Claim an Award

We post Notices of Covered Action for each SEC action where a final judgment or order, by itself or together with other prior judgments or orders in the same action issued after July 21, 2010, results in monetary sanctions exceeding $1 million.

The inclusion of a Notice means only that an order was entered with monetary sanctions exceeding $1 million. By posting a Notice for a particular case, we are not making any determinations either that (i) a whistleblower tip, complaint or referral led to the SEC opening an investigation or filing an action with respect to the case or (ii) an award to a whistleblower will be paid in connection with the case.

Subject to the Whistleblower Amended Rules, individuals who voluntarily provided the SEC with original information after July 21, 2010 that led to the successful enforcement of a covered action listed below are eligible to apply for a whistleblower award.

Once a Notice of Covered Action is posted, individuals have 90 calendar days to apply for an award by submitting a completed Form WB-APP to the Office of the Whistleblower by midnight on the claim due date listed for that action.

NOTE: On July 2, 2024, the Commission posted a new Form WB-APP for individuals seeking to apply for an award for a Covered Action.  You may continue to use the prior version of the form for the 30-day period following the posting of the new form.  Starting on August 1, 2024, please use the new Form WB-APP to apply for an award.

We strongly encourage Form WB-APPs to be submitted by email to FormWB-APPSubmission@SEC.GOV.  Duplicate submissions of a Form WB-APP by multiple methods (e.g., fax, email, and mail) are discouraged as they may cause delays. Generally, submissions are acknowledged within 60 days. 

Whistleblower Award Applications submitted by mail or fax should be sent to:

SEC Office of the Whistleblower (c/o ENF-CPU)

14420 Albemarle Point Place Suite 102 Chantilly, VA 20151-1750

Fax: 703-813-9322

Whistleblower Office Hotline

202-551-4790
Notice No. Action Notice Date Claim Due Date
2025-076

New

In the Matter of Snow Lake Capital (HK) Limited
Administrative Proceeding File No: 3-22372
Date Filed: December 19, 2024
Date of Qualifying Judgment/Order: December 19, 2024

01/31/2025 05/01/2025
2025-075

New

SEC v. Morningview Financial, LLC and Miles M. Riccio
Case Number: 22-cv-08142 (United States District Court for the Southern District of New York)
Date Filed: September 23, 2022
Date of Qualifying Judgment/Order: December 23, 2024

01/31/2025 05/01/2025
2025-074

New

In the Matter of Deutsche Bank Securities Inc.
Administrative Proceeding File No: 3-22375
Date Filed: December 20, 2024
Date of Qualifying Judgment/Order: December 20, 2024

01/31/2025 05/01/2025
2025-073

New

SEC v. Jerome O'Hara and George Perez
Case Number: 09-cv-09425 (United States District Court for the Southern District of New York)
Date Filed: November 13, 2009
Date of Qualifying Judgment/Order: December 13, 2024

01/31/2025 05/01/2025
2025-072

New

In the Matter of Tai Mo Shan Limited
Administrative Proceeding File No: 3-22382
Date Filed: December 20, 2024
Date of Qualifying Judgment/Order: December 20, 2024

01/31/2025 05/01/2025
2025-071

New

In the Matter of Cantor Fitzgerald, L.P. 
Administrative Proceeding File No: 3-22348
Date Filed: December 12, 2024
Date of Qualifying Judgment/Order: December 12, 2024

01/31/2025 05/01/2025
2025-070

New

SEC v. Brad Hare and Mammoth West Corporation 
Case Number: 24-cv-12134 (United States District Court for the Northern District of Illinois)
Date Filed: November 25, 2024
Date of Qualifying Judgment/Order: December 4, 2024

01/31/2025 05/01/2025
2025-069

New

In the Matter of Becton, Dickinson and Company 
Administrative Proceeding File No: 3-22361
Date Filed: December 16, 2024
Date of Qualifying Judgment/Order: December 16, 2024

01/31/2025 05/01/2025
2025-068

New

SEC v. Leena Jaitley, d/b/a Managed Options Trading and Options by Pros
Case Number: 21-cv-00832 (United States District Court for the Western District of Texas)
Date Filed: September 20, 2021
Date of Qualifying Judgment/Order: December 12, 2024

01/31/2025 05/01/2025
2025-067

New

In the Matter of AAR Corp. 
Administrative Proceeding File No: 3-22369
Date Filed: December 19, 2024
Date of Qualifying Judgment/Order: December 19, 2024

01/31/2025 05/01/2025
2025-066

New

SEC v. Guosheng Qi and Gridsum Holding Inc. 
Case Number: 23-cv-07924 (United States District Court for the Southern District of New York)
Date Filed: September 7, 2023
Date of Qualifying Judgment/Order: December 3, 2024

01/31/2025 05/01/2025
2025-065

New

SEC v. Ronald Bauer a/k/a Ronald J. Bauer and Ronald Jacob Bauer, Craig James Auringer, Alon Friedlander, Massililiano ("Max") Pozzoni, Daniel Mark Ferris, Petar Dmitrov Mihaylov, David Sidoo and Adam Christopher Kambeitz
Case Number: 22-cv-03089 (United States District Court for the Southern District of New York)
Date Filed: April 14, 2022
Date of Qualifying Judgment/Order: December 18, 2024

01/31/2025 05/01/2025
2025-064

New

SEC v. Christopher Slaga a/k/a Keith Renko, Q4 Capital Group, LLC, J4 Capital Advisors LLC, and Hayden Greene 
Case Number: 23-cv-01425 (United States District Court for the Central District of California)
Date Filed: August 7, 2023
Date of Qualifying Judgment/Order: December 23, 2024

01/31/2025 05/01/2025
2025-063

New

SEC v. Austal Limited and Austal USA, LLC
Case Number: 24-cv-00307 (United States District Court for the Southern District of Alabama)
Date Filed: August 26, 2024
Date of Qualifying Judgment/Order: December 2, 2024

01/31/2025 05/01/2025
2025-062

New

In the Matter of Flagstar Bancorp, Inc., now known as "Flagstar Financial, Inc."
Administrative Proceeding File No: 3-22360
Date Filed: December 16, 2024
Date of Qualifying Judgment/Order: December 16, 2024

01/31/2025 05/01/2025
2025-061

New

SEC v. Edward S. Walczak
Case Number: 20-cv-00076 (United States District Court for the Western District of Wisconsin)
Date Filed: January 27, 2020
Date of Qualifying Judgment/Order: November 19, 2024

01/31/2025 05/01/2025
2025-060

In the Matter of J.P. Morgan Securities LLC 
Administrative Proceeding File No: 3-22280
Date Filed: October 31, 2024
Date of Qualifying Judgment/Order: October 31, 2024

12/31/2024 03/31/2025
2025-059

In the Matter of J.P. Morgan Investment Management Inc.
Administrative Proceeding File No: 3-22281
Date Filed: October 31, 2024
Date of Qualifying Judgment/Order: October 31, 2024

12/31/2024 03/31/2025
2025-058

In the Matter of FiveT Capital AG 
Administrative Proceeding File No: 3-22334
Date Filed: November 26, 2024
Date of Qualifying Judgment/Order: November 26, 2024

12/31/2024 03/31/2025
2025-057

In the Matter of J.P. Morgan Securities LLC
Administrative Proceeding File No: 3-22278
Date Filed: October 31, 2024
Date of Qualifying Judgment/Order: October 31, 2024

12/31/2024 03/31/2025
2025-056

SEC v. Mikhail Kokorich
Case Number: 21-cv-01869 (United States District Court for the District of Columbia)
Date Filed: July 13, 2021
Date of Qualifying Judgment/Order: November 25, 2024

12/31/2024 03/31/2025
2025-055

In the Matter of Elanco Animal Health Inc.
Administrative Proceeding File No: 3-22309
Date Filed: November 12, 2024
Date of Qualifying Judgment/Order: November 12, 2024

12/31/2024 03/31/2025
2025-054

In the Matter of BIT Mining, Ltd.
Administrative Proceeding File No: 3-22324
Date Filed: November 18, 2024
Date of Qualifying Judgment/Order: November 18, 2024

12/31/2024 03/31/2025
2025-053

SEC v. Joseph C. Lewis, Carolyn W. Carter, Patrick J. O'Connor, and Bryan L. Waugh
Case Number: 23-cv-06438 (United States District Court for the Southern District of New York)
Date Filed: July 26, 2023
Date of Qualifying Judgment/Order: November 26, 2024

12/31/2024 03/31/2025
2025-052

In the Matter of United Parcel Service, Inc.
Administrative Proceeding File No: 3-22327
Date Filed: November 22, 2024
Date of Qualifying Judgment/Order: November 22, 2024

12/31/2024 03/31/2025
2025-051

SEC v. Pavel Ruiz
Case Number: 22-cv-61609 (United States District Court for the Southern District of Florida)
Date Filed: August 29, 2022
Date of Qualifying Judgment/Order: November 19, 2024

12/31/2024 03/31/2025
2025-050

SEC v. Donna Dellomo, Yoon Um, and The Lovesac Company
Case Number: 24-cv-01727 (United States District Court for the District of Connecticut)
Date Filed: October 29, 2024
Date of Qualifying Judgment/Order: November 13, 2024

12/31/2024 03/31/2025
2025-049

In the Matter of Invesco Advisers, Inc.
Administrative Proceeding File No: 3-22306
Date Filed: November 8, 2024
Date of Qualifying Judgment/Order: November 8, 2024

12/31/2024 03/31/2025
2025-048

SEC v. Daniel F. Putnam, Jean Paul Ramirez Rico, Angel A. Rodriguez, MMT Distribution, LLC; R&D Global, LLC
Case Number: 20-cv-00301 (United States District Court for the District of Utah)
Date Filed: May 7, 2020
Date of Qualifying Judgment/Order: September 10, 2024

11/29/2024 02/27/2025
2025-047

In the Matter of WisdomTree Asset Management, Inc. 
Administrative Proceeding File No: 3-22268
Date Filed: October 21, 2024
Date of Qualifying Judgment/Order: October 21, 2024

11/29/2024 02/27/2025
2025-046

In the Matter of Gustavo Dolfino 
Administrative Proceeding File No: 3-22254
Date Filed: October 15, 2024
Date of Qualifying Judgment/Order: October 15, 2024

11/29/2024 02/27/2025
2025-045

In the Matter of Marathon Asset Management, L.P. 
Administrative Proceeding File No: 3-22219
Date Filed: September 30, 2024
Date of Qualifying Judgment/Order: September 30, 2024

11/29/2024 02/27/2025
2025-044

SEC v. James Bernard Moore, and Universal Voicetech, Inc.
Case Number: 18-cv-07803 (United States District Court for the Southern District of New York)
Date Filed: August 27, 2018
Date of Qualifying Judgment/Order: October 10, 2024

11/29/2024 02/27/2025
2025-043

SEC v. Raskob Kambourian Financial Advisors, Ltd.
Case Number: 24-cv-00442 (United States District Court for the District of Arizona)
Date Filed: September 5, 2024
Date of Qualifying Judgment/Order: September 20, 2024

11/29/2024 02/27/2025
2025-042

In the Matter of TD Securities (USA) LLC 
Administrative Proceeding File No: 3-22223
Date Filed: September 30, 2024
Date of Qualifying Judgment/Order: September 30, 2024

11/29/2024 02/27/2025
2025-041

In the Matter of Moog Inc.
Administrative Proceeding File No: 3-22237
Date Filed: October 11, 2024
Date of Qualifying Judgment/Order: October 11, 2024

11/29/2024 02/27/2025
2025-040

SEC v. Cassava Sciences, Inc.; Remi Barbier; and Lindsay Burns
Case Number: 24-cv-01150 (United States District Court for the Western District of Texas)
Date Filed: September 26, 2024
Date of Qualifying Judgment/Order: October 18, 2024

11/29/2024 02/27/2025
2025-039

In the Matter of RTX Corporation 
Administrative Proceeding File No: 3-22256
Date Filed: October 16, 2024
Date of Qualifying Judgment/Order: October 16, 2024

11/29/2024 02/27/2025
2025-038

SEC v. Toller Stern Financial, LLC, Francisco Javier Malave Hernandez, and Ricardo Javier Guerra Farias
Case Number: 24-cv-23370 (United States District Court for the Southern District of Florida)
Date Filed: September 3, 2024
Date of Qualifying Judgment/Order: October 15, 2024

11/29/2024 02/27/2025
2025-037

SEC v. PreIPO Corp., John A. Mattera and David P. Grzan
Case Number: 23-cv-81141 (United States District Court for the Southern District of Florida)
Date Filed: August 14, 2023
Date of Qualifying Judgment/Order: October 17, 2024

11/29/2024 02/27/2025
2025-036

SEC v. Prager Metis CPAs, LLC and Prager Metis CPAs LLP
Case Number: 23-cv-23723 (United States District Court for the Southern District of Florida)
Date Filed: September 29, 2023
Date of Qualifying Judgment/Order: October 3, 2024

11/29/2024 02/27/2025
2025-035

SEC v. Adam P. Rogas and Paul G. Korol 
Case Number: 20-cv-07628 (United States District Court for the Southern District of New York)
Date Filed: September 17, 2020
Date of Qualifying Judgment/Order: September 18, 2024

11/29/2024 02/27/2025
2025-034

In the Matter of Unisys Corporation 
Administrative Proceeding File No: 3-22272
Date Filed: October 22, 2024
Date of Qualifying Judgment/Order: October 22, 2024

11/29/2024 02/27/2025
2025-033

SEC v. Shawn E. Good
Case Number: 22-cv-00060 (United States District Court for the Eastern District of North Carolina)
Date Filed: April 18, 2022
Date of Qualifying Judgment/Order: October 16, 2024

11/29/2024 02/27/2025
2025-032

In the Matter of Zymergen Inc.
Administrative Proceeding File No: 3-22112
Date Filed: September 13, 2024
Date of Qualifying Judgment/Order: September 13, 2024

10/31/2024 01/29/2025
2025-031

SEC v. Mmobuosi Odogwu Banye (a/k/a Dozy Mmobuosi), Tingo Group, Inc., Agri-Fintech Holdings, Inc. (f/k/a Tingo, Inc.), and Tingo International Holdings, Inc.
Case Number: 23-cv-10928 (United States District Court for the Southern District of New York)
Date Filed: December 18, 2023
Date of Qualifying Judgment/Order: August 28, 2024

10/31/2024 01/29/2025
2025-030

In the Matter of S&P Global Ratings
Administrative Proceeding File No: 3-22055
Date Filed: September 3, 2024
Date of Qualifying Judgment/Order: September 3, 2024

10/31/2024 01/29/2025
2025-029

In the Matter of Moody’s Investors Service, Inc.
Administrative Proceeding File No: 3-22054
Date Filed: September 3, 2024
Date of Qualifying Judgment/Order: September 3, 2024

10/31/2024 01/29/2025
2025-028

In the Matter of Fitch Ratings, Inc.
Administrative Proceeding File No: 3-22051
Date Filed: September 3, 2024
Date of Qualifying Judgment/Order: September 3, 2024

10/31/2024 01/29/2025
2025-027

In the Matter of eToro USA LLC
Administrative Proceeding File No: 3-22106
Date Filed: September 12, 2024
Date of Qualifying Judgment/Order: September 12, 2024

10/31/2024 01/29/2025
2025-026

In the Matter of BNY Mellon Securities Corporation LLC
Administrative Proceeding File No: 3-22009
Date Filed: August 14, 2024
Date of Qualifying Judgment/Order: August 14, 2024

10/31/2024 01/29/2025
2025-025

In the Matter of Stifel, Nicolaus & Company, Inc.
Administrative Proceeding File No: 3-22168
Date Filed: September 24, 2024
Date of Qualifying Judgment/Order: September 24, 2024

10/31/2024 01/29/2025
2025-024

In the Matter of Intesa Sanpaolo IMI Securities Corp.
Administrative Proceeding File No: 3-22161
Date Filed: September 24, 2024
Date of Qualifying Judgment/Order: September 24, 2024

10/31/2024 01/29/2025
2025-023

In the Matter of CIBC World Markets Corp. and CIBC Private Wealth Advisors, Inc.
Administrative Proceeding File No: 3-22160
Date Filed: September 24, 2024
Date of Qualifying Judgment/Order: September 24, 2024

10/31/2024 01/29/2025
2025-022

In the Matter of Canaccord Genuity LLC
Administrative Proceeding File No: 3-22166
Date Filed: September 24, 2024
Date of Qualifying Judgment/Order: September 24, 2024

10/31/2024 01/29/2025
2025-021

In the Matter of Robert Seropian
Administrative Proceeding File No: 3-22108
Date Filed: September 12, 2024
Date of Qualifying Judgment/Order: September 12, 2024

10/31/2024 01/29/2025
2025-020

In the Matter of Vora Wealth Management, PLLC and Dharmesh Virendra Vora
Administrative Proceeding File No: 3-22116
Date Filed: September 16, 2024
Date of Qualifying Judgment/Order: September 16, 2024

10/31/2024 01/29/2025
2025-019

SEC v. Zera Financial LLC, Luis A. Romero, aka Luis A. Romero- Naverette; aka Luis A. Romero- Naverrette
Case Number: 23-cv-01807 (United States District Court for the Central District of California)
Date Filed: September 27, 2023
Date of Qualifying Judgment/Order: September 3, 2024

10/31/2024 01/29/2025
2025-018

In the Matter of WM Technology, Inc.
Administrative Proceeding File No: 3-22172
Date Filed: September 24, 2024
Date of Qualifying Judgment/Order: September 24, 2024

10/31/2024 01/29/2025
2025-017

SEC v. JMJ Capital Group and Richard Lee Ramirez
Case Number: 22-cv-01481 (United States District Court for the Southern District of California)
Date Filed: September 30, 2022
Date of Qualifying Judgment/Order: August 26, 2024

10/31/2024 01/29/2025
2025-016

SEC v. Shaohua (Michael) Yin and Benjamin Bin Chow
Case Number: 17-cv-00972 (United States District Court for the Southern District of New York)
Date Filed: February 10, 2017
Date of Qualifying Judgment/Order: August 16, 2024

10/31/2024 01/29/2025
2025-015

In the Matter of Deere & Company
Administrative Proceeding File No: 3-22102
Date Filed: September 10, 2024
Date of Qualifying Judgment/Order: September 10, 2024

10/31/2024 01/29/2025
2025-014

In the Matter of Merrill Lynch, Pierce, Fenner & Smith Incorporated
Administrative Proceeding File No: 3-22173
Date Filed: September 25, 2024
Date of Qualifying Judgment/Order: September 25, 2024

10/31/2024 01/29/2025
2025-013

In the Matter of Harvest Volatility Management, LLC
Administrative Proceeding File No: 3-22174
Date Filed: September 25, 2024
Date of Qualifying Judgment/Order: September 25, 2024

10/31/2024 01/29/2025
2025-012

In the Matter of Glazer Capital, LLC
Administrative Proceeding File No: 3-22164
Date Filed: September 24, 2024
Date of Qualifying Judgment/Order: September 24, 2024

10/31/2024 01/29/2025
2025-011

In the Matter of Invesco Distributors, Inc. and Invesco Advisers, Inc.
Administrative Proceeding File No: 3-22165
Date Filed: September 24, 2024
Date of Qualifying Judgment/Order: September 24, 2024

10/31/2024 01/29/2025
2025-010

SEC v. Third Friday Management, LLC and Michael E. Lewitt
Case Number: 23-cv-81332 (United States District Court for the Southern District of Florida)
Date Filed: September 29, 2023
Date of Qualifying Judgment/Order: September 4, 2024

10/31/2024 01/29/2025
2025-009

In the Matter of Macquarie Investment Management Business Trust 
Administrative Proceeding File No: 3-22144
Date Filed: September 19, 2024
Date of Qualifying Judgment/Order: September 19, 2024

10/31/2024 01/29/2025
2025-008

In the Matter of Acadia Healthcare Company, Inc.
Administrative Proceeding File No: 3-22079
Date Filed: September 9, 2024
Date of Qualifying Judgment/Order: September 9, 2024

10/31/2024 01/29/2025
2025-007

SEC v. Kris A. Swaffer, Sean K. Williams, and POHIH, Inc.
Case Number: 22-cv-01554 (United States District Court for the Northern District of Ohio)
Date Filed: September 1, 2022
Date of Qualifying Judgment/Order: September 13, 2024

10/31/2024 01/29/2025
2025-006

In the Matter of FirstEnergy Corp.
Administrative Proceeding File No: 3-22111
Date Filed: September 12, 2024
Date of Qualifying Judgment/Order: September 12, 2024

10/31/2024 01/29/2025
2025-005

SEC v. The Heartland Group Ventures, LLC; Heartland Production and Recovery LLC; Heartland Production and Recovery Fund LLC; Heartland Production and Recovery Fund II LLC; The Heartland Group Fund III LLC; Heartland Drilling Fund I, LP; Carson Oil Field Development Fund II, LP; Alternative Office Solutions, LLC; Arcooil Corp.; Barron Petroleum LLC; James Ikey; John Muratore; Thomas Brad Pearsey; Manjit Singh (aka Roger) Sahota; and Rustin Brunson
Case Number: 21-cv-01310 (United States District Court for the Northern District of Texas)
Date Filed: December 1, 2021
Date of Qualifying Judgment/Order: September 24, 2024

10/31/2024 01/29/2025
2025-004

SEC v. Carebourn Capital, L.P. and Chip Alvin Rice
Case Number: 21-cv-02114 (United States District Court for the District of Minnesota)
Date Filed: September 24, 2021
Date of Qualifying Judgment/Order: September 23, 2024

10/31/2024 01/29/2025
2025-003

In the Matter of Centerline Investment Management Limited
Administrative Proceeding File No: 3-22156
Date Filed: September 23, 2024
Date of Qualifying Judgment/Order: September 23, 2024

10/31/2024 01/29/2025
2025-002

In the Matter of Keurig Dr Pepper Inc.
Administrative Proceeding File No: 3-22100
Date Filed: September 10, 2024
Date of Qualifying Judgment/Order: September 10, 2024

10/31/2024 01/29/2025
2025-001

SEC v. Patrick N. Thayer
Case Number: 23-cv-00362 (United States District Court for the Southern District of Ohio)
Date Filed: June 13, 2023
Date of Qualifying Judgment/Order: August 26, 2024

10/31/2024 01/29/2025
2024-137

In the Matter of Apex Clearing Corporation 
Administrative Proceeding File No.: 3-21998 
Date Filed: August 14, 2024
Date of Qualifying Judgment/Order: August 14, 2024

09/30/2024 12/29/2024
2024-136

SEC v. Brenda A. Smith, Broad Reach Capital, LP, Broad Reach Partners, LLC, and Bristol Advisors, LLC 
Case Number: 2019-cv-17213 (United States District Court for the District of New Jersey)
Date Filed: August 27, 2019
Date of Qualifying Judgment/Order: July 24, 2024

09/30/2024 12/29/2024
2024-135

In the Matter of Sound Point Capital Management, LP 
Administrative Proceeding File No.: 3-22032 
Date Filed: August 26, 2024
Date of Qualifying Judgment/Order: August 26, 2024

09/30/2024 12/29/2024
2024-134

In the Matter of Edward D. Jones & Co., L.P. 
Administrative Proceeding File No.: 3- 22001 
Date Filed: August 14, 2024
Date of Qualifying Judgment/Order: August 14, 2024

09/30/2024 12/29/2024
2024-133

In the Matter of OTC Link LLC 
Administrative Proceeding File No.: 3-21991 
Date Filed: August 12, 2024
Date of Qualifying Judgment/Order: August 12, 2024

09/30/2024 12/29/2024
2024-132

In the Matter of Cadaret, Grant & Co., Inc. 
Administrative Proceeding File No.: 3-21990 
Date Filed: August 12, 2024
Date of Qualifying Judgment/Order: August 12, 2024

09/30/2024 12/29/2024
2024-131

In the Matter of Raymond James & Associates, Inc. 
Administrative Proceeding File No.: 3-22002 
Date Filed: August 14, 2024
Date of Qualifying Judgment/Order: August 14, 2024

09/30/2024 12/29/2024
2024-130

In the Matter of P. Schoenfeld Asset Management LP 
Administrative Proceeding File No.: 3-21999 
Date Filed: August 14, 2024
Date of Qualifying Judgment/Order: August 14, 2024

09/30/2024 12/29/2024
2024-129

In the Matter of LPL Financial LLC 
Administrative Proceeding File No.: 3-22006 
Date Filed: August 14, 2024
Date of Qualifying Judgment/Order: August 14, 2024

09/30/2024 12/29/2024
2024-128

In the Matter of Cowen and Company, LLC and Cowen Investment Management LLC 
Administrative Proceeding File No.: 3-22007 
Date Filed: August 14, 2024
Date of Qualifying Judgment/Order: August 14, 2024

09/30/2024 12/29/2024
2024-127

In the Matter of Ameriprise Financial Services, LLC 
Administrative Proceeding File No.: 3-22004 
Date Filed: August 14, 2024
Date of Qualifying Judgment/Order: August 14, 2024

09/30/2024 12/29/2024
2024-126

In the Matter of TD Securities (USA) LLC, TD Private Client Wealth LLC, and Epoch Investment Partners, Inc. 
Administrative Proceeding File No.: 3-22008 
Date Filed: August 14, 2024
Date of Qualifying Judgment/Order: August 14, 2024

09/30/2024 12/29/2024
2024-125

In the Matter of RBC Capital Markets, LLC 
Administrative Proceeding File No.: 3-22003 
Date Filed: August 14, 2024
Date of Qualifying Judgment/Order: August 14, 2024

09/30/2024 12/29/2024
2024-124

SEC v. Richard Xia, a/k/a Yi Xia, and Fleet New York Metropolitan Regional Center, LLC, f/k/a Federal New York Metropolitan Regional Center, LLC 
Case Number: 21-cv-05350 (United States District Court for the Eastern District of New York)
Date Filed: September 27, 2021
Date of Qualifying Judgment/Order: July 26, 2024

09/30/2024 12/29/2024
2024-123

SEC v Ripple Labs, Inc., Bradley Garlinghouse, and Christian A. Larsen 
Case Number: 20-cv-10832 (United States District Court for the Southern District of New York)
Date Filed: December 22, 2020
Date of Qualifying Judgment/Order: August 7, 2024

09/30/2024 12/29/2024
2024-122

In the Matter of Truist Securities, Inc., Truist Investment Services, Inc., and Trust Advisory Services, Inc. 
Administrative Proceeding File No.: 3-22000 
Date Filed: August 14, 2024
Date of Qualifying Judgment/Order: August 14, 2024

09/30/2024 12/29/2024
2024-120

SEC v. Terraform Labs PTE, Ltd., and Do Hyeong Kwon 
Case Number: 23-cv-01346 (United States District Court for the Southern District of New York)
Date Filed: February 16, 2023
Date of Qualifying Judgment/Order: June 12, 2024

09/30/2024 12/29/2024
2024-119

Date of Qualifying JudgmSEC v. Alexander Elbanna, Digital World Exchange, LLC, BoostedPro, LLC, and D.W. Exchange, LLC 
Case Number: 23-cv-01638 (United States District Court for the Middle District of Florida)
Date Filed: July 20, 2023
Date of Qualifying Judgment/Order: July 28, 2024ent/Order: August 9, 2024

09/30/2024 12/29/2024
2024-118

In the Matter of Zheng (Bruno) Wu 
Administrative Proceeding File No.: 3-21989 
Date Filed: August 9, 2024
Date of Qualifying Judgment/Order: August 9, 2024

09/30/2024 12/29/2024
2024-117

In the Matter of Ideanomics, Inc. (f/k/a Seven Stars Cloud Group, Inc.), Alfred Poor, and Federico Tovar 
Administrative Proceeding File No.: 3-21988 
Date Filed: August 9, 2024
Date of Qualifying Judgment/Order: August 9, 2024

09/30/2024 12/29/2024
2024-116

In the Matter of Hilltop Securities Inc. 
Administrative Proceeding File No.: 3-21993 
Date Filed: August 14, 2024
Date of Qualifying Judgment/Order: August 14, 2024

09/30/2024 12/29/2024
2024-115

In the Matter of Cetera Advisor Networks LLC and Cetera Investment Services LLC 
Administrative Proceeding File No.: 3-21995 
Date Filed: August 14, 2024
Date of Qualifying Judgment/Order: August 14, 2024

09/30/2024 12/29/2024
2024-114

In the Matter of First Trust Portfolios L.P. 
Administrative Proceeding File No.: 3-21996 
Date Filed: August 14, 2024
Date of Qualifying Judgment/Order: August 14, 2024

09/30/2024 12/29/2024
2024-113

In the Matter of Great Point Capital, LLC 
Administrative Proceeding File No.: 3-21992 
Date Filed: August 14, 2024
Date of Qualifying Judgment/Order: August 14, 2024

09/30/2024 12/29/2024

Last Reviewed or Updated: July 23, 2024