | | SEC v. Eric Walsh, No. 19610 (S.D.N.Y. Mar. 16, 2006), defs:body | SEC-LR |
| 2005-12-02 | | SEC v. David M. Wolfson et al., No. 19482 (S.D.N.Y. Dec. 2, 2005), U | SEC-LR |
| 2005-09-23 | | SEC v. JOHN W. SURGENT, No. 19390 (S.D.N.Y. Sept. 23, 2005), defs:body | SEC-LR |
| 2005-01-28 | | SEC v. David M. Wolfson et al., No. 2:03CV00914DAK (D. Utah 2004), SEC alleged that David M. Wolfson violated federal securities laws and ordered him to pay disgorgement, prejudgment interest, and a civil penalty, and barred him from participating in penny stock offerings and serving as an officer or director of registered issuers. | SEC-LR |
| 2004-12-02 | | SEC v. Larry Grabarnick, No. 18990 (S.D.N.Y. Dec. 2, 2004), U | SEC-LR |
| 2004-10-14 | | SEC v. Wolfson et al., No. 2:03‑CV‑00914‑DAK (D. Utah Oct. 14, 2004), the court entered a final judgment permanently enjoining the defendants from future securities law violations and ordering disgorgement of $1,012,453.00, prejudgment interest, and a civil penalty of $1,076,486.31. | SEC-LR |
| 2004-03-24 | | SEC v. David M. Wolfson et al., No. 2:03CV00914DAK (USDC, D.Ut.) (Mar. 24, 2004) | SEC-LR |
| 2004-03-18 | | SEC v. Rodney S. Shehyn et al., S.D.N.Y. (Mar. 18, 2004), the Commission filed an action alleging that the defendants managed a fraudulent international boiler room operation that defrauded over 700 investors of more than $20 million. | SEC-LR |
| 2004-03-15 | | SEC v. RODNEY S. SHEHYN, No. 04 (S.D.N.Y. Mar. 15, 2004), SECURITIES AND EXCHANGE COMMISSION v | SEC-LR |
| 2004-01-28 | | First Access Financial, LLC, et al. | SEC-LR |
| 2003-10-16 | | SEC v. David M. Wolfson et al., Docket No. 2:03CV00914DAK (USDC, D.Ut.), the SEC alleged that defendants engaged in a scheme to defraud overseas investors by selling restricted securities through a boiler room in Laos and making false filings with the Commission. | SEC-LR |
| 2003-08-13 | | SEC v. Vladislav Steven Zubkis, No. 18285 (S.D.N.Y. Aug. 13, 2003), Litigation Release No | SEC-LR |
| 2003-07-16 | | SEC v. Discover Capital Holdings Corp., No. 18231 (D.D.C. Jul. 16, 2003), defs:body | SEC-LR |
| 2003-04-25 | | SEC v. Carone, No. CV 03‑374NM (C.D. Cal. Apr. 25, 2003), the defendants were alleged to have fraudulently offered and sold unregistered securities while making false statements about a public offering, NASDAQ listing, and revenue contracts, and diverting a portion of the proceeds as boiler‑room commissions. | SEC-LR |
| 2003-04-23 | | SEC v. Web Hosting Headquarters Partnership, No. 18101 (S.D.N.Y. Dec. 28, 2000), defs:body | SEC-LR |
| 2002-08-30 | | SEC v. Michael I. Nnebe, No. 17706 (S.D.N.Y. Aug. 30, 2002), defs:body | SEC-LR |
| 2002-08-06 | | SEC Charges 81 Defendants in Telemarketing Stock Fraud Schemes | SEC-PR |
| 2002-05-22 | | SEC v. Millennium Financial, No. 17528 (S.D.N.Y. May 22, 2002), Litigation Release No | SEC-LR |
| 2002-03-19 | | SEC v. Discovery Capital Group, No. 17420 (S.D.N.Y. Mar. 19, 2002), Litigation Release No | SEC-LR |
| 2001-10-24 | | SEC v. Web Hosting Headquarters Partnership, No. 17202 (S.D.N.Y. Dec. 28, 2000), defs:body | SEC-LR |
| 2001-10-04 | | SEC v. Global Asset Partners, No. 17173 (S.D.N.Y. Sept. 28, 2001), llm-upgrade | SEC-LR |
| 2001-09-04 | | SEC v. Arbel et al., No. CV 01 5985 (E.D.N.Y. Aug. 30, 2001), alleged fraudulent sales of Hollywood Productions securities that defrauded investors of approximately $8 million | SEC-LR |
| 2001-08-08 | | SEC v. CHRISTOPHER WOLF, No. 17093 (E.D.N.Y. Aug. 8, 2001), Litigation Release No | SEC-LR |
| 2001-08-02 | | SEC v. ELLIOT LAVIGNE (E.D.N.Y. Aug. 2, 2001), LITIGATION RELEASE NO | SEC-LR |
| 2001-06-06 | | SEC v. Marc David Levine, No. 17028 (S.D.N.Y. May 23, 2001), SECURITIES AND EXCHANGE COMMISSION Litigation Release No | SEC-LR |
| 2001-03-08 | | SEC U.S. Attorney, FBI Ny Attorney General Announce Charges in Boiler-room Case Which Includes Alleged Associates of Organized Crime | SEC-PR |
| 2000-12-29 | | SEC v. Web Hosting Headquarters Partnership, No. 16846 (S.D.N.Y. Dec. 28, 2000), defs:body | SEC-LR |
| 2000-11-17 | | SEC v. Internet Capital Holdings, No. 16803 (S.D.N.Y. Nov. 17, 2000), UNITED STATES SECURITIES AND EXCHANGE COMMISSION Litigation Release No | SEC-LR |
| 2000-05-05 | | SEC v. Assured International, No. 16540 (S.D.N.Y. May 5, 2000), Litigation Release No | SEC-LR |
| 2000-02-09 | | SEC v. DAVID ABISH, No. 16429 (S.D.N.Y. Feb. 9, 2000), SECURITIES AND EXCHANGE COMMISSION Litigation Release No | SEC-LR |
| 2000-01-07 | | SEC v. Petro Resources Corp. et al., No. 16402 (S.D.N.Y. Jan. 7, 2000), United States Securities and Exchange Commission Litigation Release No | SEC-LR |
| 1999-12-10 | | SEC v. SATCOM, No. 16385 (S.D.N.Y. Dec. 10, 1999), U | SEC-LR |
| 1999-09-30 | | SEC v. Jeffrey S. Richman and Stephen P. Erlich, No. 16320 (S.D.N.Y. Sept. 30, 1999), SECURITIES AND EXCHANGE COMMISSION Litigation Release No | SEC-LR |
| 1999-09-29 | | SEC v. HGI, No. 16315 (S.D.N.Y. Sept. 28, 1999), Judgment, llm-upgrade | SEC-LR |
| 1999-07-08 | | A.S. Goldmen and Co., Inc. and Employees Charged with Variety of Microcap Related Violations | SEC-PR |
| 1999-05-27 | | SEC v. HGI, No. 16162 (S.D.N.Y. May 27, 1999), llm-upgrade | SEC-LR |
| 1999-05-20 | | SEC v. Gateway Technologies, No. 16155 (S.D.N.Y. May 20, 1999), SECURITIES AND EXCHANGE COMMISSION Litigation Release No | SEC-LR |
| 1997-09-22 | | Press Contact: John J. Nester (202) 942-7083 SEC and State Securities Administrators Issue "Cold Calling Alert" Consumers warned about stock market phone fraud in bull market | SEC-PR |