Notice of Covered Actions

Notice No.	Action	Notice Date	Claim Due Date
Notice No.:2015-136	Action: SEC v. Tropikgadget FZE, et al. Case Number: 15-cv-10543 (United States District Court for the District of Massachusetts) Date Filed: February 25, 2015 Date of Qualifying Judgment/Order: November 12, 2015	Notice Date:12/23/2015	Claim Due Date:03/22/2016
Notice No.:2015-137	Action: In the Matter of Grant Thornton, LLP Administrative Proceeding File No.: 3-16976 Date Filed: December 2, 2015 Date of Qualifying Judgment/Order: December 2, 2015 In the Matter of Melissa K. Koeppel, CPA, and Jeffrey J. Robinson, CPA Administrative Proceeding File No.: 3-16977 Date Filed: December 2, 2015 Date of Qualifying Judgment/Order: December 2, 2015	Notice Date:12/23/2015	Claim Due Date:03/22/2016
Notice No.:2015-138	Action: SEC v. Summit Trust Company, Rampart Capital Management, LLC, Trust Counselors Network, Inc., Brown Investment Advisors, Inc., Kevin C. Brown, and George P. Brown Case Number: 15-cv-05843 (United States District Court for the Eastern District of Pennsylvania) Date Filed: October 27, 2015 Date of Qualifying Judgment/Order: November 6, 2015	Notice Date:12/23/2015	Claim Due Date:03/22/2016
Notice No.:2015-139	Action: SEC v. Hitachi, LTD. Case Number: 15-cv-01573 (United States District Court for the District of Columbia) Date Filed: September 28, 2015 Date of Qualifying Judgment/Order: November 24, 2015	Notice Date:12/23/2015	Claim Due Date:03/22/2016
Notice No.:2015-140	Action: SEC v. Vladimir Eydelman Case Number: 14-cv-01742 (United States District Court for the District of New Jersey) Date Filed: March 19, 2014 Date of Qualifying Judgment/Order: October 28, 2015	Notice Date:12/23/2015	Claim Due Date:03/22/2016
Notice No.:2015-141	Action: SEC v. Brett A. Cooper, et al. Case Number: 13-cv-05781 (United States District Court for the District of New Jersey) Date Filed: September 27, 2013 Date of Qualifying Judgment/Order: November 5, 2015	Notice Date:12/23/2015	Claim Due Date:03/22/2016
Notice No.:2015-142	Action: In the Matter of Standard Bank PLC Administrative Proceeding File No.: 3-16973 Date Filed: November 30, 2015 Date of Qualifying Judgment/Order: November 30, 2015	Notice Date:12/23/2015	Claim Due Date:03/22/2016
Notice No.:2015-143	Action: In the Matter of Sands Brothers Asset Management, LLC, Steven Sands, Martin Sands, and Christopher Kelly Administrative Proceeding File No.: 3-16223 Date Filed: November 19, 2015 Date of Qualifying Judgment/Order: November 19, 2015	Notice Date:12/23/2015	Claim Due Date:03/22/2016
Notice No.:2015-144	Action: SEC v. Bonan Huang, et al. Case Number: 15-cv-00269 (United States District Court for the Eastern District of Pennsylvania) Date Filed: January 21, 2015 Date of Qualifying Judgment/Order: December 3, 2015	Notice Date:12/23/2015	Claim Due Date:03/22/2016
Notice No.:2015-145	Action: SEC v. Summit Asset Strategies Investment Management, LLC; Summit Asset Strategies Wealth Management, LLC; and Chris Yoo Case Number: 15-cv-01429 (United States District Court for the Western District of Washington) Date Filed: September 4, 2015 Date of Qualifying Judgment/Order: November 6, 2015	Notice Date:12/23/2015	Claim Due Date:03/22/2016
Notice No.:2015-146	Action: SEC v. National Note of Utah, LC, a Utah Limited Liability Company and Wayne LaMar Palmer, an individual Case Number: 12-cv-00591 (United States District Court for the District of Utah) Date Filed: June 25, 2012 Date of Qualifying Judgment/Order: December 2, 2015	Notice Date:12/23/2015	Claim Due Date:03/22/2016
Notice No.:2015-147	Action: In the Matter of JPMorgan Chase Bank, N.A. and J.P. Morgan Securities LLC Administrative Proceeding File No.: 3-17008 Date Filed: December 18, 2015 Date of Qualifying Judgment/Order: December 18, 2015	Notice Date:12/23/2015	Claim Due Date:03/22/2016
Notice No.:2015-148	Action: SEC v. Enviratrands, Inc. and Russell F. Haraburda Case Number: 15-cv-01903 (United States District Court for the Middle District of Florida) Date Filed: August 17, 2015 Date of Qualifying Judgment/Order: August 20, 2015	Notice Date:12/23/2015	Claim Due Date:03/22/2016
Notice No.:2015-135	Action: In the Matter of Virtus Investment Advisers, Inc. Administrative Proceeding File No.: 3-16959 Case filed: November 16, 2015 Qualifying Judgment/Order: November 16, 2015	Notice Date:12/01/2015	Claim Due Date:02/29/2016
Notice No.:2015-120	Action: SEC v. Billy Wayne McClintock, individually, and dba MSC Holdings, Dianne Alexander aka Linda Dianne Alexander Case number: 12-cv-04028 (United States District Court for the Northern District of Georgia) Case filed: November 19, 2012 Qualifying Judgment/Order: September 15, 2015	Notice Date:11/30/2015	Claim Due Date:02/28/2016
Notice No.:2015-121	Action: In the Matter of David F. Bandimere and John O. Young Administrative Proceeding File No.: 3-15124 Case filed: December 6, 2012 Qualifying Judgment/Order: October 29, 2015	Notice Date:11/30/2015	Claim Due Date:02/28/2016
Notice No.:2015-122	Action: In the Matter of Gary M. Arford Administrative Proceeding File No.: 3-16932 Case filed: October 28, 2015 Qualifying Judgment/Order: October 28, 2015	Notice Date:11/30/2015	Claim Due Date:02/28/2016
Notice No.:2015-123	Action: SEC v. Robert A. Helms, et al. Case number: 13-cv-01036 (United States District Court for the Western District of Texas) Case filed: December 3, 2013 Qualifying Judgment/Order: October 21, 2015	Notice Date:11/30/2015	Claim Due Date:02/28/2016
Notice No.:2015-124	Action: In the Matter of the St. Joe Company, Wm. Britton Greene, William S. McCalmont, Janna L. Connolly, CPA, J. Brian Salter, CPA, and Phillip B. Jones, CPA Administrative Proceeding File No.: 3-16927 Case filed: October 27, 2015 Qualifying Judgment/Order: October 27, 201	Notice Date:11/30/2015	Claim Due Date:02/28/2016
Notice No.:2015-125	Action: In the Matter of DBRS, Inc. Administrative Proceeding File No.: 3-16922 Case filed: October 26, 2015 Qualifying Judgment/Order: October 26, 2015	Notice Date:11/30/2015	Claim Due Date:02/28/2016
Notice No.:2015-126	Action: In the Matter of UBS Willow Management LLC and UBS Fund Advisor LLC Administrative Proceeding File No.: 3-16909 Case filed: October 19, 2015 Qualifying Judgment/Order: October 19, 2015	Notice Date:11/30/2015	Claim Due Date:02/28/2016
Notice No.:2015-127	Action: SEC v. Premiere Power, LLC; John Jankovic; and Jerry Jankovic Case number: 15-cv-01248 (United States District Court for the Southern District of New York) Case filed: February 20, 2015 Qualifying Judgment/Order: October 9, 2015	Notice Date:11/30/2015	Claim Due Date:02/28/2016
Notice No.:2015-128	Action: In the Matter of J.P. Morgan Investment Management Inc. Administrative Proceeding File No.: 3-16897 Case filed: October 14, 2015 Qualifying Judgment/Order: October 14, 2015	Notice Date:11/30/2015	Claim Due Date:02/28/2016
Notice No.:2015-129	Action: In the Matter of Blackstone Management Partners L.L.C., Blackstone Management Partners III L.L.C. and Blackstone Management Partners IV L.L.C. Administrative Proceeding File No.: 3-16887 Case filed: October 7, 2015 Qualifying Judgment/Order: October 7, 2015	Notice Date:11/30/2015	Claim Due Date:02/28/2016
Notice No.:2015-130	Action: SEC v. Justin Moongyu Lee; Rebecca Taewon Lee; Thomas Edward Kent; American Immigrant Investment Fund I, LLC; Biofuel Venture IV, LLC; Biofuel Venture V, LLC; Nexland, Inc., dba Nexland Investment Group; and Nexsun Ethanol, LLC Case number: 14-cv-06865 (United States District Court for the Central District of California) Case filed: September 3, 2014 Qualifying Judgment/Order: October 29, 2015	Notice Date:11/30/2015	Claim Due Date:02/28/2016
Notice No.:2015-131	Action: In the Matter of Total Wealth Management, Inc., Jacob Keith Cooper, Mathan McNamee, and Douglas David Shoemaker Administrative Proceeding File No.: 3-15842 Case filed: April 15, 2014 Qualifying Judgment/Order: October 13, 2015	Notice Date:11/30/2015	Claim Due Date:02/28/2016
Notice No.:2015-132	Action: In the Matter of Wolverine Trading, LLC and Wolverine Asset Management, LLC Administrative Proceeding File No.: 3-16890 Case filed: October 8, 2015 Qualifying Judgment/Order: October 8, 2015	Notice Date:11/30/2015	Claim Due Date:02/28/2016
Notice No.:2015-133	Action: In the Matter of Briargate Trading, LLC and Eric Oscher Administrative Proceeding File No.: 3-16889 Case filed: October 8, 2015 Qualifying Judgment/Order: October 8, 2015	Notice Date:11/30/2015	Claim Due Date:02/28/2016
Notice No.:2015-134	Action: In the Matter of Fenway Partners, LLC, Peter Lamm, William Gregory Smart, Timothy Mayhew, Jr., and Walter Wiacek, CPA Administrative Proceeding File No.: 3-16938 Case filed: November 3, 2015 Qualifying Judgment/Order: November 3, 2015	Notice Date:11/30/2015	Claim Due Date:02/28/2016
Notice No.:2015-96	Action: SEC v. James A. Evans, Jr., d/b/a/ Cashflowbot.com, d/b/a Dollarmonster Case number: 15-cv-01118 (United States District Court for the Northern District of Georgia) Case filed: April 13, 2015 Qualifying Judgment/Order: September 30, 2015	Notice Date:10/30/2015	Claim Due Date:01/28/2016
Notice No.:2015-97	Action: SEC v. Spencer Pharmaceutical Inc., Jean-François Amyot, Maximilien Arella, Ian Morrice, IAB Media Inc. and Hilbroy Advisory Inc. Case number: 12-cv-12334 (United States District Court for the District of Massachusetts) Case filed: December 17, 2012 Qualifying Judgment/Order: October 1, 2015	Notice Date:10/30/2015	Claim Due Date:01/28/2016
Notice No.:2015-98	Action: In the Matter of Bankrate, Inc. Administrative Proceeding File No.: 3-16837 Case filed: September 8, 2015 Qualifying Judgment/Order: September 8, 2015	Notice Date:10/30/2015	Claim Due Date:01/28/2016
Notice No.:2015-99	Action: In the Matter of Trinity Capital Corporation Administrative Proceeding File No.: 3-16837 Case filed: September 28, 2015 Qualifying Judgment/Order: September 8, 2015	Notice Date:10/30/2015	Claim Due Date:01/28/2016
Notice No.:2015-100	Action: SEC v. Xiaoyu Xia and Yanting Hu Case number: 15-cv-03320 (United States District Court for the Southern District of New York) Case filed: April 29, 2015 Qualifying Judgment/Order: September 10, 2015	Notice Date:10/30/2015	Claim Due Date:01/28/2016
Notice No.:2015-101	Action: SEC v. Bankatlantic Bancorp, Inc. and Alan B. Levan Case number: 12-cv-60082 (United States District Court for the Southern District of Florida) Case filed: January 18, 2012 Qualifying Judgment/Order: September 24, 2015	Notice Date:10/30/2015	Claim Due Date:01/28/2016
Notice No.:2015-102	Action: In the Matter of UBS Financial Services Incorporated of Puerto Rico Administrative Proceeding File No.: 3-16846 Case filed: September 29, 2015 Qualifying Judgment/Order: September 29, 2015	Notice Date:10/30/2015	Claim Due Date:01/28/2016
Notice No.:2015-103	Action: SEC v. Evolution Capital Advisors, LLC, Evolution Investment Group I, LLC, and Damian Omar Valdez Case number: 11-cv-02945 (United States District Court for the Southern District of Texas) Case filed: August 10, 2011 Qualifying Judgment/Order: September 17, 2015	Notice Date:10/30/2015	Claim Due Date:01/28/2016
Notice No.:2015-104	Action: In the Matter of Bristol-Myers Squibb Company Administrative Proceeding File No.: 3-16881 Case filed: October 5, 2015 Qualifying Judgment/Order: October 5, 2015	Notice Date:10/30/2015	Claim Due Date:01/28/2016
Notice No.:2015-105	Action: In the Matter of Edward T. Borg and Brian J. Mulkeen Administrative Proceeding File No.: 3-16875 Case filed: September 30, 2015 Qualifying Judgment/Order: September 30, 2015	Notice Date:10/30/2015	Claim Due Date:01/28/2016
Notice No.:2015-106	Action: In the Matter of First Eagle Investment Management, LLC and FEF Distributors, LLC Administrative Proceeding File No.: 3-16823 Case filed: September 21, 2015 Qualifying Judgment/Order: September 21, 2015	Notice Date:10/30/2015	Claim Due Date:01/28/2016
Notice No.:2015-107	Action: In the Matter of Latour Trading LLC Administrative Proceeding File No.: 3-16851 Case filed: September 30, 2015 Qualifying Judgment/Order: September 30, 2015	Notice Date:10/30/2015	Claim Due Date:01/28/2016
Notice No.:2015-108	Action: SEC v. ABS Manager, LLC and George Charles Cody Price Case number: 13-cv-00319 (United States District Court for the Southern District of California) Case filed: February 8, 2013 Qualifying Judgment/Order: July 16, 2015	Notice Date:10/30/2015	Claim Due Date:01/28/2016
Notice No.:2015-109	Action: SEC v. Efstratios "Elias" D. Argryropoulos and Prima Capital Group, Inc. Case number: 14-cv-09800 (United States District Court for the Central District of Florida) Case filed: December 23, 2014 Qualifying Judgment/Order: September 29, 2015	Notice Date:10/30/2015	Claim Due Date:01/28/2016
Notice No.:2015-110	Action: SEC v. iShopNoMarkup.com, Inc., Scott W. Brockop, Anthony M. Knight, and Moussa Yeroushalmi a/k/a Mike Yeroush Case number: 04-cv-04057 (United States District Court for the Eastern District of New York) Case filed: September 20, 2004 Qualifying Judgment/Order: September 3, 2015	Notice Date:10/30/2015	Claim Due Date:01/28/2016
Notice No.:2015-111	Action: In the Matter of Focus Media Holding Limited and Jason Jiang Administrative Proceeding File No.: 3-16852 Case filed: September 30, 2015 Qualifying Judgment/Order: September 30, 2015	Notice Date:10/30/2015	Claim Due Date:01/28/2016
Notice No.:2015-112	Action: In the Matter of Home Loan Servicing Solutions, Ltd. Administrative Proceeding File No.: 3-16882 Case filed: October 5, 2015 Qualifying Judgment/Order: October 5, 2015	Notice Date:10/30/2015	Claim Due Date:01/28/2016
Notice No.:2015-113	Action: In the Matter of William B. Fretz, Jr., John P. Freeman, Covenant Capital Management Partners, L.P., and Covenant Partners, L.P. Administrative Proceeding File No.: 3-16829 Case filed: September 23, 2015 Qualifying Judgment/Order: September 23, 2015	Notice Date:10/30/2015	Claim Due Date:01/28/2016
Notice No.:2015-114	Action: SEC v. Arkadiy Dubovoy, Igor Dubovoy, Pavel Dubovoy, Nelia Dubova, David Amaryan, Alexander Redoseev, Aleksandr Garkusha, Oleksander Ieremenko (a.k.a. Aleksander Eremenko), Vladislav Khalupsky, Vitaly Korchevsky, Roman Lavlinskiy, Oleksandr Makarov, Leonid Momtok, Nikolai Slepenkov, Andriy Supranonok, Ivan Turchynov, Maxim Zakharchenko, APD Developers, LLC, Beratto Group LTD., Bering Explorer Fund LTD., Concorde Bermuda LTD., Escada Logistics LTD., Exante LTD, Global Hedge Capital Group, Guibor S.A., Intertrade Pacific S.A., Memelland Investments LTD, Jaspen Capital Partners Limited, NTS Capital Fund, Ocean Prime Inc., Omega 26 Investments LTD, and Southeastern Holding and Investment Company LLC Case number: 15-cv-06076 (United States District Court for the District of New Jersey) Case filed: August 10, 2015 Qualifying Judgment/Order: September 28, 2015	Notice Date:10/30/2015	Claim Due Date:01/28/2016
Notice No.:2015-115	Action: In the Matter of Credit Suisse Securities (USA) LLC Administrative Proceeding File No.: 3-16835 Case filed: September 28, 2015 Qualifying Judgment/Order: September 28, 2015	Notice Date:10/30/2015	Claim Due Date:01/28/2016
Notice No.:2015-116	Action: In the Matter of UBS AG Administrative Proceeding File No.: 3-16891 Case filed: October 13, 2015 Qualifying Judgment/Order: October 13, 2015	Notice Date:10/30/2015	Claim Due Date:01/28/2016
Notice No.:2015-117	Action: SEC v. Jeffory D. Shields (a/k/a Jeffrey D. Shields) and Geodynamics, Inc. (f/k/a or d/b/a Geodynamics Exploration, Inc.) Case number: 11-cv-02121 (United States District Court for the District of Colorado) Case filed: August 15, 2011 Qualifying Judgment/Order: March 16, 2015	Notice Date:10/30/2015	Claim Due Date:01/28/2016
Notice No.:2015-118	Action: SEC v. Spongetech Delivery Systems, Inc., RM Enterprises International, Inc., Steven Y. Moskowitz, Michael E. Metter, George Speranza, Joel Pensley, and Jack Halperin Case number: 10-cv-02031 (United States District Court for the Eastern District of New York) Case filed: May 5, 2010 Qualifying Judgment/Order: April 16, 2015	Notice Date:10/30/2015	Claim Due Date:01/28/2016
Notice No.:2015-119	Action: SEC v. Daniel Bergin Case number: 13-cv-01940 (United States District Court for the Northern District of Texas) Case filed: May 23, 2013 Qualifying Judgment/Order: August 18, 2015	Notice Date:10/30/2015	Claim Due Date:01/28/2016
Notice No.:2015-86	Action: In the Matter of the Bank of New York Mellon Corporation Administrative Proceeding File No.: 3-16762 Case filed: August 18, 2015 Qualifying Judgment/Order: August 18, 2015	Notice Date:09/30/2015	Claim Due Date:12/29/2015
Notice No.:2015-87	Action: In the Matter of Citigroup Global Markets, Inc. Administrative Proceeding File No.: 3-16764 Case filed: August 19, 2015 Qualifying Judgment/Order: August 19, 2015	Notice Date:09/30/2015	Claim Due Date:12/29/2015
Notice No.:2015-88	Action: In the Matter of Taberna Capital Management, LLC, Michael Fralin and Raphael Licht Administrative Proceeding File No.: 3-16776 Case filed: September 2, 2015 Qualifying Judgment/Order: September 2, 2015	Notice Date:09/30/2015	Claim Due Date:12/29/2015
Notice No.:2015-89	Action: In the Matter of Success Trade, Inc., Success Trade Securities, Inc., and Fuad Ahmed Administrative Proceeding File No.: 3-16755 Case filed: August 14, 2015 Qualifying Judgment/Order: August 14, 2015	Notice Date:09/30/2015	Claim Due Date:12/29/2015
Notice No.:2015-90	Action: In the Matter of Edward D. Jones & Co., L.P. Administrative Proceeding File No.: 3-16751 Case filed: August 13, 2015 Qualifying Judgment/Order: August 13, 2015	Notice Date:09/30/2015	Claim Due Date:12/29/2015
Notice No.:2015-91	Action: SEC v. John Thornes Case number: 14-cv-06088 (United States District Court for the Central District of California) Case filed: August 4, 2014 Qualifying Judgment/Order: July 17, 2015	Notice Date:09/30/2015	Claim Due Date:12/29/2015
Notice No.:2015-92	Action: In the Matter of Citigroup Alternative Investments LLC and Citigroup Global Markets Inc. Administrative Proceeding File No.: 3-16757 Case filed: August 17, 2015 Qualifying Judgment/Order: August 17, 2015	Notice Date:09/30/2015	Claim Due Date:12/29/2015
Notice No.:2015-93	Action: In the Matter of BDO USA, LLP Administrative Proceeding File No.: 3-16800 Case filed: September 9, 2015 Qualifying Judgment/Order: September 9, 2015	Notice Date:09/30/2015	Claim Due Date:12/29/2015
Notice No.:2015-94	Action: SEC v. David Craven and Alexander J. Craven Case number: 15-cv-01820 (United States District Court for the Southern District of New York) Case filed: March 11, 2015 Qualifying Judgment/Order: August 27, 2015	Notice Date:09/30/2015	Claim Due Date:12/29/2015
Notice No.:2015-95	Action: SEC v. Colonial Tidewater Realty Income Partners, LLC, James R. Glover, and Sherman T. Hill Case number: 15-cv-02401 (United States District Court for the District of Maryland) Case filed: August 13, 2015 Qualifying Judgment/Order: August 21, 2015	Notice Date:09/30/2015	Claim Due Date:12/29/2015
Notice No.:2015-77	Action: SEC v. George G. Levin and Frank J. Preve Case Number: 12-cv-21917 (United States District Court for the Southern District of Florida) Case Filed: May 22, 2012 Qualifying Judgment/Order: August 3, 2015	Notice Date:08/31/2015	Claim Due Date:11/29/2015
Notice No.:2015-78	Action: SEC v. Frank Tamayo Case Number: 14-cv-05844 (United States District Court for the District of New Jersey) Case Filed: September 19, 2014 Qualifying Judgment/Order: July 14, 2015	Notice Date:08/31/2015	Claim Due Date:11/29/2015
Notice No.:2015-79	Action: In the Matter of Guggenheim Partners Investment Management, LLC Administrative Proceeding File No.: 3-16735 Case Filed: August 10, 2015 Qualifying Judgment/Order: August 10, 2015	Notice Date:08/31/2015	Claim Due Date:11/29/2015
Notice No.:2015-80	Action: SEC v. Mikhail Galas, Alexander Hawatmeh, Christopher Mwroca, and Tovy Pustovit Case Number: 14-cv-05621 (United States District Court for the Western District of Washington) Case Filed: August 5, 2014 Qualifying Judgment/Order: July 21, 2015	Notice Date:08/31/2015	Claim Due Date:11/29/2015
Notice No.:2015-81	Action: In the Matter of VERO Capital Management, LLC, Robert Geiger, George Barbaresi, Esq, and Steven Downey, CPA Administrative Proceeding File No.: 3-16328 Case Filed: December 29, 2014 Qualifying Judgment/Order: July 8, 2015	Notice Date:08/31/2015	Claim Due Date:11/29/2015
Notice No.:2015-82	Action: In the Matter of OZ Management, LP Administrative Proceeding File No.: 3-16686 Case Filed: July 14, 2015 Qualifying Judgment/Order: July 14, 2015	Notice Date:08/31/2015	Claim Due Date:11/29/2015
Notice No.:2015-83	Action: In the Matter of ITG Inc. and AlterNet Securities, Inc. Administrative Proceeding File No.: 3-16742 Case Filed: August 12, 2015 Qualifying Judgment/Order: August 12, 2015	Notice Date:08/31/2015	Claim Due Date:11/29/2015
Notice No.:2015-84	Action: In the Matter of Wisteria Global, Inc. and Hiroshi Fujigami Administrative Proceeding File No.: 3-16675 Case Filed: July 6, 2015 Qualifying Judgment/Order: July 6, 2015	Notice Date:08/31/2015	Claim Due Date:11/29/2015
Notice No.:2015-85	Action: In the Matter of Mead Johnson Nutrition Company Administrative Proceeding File No.: 3-16704 Case Filed: July 28, 2015 Qualifying Judgment/Order: July 28, 2015	Notice Date:08/31/2015	Claim Due Date:11/29/2015
Notice No.:2015-70	Action: In the Matter of Computer Sciences Corporation, Michael Laphen, Michael Mancuso, Wayne Banks, Claus Zilmer, and Paul Wakefield Administrative Proceeding File No.: 3-16575 Case filed: June 5, 2015 Qualifying Judgment/Order: June 5, 2015	Notice Date:07/31/2015	Claim Due Date:10/29/2015
Notice No.:2015-71	Action: In the Matter of Deloitte & Touche LLP, ALPS Fund Services, Inc. and Andrew C. Boynton Administrative Proceeding File No.: 3-16672 Case filed: July 1, 2015 Qualifying Judgment/Order: July 1, 2015	Notice Date:07/31/2015	Claim Due Date:10/29/2015
Notice No.:2015-72	Action: In the Matter of Goldman, Sachs & Co. Administrative Proceeding File No.: 3-16665 Case filed: June 30, 2015 Qualifying Judgment/Order: June 30, 2015	Notice Date:07/31/2015	Claim Due Date:10/29/2015
Notice No.:2015-73	Action: In the Matter of Kohlberg Kravis Roberts & Co. L.P. Administrative Proceeding File No.: 3-16656 Case filed: June 29, 2015 Qualifying Judgment/Order: June 29, 2015	Notice Date:07/31/2015	Claim Due Date:10/29/2015
Notice No.:2015-74	Action: SEC v. Andrew L. Evans Case number: 15-cv-02551 (United States District Court for the Northern District of California) Case filed: June 9, 2015 Qualifying Judgment/Order: June 10, 2015	Notice Date:07/31/2015	Claim Due Date:10/29/2015
Notice No.:2015-75	Action: SEC v. Joshua A. Yudell Case number: 15-cv-04548 (United States District Court for the Southern District of New York) Case filed: June 11, 2015 Qualifying Judgment/Order: June 16, 2015	Notice Date:07/31/2015	Claim Due Date:10/29/2015
Notice No.:2015-76	Action: SEC v. Aletheia Research and Management, Inc. and Peter J. Eichler, Jr. Case number: 12-cv-10692 (United States District Court for the Central District of California) Case filed: December 14, 2012 Qualifying Judgment/Order: May 11, 2015	Notice Date:07/31/2015	Claim Due Date:10/29/2015
Notice No.:2015-66	Action: In the Matter of Alphabridge Capital Management, LLC, Thomas T. Kutzen, and Michael J. Carino Administrative Proceeding File No.: 3-16670 Case filed: July 1, 2015 Qualifying Judgment/Order: July 1, 2015	Notice Date:07/31/2015	Claim Due Date:10/29/2015
Notice No.:2015-67	Action: SEC v. Weston Capital Asset Management LLC, Albert Hallac, and Keith Wellner Case number: 14-cv-80823 (United States District Court for the Southern District of Florida) Case filed: June 23, 2014 Qualifying Judgment/Order: June 22, 2015	Notice Date:07/31/2015	Claim Due Date:10/29/2015
Notice No.:2015-68	Action: In the Matter of Helmut Anscheringer Administrative Proceeding File No.: 3-16589 Case filed: June 15, 2015 Qualifying Judgment/Order: June 15, 2015	Notice Date:07/31/2015	Claim Due Date:10/29/2015
Notice No.:2015-69	Action: SEC v. Gregory Geswein, Kevin Krakora, and Sandra Miller Case number: 10-cv-01235 (United States District Court for the Northern District of Ohio) Case filed: June 2, 2010 Qualifying Judgment/Order: May 26, 2015	Notice Date:07/31/2015	Claim Due Date:10/29/2015
Notice No.:2015-54	Action: In the Matter of Spectrum Concepts, LLC, Donald James Worswick, Michael Nicholas Grosso, and Michael Patrick Brown Administrative Proceeding File No.: 3-16358 Case Filed: January 23, 2015 Initial Decision: April 7, 2015 Qualifying Judgment/Order: May 20, 2015	Notice Date:06/30/2015	Claim Due Date:09/28/2015
Notice No.:2015-55	Action: SEC v. Charles H. Merchant, Sr. and Southern USA Resources, Inc. Case Number: 13-cv-03879 (United States District Court for the Northern District of Georgia) Case Filed: November 22, 2013 Qualifying Judgment/Order: May 6, 2015	Notice Date:06/30/2015	Claim Due Date:09/28/2015
Notice No.:2015-56	Action: SEC v. Robert A. Gist and Gist, Kennedy & Associates, Inc. Case Number: 13-cv-01833 (United States District Court for the Northen District of Georgia) Case Filed: May 31, 2013 Qualifying Judgment/Order: May 1, 2015	Notice Date:06/30/2015	Claim Due Date:09/28/2015
Notice No.:2015-57	Action: SEC v. Charles Raymond Langston III, CRL Management, LLC, and Guarantee Reinsurance, Ltd. Case Number: 13-cv-24360 (United States District Court for the Southern District of Florida) Case Filed: December 3, 2013 Qualifying Judgment/Order: May 26, 2015	Notice Date:06/30/2015	Claim Due Date:09/28/2015
Notice No.:2015-58	Action: In the Matter of David B. Havanich, Jr., Carmine A. DellaSala, Matthew D. Welch, Richard Hampton Scurlock, III, RTAG Inc. d/b/a Retirement Tax Advisory Group, Jose F. Carrio, Dennis K. Karasik, Carrio, Karasik & Associates, LLP, and Michael J. Salovay Administrative Proceeding File No.: 3-16354 Case Filed: January 23, 2015 Qualifying Judgments/Orders: 33-9791, 33-9792, 33-9793 (May 26, 2015)	Notice Date:06/30/2015	Claim Due Date:09/28/2015
Notice No.:2015-59	Action: SEC v. Radius Capital Corp. and Robert A. DiGiorgio Case Number: 11-cv-00116 (United States District Court for the Middle District of Florida) Case Filed: March 7, 2011 Qualifying Judgment/Order: April 23, 2015	Notice Date:06/30/2015	Claim Due Date:09/28/2015
Notice No.:2015-60	Action: In the Matter of BHP Billiton Ltd. And BHP Billton Plc Administrative Proceeding File No.: 3-16546 Case Filed: May 20, 2015 Qualifying Judgment/Order: May 20, 2015	Notice Date:06/30/2015	Claim Due Date:09/28/2015
Notice No.:2015-61	Action: In the Matter of Deutsche Bank AG Administrative Proceeding File No.: 3-16557 Case Filed: May 26, 2015 Qualifying Judgment/Order: May 26, 2015	Notice Date:06/30/2015	Claim Due Date:09/28/2015
Notice No.:2015-62	Action: SEC v. Luis Chang and Everbright Development Overseas Limited Case Number: 14-cv-04132 (United States District Court for the Southern District of New York Case Filed: July 24, 2014 Qualifying Judgment/Order: May 15, 2015	Notice Date:06/30/2015	Claim Due Date:09/28/2015
Notice No.:2015-63	Action: In the Matter of Merrill Lynch, Pierce, Fenner & Smith Incorporated, and Merrill Lynch Professional Clearing Corporation Administrative Proceeding File No.: 3-16567 Case Filed: June 1, 2015 Qualifying Judgment/Order: June 1, 2015	Notice Date:06/30/2015	Claim Due Date:09/28/2015
Notice No.:2015-64	Action: SEC v. Adam S. Gottbetter, Mitchell G. Adam, and K. David Stevenson Case Number: 15-cv-03528 (United States District Court for the District of New Jersey) Case Filed: May 26, 2015 Qualifying Judgment/Order: May 29, 2015	Notice Date:06/30/2015	Claim Due Date:09/28/2015
Notice No.:2015-65	Action: In the Matter of Nationwide Life Insurance Company Administrative Proceeding File No.: 3-16537 Case Filed: May 14, 2015 Qualifying Judgment/Order: May 14, 2015	Notice Date:06/30/2015	Claim Due Date:09/28/2015
Notice No.:2015-45	Action: SEC v. Eric William Johnson Case number: 14-cv-08825 (United States District Court for the Northern District of Illinois) Case filed: November 5, 2014 Qualifying Judgment/Order: April 13, 2015	Notice Date:05/29/2015	Claim Due Date:08/27/2015
Notice No.:2015-46	Action: In the Matter of Larry C. Grossman and Gregory J. Adams Administrative Proceeding File No.: 3-15617 Case filed: April 7, 2014 Initial Decision: December 23, 2014 Qualifying Judgment/Order: April 22, 2015	Notice Date:05/29/2015	Claim Due Date:08/27/2015
Notice No.:2015-47	Action: SEC v. Frank Perkins Hixon, Jr. Case number: 14-cv-00158 (United States District Court for the Western District of Texas) Case filed: February 20, 2014 Qualifying Judgment/Order: April 20, 2015	Notice Date:05/29/2015	Claim Due Date:08/27/2015
Notice No.:2015-48	Action: In the Matter of Jonathan Fortenberry (A/K/A S.J. Fortenberry, John Fortenberry, and Johnny Fortenberry) Administrative Proceeding File No.: 3-15858 Case filed: April 28, 2014 Initial Decision: March 2, 2015 Qualifying Judgment/Order: April 7, 2015	Notice Date:05/29/2015	Claim Due Date:08/27/2015
Notice No.:2015-49	Action: SEC v. Rudolf Pameijer, Lindsay R. Sayer, Ryan W. Koester, Rykoworks Capital Group, LLC Case number: 12-cv-01364 (United States District Court for the Southern District of Indiana) Case filed: September 24, 2012 Qualifying Judgment/Order: April 29, 2015	Notice Date:05/29/2015	Claim Due Date:08/27/2015
Notice No.:2015-50	Action: In the Matter of BlackRock Advisors, LLC and Bartholomew A. Battista Administrative Proceeding File No.: 3-16501 Case filed: April 20, 2015 Qualifying Judgment/Order: April 20, 2015	Notice Date:05/29/2015	Claim Due Date:08/27/2015
Notice No.:2015-51	Action: SEC v. Macquarie Capital (USA), Inc., Aaron Black and William Fang Case number: 15-cv-02304 (United States District Court for the Southern District of New York) Case filed: March 27, 2015 Qualifying Judgment/Order: April 1, 2015	Notice Date:05/29/2015	Claim Due Date:08/27/2015
Notice No.:2015-52	Action: SEC v. Guy M. Jean-Pierre, a/k/a "Marcelo Dominguez de Guerra" Case number: 12-cv-08886 (United States District Court for the Southern District of New York) Case filed: December 6, 2012 Qualifying Judgment/Order: April 16, 2015	Notice Date:05/29/2015	Claim Due Date:08/27/2015
Notice No.:2015-53	Action: In the Matter of Julieann Palmer Martin Administrative Proceeding File No.: 3-15613 Case filed: November 13, 2013 Initial Decision: March 9, 2015 Qualifying Judgment/Order: April 21, 2015	Notice Date:05/29/2015	Claim Due Date:08/27/2015
Notice No.:2015-37	Action: SEC v. 8000, Inc., Johnathan E. Bryant, Thomas J. Kelly, and Carl N. Duncan Case Number: 12-cv-07261 (United States District Court for the Southern District of New York) Case Filed: September 27, 2012 Qualifying Judgment/Order: April 7, 2015	Notice Date:04/30/2015	Claim Due Date:07/29/2015
Notice No.:2015-38	Action: SEC v. BioChemics, Inc., John J. Masiz, Craig Medoff and Gregory Kroning Case Number: 12-cv-12324 (United States District Court for the District of Massachusetts) Case Filed: December 14, 2012 Qualifying Judgment/Order: March 25, 2015	Notice Date:04/30/2015	Claim Due Date:07/29/2015
Notice No.:2015-39	Action: SEC v. Robert D. Falor Case Number: 09-cv-05644 (United States District Court for the Northern District of Illinois) Case Filed: September 11, 2009 Qualifying Judgment/Order: March 9, 2015	Notice Date:04/30/2015	Claim Due Date:07/29/2015
Notice No.:2015-40	Action: SEC vs. Charles R. Kokesh Case Number: 09-cv-01021 (United States District Court for the District of New Mexico) Case Filed: October 27, 2009 Qualifying Judgment/Order: March 30, 2015	Notice Date:04/30/2015	Claim Due Date:07/29/2015
Notice No.:2015-41	Action: SEC vs. StratoComm Corporation, Roger D. Shearer, and Craig Danzig Case Number: 11-cv-01188 (United States District Court for the Northern District of New York) Case Filed: October 4, 2011 Qualifying Judgment/Order: March 26, 2015	Notice Date:04/30/2015	Claim Due Date:07/29/2015
Notice No.:2015-42	Action: In the Matter of Global Fixed Income, LLC, Charles Perlitz Kempf, AGS Capital Group, LLC, Allen Gabriel Silberstein, Banes Capital Management, LLC, Joel Leigh Banes, Michael Warner Kochman, Big Star Capital, LLC, Ryan Patrick Mcguinness, Esso Ventures, LLC, Mark Leonard Lechler, Etek Investment Management, Inc., Kevin Gregory Haley, Finmark Resources, LLC, Peter Eric Baker, Joseph Michael Araiz, Parker Paschal & Company, LLC, Andrew Parker Shook, PMK Capital Management, LLC, Roger Kumar, Jr., RLJ Fixed Income, LLC, and Corey Antwuan Printup Administrative Proceeding File No.: 3-16460 Case Filed: March 26, 2015 Qualifying Judgment/Order: March 26, 2015	Notice Date:04/30/2015	Claim Due Date:07/29/2015
Notice No.:2015-43	Action: SEC vs. Ronald Feldstein, Mara Capital Management LLC, and Vita Health of America, LLC Case Number: 13-cv-06168 (United States District Court for the Southern District of New York) Case Filed: September 3, 2013 Qualifying Judgment/Order: March 16, 2015	Notice Date:04/30/2015	Claim Due Date:07/29/2015
Notice No.:2015-44	Action: In the Matter of FLIR Systems, Inc. Administrative Proceeding File No.: 3-16478 Case Filed: April 8, 2015 Qualifying Judgment/Order: April 8, 2015	Notice Date:04/30/2015	Claim Due Date:07/29/2015
Notice No.:2015-36	Action: SEC v. Life Partners Holdings, Inc., Brian Pardo, R. Scott Peden, and David M. Martin Case Number: 12-cv-00033 (United States District Court for the Western District of Texas) Case Filed: January 3, 2012 Qualifying Judgment/Order: January 16, 2015	Notice Date:04/01/2015	Claim Due Date:06/30/2015
Notice No.:2015-23	Action: SEC v. Broadwind Energy, Inc., J. Cameron Drecoll, and Stephanie K. Kushner Case Number: 15-cv-01142 (United States District Court for the Northern District of Illinois) Case Filed: February 5, 2015 Qualifying Judgment/Order: February 18, 2015	Notice Date:03/31/2015	Claim Due Date:06/29/2015
Notice No.:2015-24	Action: SEC v. Lee Chi Ling Case Number: 13-cv-05364 (United States District Court for the Eastern District of New York) Case Filed: September 26, 2013 Qualifying Judgment/Order: February 11, 2015	Notice Date:03/31/2015	Claim Due Date:06/29/2015
Notice No.:2015-25	Action: In the Matter of BDO China Dahua CPA Co., Ltd.; Deloitte Touche Tohmatsu Certified Public Accountants Ltd.; Ernst & Young Hua Ming LLP; KPMG Huazhen (Special General Partnership); PricewaterhouseCoopers Zhong Tian CPAs Limited Administrative Proceeding File Nos.: 3-14872, 3-15116 Case Filed: February 6, 2015 Qualifying Judgment/Order: February 6, 2015	Notice Date:03/31/2015	Claim Due Date:06/29/2015
Notice No.:2015-26	Action: In the Matter of The Goodyear Tire & Rubber Company Administrative Proceeding File No.: 3-16400 Case Filed: February 24, 2015 Qualifying Judgment/Order: February 24, 2015	Notice Date:03/31/2015	Claim Due Date:06/29/2015
Notice No.:2015-27	Action: SEC v. Edwin Yoshihiro Fujinaga and MRI International, Inc. Case Number: 13-cv-01658 (United States District Court for the District of Nevada) Case Filed: September 11, 2013 Qualifying Judgment/Order: January 27, 2015	Notice Date:03/31/2015	Claim Due Date:06/29/2015
Notice No.:2015-28	Action: In the Matter of Sandra Dyche Administrative Proceeding File No.: 3-16398 Case Filed: February 20, 2015 Qualifying Judgment/Order: February 20, 2015	Notice Date:03/31/2015	Claim Due Date:06/29/2015
Notice No.:2015-29	Action: SEC v. China Sky One Medical, Inc., and Yan-Qing Liu Case Number: 12-cv-07543 (United States District Court for the Central District of California) Case Filed: September 4, 2012 Qualifying Judgment/Order: March 4, 2015	Notice Date:03/31/2015	Claim Due Date:06/29/2015
Notice No.:2015-30	Action: SEC v. World Capital Market Inc.; WCM777 Inc.; WCM777 Ltd. d/b/a WCM777 Enterprises, Inc.; and Ming Xu a/k/a Phil Ming Xu Case Number: 14-cv-02334 (United States District Court for the Central District of California) Case Filed: March 27, 2014 Qualifying Judgment/Order: February 20, 2015	Notice Date:03/31/2015	Claim Due Date:06/29/2015
Notice No.:2015-31	Action: SEC v. John Gray, Christian Keller, Kyle Martin, and Aaron Shepard Case Number: 15-cv-00551 (United States District Court for the Northern District of California) Case Filed: February 5, 2015 Qualifying Judgment/Order: March 2, 2015	Notice Date:03/31/2015	Claim Due Date:06/29/2015
Notice No.:2015-32	Action: SEC vs. Mark F. Spangler and The Spangler Group, Inc. Case Number: 12-cv-00856 (United States District Court for the Western District of Washington) Case Filed: May 17, 2012 Qualifying Judgment/Order: November 13, 2014	Notice Date:03/31/2015	Claim Due Date:06/29/2015
Notice No.:2015-33	Action: SEC v. Robert A Walker, Dennis L. DeSender, and DLD Financial, LTD Case Number: 11-cv-03655 (United States District Court for the District of Minnesota) Case Filed: December 21, 2011 Qualifying Judgment/Order: January 30, 2015	Notice Date:03/31/2015	Claim Due Date:06/29/2015
Notice No.:2015-34	Action: SEC v. Steven Scoppetuolo, Robert Tocci, Sarang Ahuja, Richard White and Eric Gordon Case Number: 10-cv-20475 (United States District Court for the Southern District of Florida) Case Filed: February 16, 2010 Qualifying Judgment/Order: March 27, 2013	Notice Date:03/31/2015	Claim Due Date:06/29/2015
Notice No.:2015-35	Action: SEC v. Lawrence "Lee" Loomis, Loomis Wealth Solutions, LLC, John Hagener, and Lismar Financial Services, LLC Case Number: 10-cv-00458 (United States District Court for the Eastern District of California) Case Filed: February 23, 2010 Qualifying Judgment/Order: January 21, 2015	Notice Date:03/31/2015	Claim Due Date:06/29/2015
Notice No.:2015-13	Action: In the Matter of International Capital Group, LLC, Brian R. Nord, Larry Russell, Jr., and Todd J. Bergeron Administrative Proceeding File No.: 3-16366 Case filed: January 29, 2015 Qualifying Judgment/Order: January 29, 2015	Notice Date:02/27/2015	Claim Due Date:05/28/2015
Notice No.:2015-14	Action: SEC v. Advanced Equity Partners, LLC, Premiere Consulting, LLC, Peter D. Kirschner, and Stuart M. Rubens Case number: 13-cv-62100 (United States District Court for the Southern District of Florida) Case filed: September 26, 2013 Qualifying Judgment/Order: December 9, 2014	Notice Date:02/27/2015	Claim Due Date:05/28/2015
Notice No.:2015-15	Action: SEC v. Avon Products, Inc. Case number: 14-cv-09956 (United States District Court for the Southern District of New York) Case filed: December 17, 2014 Qualifying Judgment/Order: January 8, 2015	Notice Date:02/27/2015	Claim Due Date:05/28/2015
Notice No.:2015-16	Action: In the Matter of Oppenheimer & Co. Inc. Administrative Proceeding File No.: 3-16361 Case filed: January 27, 2015 Qualifying Judgment/Order: January 27, 2015	Notice Date:02/27/2015	Claim Due Date:05/28/2015
Notice No.:2015-17	Action: SEC v. Magdalena Tavella, Andres Horacio Ficicchia, Gonzalo Garcia Blaya, Lucia Mariana Hernando, Cecilia de Lorenzo, Adriana Rosa Bagattin, Daniella Patricia Goldman, Mariano Pablo Ferrari, Mariano Graciarena, and Fernando Loureyro Case number: 13-cv-04609 (United States District Court for the Southern District of New York) Case filed: July 3, 2013 Qualifying Judgment/Order: January 9, 2015	Notice Date:02/27/2015	Claim Due Date:05/28/2015
Notice No.:2015-18	Action: SEC v. Wwebnet, Inc. and Robert L. Kelly Case number: 12-cv-06581 (United States District Court for the Southern District of New York) Case filed: August 28, 2012 Qualifying Judgment/Order: January 16, 2015	Notice Date:02/27/2015	Claim Due Date:05/28/2015
Notice No.:2015-19	Action: In the Matter of UBS Securities LLC Administrative Proceeding File No.: 3-16338 Case filed: January 15, 2015 Qualifying Judgment/Order: January 15, 2015	Notice Date:02/27/2015	Claim Due Date:05/28/2015
Notice No.:2015-20	Action: SEC v. Chan Tze Ngon and Jiang Xiangyuan Case number: 13-cv-06828 (United States District Court for the Southern District of New York) Case filed: September 26, 2013 Qualifying Judgment/Order: January 16, 2015	Notice Date:02/27/2015	Claim Due Date:05/28/2015
Notice No.:2015-21	Action: SEC v. GLR Capital Management, LLC, GLR Advisors, LLC, Geringer, Luck & Rode LLC, and John A. Geringer Case number: 12-cv-02663 (United States District Court for the Northern District of California) Case filed: May 24, 2012 Qualifying Judgment/Order: February 3, 2015	Notice Date:02/27/2015	Claim Due Date:05/28/2015
Notice No.:2015-22	Action: In the Matter of VCAP Securities, LLC, and Brett Thomas Graham Administrative Proceeding File No.: 3-16389 Case filed: February 19, 2015 Qualifying Judgment/Order: February 19, 2015	Notice Date:02/27/2015	Claim Due Date:05/28/2015
Notice No.:2015-1	Action: In the Matter of Bruker Corporation Administrative Proceeding File No.: 3-16314 Case Filed: December 15, 2014 Qualifying Judgment/Order: December 15, 2014	Notice Date:01/27/2015	Claim Due Date:04/27/2015
Notice No.:2015-2	Action: In the Matter of Morgan Stanley & Co. LLC Administrative Proceeding File No.: 3-16310 Case Filed: December 10, 2014 Qualifying Judgment/Order: December 10, 2014	Notice Date:01/27/2015	Claim Due Date:04/27/2015
Notice No.:2015-3	Action: SEC vs. Brian N. Hollnagel and BCI Aircraft Leasing, Inc. Case Number: 07-cv-04538 (United States District Court for the Northern District of Illinois) Case filed: August 13, 2007 Qualifying judgment/order: December 18, 2014	Notice Date:01/27/2015	Claim Due Date:04/27/2015
Notice No.:2015-4	Action: SEC v. Heart Tronics, Inc., Mitchell Jay Stein, Willie James Gault, J. Rowland Perkins, II, Martin Bert Carter, Mark Crosby Nevdahl, and Ryan Allan Rauch Case Number: 11-cv-01962 (United States District Court for the Central District of California) Case Filed: December 21, 2011 Qualifying Judgment/Order: December 10, 2014	Notice Date:01/27/2015	Claim Due Date:04/27/2015
Notice No.:2015-5	Action: SEC v. Bill C. (Billy) Crafton, Jr. Case Number: 14-cv-02916 (United States District Court for the Southern District of California) Case Filed: December 10, 2014 Qualifying Judgment/Order: December 17, 2014	Notice Date:01/27/2015	Claim Due Date:04/27/2015
Notice No.:2015-6	Action: SEC v. Larry R. Polhill Case Number: 13-cv-01729 (United States District Court for the Central District of California) Case Filed: September 24, 2013 Qualifying Judgment/Order: December 6, 2014	Notice Date:01/27/2015	Claim Due Date:04/27/2015
Notice No.:2015-7	Action: SEC v. Alternative Green Technologies, Inc., Mitchell Segal, Belmont Partners, LLC, Joseph Meuse, Howard Borg, David Ryan, Vikram Khanna, and Panascope Capital Inc. Case Number: 11-cv-09056 (United States District Court for the Southern District of New York) Case Filed: December 12, 2011 Qualifying Judgment/Order: December 15, 2014	Notice Date:01/27/2015	Claim Due Date:04/27/2015
Notice No.:2015-8	Action: SEC v. John N. Irwin, CPA and Jacklin Associates, Inc. Case Number: 11-cv-04429 (United States District Court for the Eastern District of Pennsylvania) Case Filed: July 11, 2011 Qualifying Judgment/Order: December 19, 2014	Notice Date:01/27/2015	Claim Due Date:04/27/2015
Notice No.:2015-9	Action: SEC v. Michael B. Ferguson and Transactions Unlimited Case Number: 14-cv-04188 (United States District Court for the Northern District of California) Case Filed: September 29, 2014 Qualifying Judgment/Order: November 13, 2014	Notice Date:01/27/2015	Claim Due Date:04/27/2015
Notice No.:2015-10	Action: In the Matter of EDGA Exchange, Inc., and EDGX Exchange, Inc. Administrative Proceeding File No.: 3-16332 Case Filed: January 12, 2015 Qualifying Judgment/Order: January 12, 2015	Notice Date:01/27/2015	Claim Due Date:04/27/2015
Notice No.:2015-11	Action: In the Matter of Standard & Poor's Rating Services Administrative Proceeding File No.: 3-16346 Case Filed: January 21, 2015 Qualifying Judgment/Order: January 21, 2015	Notice Date:01/27/2015	Claim Due Date:04/27/2015
Notice No.:2015-12	Action: In the Matter of Standard & Poor's Rating Services Administrative Proceeding File No.: 3-16348 Case Filed: January 21, 2015 Qualifying Judgment/Order: January 21, 2015	Notice Date:01/27/2015	Claim Due Date:04/27/2015