# SEC Litigation Release LR-16222

> Civil enforcement action · 1999-07-27

## Defendants

Theodore H. Smick, Louis L. Lima and John L. Lima



## Key facts

- **Release number:** LR-16222
- **Release date:** 1999-07-27
- **Defendants:** Theodore H. Smick, Louis L. Lima and John L. Lima

## Primary sources

- SEC HTML release: https://www.sec.gov/litigation/litreleases/1999/lr16222.htm
- Litigation releases index: https://www.sec.gov/litigation/litreleases

## What this is

SEC Litigation Releases are the canonical "civil enforcement" docket. The SEC files civil actions in federal court against individuals and entities for securities-law violations — fraud, insider trading, Ponzi schemes, registration violations, misleading disclosures, market manipulation. Each release announces a filing, a settlement, or a final judgment. Activist funds, plaintiff lawyers, and investigative journalists use this archive as the most-comprehensive index of US securities enforcement.

## Citation

> US Securities and Exchange Commission, Litigation Release LR-16222 (1999-07-27), Theodore H. Smick, Louis L. Lima and John L. Lima. Retrieved via AI Analytics 2026-05-20 from https://api.ai-analytics.org/sec-litigation/16222.

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