Notice of Covered Actions

Notice No.	Action	Notice Date	Claim Due Date
Notice No.:2014-146	Action: In the Matter of F-Squared Investments, Inc. Administrative Proceeding File No.: 3-16325 Case filed: December 22, 2014 Qualifying Judgment/Order: December 22, 2014	Notice Date:12/29/2014	Claim Due Date:03/29/2015
Notice No.:2014-136	Action: SEC vs. Bank of America, N.A., Banc of America Mortgage Securities, Inc., and Merrill Lynch, Pierce, Fenner & Smith, Inc. f/k/a Banc of America Securities LLC Case number: 13-cv-00447 (United States District Court for the Western District of North Carolina) Case filed: August 6, 2013 Qualifying judgment/order: November 25, 2014	Notice Date:12/22/2014	Claim Due Date:03/22/2015
Notice No.:2014-137	Action: SEC vs. Edward M. Laborio, Jonathan Fraiman, Matthew K. Lazar, Envit Capital, LLC, Envit Capital Group, Inc., Envit Capital Holdings, Inc., Envit Capital Private Wealth Management, LLC, Envit Capital Multi Strategy Mixed Investment Fund I LP, Aetius Group, PLC, and Aetius Group, LLC Case number: 12-cv-11489 (United States District Court for the District of Massachusetts) Case filed: August 10, 2012 Qualifying judgment/order: November 24, 2014	Notice Date:12/22/2014	Claim Due Date:03/22/2015
Notice No.:2014-138	Action: SEC vs. John K. Marcum and Guaranty Reserves Trust, LLC Case number: 13-cv-01361 (United States District Court for the Southern District of Indiana) Case filed: August 26, 2013 Qualifying judgment/order: November 18, 2014	Notice Date:12/22/2014	Claim Due Date:03/22/2015
Notice No.:2014-139	Action: SEC vs. Matthew O. Madison, Dwight McGhee, and Infinity Exploration, LLC Case number: 13-cv-02499 (United States District Court for the Northern District of Texas) Case filed: June 28, 2013 Qualifying judgment/order: November 18, 2014	Notice Date:12/22/2014	Claim Due Date:03/22/2015
Notice No.:2014-141	Action: In the Matter of HSBC Private Bank (Suisse), SA Administrative Proceeding File No.: 3-16288 Case filed: November 25, 2014 Qualifying judgment/order: November 25, 2014	Notice Date:12/22/2014	Claim Due Date:03/22/2015
Notice No.:2014-142	Action: In the Matter of Alan Gavornik, Nicholas Mariniello and Lee Argush Administrative Proceeding File No.: 3-16286 Case filed: November 24, 2014 Qualifying judgment/order: November 24, 2014	Notice Date:12/22/2014	Claim Due Date:03/22/2015
Notice No.:2014-143	Action: In the Matter of Wedbush Securities Inc., Jeffrey Bell, and Christina Fillhart Administrative Proceeding File No.: 3-15913 Case filed: November 20, 2014 Qualifying judgment/order: November 20, 2014	Notice Date:12/22/2014	Claim Due Date:03/22/2015
Notice No.:2014-144	Action: SEC vs. Garfield Taylor, Incorporated, Gibraltar Asset Management Group, LLC, Garfield M. Taylor, Benjamin C. Dalley, Jeffrey A. King, Randolph M. Taylor, Maurice G. Taylor, and William B. Mitchell Case number: 11-cv-02054 (United States District Court for the District of Columbia) Case filed: November 18, 2011 Qualifying judgment/order: March 28, 2013	Notice Date:12/22/2014	Claim Due Date:03/22/2015
Notice No.:2014-145	Action: SEC vs. Rex Venture Group, LLC d/b/a ZeekRewards.com, and Paul R. Burks Case number: 12-cv-00519 (United States District Court for the Western District of North Carolina) Case filed: August 17, 2012 Qualifying judgment/order: August 17, 2012 In the Matter of Adam Troy Dooly Administrative Proceeding File No.: 3-15540 Case filed: September 30, 2013 Qualifying judgment/order: September 30, 2013	Notice Date:12/22/2014	Claim Due Date:03/22/2015
Notice No.:2014-140	Action: SEC vs. Larry J. Dearman, Sr. and Marya Gray Case number: 13-cv-00553 (United States District Court for the Northern District of Oklahoma) Case filed: August 27, 2013 Qualifying judgment/order: November 14, 2014	Notice Date:12/20/2014	Claim Due Date:03/20/2015
Notice No.:2014-120	Action: SEC vs. Marlon Quan, Acorn Capital Group, LLC and Stewardship Investment Advisors, LLC Case number: 11-cv-00723 (United States District Court for the District of Minnesota) Case filed: March 24, 2011 Qualifying Judgment/Order: September 22, 2014	Notice Date:11/26/2014	Claim Due Date:02/24/2015
Notice No.:2014-121	Action: SEC vs. Resources Planning Group, Inc., and Joseph J. Hennessy Case number: 12-cv-09509 (United States District Court for the Northern District of Illinois) Case filed: November 29, 2012 Qualifying Judgment/Order: September 29, 2014	Notice Date:11/26/2014	Claim Due Date:02/24/2015
Notice No.:2014-122	Action: SEC v. Nikolai S. Battoo, BC Capital Group S.A. (Panama), BC Capital Group Limited (Hong Kong), and Tracy Lee Sunderlage Case number: 12-cv-07125 (United States District Court for the Northern District of Illinois) Case filed: September 6, 2012 Qualifying Judgment/Order: September 30, 2014	Notice Date:11/26/2014	Claim Due Date:02/24/2015
Notice No.:2014-123	Action: SEC v. Agfeed Industries, Inc., Junhong Xiong, Selina Jin, Songyan Li, Shaobo Ouyang, Edward J. Pazdro, K. Ivan Gothner Case number: 14-cv-00663 (United States District Court for the Middle District of Tennessee) Case filed: March 11, 2014 Qualifying judgment/order: October 6, 2014 In the Matter of John A. Stadler Administrative Proceeding File No.: 3-15782 Case filed: March 11, 2014 Qualifying judgment/order: March 11, 2014 In the Matter of Clayton T. Marshall Administrative Proceeding File No.: 3-15783 Case filed: March 11, 2014 Qualifying judgment/order: March 11, 2014	Notice Date:11/26/2014	Claim Due Date:02/24/2015
Notice No.:2014-124	Action: SEC v. Stanley B. McDuffie (f/k/a Stanley Roberson and Stanley Battle), and Jilapuhn, Inc. (d/b/a Her Majesty's Credit Union) Case number: 12-cv-02939 (United States District Court for the District of Colorado) Case filed: November 8, 2012 Qualifying Judgment/Order: October 9, 2014	Notice Date:11/26/2014	Claim Due Date:02/24/2015
Notice No.:2014-125	Action: SEC v. Abatement Corp. Holding Company Limited Case number: 14-cv-23336 (United States District Court for the Southern District of Florida) Case filed: September 10, 2014 Qualifying Judgment/Order: October 29, 2014	Notice Date:11/26/2014	Claim Due Date:02/24/2015
Notice No.:2014-126	Action: In the Matter of Layne Christensen Company Administrative Proceeding File No.: 3-16216 Case filed: October 27, 2014 Qualifying Judgment/Order: October 27, 2014	Notice Date:11/26/2014	Claim Due Date:02/24/2015
Notice No.:2014-127	Action: In the Matter of ETrade Securities, LLC, and G1 Execution Services, LLC Administrative Proceeding File No.:* 3-16192 Case filed: October 9, 2014 Qualifying Judgment/Order: October 9, 2014	Notice Date:11/26/2014	Claim Due Date:02/24/2015
Notice No.:2014-128	Action: SEC v. Timothy J. Coughlin, OICU LTD., and OICU Investments Corp. (both d/b/a "Oxford International Credit Union" and/or "Oxford International Cooperative Union") Case number: 14-cv-00562 (United States District Court for the Southern District of Indiana) Case filed: April 11, 2014 Qualifying Judgment/Order: October 29, 2014	Notice Date:11/26/2014	Claim Due Date:02/24/2015
Notice No.:2014-129	Action: SEC v. Malom Group AG, Martin U. Schläpfer, Hans-Jürg Lips, James C. Warras, Joseph N. Micelli, M.Y. Consultants, Inc., Anthony B. Brandel, M. Dwyer, LLC, and Sean P. Finn Case number: 13-cv-02280 (United States District Court for the District of Nevada) Case filed: December 16, 2013 Qualifying Judgment/Order: September 15, 2014	Notice Date:11/26/2014	Claim Due Date:02/24/2015
Notice No.:2014-130	Action: In the Matter of Bio-Rad Laboratories, Inc. Administrative Proceeding File No.: 3-16231 Case filed: November 3, 2014 Qualifying Judgment/Order: November 3, 2014	Notice Date:11/26/2014	Claim Due Date:02/24/2015
Notice No.:2014-131	Action: In the Matter of Clean Energy Capital, LLC and Scott A. Brittenham Administrative Proceeding File No.: 3-15766 Case filed: October 17, 2014 Qualifying Judgment/Order: October 17, 2014	Notice Date:11/26/2014	Claim Due Date:02/24/2015
Notice No.:2014-132	Action: SEC v. Christopher Wheeler and OTCStockExchange.com Case number: 11-cv-06169 (United States District Court for the Southern District of New York) Case filed: January 14, 2011 Qualifying Judgment/Order: September 29, 2014	Notice Date:11/26/2014	Claim Due Date:02/24/2015
Notice No.:2014-133	Action: SEC v. Lee Cole, Linden Boyne, Kevin B. Donovan, and Timothy Quintanilla Case number: 12-cv-08167 (United States District Court for the Southern District Court of New York) Case filed: November 8, 2012 Qualifying Judgment/Order: October 8, 2014	Notice Date:11/26/2014	Claim Due Date:02/24/2015
Notice No.:2014-134	Action: SEC v. Dennis F. Wright Case number: 14-cv-01896 (United States District Court for the Middle District of Pennsylvania) Case filed: September 30, 2014 Qualifying Judgment/Order: October 9, 2014	Notice Date:11/26/2014	Claim Due Date:02/24/2015
Notice No.:2014-135	Action: In the Matter of China Ruitai International Holdings Co., LTD., Dian Min Ma, Gang Ma, and Jin Tian Administrative Proceeding File No.: 3-15544 Case filed: September 30, 2013 Qualifying Judgment/Order: October 2, 2014	Notice Date:11/26/2014	Claim Due Date:02/24/2015
Notice No.:2014-103	Action: SEC v. Paul Marshall, Bridge Securities, LLC a/k/a/ Bridge Financial, Bridge Equity, Inc., and FOGfuels, Inc. Case number: 13-cv-3032 (United States District Court for the Northern District of Georgia) Case filed: September 11, 2013 Qualifying Judgment/Order: September 16, 2014	Notice Date:10/23/2014	Claim Due Date:01/21/2015
Notice No.:2014-104	Action: In the Matter of RA Capital Management, LLC Administrative Proceeding File No.: 3-16109 Case filed: September 16, 2014 Qualifying Judgment/Order: September 16, 2014	Notice Date:10/23/2014	Claim Due Date:01/21/2015
Notice No.:2014-105	Action: SEC v. Thomas D. Coldicutt, Jr., Elizabeth L. Coldicutt, Robert C. Weaver, Jr., Christopher C. Greenwood, Linda S. Farrell, and Susana Gomez Case number: 13-cv-01865 (United States District Court for the Central District of California) (originally filed as 12-cv-00505 (United States District Court for the Eastern District of Texas) Case filed: August 13, 2012 Qualifying Judgment/Order: August 14, 2014	Notice Date:10/23/2014	Claim Due Date:01/21/2015
Notice No.:2014-106	Action: SEC v. Gordon A. Driver and Axcess Automation, LLC Case number: 09-cv-03410 (United States District Court for the Central District of California) Case filed: May 14, 2009 Qualifying Judgment/Order: September 23, 2014	Notice Date:10/23/2014	Claim Due Date:01/21/2015
Notice No.:2014-107	Action: SEC v. Trendon T. Shavers and Bitcoin Savings and Trust Case number: 13-cv-00416 (United States District Court for the Eastern District of Texas) Case filed: July 23, 2013 Qualifying Judgment/Order: September 18, 2014	Notice Date:10/23/2014	Claim Due Date:01/21/2015
Notice No.:2014-108	Action: SEC v. AIC, Inc., Community Bankers Securities, LLC, Nicholas D. Skaltsounis, John B. Guyette, and John R. Graves Case number: 11-cv-00176 (United States District Court for the Eastern District of Tennessee) Case filed: April 15, 2011 Qualifying Judgment/Order: August 1, 2014	Notice Date:10/23/2014	Claim Due Date:01/21/2015
Notice No.:2014-109	Action: SEC v. Tyrone L. Gilliams, Jr. and TL Gilliams, LLC Case number: 11-cv-08201 (United States District Court for the Southern District of New York) Case filed: November 14, 2011 Qualifying Judgment/Order: September 16, 2014	Notice Date:10/23/2014	Claim Due Date:01/21/2015
Notice No.:2014-110	Action: In the Matter of Lincolnshire Management, Inc. Administrative Proceeding File No.: 3-16139 Case filed: September 22, 2014 Qualifying Judgment/Order: September 22, 2014	Notice Date:10/23/2014	Claim Due Date:01/21/2015
Notice No.:2014-111	Action: In the Matter of BlackRock Institutional Trust Company, N.A. Administrative Proceeding File No.: 3-16120 Case filed: September 16, 2014 Qualifying Judgment/Order: September 16, 2014	Notice Date:10/23/2014	Claim Due Date:01/21/2015
Notice No.:2014-112	Action: In the Matter of Whitebox Advisors LLC Administrative Proceeding File No.: 3-16117 Case filed: September 16, 2014 Qualifying Judgment/Order: September 16, 2014	Notice Date:10/23/2014	Claim Due Date:01/21/2015
Notice No.:2014-113	Action: In the Matter of Wilmington Trust Corporation Administrative Proceeding File No.: 3-16098 Case filed: September 11, 2014 Qualifying Judgment/Order: September 11, 2014	Notice Date:10/23/2014	Claim Due Date:01/21/2015
Notice No.:2014-114	Action: In the Matter of Latour Trading LLC and Nicolas Niquet Administrative Proceeding File No.: 3-16128 Case filed: September 17, 2014 Qualifying Judgment/Order: September 17, 2014	Notice Date:10/23/2014	Claim Due Date:01/21/2015
Notice No.:2014-115	Action: In the Matter of Barclays Capital Inc. Administrative Proceeding File No.: 3-16154 Case filed: September 23, 2014 Qualifying Judgment/Order: September 23, 2014	Notice Date:10/23/2014	Claim Due Date:01/21/2015
Notice No.:2014-116	Action: In the Matter of Bank of America Corporation Administrative Proceeding File No.: 3-16177 Case filed: September 29, 2014 Qualifying Judgment/Order: September 29, 2014	Notice Date:10/23/2014	Claim Due Date:01/21/2015
Notice No.:2014-117	Action: In the Matter of Saba Software, Inc., Patrick Farrell and Sajeev Menon Administrative Proceeding File No.: 3-16159 Case filed: September 24, 2014 Qualifying Judgment/Order: September 24, 2014	Notice Date:10/23/2014	Claim Due Date:01/21/2015
Notice No.:2014-118	Action: In the Matter of Babak ("Bobby") Yazdani Administrative Proceeding File No.: 3-16160 Case filed: September 24, 2014 Qualifying Judgment/Order: September 24, 2014	Notice Date:10/23/2014	Claim Due Date:01/21/2015
Notice No.:2014-119	Action: In the Matter of Wells Fargo Advisors, LLC Administrative Proceeding File No.: 3-16153 Case filed: September 22, 2014 Qualifying Judgment/Order: September 22, 2014	Notice Date:10/23/2014	Claim Due Date:01/21/2015
Notice No.:2014-96	Action: SEC v. Blake B. Richards Case number: 13-cv-01729 (United States District Court for the Northern District of Georgia) Case filed: May 23, 2013 Qualifying Judgment/Order: August 26, 2014	Notice Date:09/24/2014	Claim Due Date:12/23/2014
Notice No.:2014-97	Action: In the Matter of Bank of America Corporation Administrative Proceeding File No.: 3-16028 Case filed: August 21, 2014 Qualifying Judgment/Order: August 21, 2014	Notice Date:09/24/2014	Claim Due Date:12/23/2014
Notice No.:2014-98	Action: In the Matter of Keith MacDonald Summers Administrative Proceeding File No.: 3-16014 Case filed: August 13, 2014 Qualifying Judgment/Order: August 13, 2014	Notice Date:09/24/2014	Claim Due Date:12/23/2014
Notice No.:2014-99	Action: SEC v. James M. Peister and Northstar International Group Inc. Case number: 11-cv-03386 (United States District Court for the Eastern District of New York) Case filed: July 14, 2011 Qualifying Judgment/Order: August 19, 2014	Notice Date:09/24/2014	Claim Due Date:12/23/2014
Notice No.:2014-100	Action: SEC v. Fleet Mutual Wealth Limited, and MWF Financial Limited, d/b/a Mutual Wealth Case number: 14-cv-01409 (United States District Court for the Central District of California) Case filed: February 25, 2014 Qualifying Judgment/Order: August 21, 2014	Notice Date:09/24/2014	Claim Due Date:12/23/2014
Notice No.:2014-101	Action: SEC v. Troy Lyndon and Ronald Zaucha Case number: 13-cv-00486 (United States District Court for the District of Hawaii) Case filed: September 24, 2013 Qualifying Judgment/Order: August 21, 2014	Notice Date:09/24/2014	Claim Due Date:12/23/2014
Notice No.:2014-102	Action: SEC v. Danny Garber, Michael Manis, Kenneth Yellin, Jordan Feinstein, Aluma Holdings LLC, Azure Trading LLC, Coastal Group Holdings, Inc., Greyhawk Equities LLC, Leonidas Group Holdings LLC, The Leonidas Group LLC, Nismic Sales Corp., The OGP Group LLC, Perlinda Enterprises LLC, Rio Sterling Holdings LLC, Slow Train Holdings LLC, and Spartan Group Holdings LLC Case number: 12-cv-09339 (United States District Court for the Southern District of New York) Case filed: December 21, 2012 Qualifying Judgment/Order: August 12, 2014	Notice Date:09/24/2014	Claim Due Date:12/23/2014
Notice No.:2014-94	Action: SEC v. Rajat K. Gupta and Raj Rajaratnam Case number: 11-cv-7566 (United States District Court for the Southern District of New York) Case filed: October 26, 2011 Qualifying Judgment/Order: December 26, 2012	Notice Date:09/05/2014	Claim Due Date:12/04/2014
Notice No.:2014-95	Action: SEC v. Universal Travel Group, Jiangping Jiang and Jing Xie Case number: 13-cv-01492 (United States District Court for the District of Columbia) Case filed: September 27, 2013 Qualifying Judgment/Order: September 30, 2013 In the Matter of EFP Rotenberg, LLP and Nicholas R. Bottini, CPA Administrative Proceeding File No.: 3-15952 Case filed: July 1, 2014 Qualifying judgment/order: July 1, 2014	Notice Date:09/05/2014	Claim Due Date:12/04/2014
Notice No.:2014-80	Action: SEC v. Patrick G. Rooney and Solaris Management, LLC Case number: 11-cv-08264 (United States District Court for the Northern District of Illinois) Case filed: November 18, 2011 Qualifying Judgment/Order: July 14, 2014	Notice Date:08/21/2014	Claim Due Date:11/19/2014
Notice No.:2014-81	Action: SEC v. Cedric Cañas Maillard and Julio Marín Ugedo Case number: 13-cv-05299 (United States District Court for the Southern District of New York) Case filed: July 30, 2013 Qualifying Judgment/Order: July 21, 2014	Notice Date:08/21/2014	Claim Due Date:11/19/2014
Notice No.:2014-82	Action: SEC v. Bernard H. Butts, Jr., Fotios Geivelis, Jr., also known as Frank Anastasio, Worldwide Funding III Limited LLC, Douglas J. Anisky, Sidney Banner, Express Commercial Capital LLC, James Baggs Case number: 13-cv-23115 (United States District Court for the Southern District of Florida) Case filed: August 29, 2013 Qualifying Judgment/Order: July 11, 2014	Notice Date:08/21/2014	Claim Due Date:11/19/2014
Notice No.:2014-83	Action: SEC v. DDBO Consulting, Inc., DBBG Consulting, Inc., Dean R. Baker, and Bret A. Grove Case number: 14-cv-61685 (United States District Court for the Southern District of Florida) Case filed: July 24, 2014 Qualifying Judgment/Order: July 31, 2014	Notice Date:08/21/2014	Claim Due Date:11/19/2014
Notice No.:2014-84	Action: SEC v. Scott Ashton Riggs, Darrell Parlee, Steven Manderfeld, Ashton Oilfield Services, LLC, Ashton Equipment, LLC, AOS 1-A, L.P., and AOS 1-B, L.P. Case number: 13-cv-04403 (United States District Court for the Northern District of Texas) Case filed: November 1, 2013 Qualifying Judgment/Order: July 11, 2014	Notice Date:08/21/2014	Claim Due Date:11/19/2014
Notice No.:2014-85	Action: SEC v. Citigroup Global Markets Inc. Case number: 11-cv-07387 (United States District Court for the Southern District of New York) Case filed: October 19, 2011 Qualifying Judgment/Order: August 5, 2014	Notice Date:08/21/2014	Claim Due Date:11/19/2014
Notice No.:2014-86	Action: SEC v. Bryan S. Behrens and National Investments, Inc. Case number: 08-cv-00013 (United States District Court for the District of Nebraska) Case filed: January 10, 2008 Qualifying Judgment/Order: July 17, 2014	Notice Date:08/21/2014	Claim Due Date:11/19/2014
Notice No.:2014-87	Action: SEC v. John Babikian Case number: 14-cv-1740 (United States District Court for the Southern District of New York) Case filed: March 13, 2014 Qualifying Judgment/Order: July 8, 2014	Notice Date:08/21/2014	Claim Due Date:11/19/2014
Notice No.:2014-88	Action: SEC v. Walter Ng, Kelly Ng, Bruce Horwitz, and The Mortgage Fund, LLC Case number: 13-cv-00895 (United States District Court for the Northern District of California) Case filed: February 28, 2013 Qualifying Judgment/Order: August 1, 2014	Notice Date:08/21/2014	Claim Due Date:11/19/2014
Notice No.:2014-89	Action: In the Matter of Smith & Wesson Holding Corporation Administrative Proceeding File No.: 3-15986 Case filed: July 28, 2014 Qualifying Judgment/Order: July 28, 2014	Notice Date:08/21/2014	Claim Due Date:11/19/2014
Notice No.:2014-90	Action: In the Matter of Morgan Stanley and Co. LLC; Morgan Stanley ABS Capital I Inc.; and Morgan Stanley Mortgage Capital Holdings LLC Administrative Proceeding File No.: 3-15982 Case filed: July 24, 2014 Qualifying Judgment/Order: July 24, 2014	Notice Date:08/21/2014	Claim Due Date:11/19/2014
Notice No.:2014-91	Action: In the Matter of Ernst & Young LLP Administrative Proceeding File No.: 3-15970 Case filed: July 14, 2014 Qualifying Judgment/Order: July 14, 2014	Notice Date:08/21/2014	Claim Due Date:11/19/2014
Notice No.:2014-92	Action: In the Matter of LavaFlow, Inc. Administrative Proceeding File No.: 3-15985 Case filed: July 25, 2014 Qualifying Judgment/Order: July 25, 2014	Notice Date:08/21/2014	Claim Due Date:11/19/2014
Notice No.:2014-93	Action: In the Matter of Linkbrokers Derivatives LLC Administrative Proceeding File No.: 3-16017 Case filed: August 14, 2014 Qualifying Judgment/Order: August 14, 2014	Notice Date:08/21/2014	Claim Due Date:11/19/2014
Notice No.:2014-72	Action: SEC v. AutoChina International Limited, Hui Kai Yan, Rui Ge Dong, Victory First Limited, Rainbow Yield Limited, Yong Qi Li, Ai Xi Ji, Ye Wang, Zhong Wen Zhang, Li Xin Ma, Yong Li Li, and Shu Ling Li Case number: 12-cv-10643 (United States District Court for the District of Massachusetts) Case filed: April 11, 2012 Qualifying Judgment/Order: June 25, 2014	Notice Date:07/21/2014	Claim Due Date:10/19/2014
Notice No.:2014-73	Action: SEC v. Robert Hurd, Your Best Memories International, Inc., and Kenneth Gross Case number: 13-cv-04464 (United States District Court for the Central District of California) Case filed: June 20, 2013 Qualifying Judgment/Order: June 10, 2014	Notice Date:07/21/2014	Claim Due Date:10/19/2014
Notice No.:2014-74	Action: SEC v. Marcus A. Luna; Nathan Montgomery; Adam Daskivich; David Murtha; St. Paul Venture Fund, LLC; Minnesota Venture Capital, Inc.; Real Estate of Minnesota, Inc.; and Matrix Venture Capital, Inc. Case number: 10-cv-2166 (United States District Court for the District of Nevada) Case filed: December 14, 2010 Qualifying Judgment/Order: June 27, 2014	Notice Date:07/21/2014	Claim Due Date:10/19/2014
Notice No.:2014-75	Action: SEC v. Charles J. Dushek, Charles S. Dushek, and Capital Management Associates, Inc. Case number: 13-cv-03669 (United States District Court for the Northern District of Illinois) Case filed: May 16, 2013 Qualifying Judgment/Order: June 4, 2014	Notice Date:07/21/2014	Claim Due Date:10/19/2014
Notice No.:2014-76	Action: SEC v. Christopher A.T. Pedras (aka Chris Pedras aka Antone Thomas Pedras); Sylvester M. Gray II; Alicia Bryan; Maxum Gold Bnk Holdings Limited; Maxum Gold Bnk Holdings LLC; FMP Medical Services Limited; and FMP Medical Services LLC Case number: 13-cv-07932 (United States District Court for the Central District of California) Case filed: October 28, 2013 Qualifying Judgment/Order: June 9, 2014	Notice Date:07/21/2014	Claim Due Date:10/19/2014
Notice No.:2014-77	Action: SEC v. Thomas Fletcher & Co. Inc., Thomas Fletcher & Company, Inc., Sergei Voronchenko, Roman Thaker, Alex Berg, John Donadio and Padraig McGlynn Case number: 02-cv-9355 (United States District Court for the Southern District of New York) Case filed: November 22, 2002 Qualifying Judgment/Order: June 19, 2014	Notice Date:07/21/2014	Claim Due Date:10/19/2014
Notice No.:2014-78	Action: SEC v. John Lazorchak, Mark S. Cupo, Mark D. Foldy, Michael L. Castelli, Lawrence D. Grum, Michael T. Pendolino, and James N. Deprado Case number: 12-cv-07164 (United States District Court for the District of New Jersey) Case filed: November 19, 2012 Qualifying Judgment/Order: June 12, 2014	Notice Date:07/21/2014	Claim Due Date:10/19/2014
Notice No.:2014-79	Action: SEC v. CR Intrinsic Investors, LLC, Mathew Martoma, and Dr. Sidney Gilman Case number: 12-cv-8466 (United States District Court for the Southern District of New York) Case filed: November 20, 2012 Qualifying Judgment/Order: June 18, 2014	Notice Date:07/21/2014	Claim Due Date:10/19/2014
Notice No.:2014-70	Action: SEC v. Avanti Capital Partners, LLC, a Utah Limited Liability Company, Highland Residential, LLC, a Utah Limited Liability Company, and Ivan Wade Brown, an Individual Case number: 12-cv-00788 (United States District Court for the District of Utah) Case filed: August 13, 2012 Qualifying judgment/order: April 24, 2014	Notice Date:06/19/2014	Claim Due Date:09/17/2014
Notice No.:2014-71	Action: In the Matter of Paradigm Capital Management, Inc. and Candace King Weir Administrative Proceeding File No: 3-15930 Case filed: June 16, 2014 Qualifying judgment/order: June 16, 2014	Notice Date:06/19/2014	Claim Due Date:09/17/2014
Notice No.:2014-58	Action: In the Matter of George B. Franz III and Ruby Corporation Administrative Proceeding File No.: 3-15526 Case filed: April 30 2014 Qualifying judgment/order: April 30, 2014	Notice Date:06/19/2014	Claim Due Date:09/17/2014
Notice No.:2014-59	Action: In the Matter of Diego F. Hernandez, The Wealth Management Partners, LLC, Wealth Financial, Limited Liability Company, DFHR Investments, Inc., and HD Mile High Marketing, Inc. Administrative Proceeding File No.: 3-15518 Case filed: May 1, 2014 Qualifying judgment/order: May 1, 2014	Notice Date:06/19/2014	Claim Due Date:09/17/2014
Notice No.:2014-60	Action: In the Matter of Genesis Advisory Services Corp., ABJ Societe Anonyme Corp., and Bruce J. Fixelle Administrative Proceeding File No.: 3-15881 Case filed: May 1, 2014 Qualifying judgment/order: May 1, 2014	Notice Date:06/19/2014	Claim Due Date:09/17/2014
Notice No.:2014-61	Action: SEC v. Yuhe International, Inc. and Gao Zhentao Case number: 13-cv-01598 (United States District Court for the District of Columbia) Case filed: October 18, 2013 Qualifying judgment/order: May 22, 2014	Notice Date:06/19/2014	Claim Due Date:09/17/2014
Notice No.:2014-62	Action: SEC v. S. Paul Kelley, George Tazbaz, Roger D. Lockhart, Robert S. Agriogianis, and Shawn A. Becker Case number: 14-cv-02827 (United States District Court for the District of New Jersey) Case filed: May 6, 2014 Qualifying judgment/order: May 12, 2014	Notice Date:06/19/2014	Claim Due Date:09/17/2014
Notice No.:2014-63	Action: SEC v. Richard Olive and Susan Olive Case number: 13-cv-14047 (United States District Court for the Southern District of Florida) Case filed: February 4, 2013 Qualifying judgment/order: May 23, 2014	Notice Date:06/19/2014	Claim Due Date:09/17/2014
Notice No.:2014-64	Action: SEC v. OM Investment Management LLC, Gignesh Movalia, and Edwin V. Gaw Case number: 13-cv-23486 (United States District Court for the Southern District of Florida) Case filed: September 27, 2013 Qualifying judgment/order: May 29, 2014	Notice Date:06/19/2014	Claim Due Date:09/17/2014
Notice No.:2014-65	Action: SEC v. Herbert Richard Lawson, William B. Lawson, and John J. Cerullo Case number: 14-cv-02157 (United States District Court for the Northern District of California) Case filed: May 12, 2014 Qualifying judgment/order: May 23, 2014	Notice Date:06/19/2014	Claim Due Date:09/17/2014
Notice No.:2014-66	Action: SEC v. Behrooz Sarafraz Case number: 14-cv-02252 (United States District Court for the Northern District of California) Case filed: May 15, 2014 Qualifying judgment/order: May 27, 2014	Notice Date:06/19/2014	Claim Due Date:09/17/2014
Notice No.:2014-67	Action: SEC v. Alberto William Vilar, and Gary Alan Tanaka Case number: 05-cv-05231 Case filed: June 2, 2005 Qualifying judgment/order: May 16, 2014	Notice Date:06/19/2014	Claim Due Date:09/17/2014
Notice No.:2014-68	Action: SEC v. Charles Vista, LLC Case number: 14-cv-02643 (United States District Court for the Eastern District of New York) Case filed: April 28, 2014 Qualifying judgment/order: May 29, 2014	Notice Date:06/19/2014	Claim Due Date:09/17/2014
Notice No.:2014-69	Action: SEC v. Anthony Vassallo, Kenneth Kenitzer and Equity Investment Management and Trading, Inc. Case number: 09-cv-00665 (United States District Court for the Eastern District of California) Case filed: March 11, 2009 Qualifying judgment/order: May 23, 2014	Notice Date:06/19/2014	Claim Due Date:09/17/2014
Notice No.:2014-57	Action: In the Matter of Liquidnet, Inc. Administrative Proceeding File No.: 3-15912 Case filed: June 6, 2014 Qualifying judgment/order: June 6, 2014	Notice Date:06/06/2014	Claim Due Date:09/04/2014
Notice No.:2014-48	Action: SEC v. CVS Caremark Corp. Case number: 14-cv-0177 (United States District Court for the District of Rhode Island) Case filed: April 8, 2014 Qualifying Judgment/Order: April 8, 2014	Notice Date:05/22/2014	Claim Due Date:08/20/2014
Notice No.:2014-49	Action: SEC v. Seven Palm Investments, LLC, Peter P. Veugeler, Cardiovascular Sciences, Inc., and Lawrence H. Hooper, Jr. Case number: 10-cv-02755 (United States District Court for the Northern District of Illinois) Case filed: May 4, 2010 Qualifying Judgment/Order: April 21, 2014	Notice Date:05/22/2014	Claim Due Date:08/20/2014
Notice No.:2014-50	Action: In the Matter of Visionary Trading LLC, Lightspeed Trading LLC, Andrew Actman, Joseph Dondero, Eugene Giaquinto, Lee Heiss, and Jason Medvin Administrative Proceeding File No.: 3-15823 Case filed: April 4, 2014 Qualifying Judgment/Order: April 4, 2014	Notice Date:05/22/2014	Claim Due Date:08/20/2014
Notice No.:2014-51	Action: SEC v. Glenn Hoppes, United States Energy Corp., TN-KY Development Fund LP, TN-KY Development Fund II LP, and TN-KY Development Fund III LP Case number: 13-cv-00868 (United States District Court for the Middle District of Florida) Case filed: April 5, 2013 Qualifying Judgment/Order: April 18, 2014	Notice Date:05/22/2014	Claim Due Date:08/20/2014
Notice No.:2014-52	Action: SEC v. Armand R. Franquelin and Martin A. Pool Case number: 13-cv-00096 (United States District for the District of Utah) Case filed: July 2, 2013 Qualifying Judgment/Order: April 18, 2014	Notice Date:05/22/2014	Claim Due Date:08/20/2014
Notice No.:2014-53	Action: SEC v. S. Paul Kelley, George Tazbaz, Roger D. Lockhart, Robert S. Agriogianis, and Shawn A. Becker Case number: 14-cv-02827 (United States District Court for the District of New Jersey) Case filed: May 5, 2014 Qualifying Judgment/Order: May 12, 2014	Notice Date:05/22/2014	Claim Due Date:08/20/2014
Notice No.:2014-54	Action: SEC v. Steven B. Heinz and S.B. Heinz & Associates, Inc. Case number: 13-cv-00753 (United States District Court for the District of Utah) Case filed: August 8, 2013 Qualifying Judgment/Order: April 28, 2014	Notice Date:05/22/2014	Claim Due Date:08/20/2014
Notice No.:2014-55	Action: In the Matter of Hewlett-Packard Company Administrative Proceeding File No.: 3-15832 Case filed: April 9, 2014 Qualifying Judgment/Order: April 9, 2014	Notice Date:05/22/2014	Claim Due Date:08/20/2014
Notice No.:2014-56	Action: In the Matter of New York Stock Exchange LLC, NYSE Arca, Inc., NYSE MKT LLC f/k/a NYSE Amex LLC, and Archipelago Securities, L.L.C. Administrative Proceeding File No.: 3-15860 Case filed: May 1, 2014 Qualifying Judgment/Order: May 1, 2014	Notice Date:05/22/2014	Claim Due Date:08/20/2014
Notice No.:2014-35	Action: SEC v. Onyx Capital Advisors, LLC, Roy Dixon, Jr., and Michael A. Farr Case number: 10-cv-11633 (United States District Court for the Eastern District of Michigan) Case filed: April 22, 2010 Qualifying Judgment/Order: January 31, 2014	Notice Date:04/22/2014	Claim Due Date:07/21/2014
Notice No.:2014-36	Action: In the Matter of Jefferies LLC (formerly known as Jefferies & Company, Inc.) Administrative Proceeding File No.: 3-15785 Case filed: March 12, 2014 Qualifying Judgment/Order: March 12, 2014	Notice Date:04/22/2014	Claim Due Date:07/21/2014
Notice No.:2014-37	Action: SEC v. John S. Morgan, Marian I. Morgan, Morgan European Holdings ApS a/k/a Money Talks, Inc., ApS, Stephen E. Bowman, Bowman Marketing Group, Inc., and Thomas D. Woodcock, Jr. Case number: 09-cv-01093 (United States District Court for the Middle District of Florida) Case filed: June 11, 2009 Qualifying Judgment/Order: July 5, 2012	Notice Date:04/22/2014	Claim Due Date:07/21/2014
Notice No.:2014-38	Action: SEC v. Joseph Hilton f/k/a Joseph Yurkin, Pacific Northwestern Energy LLC, Rock Castle Drilling Fund LP, Rock Castle Drilling Fund II LP, and New Horizon Publishing Inc. Case number: 12-cv-81033 (United States District Court for the Southern District of Florida) Case filed: September 24, 2012 Qualifying Judgment/Order: March 20, 2014	Notice Date:04/22/2014	Claim Due Date:07/21/2014
Notice No.:2014-39	Action: SEC v. Samuel E. Wyly, Charles J. Wyly, Jr., Michael C. French, and Louis J. Schaufele III Case number: 10-cv-05760 (United States District Court for the Southern District of New York) Case filed: July 29, 2010 Qualifying Judgment/Order: March 21, 2014	Notice Date:04/22/2014	Claim Due Date:07/21/2014
Notice No.:2014-40	Action: In the Matter of Howard Feder and BDL Manager LLC Administrative Proceeding File No.: 3-15788 Case filed: March 13, 2014 Qualifying Judgment/Order: March 13, 2014	Notice Date:04/22/2014	Claim Due Date:07/21/2014
Notice No.:2014-41	Action: SEC v. Dawn Wright-Olivares and Daniel Olivares Case number: 13-cv-00700 (United States District Court for the Western District of North Carolina) Case filed: December 20, 2013 Qualifying Judgment/Order: February 28, 2014	Notice Date:04/22/2014	Claim Due Date:07/21/2014
Notice No.:2014-42	Action: In the Matter of Lions Gate Entertainment Corp. Administrative Proceeding File No.: 3-15791 Case filed: March 13, 2014 Qualifying Judgment/Order: March 13, 2014	Notice Date:04/22/2014	Claim Due Date:07/21/2014
Notice No.:2014-43	Action: SEC v. Certain Unknown Traders in the Securities of H.J. Heinz Company Case number: 13-cv-1080 (United States District Court for the Southern District of New York) Case filed: February 25, 2013 Qualifying Judgment/Order: April 2, 2014	Notice Date:04/22/2014	Claim Due Date:07/21/2014
Notice No.:2014-44	Action: SEC v. Juno Mother Earth Asset Management, LLC, Eugenio Verzili and Arturo Allan Rodriguez Lopez a/k/a Arturo Rodriguez Case number: 11-cv-1778 (United States District Court for the Southern District of New York) Case filed: March 15, 2011 Qualifying Judgment/Order: March 31, 2014	Notice Date:04/22/2014	Claim Due Date:07/21/2014
Notice No.:2014-45	Action: SEC v. John Kinnucan and Broadband Research Corporation Case number: 12-cv-1230 (United States District Court for the Southern District of New York) Case filed: February 17, 2012 Qualifying Judgment/Order: April 1, 2014	Notice Date:04/22/2014	Claim Due Date:07/21/2014
Notice No.:2014-46	Action: In the Matter of Worldwide Capital, Inc. and Jeffrey W. Lynn Administrative Proceeding File No.: 3-15772 Case filed: March 5, 2014 Qualifying Judgment/Order: March 5, 2014	Notice Date:04/22/2014	Claim Due Date:07/21/2014
Notice No.:2014-47	Action: SEC v. Syndicated Food Service International, Inc., Nick Pirgousis, Frank Dolney, William Brown, Gary Todd, Mario Casias, Delta Asset Management Company, LLC, William Keeler, William Scott, Iain H.T. Brown, Iain Brown, Fidra Holdings LTD., Jeffrey Richardson, Peter Moulinos, Michelle Kramish Kain, Joseph Ferragamo, Adam Klein, Christopher Quintana, and Thomas Tanis Case number: 04-cv-01303 (United States District Court for the Eastern District of New York) Case filed: March 29, 2004 Qualifying Judgment/Order: April 1, 2014	Notice Date:04/22/2014	Claim Due Date:07/21/2014
Notice No.:2014-23	Action: SEC v. Jerry S. Williams, Monk's Den, LLC, and First in Awareness, LLC Case number: 12-cv-01068 (United States District Court for the District of Connecticut) Case filed: July 20, 2012 Qualifying judgment/order: February 18, 2014	Notice Date:03/24/2014	Claim Due Date:06/22/2014
Notice No.:2014-24	Action: SEC v. John J. Bravata, Richard J. Trabulsy, Antonio M. Bravata, BBC Equities, LLC, and Bravata Financial Group, LLC Case number: 09-cv-12950 (United States District Court for the Eastern District of Michigan) Case filed: July 26, 2009 Qualifying judgment/order: March 6, 2014	Notice Date:03/24/2014	Claim Due Date:06/22/2014
Notice No.:2014-25	Action: SEC v. Jeremy S. Fisher, The Good Life Financial Group, Inc., and The Good Life Global Enterprises, LLC Case number: 13-cv-00683 (United States District Court for the Western District of Wisconsin) Case filed: September 30, 2013 Qualifying judgment/order: October 16, 2013	Notice Date:03/24/2014	Claim Due Date:06/22/2014
Notice No.:2014-26	Action: SEC v. Recycle Tech, Inc., Keven Sepe, Ronny J. Halperin, Ryan Gonzalez, OTC Solutions LLC, Anthony Thompson, Pudong LLC, Jay Fung and David Rees Case number: 12-cv-21656 (United States District Court for the Southern District of Florida) Case filed: May 2, 2012 Qualifying judgment/order: February 14, 2014	Notice Date:03/24/2014	Claim Due Date:06/22/2014
Notice No.:2014-27	Action: SEC v. Delsa U. Thomas; The D. Christopher Capital Management Group, LLC; and The Solomon Fund, LP Case number: 13-cv-00739 (United States District Court for the Northern District of Texas) Case filed: February 15, 2013 Qualifying judgment/order: March 4, 2014	Notice Date:03/24/2014	Claim Due Date:06/22/2014
Notice No.:2014-28	Action: In the Matter of Apple REIT Six, Inc.; Apple REIT Seven, Inc.; Apple REIT Eight, Inc.; Apple REIT Nine, Inc.; Apple Six Advisors, Inc.; Apple Seven Advisors, Inc., Apple Eight Advisors, Inc.; Apple Nine Advisors, Inc.; Glade M. Knight; and Bryan F. Peery, CPA Administrative Proceeding File No.: 3-15750 Case filed: February 12, 2014 Qualifying judgment/order: February 12, 2014	Notice Date:03/24/2014	Claim Due Date:06/22/2014
Notice No.:2014-29	Action: SEC v. China Intelligent Lighting and Electronics, Inc., NIVS Intellimedia Technology Group, Inc., Tianfu Li, and Xuemei Li Case number: 13-cv-05079 (United States District Court for the Southern District of New York) Case filed: July 22, 2013 Qualifying judgment/order: March 10, 2014	Notice Date:03/24/2014	Claim Due Date:06/22/2014
Notice No.:2014-32	Action: SEC v. George Garcy a/k/a Jorge Garcia, and Angelo Cuomo Case number: 11-cv-02282 (United States District Court for the Eastern District of New York) Case filed: May 11, 2011 Qualifying judgment/order: February 7, 2014	Notice Date:03/24/2014	Claim Due Date:06/22/2014
Notice No.:2014-34	Action: In the Matter of Ronald S. Bloomfield, Robert Gorgia, and John Earl Martin, Sr. Administrative Proceeding File No.: 3-13871 Case filed: February 27, 2014 Qualifying judgment/order: February 27, 2014	Notice Date:03/24/2014	Claim Due Date:06/22/2014
Notice No.:2014-30	Action: SEC v. Secure Capital Funding Corporation, Bertram Augustus Hill, PP&M Trade Partners, and Kiavanni Pringle Case number: 11-cv-00916 (United States District Court for the District of New Jersey) Case filed: February 18, 2011 Qualifying judgment/order: March 10, 2014	Notice Date:03/22/2014	Claim Due Date:06/20/2014
Notice No.:2014-31	Action: SEC v. Dean P. Gross and Gregory W. Laser Case number: 09-cv-09144 (United States District Court for the Central District of California) Case filed: December 14, 2009 Qualifying judgment/order: February 12, 2014	Notice Date:03/22/2014	Claim Due Date:06/20/2014
Notice No.:2014-33	Action: SEC v. Henry Morris, David J. Loglisci, Nosemote LLC, Pantigo Emerging LLC, and Purpose LLC Case number: 09-cv-02518 (United States District Court for the Southern District of New York) Case filed: March 19, 2009 Qualifying judgment/order: March 3, 2014	Notice Date:03/22/2014	Claim Due Date:06/20/2014
Notice No.:2014-22	Action: SEC v. Burton Douglas Morriss, Acartha Group, LLC, MIC VII, LLC, Acartha Technology Partners, LP, and Gryphon Investments III, LLC Case number: 12-cv-00080 (United States District Court for the Eastern District of Missouri) Case filed: January 17, 2012 Qualifying Judgment/Order: February 26, 2014	Notice Date:03/07/2014	Claim Due Date:06/05/2014
Notice No.:2014-9	Action: In the Matter of Credit Suisse Group AG Administrative Proceeding File No.: 3-15763 Case filed: February 21, 2014 Qualifying Judgment/Order: February 21, 2014	Notice Date:02/24/2014	Claim Due Date:05/25/2014
Notice No.:2014-10	Action: In the Matter of KPMG LLP Administrative Proceeding File No.: 3-15687 Case filed: January 24, 2014 Qualifying Judgment/Order: January 24, 2014	Notice Date:02/24/2014	Claim Due Date:05/25/2014
Notice No.:2014-11	Action: In the Matter of Alcoa Inc. Administrative Proceeding File No.: 3-15673 Case filed: January 9, 2014 Qualifying Judgment/Order: January 9, 2014	Notice Date:02/24/2014	Claim Due Date:05/25/2014
Notice No.:2014-12	Action: In the Matter of Western Asset Management Company Administrative Proceeding File No.: 3-15689 Case filed: January 27, 2014 Qualifying Judgment/Order: January 27, 2014	Notice Date:02/24/2014	Claim Due Date:05/25/2014
Notice No.:2014-13	Action: In the Matter of Scottrade, Inc. Administrative Proceeding File No.: 3-15702 Case filed: January 29, 2014 Qualifying Judgment/Order: January 29, 2014	Notice Date:02/24/2014	Claim Due Date:05/25/2014
Notice No.:2014-14	Action: SEC v. Joseph Paul Zada and Zada Enterprises, LLC Case number: 10-cv-14498 (United States District Court for the Eastern District of Michigan) Case filed: November 10, 2010 Qualifying Judgment/Order: January 31, 2014	Notice Date:02/24/2014	Claim Due Date:05/25/2014
Notice No.:2014-15	Action: SEC v. Uriel Sharef, Ulrich Bock, Carlos Sergi, Stephan Signer, Herbert Steffen, Andres Truppel, and Bernd Regendantz Case number: 11-cv-09073 (United States District Court for the Southern District of New York) Case filed: December 13, 2011 Qualifying Judgment/Order: February 4, 2014	Notice Date:02/24/2014	Claim Due Date:05/25/2014
Notice No.:2014-16	Action: SEC v. Thomas Rubin, Christopher Scott, BGLR Enterprises, LLC, and E-Info Solutions LLC Case number: 11-cv-01466 (United States District Court for the Central District of California) Case filed: September 22, 2011 Qualifying Judgment/Order: January 22, 2014	Notice Date:02/24/2014	Claim Due Date:05/25/2014
Notice No.:2014-17	Action: SEC v. Mark A. Lefkowitz, Compass Capital Group, Inc., Mark A. Lopez, Unico, Inc., Steven R. Peacock, Shane H. Traveller, and Advanced Cell Technology, Inc. Case number: 12-cv-01210 (United States District Court for the Middle District of Florida) Case filed: May 30, 2012 Qualifying Judgment/Order: December 30, 2013	Notice Date:02/24/2014	Claim Due Date:05/25/2014
Notice No.:2014-18	Action: SEC v. Archer-Daniels-Midland Company Case number: 13-cv-02279 (United States District Court for the Central District of Illinois) Case filed: December 20, 2013 Qualifying Judgment/Order: January 21, 2014	Notice Date:02/24/2014	Claim Due Date:05/25/2014
Notice No.:2014-19	Action: SEC v. Kareem Serageldin, David Higgs, Faisal Siddiqui and Salmaan Siddiqui Case number: 12-cv-00796 (United States District Court for the Southern District of New York) Case filed: February 1, 2012 Qualifying Judgment/Order: January 21, 2014	Notice Date:02/24/2014	Claim Due Date:05/25/2014
Notice No.:2014-20	Action: SEC v. David Blech and Margaret Chassman Case number: 12-cv-03703 (United States District Court for the Southern District of New York) Case filed: May 9, 2012 Qualifying Judgment/Order: August 22, 2013	Notice Date:02/24/2014	Claim Due Date:05/25/2014
Notice No.:2014-21	Action: SEC v. Diamond Foods, Inc. Case number: 14-cv-00123 (United States District Court for the Northern District of California) Case filed: January 9, 2014 Qualifying Judgment/Order: January 21, 2014	Notice Date:02/24/2014	Claim Due Date:05/25/2014
Notice No.:2014-1	Action: In the Matter of GLG Partners, Inc. and GLG Partners, L.P. Administrative Proceeding File No.: 3-15641 Case filed: December 12, 2013 Qualifying Judgment/Order: December 12, 2013	Notice Date:01/17/2014	Claim Due Date:04/17/2014
Notice No.:2014-2	Action: In the Matter of Merrill Lynch, Pierce, Fenner & Smith Inc. Administrative Proceeding File No.: 3-15642 Case filed: December 12, 2013 Qualifying Judgment/Order: December 12, 2013	Notice Date:01/17/2014	Claim Due Date:04/17/2014
Notice No.:2014-3	Action: SEC v. Weatherford International Ltd. Case number: 13-cv-03500 (United States District Court for the Southern District of Texas) Case filed: November 26, 2013 Qualifying Judgment/Order: December 19, 2013	Notice Date:01/17/2014	Claim Due Date:04/17/2014
Notice No.:2014-4	Action: SEC v. Waldyr Da Silva Prado Neto Case number: 12-cv-7094 (United States District Court for the Southern District of New York) Case filed: September 21, 2012 Qualifying Judgment/Order: January 7, 2014	Notice Date:01/17/2014	Claim Due Date:04/17/2014
Notice No.:2014-5	Action: SEC v. Lawrence J. Robbins Case number: 13-cv-06694 (United States District Court for the Southern District of New York) Case filed: September 23, 2013 Qualifying Judgment/Order: November 27, 2013	Notice Date:01/17/2014	Claim Due Date:04/17/2014
Notice No.:2014-6	Action: SEC v. William Landberg, Kevin Kramer, Steven Gould, Janis Barsuk, West End Financial Advisors LLC, West End Capital Management LLC, and Sentinel Investment Management Corporation Case number: 11-cv-0404 (United States District Court for the Southern District of New York) Case filed: January 20, 2011 Qualifying Judgment/Order: December 17, 2013	Notice Date:01/17/2014	Claim Due Date:04/17/2014
Notice No.:2014-7	Action: In the Matter of Daniel Bogar, Bernerd E. Young, and Jason T. Green Administrative Proceeding File No.: 3-15003 Case filed: August 31, 2012 Qualifying Judgment/Order: December 18, 2013	Notice Date:01/17/2014	Claim Due Date:04/17/2014
Notice No.:2014-8	Action: SEC v. Marek Leszczynski, Benjamin Chouchane, Gregory Reyftmann, and Henry A. Condron Case number: 12-cv-07488 (United States District Court for the Southern District of New York) Case filed: October 5, 2012 Qualifying Judgment/Order: January 13, 2014	Notice Date:01/17/2014	Claim Due Date:04/17/2014