Notice of Covered Actions Table

Notice No.
Action
Notice Date
Claim Due Date
Notice No.:2011-194 Action:

In the Matter of Pipeline Trading Systems LLC, Fred J. Federspiel, and Alfred R. Berkeley III
Administrative Proceeding File No.: 3-14600
Case filed: October 24, 2011

Notice Date:12/01/2011 Claim Due Date:02/29/2012
Notice No.:2011-195 Action:

SEC v. Gregory N. McKnight, and Legisi Holdings, LLC
Case number: 08-cv-11887 (United States District Court for the Eastern District of Michigan)
Case filed: May 5, 2008

Notice Date:12/01/2011 Claim Due Date:02/29/2012
Notice No.:2011-196 Action:

SEC v. Mark Leslie, Kenneth E. Lonchar, Paul A. Sallaberry, Michael M. Cully, and Douglas S. Newton
Case number: 07-cv-03444 (United States District Court for the Northern District of California)
Case filed: July 2, 2007

Notice Date:12/01/2011 Claim Due Date:02/29/2012
Notice No.:2011-197 Action:

SEC v. Integrity Financial AZ LLC, Steven R. Long, Stanley M. Paulic, Walter W. Knitter, and Robert C. Koeller
Case number: 10-cv-00782 (United States District Court for the Northern District of Ohio)
Case filed: April 14, 2010

Notice Date:12/01/2011 Claim Due Date:02/29/2012
Notice No.:2011-198 Action:

SEC v. Norman Forrest Germany, Germany Energy Company, and Eb Germany & Sons, LLC
Case number: 11-cv-01252 (United States District Court for the Northern District of Texas)
Case filed: June 10, 2011

Notice Date:12/01/2011 Claim Due Date:02/29/2012
Notice No.:2011-199 Action:

SEC v. Drake Asset Management LLC, and Oliver R. Grace, Jr.
Case number: 11-cv-01905 (United States District Court for the District of Columbia)
Case filed: October 31, 2011

Notice Date:12/01/2011 Claim Due Date:02/29/2012
Notice No.:2011-200 Action:

In the Matter of Credit Suisse Alternative Capital, LLC (f/k/a Credit Suisse Alternative Capital, Inc.), Credit Suisse Asset Management LLC, and Samir H. Bhatt
Administrative Proceeding File No.: 3-14594
Case filed: October 19, 2011

Notice Date:12/01/2011 Claim Due Date:02/29/2012
Notice No.:2011-201 Action:

In the Matter of Banco Espirito Santo S.A.
Administrative Proceeding File No.: 3-14599
Case filed: October 24, 2011

Notice Date:12/01/2011 Claim Due Date:02/29/2012
Notice No.:2011-202 Action:

SEC v. America's Hedge Fund, L.P., Worldwide Partners LLC, and Christian Kuretski
Case number: 04-cv-04640 (United States District Court for the Eastern District of New York)
Case filed: October 28, 2004

Notice Date:12/01/2011 Claim Due Date:02/29/2012
Notice No.:2011-193 Action:

SEC v. Trade-LLC, Philip W. Milton, and William H. Center
Case number: 10-cv-80737 (United States District Court for the Southern District of Florida)
Case filed: June 22, 2010

Notice Date:12/01/2011 Claim Due Date:02/29/2012
Notice No.:2011-192 Action:

In the Matter of Watts Water Technologies, Inc. and Leesen Chang
Administrative Proceeding File No.: 3-14585
Case filed: October 13, 2011

Notice Date:12/01/2011 Claim Due Date:02/29/2012
Notice No.:2011-186 Action:

In the Matter of Barr M. Rosenberg
Administrative Proceeding File No.: 3-14559
Case filed: September 22, 2011

Notice Date:11/01/2011 Claim Due Date:01/30/2012
Notice No.:2011-187 Action:

In the Matter of Hector Gallardo, Michael Zurita, and Orion Trading, LLC
Administrative Proceeding File No.: 3-14139
Case filed: September 28, 2011

Notice Date:11/01/2011 Claim Due Date:01/30/2012
Notice No.:2011-188 Action:

SEC v. James O'Leary, CPA
Case number: 11-cv-2901 (United States District Court for the Northern District of Georgia)
Case filed: August 30, 2011

Notice Date:11/01/2011 Claim Due Date:01/30/2012
Notice No.:2011-189 Action:

SEC v. Stanley J. Kowalewski and SJK Investment Management, LLC
Case number: 11-cv-00056 (United States District Court for the Northern District of Georgia)
Case filed: January 6, 2011

Notice Date:11/01/2011 Claim Due Date:01/30/2012
Notice No.:2011-190 Action:

SEC v. Mantria Corporation, Troy B. Wragg, Amanda E. Knorr, Speed of Wealth, LLC, Wayde M. McKelvy, and Donna M. McKelvy
Case number: 09-cv-02676 (United States District Court for the District of Colorado)
Case filed: November 16, 2009

Notice Date:11/01/2011 Claim Due Date:01/30/2012
Notice No.:2011-191 Action:

In the Matter of RBC Capital Markets, LLC
Administrative Proceeding File No.: 3-14564
Case filed: September 27, 2011

Notice Date:11/01/2011 Claim Due Date:01/30/2012
Notice No.:2011-172 Action:

SEC v. David A. Souza and D.A. Souza Investments, LLC
Case number: 09-cv-02421(United States District Court for the Eastern District of California)
Case filed: August 28, 2009

Notice Date:10/05/2011 Claim Due Date:01/03/2012
Notice No.:2011-173 Action:

SEC v. Pegasus Wireless Corporation, Jasper Knabb, and Stephen Durland
Case number: 09-cv-02302 (United States District Court for the District of Northern California)
Case filed: May 26, 2009

Notice Date:10/05/2011 Claim Due Date:01/03/2012
Notice No.:2011-174 Action:

SEC v. Gregory L. Reyes, Antonio Canova, and Stephanie Jensen
Case number: 06-cv-04435 (United States District Court for the Northern District of California)
Case filed: July 20, 2006

Notice Date:10/05/2011 Claim Due Date:01/03/2012
Notice No.:2011-175 Action:

SEC v. Douglas V. DeCinces, Joseph J. Donohue, Fred Scott Jackson, and Roger A. Wittenbach
Case number: 11-cv-01168 (United States District Court for the Central District of California)
Case filed: August 4, 2011

Notice Date:10/05/2011 Claim Due Date:01/03/2012
Notice No.:2011-176 Action:

SEC v. LADP Acquisition, Inc., William A. Goldstein, and Marc E. Bercoon
Case number: 10-cv-06835 (United States District Court for the Central District of California)
Case filed: September 14, 2010

Notice Date:10/05/2011 Claim Due Date:01/03/2012
Notice No.:2011-177 Action:

SEC v. John Clement and Edgefund Capital, LLC
Case number: 11-cv-01034 (United States District Court for the Southern District of California)
Case filed: May 11, 2011

Notice Date:10/05/2011 Claim Due Date:01/03/2012
Notice No.:2011-178 Action:

SEC v. Eagle Development Enterprises, Inc., a Nevada corporation; Eagle Storage & Development, LLC, an Arizona limited liability company; Eagle Aviation Sales & Leasing, LLC, a California limited liability company; and Michael J. Bowen
Case number: 09-cv-01470 (United States District Court for the Central District of California)
Case filed: December 14, 2009

Notice Date:10/05/2011 Claim Due Date:01/03/2012
Notice No.:2011-179 Action:

SEC v. Joseph R. Porche, Larry R Crowder, Konrad Kafarski, Carlton L. Williams, Gary K. Juncker, and Dale J. Engelhardt
Case number: 10-cv-01165 (United State District Court for the Central District of California)
Case filed: August 4, 2010

Notice Date:10/05/2011 Claim Due Date:01/03/2012
Notice No.:2011-180 Action:

SEC v. Nova Gen Corporation, Margaret Grey, and Paul Randall Fraley
Case number: 09-cv-02711 (United States District Court for the Southern District of California)
Case filed: December 3, 2009

Notice Date:10/05/2011 Claim Due Date:01/03/2012
Notice No.:2011-181 Action:

SEC v. Doyle Scott Elliott, Scott Elliott, Inc., Michael J. Xirinachs, Emerald Asset Advisors LLC, Robert L. Weidenbaum, and CLX & Associates, Inc.
Case number: 09-cv-07594 (United States District Court for the Southern District of New York)
Case filed: September 1, 2009

Notice Date:10/05/2011 Claim Due Date:01/03/2012
Notice No.:2011-182 Action:

SEC v. Wellco Energy LLC, Justin William Rifkin, Patrick V. Looper, Richard G. Pacheco, and Dustin D. White
Case number: 09-cv-01114 (United States District Court for the District of Colorado)
Case filed: May 14, 2009

Notice Date:10/05/2011 Claim Due Date:01/03/2012
Notice No.:2011-183 Action:

SEC v. Pharma Holdings, Inc., Edward Klapp IV, and Edward Klapp Jr.
Case number: 10-cv-81615 (United States District Court for the Southern District of Florida)
Case filed: December 22, 2010

Notice Date:10/05/2011 Claim Due Date:01/03/2012
Notice No.:2011-184 Action:

SEC v. Striker Petroleum, LLC, Mark S. Roberts, and Christopher E. Pippin
Case number: 09-cv-02304 (United States District Court for the Northern District of Texas)
Case filed: December 3, 2009

Notice Date:10/05/2011 Claim Due Date:01/03/2012
Notice No.:2011-185 Action:

SEC v. Anthony J. Scolaro, Jr. 
Case number: 11-cv-06112 (United States District Court for the Southern District of New York)
Case filed: August 31, 2011

Notice Date:10/05/2011 Claim Due Date:01/03/2012
Notice No.:2011-171 Action:

SEC v. Provident Royalties, LLC, Provident Asset Management, LLC, Provident Energy 1, LP, Provident Resources 1, LP, Provident Energy 2, LP, Provident Energy 3, LP, Shale Royalties II, Inc., Shale Royalties 3, LLC, Shale Royalties 4, Inc., Shale Royalties 5, Inc., Shale Royalties 6, Inc., Shale Royalties 7, Inc., Shale Royalties 8, Inc., Shale Royalties 9, Inc., Shale Royalties 10, Inc., Shale Royalties 12, Inc., Shale Royalties 14, Inc., Shale Royalties 15, Inc., Shale Royalties 16, Inc., Shale Royalties 17, Inc., Shale Royalties 18, Inc., Shale Royalties 19, Inc., Shale Royalties 20, Inc., Paul R. Melbye, Brendan W. Coughlin, and Henry D. Harrison, defendants and Shale Royalties 21, Inc., Shale Royalties 22, Inc., Provident Operating Company, LLC, Somerset Lease Holdings, Inc., and Somerset Development, Inc.
Case number: 09-cv-01238 (United States District Court for the Northern District of Texas)
Case filed: July 2, 2009

Notice Date:10/05/2011 Claim Due Date:01/03/2012
Notice No.:2011-160 Action:

SEC v. Watermark Financial Services Group, Inc., Watermark M-One Holdings, Inc., M-One Financial Services LLC, Watermark Capital Group LLC, Guy W. Gane, Jr., and Lorenzo Altadonna
Case number: 08-cv-00361 (United States District Court for the Western District of New York)
Case filed: May 15, 2008

Notice Date:08/12/2011 Claim Due Date:11/10/2011
Notice No.:2011-32 Action:

SEC v. Randy M. Cho
Case number: 09-cv-6261 (United States District Court for the Northern District of Illinois)
Case filed: October 27, 2009

Notice Date:08/12/2011 Claim Due Date:11/10/2011
Notice No.:2011-159 Action:

SEC v. Vitesse Semiconductor Corporation, Louis R. Tomasetta, Eugene F. Hovanec, Yatin D. Mody, and Nicole R. Kaplan
Case number: 10-cv-09239 (United States District Court for the Southern District of New York)
Case filed: December 10, 2010

Notice Date:08/12/2011 Claim Due Date:11/10/2011
Notice No.:2011-31 Action:

SEC v. Chimay Capital Management Inc. and Guy Albert de Chimay
Case number: 10-cv-04582 (United States District Court for the Southern District of New York)
Case filed: June 11, 2010

Notice Date:08/12/2011 Claim Due Date:11/10/2011
Notice No.:2011-158 Action:

SEC v. Video Without Boundaries, Inc. (d/b/a China Logistics Group Inc), Vernon Jeffrey Harrell, and David J. Aubel
Case number: 08-cv-61517 (United States District Court for the Southern District of Florida)
Case filed: September 24, 2008

Notice Date:08/12/2011 Claim Due Date:11/10/2011
Notice No.:2011-157 Action:

SEC v. Jose O. Vianna, Jr., and Creswell Equities, Inc.
Case number: 10-cv-01842 (United States District Court for the Southern District of New York)
Case filed: March 9, 2010

Notice Date:08/12/2011 Claim Due Date:11/10/2011
Notice No.:2011-156 Action:

SEC v. VesCor Capital Corp., VesCor Capital, Inc., VesCorp Capital LLC, VesCorp Capital IV-A LLC, VesCorp Capital IV-M LLC, and Val E. Southwick
Case number: 08-cv-00012 (United States District Court for the District of Utah)
Case filed: February 6, 2008

Notice Date:08/12/2011 Claim Due Date:11/10/2011
Notice No.:2011-155 Action:

SEC v. U.S. Pension Trust Corp., U.S. College Trust Corp., Iliana Maceiras, Leonardo Maceiras Jr., and Nildo Verdeja
Case number: 07-cv-22570 (United States District Court for the Southern District of Florida)
Case filed: September 28, 2007

Notice Date:08/12/2011 Claim Due Date:11/10/2011
Notice No.:2011-30 Action:

SEC v. Charles Schwab Investment Management, Charles Schwab & Co., Inc., and Schwab Investments
Case number: 11-cv-00136 (United States District Court for the Northern District of California)
Case filed: January 11, 2011

Notice Date:08/12/2011 Claim Due Date:11/10/2011
Notice No.:2011-154 Action:

SEC v. Universal Corporation 
Case number: 10-cv-01318 (United States District Court for the District of Columbia)
Case filed: August 6, 2010.

Notice Date:08/12/2011 Claim Due Date:11/10/2011
Notice No.:2011-153 Action:

SEC v. UBS Financial Services Inc.
Case number: 11-cv-02539 (United States District Court for the District of New Jersey)
Case filed: May 4, 2011

Notice Date:08/12/2011 Claim Due Date:11/10/2011
Notice No.:2011-29 Action:

In the Matter of Carlson Capital, LP
Administrative Proceeding File No.: 3-14066
Case filed: September 23, 2010

Notice Date:08/12/2011 Claim Due Date:11/10/2011
Notice No.:2011-152 Action:

SEC v. UBS AG
Case number: 09-cv-00316 (United States District Court for the District of Columbia)
Case filed: February 18, 2009

Notice Date:08/12/2011 Claim Due Date:11/10/2011
Notice No.:2011-151 Action:

SEC v. Tyson Foods, Inc.
Case number: 11-cv-00350 (United States District Court for the District of Columbia)
Case filed: February 10, 2011

Notice Date:08/12/2011 Claim Due Date:11/10/2011
Notice No.:2011-28 Action:

SEC v. Gaston E. Cantens and Teresita Cantens
Case number: 10-cv-20635 (United States District Court for the Southern District of Florida)
Case filed: March 3, 2010

Notice Date:08/12/2011 Claim Due Date:11/10/2011
Notice No.:2011-150 Action:

SEC v. David P. Turner and Ousama N. Naaman
Case number: 10-cv-01309 (United States District Court for the District of Columbia)
Case filed: August 5, 2010

Notice Date:08/12/2011 Claim Due Date:11/10/2011
Notice No.:2011-27 Action:

SEC v. Canopy Financial, Inc. and Jeremy J. Blackburn
Case number: 09-cv-07429 (United States District Court for the Northern District of Illinois)
Case filed: November 30, 2009

Notice Date:08/12/2011 Claim Due Date:11/10/2011
Notice No.:2011-149 Action:

SEC v. Lambert Vander Tuig, The Carolina Development Company, Inc., and Jonathan Carman
Case number: 06-cv-00172 (United States District Court for the Central District of California)
Case filed: February 16, 2006

Notice Date:08/12/2011 Claim Due Date:11/10/2011
Notice No.:2011-26 Action:

SEC v. Robert L. Buckhannon, Terry D. Rawstern, Dale E. St. Jean, Gregory D. Tindall, Richard D. Mittasch, Christopher T. Paganes, Glenn M. Barikmo, and Imperium Investment Advisors LLC
Case number: 10-cv-02859 (United States District Court for the Middle District of Florida)
Case filed: December 21, 2010

Notice Date:08/12/2011 Claim Due Date:11/10/2011
Notice No.:2011-25 Action:

In the Matter of Brookside Capital LLC
Administrative Proceeding File No.: 3-14444
Case filed: June 28, 2011

Notice Date:08/12/2011 Claim Due Date:11/10/2011
Notice No.:2011-24 Action:

SEC v. BroCo Investments, Inc., and Valery Maltsev
Case number: 10-cv-02217 (United States District Court for the Southern District of New York)
Case filed: March 15, 2010

Notice Date:08/12/2011 Claim Due Date:11/10/2011
Notice No.:2011-148 Action:

SEC v. Tuco Trading LLC and Douglas G. Frederick
Case number: 08-cv-00400 (United States District Court for the Southern District of California)
Case filed: March 4, 2008

Notice Date:08/12/2011 Claim Due Date:11/10/2011
Notice No.:2011-147 Action:

SEC v. Transocean Inc.
Case number: 10-cv-01891 (United States District Court for the District of Columbia)
Case filed: November 4, 2010

Notice Date:08/12/2011 Claim Due Date:11/10/2011
Notice No.:2011-23 Action:

SEC v. Joseph V. Braas and Michael J. Schlager
Case number: 11-cv-00087 (United States District Court for the Eastern District of Pennsylvania)
Case filed: January 6, 2011

Notice Date:08/12/2011 Claim Due Date:11/10/2011
Notice No.:2011-146 Action:

SEC v. Tidewater Inc.
Case number: 10-cv-04180 (United States District Court for the Eastern District of Louisiana)
Case filed: November 4, 2010

Notice Date:08/12/2011 Claim Due Date:11/10/2011
Notice No.:2011-22 Action:

In the Matter of BNY Mellon Securities LLC
Administrative Proceeding File No.: 3-14191
Case filed: January 14, 2011

Notice Date:08/12/2011 Claim Due Date:11/10/2011
Notice No.:2011-145 Action:

SEC v. Thor Industries, Inc. and Mark C. Schwartzhoff
Case number: 11-cv-00889 (United States District Court for the District of Columbia)
Case filed: May 12, 2011

Notice Date:08/12/2011 Claim Due Date:11/10/2011
Notice No.:2011-144 Action:

SEC v. TG Capital LLC, Thanh Viet “Jeremy” Cao, and Lodavina Grosnickle
Case number: 07-cv-00579 (United States District Court for the Central District of California)
Case filed: May 22, 2007

Notice Date:08/12/2011 Claim Due Date:11/10/2011
Notice No.:2011-21 Action:

SEC v. Carl E. Binette and Peter E. Talbot
Case number: 09-cv-30107 (United States District Court for the District Of Massachusetts)
Case filed: July 13, 2009

Notice Date:08/12/2011 Claim Due Date:11/10/2011
Notice No.:2011-143 Action:

SEC v. Tecumseh Holdings Corporation, Tecumseh Tradevest LLC, S.B. Cantor & Co., Inc., John L. Milling, Gerard A. McCallion, Anthony M. Palovchik, and Dale Carone
Case number: 03-cv-5490 (United States District Court for the Southern District of New York)
Case filed: July 24, 2003

Notice Date:08/12/2011 Claim Due Date:11/10/2011
Notice No.:2011-20 Action:

SEC v. Billion Coupons, Inc. (aka Billion Coupons Investment) and Marvin R. Cooper
Case number: 09-cv-00068 (United States District Court for the District of Hawaii)
Case filed: February 18, 2009

Notice Date:08/12/2011 Claim Due Date:11/10/2011
Notice No.:2011-142 Action:

In the Matter of TD Ameritrade, Inc.
Administrative Proceeding File No.: 3-14225
Case filed: February 3, 2011

Notice Date:08/12/2011 Claim Due Date:11/10/2011
Notice No.:2011-141 Action:

SEC v. Sun Empire LLC, ECAM LLC a/k/a Empire Capital Asset Management, Delilah A. Proctor, and Shauntel A. Mccoy
Case number: 09-cv-00399 (United States District Court for the Central District of California)
Case filed: April 2, 2009

Notice Date:08/12/2011 Claim Due Date:11/10/2011
Notice No.:2011-140 Action:

SEC v. Robert J. Sucarato d/b/a/ New York Financial Company
Case number: 09-cv-04953 (United States District Court for the District of New Jersey)
Case filed: September 25, 2009

Notice Date:08/12/2011 Claim Due Date:11/10/2011
Notice No.:2011-139 Action:

SEC v. James D. Sterling
Case number: 10-cv-08206 (United States District Court for the Southern District of New York)
Case filed: October 29, 2010

Notice Date:08/12/2011 Claim Due Date:11/10/2011
Notice No.:2011-138 Action:

SEC v. Star Exploration, Inc. and James T. Gurgainers
Case number: 08-cv-02248 (United States District Court for the Northern District of Texas)
Case filed: December 22, 2008

Notice Date:08/12/2011 Claim Due Date:11/10/2011
Notice No.:2011-137 Action:

SEC v. Daniel Spitzer, Draseena Funds Group, Corp., Kenzie Financial Management, Inc. Kenzie Services LLC, Aneesard Management LLC, Nerium Management Co., DN Management Co. LLC, Arrow Fund, LLC, Arrow Fund II, LLC, Conservium Fund, LLC, Nerium Currency Fund, LP, Senior Strength Q Fund, LLC, Ssecurity Fund, LLC, Three Oaks Advanced Fund, LLC, Three Oaks Currency Fund, LP, Three Oaks Fund, LP, Three Oaks Fund 25, LLC, Three Oaks Senior Strength Fund, LLC, and USFirst Fund, LLC
Case number: 10-cv-03758 (United States District Court for the Northern District of Illinois)
Case filed: June 17, 2010

Notice Date:08/12/2011 Claim Due Date:11/10/2011
Notice No.:2011-136 Action:

SEC v. Brian J. Smart, and Smart Assets, LLC
Case number: 09-cv-00224 (United States District Court for the District of Utah)
Case filed: March 11, 2009

Notice Date:08/12/2011 Claim Due Date:11/10/2011
Notice No.:2011-135 Action:

SEC v. Sierra Brokerage Services, Inc., Richard Geiger, Jeffrey A. Richardson, Aaron Tsai, Michael E. Markow, Global Guarantee Corporation, Francois Goelo, Yongzhi Yang, K&J Consulting, Limited, Ke Luo, M&M Management, Limited, and Jerome B. Armstrong
Case number: 03-cv-00326 (United States District Court for the Southern District of Ohio)
Case filed: April 14, 2003

Notice Date:08/12/2011 Claim Due Date:11/10/2011
Notice No.:2011-134 Action:

SEC v. Shidaal Express, Inc. and Mohamud Abdi Ahmed
Case number: 09-cv-02610 (United States District Court for the Southern District of California)
Case filed: November 19, 2009

Notice Date:08/12/2011 Claim Due Date:11/10/2011
Notice No.:2011-133 Action:

SEC v. Rodney S. Shehyn, Rodney D. Marr, Donald L. Marr, and Karen S. Leigh
Case number: 04-cv-02003 (United States District Court for the Southern District of New York)
Case filed: March 15, 2004

Notice Date:08/12/2011 Claim Due Date:11/10/2011
Notice No.:2011-132 Action:

SEC v. Satyam Computer Services Limited d.b.a. Mahindra Satyam
Case number: 11-cv-00672 (United States District Court for the District of Columbia)
Case filed: April 5, 2011

Notice Date:08/12/2011 Claim Due Date:11/10/2011
Notice No.:2011-131 Action:

SEC v. Mark E. Salyer
Case number: 08-cv-00179 (United States District Court for the Eastern District of Tennessee)
Case filed: June 23, 2008

Notice Date:08/12/2011 Claim Due Date:11/10/2011
Notice No.:2011-130 Action:

In the Matter of Royal Dutch Shell plc and Shell International Exploration and Production Inc.
Administrative Proceeding File No.: 3-14107
Case filed: November 4, 2010

Notice Date:08/12/2011 Claim Due Date:11/10/2011
Notice No.:2011-129 Action:

SEC v. Rockwell Energy of Texas LLC, Rockwell Energy Management LLC, Gregory S. Shindler, Bradley M. James, W. Todd Smith, Stuart E. Rawitt, and Brian W. Walsh
Case number: 09-cv-04080 (United States District Court for the Southern District of Texas)
Case filed: December 23, 2009

Notice Date:08/12/2011 Claim Due Date:11/10/2011
Notice No.:2011-128 Action:

In the Matter of Rockwell Automation, Inc.
Administrative Proceeding File No.: 3-14364
Case filed: May 3, 2011

Notice Date:08/12/2011 Claim Due Date:11/10/2011
Notice No.:2011-127 Action:

SEC v. Rockford Funding Group, LLC
Case number: 09-cv-10047 (United States District Court for the Southern District of New York)
Case filed: December 8, 2009

Notice Date:08/12/2011 Claim Due Date:11/10/2011
Notice No.:2011-126 Action:

SEC v. Archie Paul Reynolds and Success Trust
Case number: 06-cv-01801 (United States District Court for the Northern District of Georgia)
Case filed: August 2, 2006

Notice Date:08/12/2011 Claim Due Date:11/10/2011
Notice No.:2011-125 Action:

SEC v. Regions Bank
Case number: 09-cv-22821 (United States District Court for the Southern District of Florida)
Case filed: September 21, 2009

Notice Date:08/12/2011 Claim Due Date:11/10/2011
Notice No.:2011-124 Action:

SEC v. Steven L. Rattner
Case number: 10-cv-08699 (United States District Court for the Southern District of New York)
Case filed: November 18, 2010

Notice Date:08/12/2011 Claim Due Date:11/10/2011
Notice No.:2011-123 Action:

SEC v. RAE Systems Inc.
Case number: 10-cv-02093 (United States District Court for the District of Columbia)
Case filed: December 10, 2010

Notice Date:08/12/2011 Claim Due Date:11/10/2011
Notice No.:2011-122 Action:

SEC v. Radical Bunny, LLC, Tom Hirsch, Berta Walder, Howard Walder, and Harish Shah
Case number: 09-cv-01560 (United States District Court for the District of Arizona)
Case filed: July 28, 2009

Notice Date:08/12/2011 Claim Due Date:11/10/2011
Notice No.:2011-18 Action:

SEC v. Gregg M.S. Berger, Francis A. Tribble, How Wai Hui, a.k.a. John Hui, Kwong-Chung Chan, a.k.a. Bernard Chan, Xiaoqing Du, a.k.a. Angela Du, Global Peopleline Telecom, Inc., Chi Shing Ng, a.k.a. Daniel Ng, China Digital Media Corporation, Mordechai Broudo, Shay Ben-Asulin, and M-Wise, Inc.
Case number: 11-cv-10403 (United States District Court for the Eastern District of Michigan)
Case filed: February 1, 2011

Notice Date:08/12/2011 Claim Due Date:11/10/2011
Notice No.:2011-121 Action:

SEC v. Joseph D. Radcliffe and Michael J. Radcliffe
Case number: 11-cv-00091 (United States District Court for the District of Columbia)
Case filed: January 14, 2011

Notice Date:08/12/2011 Claim Due Date:11/10/2011
Notice No.:2011-17 Action:

SEC v. Ben-Wal Leasing Company, Ben-Wal Management, Inc., and Jerry E. Benson
Case number: 09-cv-06223 (United States District Court for the Central District of California)
Case filed: August 26, 2009

Notice Date:08/12/2011 Claim Due Date:11/10/2011
Notice No.:2011-120 Action:

SEC v. Pride International, Inc.
Case number: 10-cv-04335 (United States District Court for the Southern District of Texas)
Case filed: November 4, 2010

Notice Date:08/12/2011 Claim Due Date:11/10/2011
Notice No.:2011-119 Action:

In the Matter of Gordon Brent Pierce, Newport Capital Corp., and Jenirob Company Ltd.
Administrative Proceeding File No.: 3-13927
Case filed: June 8, 2010

Notice Date:08/12/2011 Claim Due Date:11/10/2011
Notice No.:2011-16 Action:

In the Matter of Axa Rosenberg Group LLC, Axa Rosenberg Investment Management LLC, and Barr Rosenberg Research Center, LLC
Administrative Proceeding File No.: 3-14224
Case filed: February 3, 2011

Notice Date:08/12/2011 Claim Due Date:11/10/2011
Notice No.:2011-118 Action:

SEC v. Panalpina, Inc.
Case number: 10-cv-04334 (United States District Court for the Southern District of Texas)
Case filed: November 4, 2010

Notice Date:08/12/2011 Claim Due Date:11/10/2011
Notice No.:2011-15 Action:

SEC v. Aura Financial Services, Inc., Ronald E. Hardy, Jr., Peter C. Dunne, Qais R. Bhavnagari, Dipin Malla, Sandeep Singh, and Raymond Rapaglia
Case number: 09-cv-21592 (United States District Court for the Southern District of Florida)
Case filed: June 11, 2009

Notice Date:08/12/2011 Claim Due Date:11/10/2011
Notice No.:2011-117 Action:

SEC v. One or More Unknown Traders in the Common Stock of Certain Issuers
Case number: 07-cv-00431 (United States District Court for the District of Columbia)
Case filed: March 6, 2007

Notice Date:08/12/2011 Claim Due Date:11/10/2011
Notice No.:2011-14 Action:

In the Matter of Aristeia Capital, LLC
Administrative Proceeding File No.: 3-14360
Case filed: May 2, 2011

Notice Date:08/12/2011 Claim Due Date:11/10/2011
Notice No.:2011-116 Action:

SEC v. Onele Trading & Finance Ltd
Case number: 10-cv-09159 (United States District Court for the Southern District of New York)
Case filed: December 8, 2010

Notice Date:08/12/2011 Claim Due Date:11/10/2011
Notice No.:2011-115 Action:

SEC v. One Equity Corporation, Triangle Equities Group, Inc., Victory Management Group, Inc., Dafcan Finance, Inc., Michael S. Spillan and Melissa K. Spillan
Case number: 08-cv-00667 (United States District Court for the Southern District of Ohio)
Case filed: July 10, 2008

Notice Date:08/12/2011 Claim Due Date:11/10/2011
Notice No.:2011-114 Action:

SEC v. Robert Olins, Spatialight, Inc., and Argyle Capital Management Corp.
Case number: 07-cv-06423 (United States District Court for the Northern District of California)
Case filed: December 20, 2007

Notice Date:08/12/2011 Claim Due Date:11/10/2011
Notice No.:2011-13 Action:

SEC v. Sonja Anticevic
Case number: 05-cv-06991 (United States District Court for the Southern District of New York)
Case filed: August 5, 2005

Notice Date:08/12/2011 Claim Due Date:11/10/2011
Notice No.:2011-113 Action:

SEC v. Novus Technologies, LLC, a Utah limited liability company, Ralph W. Thompson, Jr., Duane C. Johnson, RCH2, LLC, a Utah limited liability company, Robert Casey Hall, and Eric J. Wheeler
Case number: 07-cv-00235 (United States District Court for the District of Utah)
Case filed: April 11, 2007

Notice Date:08/12/2011 Claim Due Date:11/10/2011
Notice No.:2011-12 Action:

SEC v. Daryl O. Anderson
Case number: 09-cv-01799 (United States District Court for the District of Nevada)
Case filed: September 10, 2009

Notice Date:08/12/2011 Claim Due Date:11/10/2011
Notice No.:2011-11 Action:

In the Matter of American Pegasus LDG LLC, American Pegasus Investment Management Inc., Benjamin P. Chui, Charles E. Hall, Jr. and Triffany Mok
Administrative Proceeding File No.: 3-14169
Case filed: December 21, 2010

Notice Date:08/12/2011 Claim Due Date:11/10/2011
Notice No.:2011-112 Action:

SEC v. Noble Corporation
Case number: 10-cv-04336 (United States District Court for the Southern District of Texas)
Case filed: November 4, 2010

Notice Date:08/12/2011 Claim Due Date:11/10/2011
Notice No.:2011-10 Action:

SEC v. Amante Corp., Commonwealth Capital Management, Inc., Edward M. Denigris, and William D. Dyer 
Case number: 09-cv-61716 (United States District Court for the Southern District of Florida)
Case filed: October 28, 2009

Notice Date:08/12/2011 Claim Due Date:11/10/2011
Notice No.:2011-111 Action:

SEC v. NIC, Inc., Jeffrey S. Fraser, Harry H. Herington, and Eric J. Bur
Case number: 11-cv-02016 (United States District Court for the District of Kansas)
Case filed: January 12, 2011

Notice Date:08/12/2011 Claim Due Date:11/10/2011
Notice No.:2011-110 Action:

In the Matter of Navistar International Corporation, Daniel C. Ustian, Robert C. Lannert, Thomas M. Akers, Jr., James W. McIntosh, James J. Stanaway, Ernest A. Stinsa, and Michael J. Schultz
Administrative Proceeding File No.: 3-13994
Case filed: August 5, 2010

Notice Date:08/12/2011 Claim Due Date:11/10/2011
Notice No.:2011-109 Action:

SEC v. Joseph P. Nacchio, Robert S. Woodruff, Robin R. Szeliga, Afshin Mohebbi, Gregory M. Casey, James J. Koslowski, and Frank T. Noyes
Case number: 05-cv-00480 (United States District Court for the District of Colorado)
Case filed: March 15, 2005

Notice Date:08/12/2011 Claim Due Date:11/10/2011
Notice No.:2011-9 Action:

SEC v. Alliance One International, Inc.
Case number: 10-cv-01319 (United States District Court for the District of Columbia)
Case filed: August 6, 2010

Notice Date:08/12/2011 Claim Due Date:11/10/2011
Notice No.:2011-108 Action:

SEC v. Angelo Mozilo, David Sambol, and Eric Sieracki
Case number: 09-cv-03994 (United States District Court for the Central District of California)
Case filed: June 4, 2009

Notice Date:08/12/2011 Claim Due Date:11/10/2011
Notice No.:2011-107 Action:

SEC v. William G. Mortensen and Feng Zheng
Case number: 10-cv-01142 (United States District Court for the Northern District of Texas)
Case filed: June 9, 2010

Notice Date:08/12/2011 Claim Due Date:11/10/2011
Notice No.:2011-106 Action:

SEC v. Brad A. Morrice, Patti M. Dodge, David N. Kenneally
Case number: 09-cv-01426 (United States District Court for the Central District of California)
Case filed: December 7, 2009

Notice Date:08/12/2011 Claim Due Date:11/10/2011
Notice No.:2011-8 Action:

SEC v. Edward A. Allen, David L. Olson, and A&O Investments LLC 
Case number: 10-cv-01143 (United States District Court for the Northern District of Ohio)
Case filed: May 20, 2010

Notice Date:08/12/2011 Claim Due Date:11/10/2011
Notice No.:2011-105 Action:

In the Matter of Morgan Asset Management, Inc., Morgan Keegan & Company, Inc., James C. Kelsoe, Jr., and Joseph Thompson Weller, CPA
Administrative Proceeding File No.: 3-13847
Case filed: June 22, 2011

Notice Date:08/12/2011 Claim Due Date:11/10/2011
Notice No.:2011-104 Action:

SEC v. Millennium Bank, United Trust of Switzerland S.A., UT of S, LLC, Millennium Financial Group, William J. Wise d/b/a Sterling Administration, d/b/a Sterling Investment Services, d/b/a Millennium Aviation, Kristi M. Hoegel, a/k/a Kristi M. Christopher, a/k/a Bessy Lu, Jacqueline S. Hoegel, a/k/a Jacquline S. Hoegel, a/k/a Jackie S. Hoegel, Philippe Angeloni, and Brijesh Chopra
Case number: 09-cv-00050 (United States District Court for the Northern District of Texas)
Case filed: March 26, 2009

Notice Date:08/12/2011 Claim Due Date:11/10/2011
Notice No.:2011-7 Action:

SEC v. Jacob “Kobi” Alexander, David Kreinberg, and William F. Sorin 
Case number: 06-cv-03844 (United States District Court for the Eastern District of New York)
Case filed: August 9, 2006

Notice Date:08/12/2011 Claim Due Date:11/10/2011
Notice No.:2011-103 Action:

SEC v. Mike Watson Capital LLC, Michael P. Watson, and Joshua F. Escobeda
Case number: 11-cv-00275 (United States District Court for the District of Utah)
Case filed: March 23, 2011

Notice Date:08/12/2011 Claim Due Date:11/10/2011
Notice No.:2011-102 Action:

SEC v. Merrill Scott & Associates Ltd., Merrill Scott & Associates, Inc., Phoenix Overseas Advisors Ltd., Gilbralter Permanente Assurance, Ltd., Patrick M. Brody, David E. Ross II, and Michael Licopantis
Case number: 02-cv-00039 (United States District Court for the District of Utah)
Case filed: January 15, 2002

Notice Date:08/12/2011 Claim Due Date:11/10/2011
Notice No.:2011-101 Action:

In the Matter of Merrill Lynch, Pierce, Fenner & Smith, Incorporated
Administrative Proceeding File No.: 3-14204
Case filed: January 25, 2011

Notice Date:08/12/2011 Claim Due Date:11/10/2011
Notice No.:2011-6 Action:

SEC v. Alcatel-Lucent, S.A.
Case number: 10-cv-24620 (United States District Court for the Southern District of Florida)
Case filed: December 27, 2010

Notice Date:08/12/2011 Claim Due Date:11/10/2011
Notice No.:2011-5 Action:

SEC v. Hazem Khalid Al-Braikan, United Gulf Bank (B.S.C.) E.C., KIPCO Asset Management Co., and Al-Raya Investment Co. 
Case number: 09-cv-06533 (United States District Court for the Southern District of New York)
Case filed: July 23, 2009

Notice Date:08/12/2011 Claim Due Date:11/10/2011
Notice No.:2011-4 Action:

SEC v. Advanced Technologies Group LTD, Alexander Stelmak, and Abelis Raskas
Case number: 10-cv-04868 (United States District Court for the Southern District of New York)
Case filed: June 23, 2010

Notice Date:08/12/2011 Claim Due Date:11/10/2011
Notice No.:2011-3 Action:

SEC v. David Abish, Christopher Betts, Mark Charvat, Michael Cohn, James Corcoran, Charles Distefano, Paul Feeny, Stephen Gourlay, Brian Kearney, Michael Maccaull, Timothy Matthews, Robert Pratt, Mario Rodriguez, William Scuteri, Scott Siegel, Donald Turney, Andrew Tursi and David Weeks
Case number: 00-cv-00978 (United States District Court for the Southern District of New York)
Case filed: February 9, 2000

Notice Date:08/12/2011 Claim Due Date:11/10/2011
Notice No.:2011-2 Action:

SEC v. ABB LTD
Case number: 10-cv-01648 (United States District Court for the District of Columbia)
Case filed: Sept. 29, 2010

Notice Date:08/12/2011 Claim Due Date:11/10/2011
Notice No.:2011-1 Action:

SEC v. Giuseppe Tullio Abatemarco
Case number: 10-cv-09527 (United States District Court for the Southern District of New York)
Case filed: April 20, 2011

Notice Date:08/12/2011 Claim Due Date:11/10/2011
Notice No.:2011-100 Action:

SEC v. Paul P. Merklinger and Encore Associated Leasing, LLC
Case number: 08-cv-13184 (United States District Court for the Eastern District of Michigan)
Case filed: July 24, 2008

Notice Date:08/12/2011 Claim Due Date:11/10/2011
Notice No.:2011-99 Action:

SEC v. Merchant Capital LLC, Steven C. Wyer, and Kurt Beasley
Case number: 02-cv-02984 (United States District Court for the Northern District of Georgia)
Case filed: November 4, 2002

Notice Date:08/12/2011 Claim Due Date:11/10/2011
Notice No.:2011-98 Action:

SEC v. Michael J. McNaul, II, Dale C. Lucas, Gregg Krause, Lloyd F. Nunns, Russell W. Kilgariff, Steven L. Tallman, Freddie J. Hembree, Raymond L. Leonard, Jr., Mid Western Natural Gas, Inc., and Mark DuBoise
Case number: 08-cv-01159 (United States District Court for the District of Kansas)
Case filed: May 28, 2008

Notice Date:08/12/2011 Claim Due Date:11/10/2011
Notice No.:2011-97 Action:

SEC v. Carol McKeown, Daniel F. Ryan, Meadow Vista Financial Corp., and Downshire Capital, Inc.
Case number: 10-80748 (United States District Court for the Southern District of Florida)
Case filed: June 23, 2010

Notice Date:08/12/2011 Claim Due Date:11/10/2011
Notice No.:2011-96 Action:

SEC v. Ian McCarthy
Case number: 11-cv-00667 (United States District Court for the Northern District of Georgia)
Case filed: March 3, 2011

Notice Date:08/12/2011 Claim Due Date:11/10/2011
Notice No.:2011-95 Action:

SEC v. Maxwell Technologies, Inc.
Case number: 11-cv-00258 (United States District Court for the District of Columbia)
Case filed: January 31, 2011

Notice Date:08/12/2011 Claim Due Date:11/10/2011
Notice No.:2011-94 Action:

SEC v. Javeed A. Matin and Wilshire Equity, Inc.
Case number: 10-cv-01686 (United States District Court for the Central District of California)
Case filed: November 1, 2010

Notice Date:08/12/2011 Claim Due Date:11/10/2011
Notice No.:2011-93 Action:

SEC v. Amit Mathur and Entrust Capital Management, Inc.
Case number: 05-cv-10729 (United States District Court for the District of Massachusetts)
Case filed: April 12, 2005

Notice Date:08/12/2011 Claim Due Date:11/10/2011
Notice No.:2011-92 Action:

SEC v. Madison Real Estate Group LLC, Richard Ames Higgins, Brandon S. Higgins, and Allan D. Christensen
Case number: 08-cv-00243 (United States District Court for the District of Utah)
Case filed: March 28, 2008

Notice Date:08/12/2011 Claim Due Date:11/10/2011
Notice No.:2011-91 Action:

SEC v. Alero Odell Mack, Jr.; Steven Enrico Lopez, Sr.; Easy Equity Asset Management, Inc.; Easy Equity Management, L.P.; Easy Equity Partners, L.P.; Alero Equities the Real Estate Company, L.L.C.; and Alero I.X. Corporation
Case number: 10-cv-08383 (United States District Court for the Central District of California)
Case filed: November 4, 2010

Notice Date:08/12/2011 Claim Due Date:11/10/2011
Notice No.:2011-90 Action:

SEC v. Alfred Clay Ludlum III, Printz Capital Management LLC, Printz Financial Group, Inc., and PCM Global Holdings LLC
Case number: 10-cv-07379 (United States District Court for Eastern District of Pennsylvania)
Case filed: December 20, 2010

Notice Date:08/12/2011 Claim Due Date:11/10/2011
Notice No.:2011-89 Action:

In the Matter of Lovelock & Lewes, Price Waterhouse, Bangalore, Price Waterhouse & Co., Bangalore, Price Waterhouse, Calcutta, and Price Waterhouse & Co, Calcutta
Administrative Proceeding File No.: 3-14321
Case filed: April 5, 2011

Notice Date:08/12/2011 Claim Due Date:11/10/2011
Notice No.:2011-88 Action:

SEC v. Locke Capital Management, Inc. and Leila C. Jenkins
Case number: 09-cv-00100 (United States District Court for the District of Rhode Island)
Case filed: March 9, 2009

Notice Date:08/12/2011 Claim Due Date:11/10/2011
Notice No.:2011-87 Action:

SEC v. Brian N. Lines, Scott G.S. Lines, LOM (Holdings) Ltd., Lines Overseas Management Ltd., LOM Capital Ltd., LOM Securities (Bermuda) Ltd., LOM Securities (Cayman) Ltd., LOM Securities (Bahamas) Ltd., Anthony W. Wile, Wayne E. Wile, Robert J. Chapman, William Todd Peever, Phillip James Curtis, and Ryan G. Leeds
Case number: 07-cv-11387 (United States District Court for the Southern District of New York)
Case filed: December 19, 2007

Notice Date:08/12/2011 Claim Due Date:11/10/2011
Notice No.:2011-86 Action:

In the Matter of Level Global Investors LP
Administrative Proceeding File No.: 3-14443
Case filed: June 28, 2011

Notice Date:08/12/2011 Claim Due Date:11/10/2011
Notice No.:2011-85 Action:

SEC v. John W. Lawton, Paramount Partners LP, and Crossroad Capital Management LLC
Case number: 09-cv-00368 (United States District Court for the District of Minnesota)
Case filed: February 18, 2009

Notice Date:08/12/2011 Claim Due Date:11/10/2011
Notice No.:2011-84 Action:

In the Matter of KPMG Australia
Administrative Proceeding File No.: 3-14276
Case filed: February 28, 2011

Notice Date:08/12/2011 Claim Due Date:11/10/2011
Notice No.:2011-83 Action:

SEC v. Mohit A. Khanna and MAK 1 Enterprises Group LLC
Case number: 09-cv-01784 (United States District Court for the Southern District of California)
Case filed: August 17, 2009

Notice Date:08/12/2011 Claim Due Date:11/10/2011
Notice No.:2011-82 Action:

SEC v. Michael E.Kelly; Michael P. Kelly; Donald L. Kelly; John L. Corwin; Corporativo Nola, S.A. de C.V.; Resort Holding International (RHI) S.A.; Panorama Communities, S.A.; World Phantasy Tours, Inc. (Viajes Y Fantasia Por El Mundo, S.A.), also d/b/a Majesty Travel; Galaxy Properties Management, S.A.; Yucatan Resorts, S.A. de C.V.; Resort Holdings International, S.A. de C.V; Mark Ruttenberg; Ruttenberg and Associates Financial Marketing, Inc.; Mark G. Meyer; Mark Meyer and Associates, Inc.; Richard E. Riner; Southwest Income Marketing, Inc.; George Phelps, also d/b/a Safe Estate Plans; John E. Tencza also d/b/a American Investment Management Group, Inc.; American Elder Group, L.L.C.; Carl Q. Lee; Carl Lee and Associates, Inc.; Roy D. Higgs; Warren T. Chambers; William K. Boston, Jr.; and Century Estate Planning, Inc.
Case number: 07-cv-04979 (United States District Court for the Northern District of Illinois)
Case filed: September 5, 2007

Notice Date:08/12/2011 Claim Due Date:11/10/2011
Notice No.:2011-81 Action:

SEC v. Dennis Lee Keating II
Case number: 10-cv-00419 (United States District Court for the District of Utah)
Case filed: May 6, 2010

Notice Date:08/12/2011 Claim Due Date:11/10/2011
Notice No.:2011-80 Action:

SEC v. K&L International Enterprises, Inc., Signature Leisure, Inc., Signature Worldwide Advisors LLC, Stephen W. Carnes, Lawrence A. Powalisz, Enzyme Environmental Solutions, Inc. and Jared E. Hochstedler
Case number: 09-cv-01638 (United States District Court for the Middle District of Florida)
Case filed: September 24, 2009

Notice Date:08/12/2011 Claim Due Date:11/10/2011
Notice No.:2011-79 Action:

SEC v. Albert Fase Kaleta and Kaleta Capital Management, Inc.
Case number: 09-cv-03674 (United States District Court for the Southern District of Texas)
Case filed: November 13, 2009

Notice Date:08/12/2011 Claim Due Date:11/10/2011
Notice No.:2011-78 Action:

SEC v. J.P. Morgan Securities LLC
Case number: 11-cv-04206 (United States District Court for the Southern District of New York)
Case filed: June 21, 2011

Notice Date:08/12/2011 Claim Due Date:11/10/2011
Notice No.:2011-77 Action:

SEC v. J.P. Morgan Securities LLC
Case number: 11-cv-03877 (United States District Court for the District of New Jersey)
Case filed: July 7, 2011

Notice Date:08/12/2011 Claim Due Date:11/10/2011
Notice No.:2011-76 Action:

SEC v. Johnson & Johnson
Case number: 11-cv-00686 (United States District Court for the District of Columbia)
Case filed: April 8, 2011

Notice Date:08/12/2011 Claim Due Date:11/10/2011
Notice No.:2011-75 Action:

SEC v. Carl W. Jasper
Case number: 07-cv-06122 (United States District Court for the Northern District of California)
Case filed: December 4, 2007

Notice Date:08/12/2011 Claim Due Date:11/10/2011
Notice No.:2011-74 Action:

SEC v. International Realty Holdings, Inc., Ottoniel Medrano, and Leticia Isabel Medrano
Case number: 09-cv-01945 (United States District Court for the Central District of California)
Case filed: March 23, 2009

Notice Date:08/12/2011 Claim Due Date:11/10/2011
Notice No.:2011-73 Action:

SEC v. Imperia Invest IBC
Case number: 10-cv-00986 (United States District Court for the District of Utah)
Case filed: October 6, 2010

Notice Date:08/12/2011 Claim Due Date:11/10/2011
Notice No.:2011-71 Action:

In the Matter of Horseman Capital Management, L.P.
Administrative Proceeding File No.: 3-14202
Order filed: January 24, 2011

Notice Date:08/12/2011 Claim Due Date:11/10/2011
Notice No.:2011-70 Action:

SEC v. Homestead Properties LP, Homestead Limited LLC, California Wealth Management Group, d.b.a. IFC Advisory, Heath M. Biddlecome, and William C. Tak
Case number: 09-cv-01331 (United States District Court for the Central District of California)
Case filed: December 24, 2009

Notice Date:08/12/2011 Claim Due Date:11/10/2011
Notice No.:2011-69 Action:

SEC v. Hedgelender LLC, Daniel W. Stafford, and Fred R. Wahler, Jr.
Case number: 09-cv-00859 (United States District Court for the Southern District of Ohio)
Case filed: September 30, 2009

Notice Date:08/12/2011 Claim Due Date:11/10/2011
Notice No.:2011-68 Action:

SEC v. Gary L. Harden, Sr. and Philip E. Lowery
Case number: 05-cv-00354 (United States District Court for the Western District of Michigan)
Case filed: May 19, 2005

Notice Date:08/12/2011 Claim Due Date:11/10/2011
Notice No.:2011-67 Action:

SEC v. Lowell Gene “Bob” Hancher, Commerce Street Venture Group, Inc., Edward T. Whelan, and Grace Holdings
Case number: 11-cv-04005 (United States District Court for the Northern District of Iowa)
Case filed: January 13, 2011

Notice Date:08/12/2011 Claim Due Date:11/10/2011
Notice No.:2011-66 Action:

SEC v. Great American Technologies, Inc. and Vincent Setteducate a/k/a Vincent Sette
Case number: 07-cv-10694 (United States District Court for the Southern District of New York)
Case filed: November 30, 2007

Notice Date:08/12/2011 Claim Due Date:11/10/2011
Notice No.:2011-65 Action:

SEC v. George David Gordon, Joshua Wayne Lankford, and Dean Joseph Sheptycki
Case number: 09-cv-00061 (United States District Court for the Northern District of Oklahoma)
Case filed: February 10, 2009

Notice Date:08/12/2011 Claim Due Date:11/10/2011
Notice No.:2011-64 Action:

SEC v. Lawrence R. Goldfarb and Baystar Capital Management, LLC
Case number: 11-cv-00938 (United States District Court for the Northern District of California)
Case filed: March 1, 2011

Notice Date:08/12/2011 Claim Due Date:11/10/2011
Notice No.:2011-63 Action:

SEC v. Golden Apple Oil and Gas, Inc., Jay Budd, John Briner, and Ethos Investments, Inc.
Case number: 09-cv-07580 (United States District Court for the Southern District of New York)
Case filed: August 31, 2009

Notice Date:08/12/2011 Claim Due Date:11/10/2011
Notice No.:2011-62 Action:

SEC v. GlobalSantaFe Corp.
Case number: 10-cv-01890 (United States District Court for the District of Columbia)
Case filed: November 4, 2010

Notice Date:08/12/2011 Claim Due Date:11/10/2011
Notice No.:2011-61 Action:

SEC v. Global Materials & Services, Inc. f/k/a American Fire Retardant Corp., Stephen F. Owens, ASMAC Financial, Inc., Edify Capital Group, Inc., Eric Ko, and William Woo
Case number: 08-cv-00881 (United States District Court for the Central District of California)
Case filed: August 8, 2008

Notice Date:08/12/2011 Claim Due Date:11/10/2011
Notice No.:2011-60 Action:

SEC v. Global Development & Environmental Resources, Inc., Philip Pritchard, Pietro Cimino, Dante M. Panella, Darko S. Mrakuzic, Anthony M. Cimini, Sr., and Carmine J. Bua
Case number: 08-cv-00993 (United States District Court for the Middle District of Florida)
Case filed: May 23, 2008

Notice Date:08/12/2011 Claim Due Date:11/10/2011
Notice No.:2011-59 Action:

SEC v. Gen-See Capital Corporation a/k/a Gen Unlimited and Richard S. Piccoli
Case number: 09-cv-00014 (United States District Court for the Western District of New York)
Case filed: January 8, 2009

Notice Date:08/12/2011 Claim Due Date:11/10/2011
Notice No.:2011-58 Action:

SEC v. Jason M. Genet
Case number: 09-cv-04215 (United States District Court for the Eastern District of New York)
Case filed: September 30, 2009

Notice Date:08/12/2011 Claim Due Date:11/10/2011
Notice No.:2011-57 Action:

SEC v. General Electric Company, Ionics, Inc., and Amersham plc
Case number: 10-cv-01258 (United States District Court for the District of Columbia)
Case filed: July 27, 2010

Notice Date:08/12/2011 Claim Due Date:11/10/2011
Notice No.:2011-56 Action:

SEC v. Gendreau & Associates, Inc., and Jacques R. Gendreau
Case number: 09-cv-03697 (United States District Court for the Central District of California)
Case filed: May 26, 2009

Notice Date:08/12/2011 Claim Due Date:11/10/2011
Notice No.:2011-55 Action:

In the Matter of Gartmore Investment Limited
Administrative Proceeding File No.: 3-14154
Case filed: December 8, 2010

Notice Date:08/12/2011 Claim Due Date:11/10/2011
Notice No.:2011-54 Action:

SEC v. Galleon Management LP, Raj Rajaratnam, Rajiv Goel, Anil Kumar, Danielle Chiesi, Mark Kurland, Robert Moffat, New Castle Funds LLC, Roomy Khan, Deep Shah, Ali T. Far, Choo-Beng Lee, Far & Lee LLC, Spherix Capital LLC, Ali Hariri, Zvi Goffer, David Plate, Gautham Shankar, Schottenfeld Group LLC, Steven Fortuna, and S2 Capital Management LP
Case number: 09-cv-08811 (United States District Court for the Southern District of New York)
Case filed: November 5, 2009

Notice Date:08/12/2011 Claim Due Date:11/10/2011
Notice No.:2011-53 Action:

SEC v. FTC Capital Markets, Inc., FTC Emerging Markets, Inc. also d/b/a/ FTC Group, Guillermo David Clamens and Lina Lopez a/k/a Nazly Cucunuba Lopez
Case number: 09-cv-04755 (United States District Court for the Southern District of New York)
Case filed: May 20, 2009

Notice Date:08/12/2011 Claim Due Date:11/10/2011
Notice No.:2011-52 Action:

SEC v. Gregory Todd Froning
Case number: 10-cv-01503 (United States District Court for the Northern District of Texas)
Case filed: August 2, 2010

Notice Date:08/12/2011 Claim Due Date:11/10/2011
Notice No.:2011-50 Action:

SEC v. Otto Sam Folin, Benchmark Asset Managers LLC, and Harvest Managers LLC
Case number: 11-cv-04447 (United States District Court for the Eastern District of Pennsylvania)
Case filed: July 12, 2011

Notice Date:08/12/2011 Claim Due Date:11/10/2011
Notice No.:2011-49 Action:

SEC v. Thomas P. Flanagan and Thomas T. Flanagan
Case number: 10-cv-04885 (United States District Court for the Northern District of Illinois)
Case filed: August 4, 2010

Notice Date:08/12/2011 Claim Due Date:11/10/2011
Notice No.:2011-48 Action:

SEC v. Robert Feinblatt, Jeffrey Yokuty, Trivium Capital Management LLC, Sunil Bhalla, and Shammara Hussain
Case number: 11-cv-00170 (United States District Court for the Southern District of New York)
Case filed: January 10, 2011

Notice Date:08/12/2011 Claim Due Date:11/10/2011
Notice No.:2011-47 Action:

SEC v. Anthony Fareri, Fareri Financial Services, Inc. d/b/a/ Amerifinancial, and Anthony Fareri & Associates, Inc.
Case number: 09-cv-80360 (United States District Court for the Southern District of Florida)
Case filed: March 3, 2009

Notice Date:08/12/2011 Claim Due Date:11/10/2011
Notice No.:2011-46 Action:

SEC v. Robert M. Esposito, Gregory A. King, Jack R. Belluscio, and Anscott Industries, Inc.
Case number: 08-cv-00494 (United States District Court for the Middle District of Florida)
Case filed: March 17, 2008

Notice Date:08/12/2011 Claim Due Date:11/10/2011
Notice No.:2011-45 Action:

SEC v. Earthly Mineral Solutions, Inc., Natural Minerals Processing Company, Roy D. Higgs, Frank L. Schwartz, and Rick Lawton
Case number: 07-cv-01057 (United States District Court for the District of Nevada)
Case filed: August 9, 2007

Notice Date:08/12/2011 Claim Due Date:11/10/2011
Notice No.:2011-44 Action:

SEC v. Martin J. Druffner, Justin F. Ficken, Skifter Ajro, John S. Peffer, Marc J. Bilotti, and Robert E. Shannon
Case number: 03-cv-12154 (United States District Court for the District of Massachusetts)
Case filed: November 4, 2003

Notice Date:08/12/2011 Claim Due Date:11/10/2011
Notice No.:2011-43 Action:

SEC v. Gianluca Di Nardo, Corralero Holdings, Inc., Oscar Ronzoni, Paolo Busardo, Tatus Corp., and A-Round Investment SA (originally filed as SEC v. One or More Purchasers of Call Options for the Common Stock of DRS Technologies, Inc. and American Power Conversion Corp.)
Case number: 08-cv-06609 (United States District Court for the Southern District of New York)
Case filed: July 25, 2008

Notice Date:08/12/2011 Claim Due Date:11/10/2011
Notice No.:2011-42 Action:

In the Matter of Diageo plc
Administrative Proceeding File No.: 3-14490
Case filed: July 27, 2011

Notice Date:08/12/2011 Claim Due Date:11/10/2011
Notice No.:2011-41 Action:

SEC v. Matthew C. Devlin, Jamil A. Bouchareb, Daniel A. Corbin, Frederick E. Bowers, Thomas R. Faulhaber, Eric A. Holzer, Jeffrey R. Glover, Corbin Investment Holdings LLC, and Augustus Management
Case number: 08-cv-11001 (United States District Court for the Southern District of New York)
Case filed: December 18, 2008

Notice Date:08/12/2011 Claim Due Date:11/10/2011
Notice No.:2011-40 Action:

SEC v. Dell, Inc., Michael S. Dell, Kevin B. Rollins, James M. Schneider, Leslie L. Jackson, and Nicholas A.R. Dunning
Case number: 10-cv-01245 (United States District Court for the District of Columbia)
Case filed: July 22, 2010

Notice Date:08/12/2011 Claim Due Date:11/10/2011
Notice No.:2011-39 Action:

In the Matter of Deerfield Capital Corp. and Danielle Valkner, CPA
Administrative Proceeding File No.: 3-14216
Case filed: February 2, 2011

Notice Date:08/12/2011 Claim Due Date:11/10/2011
Notice No.:2011-72 Action:

SEC v. W. Anthony Huff, Danny L. Pixler, Anthony R. Russo, Otha Ray McCartha, and Charles J. Spinelli
Case number: 08-cv-60315 (United States District Court for the Southern District of Florida)
Case filed: March 6, 2008

Notice Date:08/12/2011 Claim Due Date:11/10/2011
Notice No.:2011-38 Action:

SEC v. Joseph A. Dawson
Case number: 11-cv-01615 (United States District Court for the Northern District of Illinois)
Case filed: March 8, 2011

Notice Date:08/12/2011 Claim Due Date:11/10/2011
Notice No.:2011-37 Action:

SEC v. Credit Bancorp, Ltd., Credit Bancorp, Inc., Richard Jonathan Blech, Thomas M. Rittweger, and Douglas C. Brandon
Case number: 99-cv-11395 (United States District Court for the Southern District of New York)
Case filed: November 11, 1999

Notice Date:08/12/2011 Claim Due Date:11/10/2011
Notice No.:2011-51 Action:

SEC v. Founding Partners Capital Management Company, William Gunlicks, Sun Capital, Inc., Sun Capital Healthcare, Inc., Founding Partners Stable-Value Fund LP, Founding Partners Stable-Value Fund II LP, Founding Partners Global Fund Ltd., and Founding Partners Hybrid-Value Fund LP
Case number: 09-cv-00229 (United States District Court for the Middle District of Florida)
Case filed: April 20, 2009

Notice Date:08/12/2011 Claim Due Date:11/10/2011
Notice No.:2011-36 Action:

SEC v. ConnectAJet.com, Inc., Martin T. Cantu, Martin M. Cantu, Firenze Funds LLC, Timothy T. Page, Testre LP, Verona Funds LLC, and Stephen Fayette
Case number: 09-cv-01742 (United States District Court for the Northern District of Texas)
Case filed: September 18, 2009

Notice Date:08/12/2011 Claim Due Date:11/10/2011
Notice No.:2011-35 Action:

SEC v. Nicolas Patrick Benoit Condroyer and Gilles Robert Roger
Case number: 09-cv-03600 (United States District Court for the Northern District of Georgia)
Case filed: December 22, 2009

Notice Date:08/12/2011 Claim Due Date:11/10/2011
Notice No.:2011-34 Action:

SEC v. Comverse Technology, Inc.
Case number: 11-cv-01704 (United States District Court for the Eastern District of New York)
Case filed: April 7, 2011

Notice Date:08/12/2011 Claim Due Date:11/10/2011
Notice No.:2011-33 Action:

SEC v. Citigroup Inc.
Case number: 10-cv-01277 (United States District Court for the District of Columbia)
Case filed: July 29, 2010

Notice Date:08/12/2011 Claim Due Date:11/10/2011
Notice No.:2011-19 Action:

SEC v. Berkshire Resources LLC, Berkshire (40L) LLP, Berkshire 2006-5 LLP, Passmore-5 LLP, Gueydan Canal 28-5 LLP, Gulf Coast Development #12 LLP, Drilling Deep in the Louisiana Water J.V., Jason T. Rose, David G. Rose, Mark D. Long, and Yolanda C. Velazquez
Case number: 09-cv-00704 (United States District Court for the Southern District of Indiana)
Case filed: June 8, 2009

Notice Date:08/12/2011 Claim Due Date:11/10/2011
Notice No.:2011-170 Action:

SEC v. ZNext Mining Corporation, Inc. and Elvira G. Gamboa
Case number: 09-cv-02611 (United States District Court for the Northern District of California)
Case filed: June 12, 2009

Notice Date:08/12/2011 Claim Due Date:11/10/2011
Notice No.:2011-161 Action:

SEC v. Martin T. Wegener, Wealth Resources LLC, and Wealth Resources, Inc.
Case number: 10-cv-00566 (United States District Court for the Western District of Michigan)
Case filed: June 14, 2010

Notice Date:08/12/2011 Claim Due Date:11/10/2011
Notice No.:2011-162 Action:

In the Matter of Wells Fargo Securities LLC (f/k/a Wachovia Capital Markets LLC)
Administrative Proceeding File No.: 3-14320
Case filed: April 5, 2011

Notice Date:08/12/2011 Claim Due Date:11/10/2011
Notice No.:2011-163 Action:

SEC v. Darrel West and Own My Travel LLC
Case number: 09-cv-01419 (United States District Court for the Middle District of Florida)
Case filed: August 14, 2009

Notice Date:08/12/2011 Claim Due Date:11/10/2011
Notice No.:2011-164 Action:

SEC v. Blake G. Williams, Tbeck Capital. Inc., Warren Street Investments, Inc., Victoria Financial Consultants LLC, BGW Enterprises, Inc., Emerging Resources, Inc., Valek Investments, Inc., Derek Lopez, and DA Big Kahuna LLC
Case number: 10-cv-01068 (United States District Court for the Northern District of Texas)
Case filed: May 27, 2010

Notice Date:08/12/2011 Claim Due Date:11/10/2011
Notice No.:2011-165 Action:

SEC v. David A. Williams, Sherwood Secured Income Fund, LLC, WFG Holdings, Inc., and Williams Financial Group, LLC
Case number: 09-cv-02709 (United States District Court for the Central District of California)
Case filed: April 20, 2009

Notice Date:08/12/2011 Claim Due Date:11/10/2011
Notice No.:2011-166 Action:

SEC v. Winning Kids, Inc., Christian Hainsworth, Robert Comiskey, Edward Tamimi, and Victor Selenow
Case number: 10-cv-80186 (United States District Court for the Southern District of Florida)
Case filed: January 29, 2010

Notice Date:08/12/2011 Claim Due Date:11/10/2011
Notice No.:2011-167 Action:

SEC v. Stuart H. Wolff and Peter B. Tafeen
Case number: 05-cv-03132 (United States District Court for the Central District of California)
Case filed: April 28, 2005

Notice Date:08/12/2011 Claim Due Date:11/10/2011
Notice No.:2011-168 Action:

SEC v. Travis L. Wright
Case number: 10-cv-00602 (United States District Court for the District of Utah)
Case filed: July 2, 2010

Notice Date:08/12/2011 Claim Due Date:11/10/2011
Notice No.:2011-169 Action:

SEC v. Louis W. Zehil, Strong Branch Ventures IV LP, and Chestnut Capital Partners II, LLC
Case number: 07-cv-01439 (United States District Court for the Southern District of New York)
Case filed: February 28, 2007

Notice Date:08/12/2011 Claim Due Date:11/10/2011