District of Columbia Other Statutes Cases

Securities/Commodities/Exchanges Cases, Dockets and Filings
Cases filed
Cases 81 - 90 of 359
SECURITIES & EXCHANGE COMMISSION v. KONYNDYK
as 1:2011cv02055
Plaintiff: SECURITIES & EXCHANGE COMMISSION
Defendant: MARK A. KONYNDYK
Cause Of Action: m(a) Securities Exchange Act
U.S. SECURITIES AND EXCHANGE COMMISSION v. DRAKE ASSET MANAGEMENT, LLC et al
as 1:2011cv01905
Plaintiff: U.S. SECURITIES AND EXCHANGE COMMISSION
Defendant: DRAKE ASSET MANAGEMENT, LLC, OLIVER R. GRACE, JR.
Cause Of Action: m(a) Securities Exchange Act
GLAUBACH v. CARLYLE CAPITAL CORPORATION LIMITED et al
as 1:2011cv01523
Defendant: HARVEY JAY SARLES, JOHN LEONARD LOVERIDGE, MICHAEL J. ZUPON and others
Plaintiff: JONATHAN GLAUBACH
Cause Of Action: Fed. Question: Securities Violation
SECURITIES AND EXCHANGE COMMISSION v. WILDSTEIN
as 1:2011cv01297
Plaintiff: SECURITIES AND EXCHANGE COMMISSION
Defendant: HOWARD B. WILDSTEIN
Cause Of Action: m(a) Securities Exchange Act
SECURITIES AND EXCHANGE COMMISSION v. ARMOR HOLDINGS, INC.
as 1:2011cv01271
Plaintiff: SECURITIES AND EXCHANGE COMMISSION
Defendant: ARMOR HOLDINGS, INC.
Cause Of Action: m(a) Securities Exchange Act
PHELPS v. STOMBER et al We have downloadable decisions or orders for this case
as 1:2011cv01142
Defendant: HARVEY JAY SARLES, JOHN LEONARD LOVERIDGE, CARLYLE INVESTMENT MANAGEMENT, LLC and others
Plaintiff: E. L. PHELPS
Cause Of Action: m(a) Securities Exchange Act
PHELPS v. CARLYLE CAPITAL CORP.
as 1:2011cv01143
Plaintiff: E. L. PHELPS
Defendant: CARLYLE CAPITAL CORP.
Cause Of Action: m(a) Securities Exchange Act
U.S. SECURITIES AND EXCHANGE COMMISSION v. E-SMART TECHNOLOGIES, INC. et al We have downloadable decisions or orders for this case
as 1:2011cv00895
Plaintiff: U.S. SECURITIES AND EXCHANGE COMMISSION
Defendant: E-SMART TECHNOLOGIES, INC., IVI SMART TECHNOLOGIES, INC., INTERMARKET VENTURES, INC. and others
Cause Of Action: m(a) Securities Exchange Act
SECURITIES AND EXCHANGE COMMISSION v. THOR INDUSTRIES, INC. et al
as 1:2011cv00889
Plaintiff: SECURITIES AND EXCHANGE COMMISSION
Defendant: THOR INDUSTRIES, INC., MARK C. SCHWARTZHOFF
Cause Of Action: m(a) Securities Exchange Act
MCGINN, SMITH & CO., INC. et al v. FINANCIAL INDUSTRY REGULATORY AUTHORITY et al We have downloadable decisions or orders for this case
as 1:2011cv00825
Defendant: FINANCIAL INDUSTRY REGULATORY AUTHORITY , DEPARTMENT OF ENFORCEMENT
Plaintiff: MCGINN, SMITH & CO., INC., DAVID L. SMITH, TIMOTHY M. MCGINN
Cause Of Action: Fed. Question

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