Whistleblower Program: Notices of Covered Action

SEC v. Timothy S. Batchelor
Case Number: 18-cv-00650 (United States District Court for the Northern District of Georgia)
Date Filed: February 13, 2018
Date of Qualifying Judgment/Order: February 5, 2019
 

SEC v. Michael T. Rand
Case Number: 09-cv-01780 (United States District Court for the Northern District of Georgia)
Date Filed: July 1, 2009
Date of Qualifying Judgment/Order: April 1, 2019
 

In the Matter of Wells Fargo Clearing Services, LLC and Wells Fargo Advisors Financial Network, LLC
Administrative Proceeding File No.: 3-19102
Date Filed: March 11, 2019
Date of Qualifying Judgment/Order: March 11, 2019

In the Matter of M Holdings Securities, Inc.
Administrative Proceeding File No.: 3-19096
Date Filed: March 11, 2019
Date of Qualifying Judgment/Order: March 11, 2019

In the Matter of First Republic Investment Management, Inc.
Administrative Proceeding File No.: 3-19095
Date Filed: March 11, 2019
Date of Qualifying Judgment/Order: March 11, 2019

In the Matter of Stifel, Nicolaus & Company, Incorporated
Administrative Proceeding File No.: 3-19092
Date Filed: March 11, 2019
Date of Qualifying Judgment/Order: March 11, 2019

In the Matter of Kestra Advisory Services, LLC
Administrative Proceeding File No.: 3-19088
Date Filed: March 11, 2019
Date of Qualifying Judgment/Order: March 11, 2019

In the Matter of Deutsche Bank Securities Inc.
Administrative Proceeding File No.: 3-19100
Date Filed: March 11, 2019
Date of Qualifying Judgment/Order: March 11, 2019

In the Matter of BB&T Securities, LLC
Administrative Proceeding File No.: 3-19020
Date Filed: March 11, 2019
Date of Qualifying Judgment/Order: March 11, 2019

In the Matter of RBC Capital Markets, LLC
Administrative Proceeding File No.: 3-19101
Date Filed: March 11, 2019
Date of Qualifying Judgment/Order: March 11, 2019

SEC v. Scott Newsholme
Case Number: 17-cv-06813 (United States District Court for the District of New Jersey)
Date Filed: September 6, 2017
Date of Qualifying Judgment/Order: March 22, 2019

In the Matter of Lumber Liquidators Holdings, Inc.
Administrative Proceeding File No.: 3-19104
Date Filed: March 12, 2019
Date of Qualifying Judgment/Order: March 12, 2019

In the Matter of Merrill Lynch, Pierce, Fenner & Smith Incorporated
Administrative Proceeding File No.: 3-19114
Date Filed: March 22, 2019
Date of Qualifying Judgment/Order: March 22, 2019

SEC v. Robert P. DePalo, Joshua B. Gladtke, Gregg A. Lerman, Pangaea Trading Partners LLC, Arjent LLC, Arjent Limited, and Excalibur Asset Management LLC
Case Number: 15-cv-03877 (United States District Court for the Southern District of New York)
Date Filed: May 20, 2015
Date of Qualifying Judgment/Order: February 5, 2019

In the Matter of PlanMember Securities Corporation
Administrative Proceeding File No.: 3-19080
Date Filed: March 11, 2019
Date of Qualifying Judgment/Order: March 11, 2019

In the Matter of AXA Advisors, LLC
Administrative Proceeding File No.: 3-19078
Date Filed: March 11, 2019
Date of Qualifying Judgment/Order: March 11, 2019

In the Matter of SSN Advisory, Inc.
Administrative Proceeding File No.: 3-19031
Date Filed: March 11, 2019
Date of Qualifying Judgment/Order: March 11, 2019

In the Matter of Woodbury Financial Services, Inc.
Administrative Proceeding File No.: 3-19077
Date Filed: March 11, 2019
Date of Qualifying Judgment/Order: March 11, 2019

In the Matter of TIAA-CREF Individual & Institutional Services, LLC
Administrative Proceeding File No.: 3-19032
Date Filed: March 11, 2019
Date of Qualifying Judgment/Order: March 11, 2019

In the Matter of Summit Financial Group, Inc.
Administrative Proceeding File No.: 3-19071
Date Filed: March 11, 2019
Date of Qualifying Judgment/Order: March 11, 2019

SEC v. Ronald C. Montano, Travis Stephenson, Antonio Giacca and Michael Wright
Case Number: 18-cv-01606 (United States District Court for the Middle District of Florida)
Date Filed: September 27, 2019
Date of Qualifying Judgment/Order: March 5, 2019

In the Matter of Mobile TeleSystems PJSC
Administrative Proceeding File No.: 3-19022
Date Filed: March 6, 2019
Date of Qualifying Judgment/Order: March 6, 2019

SEC v. Pedro Fort Berbel, Fort Marketing Group LLC
Case Number: 17-cv-23572 (United States District Court for the Southern District of Florida) 
Date Filed: September 28, 2017
Date of Qualifying Judgment/Order: March 19, 2019

In the Matter of Ameritas Investment Corp.
Administrative Proceeding File No.: 3-19058
Date Filed: March 11, 2019
Date of Qualifying Judgment/Order: March 11, 2019

SEC v. Chad C. McGinnis and Sergey Pugach
Case Number: 14-cv-00006 (United States District Court for the District of Vermont)
Date Filed: July 24, 2013
Date of Qualifying Judgment/Order: February 22, 2019

In the Matter of Principal Securities, Inc.
Administrative Proceeding File No.: 3-19057
Date Filed: March 11, 2019
Date of Qualifying Judgment/Order: March 11, 2019

In the Matter of Benjamin F. Edwards & Co., Inc.
Administrative Proceeding File No.: 3-19054
Date Filed: March 11, 2019
Date of Qualifying Judgment/Order: March 11, 2019

In the Matter of Transamerica Financial Advisors, Inc.
Administrative Proceeding File No.: 3-19053
Date Filed: March 11, 2019
Date of Qualifying Judgment/Order: March 11, 2019

In the Matter of Robert W. Baird & Co. Incorporated
Administrative Proceeding File No.: 3-19051
Date Filed: March 11, 2019
Date of Qualifying Judgment/Order: March 11, 2019

In the Matter of Cambridge Investment Research Advisors, Inc.
Administrative Proceeding File No.: 3-19045
Date Filed: March 11, 2019
Date of Qualifying Judgment/Order: March 11, 2019

SEC v. John Gregory Schmidt
Case Number: 18-cv-00320 (United States District Court for the Southern District of Ohio)
Date Filed: September 25, 2018
Date of Qualifying Judgment/Order: February 19, 2019

In the Matter of Oppenheimer & Co. Inc. and Oppenheimer Asset Management Inc.
Administrative Proceeding File No.: 3-19040
Date Filed: March 11, 2019
Date of Qualifying Judgment/Order: March 11, 2019

In the Matter of LPL Financial LLC
Administrative Proceeding File No.: 3-19039
Date Filed: March 11, 2019
Date of Qualifying Judgment/Order: March 11, 2019

In the Matter of Commonwealth Equity Services, LLC
Administrative Proceeding File No.: 3-19035
Date Filed: March 11, 2019
Date of Qualifying Judgment/Order: March 11, 2019

In the Matter of ProEquities, Inc.
Administrative Proceeding File No.: 3-19028
Date Filed: March 11, 2019
Date of Qualifying Judgment/Order: March 11, 2019

In the Matter of Raymond James Financial Services Advisors, Inc.
Administrative Proceeding File No.: 3-19029
Date Filed: March 11, 2019
Date of Qualifying Judgment/Order: March 11, 2019

SEC v. Jersey Consulting LLC, Marc Andrew Tager, Matthew Earl Mangum, Suzanne Aileen Gagnier, Kenneth Stephen Gross, Jeffrey Rowland Lebarton, Jonathan Edward Shoucair, Edward Dean Goss, Dana Kenton Harrloe, and Nicholi Mandracken
Case Number: 18-cv-00155 (United States District Court for the  District of Utah)
Date Filed: February 20, 2018
Date of Qualifying Judgment/Order: January 2, 2019

SEC v. Michael Scronic
Case Number: 17-cv-07615 (United States District Court for the Southern District of New York)
Date Filed: October 5, 2017
Date of Qualifying Judgment/Order: February 11, 2019

SEC v. Barry C. Honig, John Stetson, Michael Brauser, John R. O’Rourke III, Mark Groussman, Phillip Frost, Robert Ladd, Elliot Maza, Brian Keller, John H. Ford, Alpha Capital Anstalt, ATG Capital LLC, Frost Gamma Investments Trust, GRQ Consultants, Inc., HS Contrarian Investments, LLC, Grander Holdings, Inc., Melechdavid, Inc., Opko Health, Inc., Southern Biotech, Inc., and Stetson Capital Investments Inc.
Case Number: 18-cv-08175 (United States District Court for the Southern District of New York)
Date Filed: September 7, 2018
Date of Qualifying Judgment/Order: January 10, 2019

SEC v. Peter H. Pocklington, Lantson E. Eldred, Terrence J. Walton, Yolanda C. Velazquez a/k/a Lana Velazquez a/k/a Lana Puleo, Vanessa Puleo, Robert A. Vanetten, Nova Oculus Partners, LLC, f/k/a The Eye Machine, LLC, and AMC Holdings, LLC
Case Number: 18-cv-00701 (United States District Court for the Central District of California)
Date Filed: April 5, 2018
Date of Qualifying Judgment/Order: January 11, 2019

SEC v. Troy Joseph Flowers, Sean Paul Nevett, and Fruition, Inc. (f/k/a Seacoast Advisors, Inc.)
Case Number: 17-cv-01456 (United States District Court for the Southern District of California)
Date Filed: July 19, 2017
Date of Qualifying Judgment/Order: January 10, 2019

In the Matter of Cognizant Technology Solutions Corporation 
Administrative Proceeding File No.: 3-19000
Date Filed: February 15, 2019
Date of Qualifying Judgment/Order: February 15, 2019
 

In the Matter of Andrew F. Nicoletta, Bella Industries LLC, Cranberry Rock Investments, Inc., and J.J. Newport Group, Inc.
Administrative Proceeding File No.: 3-18941
Date Filed: December 19, 2018
Date of Qualifying Judgment/Order: December 19, 2018
 

In the Matter of Deloitte Touche Tohmatsu LLC, Futomichi Amano, and Yuji Itagaki
Administrative Proceeding File No.: 3-18997
Date Filed: February 13, 2019
Date of Qualifying Judgment/Order: February 13, 2019
 

In the Matter of Crowe Horwath LLP, Joseph C. Macina, CPA, and Kevin V. Wydra, CPA
Administrative Proceeding File No.: 3-18953
Date Filed: December 21, 2018
Date of Qualifying Judgment/Order: December 21, 2018
 

SEC v. AriseBank, Jared Rice Sr., and Stanley Ford
Case Number: 18-cv-00186 (United States District for the Northern District of Texas)
Date Filed: January 25, 2018
Date of Qualifying Judgment/Order: December 11, 2018
 

SEC v. Tycoon Energy, Inc. and Matthew Dee Nerbonne
Case Number: 16-cv-00693 (United States District Court for the Eastern District of Texas)
Date Filed: September 9, 2016
Date of Qualifying Judgment/Order: December 12, 2018
 

SEC v. Barry M. Kornfeld, Ferne Kornfeld, FEK Enterprises, Inc., d/b/a First Financial Tax Group, Andrew G. Costa, Costa Financial Insurance Services, Corp., Albert D. Klager, and Atlantic Insurance & Financial Services, Inc.
Case Number: 18-cv-23369 (United States District Court for the Southern District of Florida)
Date Filed: August 20, 2018
Date of Qualifying Judgment/Order: January 14, 2019
 

SEC v. Robert H. Shapiro, Woodbridge Group of Companies, LLC, d/b/a Woodbridge Wealth, RS Protection Trust, WMF Management, LLC, Woodbridge Structured Funding, LLC, Woodbridge Mortgage Investment Fund 1, LLC, Woodbridge Mortgage Investment Fund 2, LLC, Woodbridge Mortgage Investment Fund 3, LLC, Woodbridge Mortgage Investment Fund 3A, LLC, Woodbridge Mortgage Investment Fund 4, LLC, Woodbridge Commercial Bridge Loan Fund 1, LLC, Woodbridge Commercial Bridge Loan Fund 2, LLC, 144 Woodbridge-Affiliated Property Limited Liability Companies, 131 Woodbridge-Affiliated Holding Limited Liability Companies
Case Number: 17-cv-24624 (United States District Court for the Southern District of Florida
Date Filed: December 20, 2017
Date of Qualifying Judgment/Order: December 27, 2018
 

SEC v. Robert Yang, Claudia Kano, Suncor Fontana, LLC, Suncor Hesperia, LLC, and Suncor Care Lynwood, LLC
Case Number: 15-cv-02387 (United States District Court for the Central District of California)
Date Filed: November 19, 2015
Date of Qualifying Judgment/Order: January 9, 2019

In the Matter of Polycom, Inc.
Administrative Proceeding File No.: 3-18964
Date Filed: December 26, 2018
Date of Qualifying Judgment/Order: December 26, 2018

SEC v. John Afriyie and Lawrencia Afriyie
Case Number: 16-cv-02777 (United States District Court for the Southern District of New York)
Date Filed: April 13, 2016
Date of Qualifying Judgment/Order: November 27, 2018

SEC v. Sunwest Management, Inc. Canyon Creek Development, Inc., Canyon Creek Financial, LLC and Jon M. Harder
Case Number: 09-cv- 06056 (United States District Court for the District of Oregon)
Date Filed: March 2, 2009
Date of Qualifying Judgment/Order: December 7, 2018

SEC v. James V. Mazzo, David L. Parker, and Eddie C. Murray
Case Number: 12-cv-01327  (United States District Court for the Central District of California)
Date Filed: August 17, 2012
Date of Qualifying Judgment/Order: December 7, 2018

In the Matter of NB Alternatives Advisers LLC
Administrative Proceeding File No.: 3-18935
Date Filed: December 17, 2018
Date of Qualifying Judgment/Order: December 17, 2018

In the Matter of American Portfolios Advisors, Inc.
Administrative Proceeding File No.: 3-18946
Date Filed: December 20, 2018
Date of Qualifying Judgment/Order: December 20, 2018

In the Matter of Hertz Global Holdings, Inc. and The Hertz Corporation
Administrative Proceeding File No.: 3-18965
Date Filed: December 31, 2018
Date of Qualifying Judgment/Order: December 31, 2018

In the Matter of JP Morgan Chase Bank, N.A.
Administrative Proceeding File No.: 3-18963
Date Filed: December 26, 2018
Date of Qualifying Judgment/Order: December 26, 2018

In the Matter of Bank of New York Mellon
Administrative Proceeding File No.: 3-18933
Date Filed: December 17, 2018
Date of Qualifying Judgment/Order: December 17, 2018

In the Matter of Yucaipa Master Manager, LLC
Administrative Proceeding File No.: 3-18930
Date Filed: December 13, 2018
Date of Qualifying Judgment/Order: December 13, 2018

In the Matter of UBS Financial Services Inc.
Administrative Proceeding File No.: 3-18931
Date Filed: December 17, 2018
Date of Qualifying Judgment/Order: December 17, 2018

In the Matter of Agria Corporation
Administrative Proceeding File No.: 3-18917
Date Filed: December 10, 2018
Date of Qualifying Judgment/Order: December 10, 2018

SEC v. Jordan E. Goodman
Case Number: 18-cv-25303 (United States District Court for the Southern District of Florida)
Date Filed: December 18, 2018
Date of Qualifying Judgment/Order: December 21, 2018

In the Matter of Centrais Elétricas Brasileiras S.A.
Administrative Proceeding File No.: 3-18962
Date Filed: December 26, 2018
Date of Qualifying Judgment/Order: December 26, 2018

SEC v. David H. Brooks
Case Number: 07-cv-61526 (United States District Court for the Southern District of Florida)
Date Filed: October 25, 2007
Date of Qualifying Judgment/Order: December 12, 2018

In the Matter of Santander Consumer USA Holdings, Inc.
Administrative Proceeding File No.: 3-18932
Date Filed: December 17, 2018
Date of Qualifying Judgment/Order: December 17, 2018

In the Matter of Thoroughbred Financial Services, LLC, Thomas Jenkins Parker, and Lawrence Randal “Randy” Hartley
Administrative Proceeding File No.: 3-18952
Date Filed: December 21, 2018
Date of Qualifying Judgment/Order: December 21, 2018

In the Matter of MUFG Securities Americas Inc.
Administrative Proceeding File No.: 3-18914
Date Filed: December 10, 2018
Date of Qualifying Judgment/Order: December 10, 2018

In the Matter of Natixis Securities Americas LLC
Administrative Proceeding File No.: 3-18916
Date Filed: December 10, 2018
Date of Qualifying Judgment/Order: December 10, 2018

In the Matter of Citadel Securities LLC
Administrative Proceeding File No.: 3-18915
Date Filed: December 10, 2018
Date of Qualifying Judgment/Order: December 10, 2018

In the Matter of America Modern Green Senior (Houston) LLC, America Modern Green Community (Houston) LLC, and America Modern Green Residential (Houston) LLC
Administrative Proceeding File No.: 3-18927
Date Filed: December 12, 2018
Date of Qualifying Judgment/Order: December 12, 2018

SEC v. Douglas P. Simanski
Case Number: 18-cv-00221 (United States District Court for the Western District of Pennsylvania)
Date Filed: November 2, 2018
Date of Qualifying Judgment/Order: November 6, 2018

SEC  v. Keenan Gracey
Case Number: 18-cv-03872 (United States District Court for the Central District of California)
Date Filed: May 10, 2018
Date of Qualifying Judgment/Order: November 6, 2018

SEC v. Edward Chen, Jean Chen, Home Paradise Investment Center LLC, GH Investment LP, GH Design Group, LLC, Golden Galaxy LP, and Mega Home, LLC
Case Number: 17-cv-06929 (United States District Court for the Central District of California)
Date Filed: September 20, 2017
Date of Qualifying Judgment/Order: November 20, 2018

SEC v. Eric Lesak, Global Research, LLC (PA), and Global Research, LLC (NY)
Case Number: 18-cv- 01951 (United States District Court for the District of Columbia)
Date Filed: August 21, 2018
Date of Qualifying Judgment/Order: October 29, 2018

In the Matter of Fifth Street Management, LLC
Administrative Proceeding File No.: 3-18909
Date Filed: December 3, 2018
Date of Qualifying Judgment/Order: December 3, 2018

SEC v. Steve Qi and Law Offices of Steve Qi & Associates, A Professional Corporation
Case Number: 17-cv-08856 (United States District Court for the Central District of California)
Date Filed: December 8, 2017
Date of Qualifying Judgment/Order: November 5, 2018

In the Matter of Vantage Drilling International
Administrative Proceeding File No.: 3-18899
Date Filed: November 19, 2018
Date of Qualifying Judgment/Order: November 19, 2018

SEC v. John Sherman Jumper, Alluvion Securities, LLC, American Investments Fund, II, LLC, Speedee Brakes, LLC, Thousand Hills Capital, LLC and Evertone Records, LLC
Case Number: 18-cv-02259 (United States District Court for the Western District of Tennessee)
Date Filed: April 17, 2018
Date of Qualifying Judgment/Order: November 1, 2018

SEC v. Charles A. Banks, IV
Case Number: 16-cv-03399 (United States District Court for the Northern District of Georgia)
Date Filed: September 9, 2016
Date of Qualifying Judgment/Order: November 1, 2018

SEC v. Tesla, Inc.
Case Number:  18-cv- 08947 (United States District Court for the Southern District of New York)
Date Filed: September 29, 2018
Date of Qualifying Judgment/Order: October 16, 2018

SEC v. Elon Musk
Case Number: 18-cv-08865 (United States District Court for the Southern District of New York)
Date Filed: September 27, 2018
Date of Qualifying Judgment/Order: October 16, 2018

In the Matter of ITG Inc. and AlterNet Securities, Inc.
Administrative Proceeding File No.: 3-18887
Date Filed: November 7, 2018
Date of Qualifying Judgment/Order: November  7, 2018

SEC v. Lawrence P. Schmidt; Futuregen Company d/b/a Futuregen Capital Commercial Equity Partners, LTD.; FGC Distressed Assets Investment #1, LLC; Futuregen Capital DDA CG Fund LLC; FGC Tax Lien Fund #2, LLC; FGC Trading Fund #1 LLC; FGC SPE NO 1 LLC; FGC SPE NO 2 LLC; and FGC CM Note Fund LLC
Case Number: 14-cv-01002 (United States District Court for the District of Columbia)
Date Filed: June 12, 2014
Date of Qualifying Judgment/Order: October 3, 2018

In the Matter of Citibank, N.A.
Administrative Proceeding File No.: 3-18886
Date Filed: November 7, 2018
Date of Qualifying Judgment/Order: November  7, 2018

SEC v. Lawrence E. Penn, III, Michael St. Altura Ewers, Camelot Acquisitions Secondary Opportunities Management, LLC, The Camelot Group International, LLC, and Ssecurion, LLC
Case Number: 14-cv- 00581 (United States District Court for the Southern District of New York)
Date Filed: January 30, 2014
Date of Qualifying Judgment/Order: October 1, 2018

SEC v. Emilio Francisco; PDC Capital Group, LLC; Caffe Primo International, Inc.; Sal Assisted Living, LP; Sal Carmichael, LP; Sal Citrus Heights, LP; Sal Kern Canyon, LP; Sal Phoenix, LP; Sal Westgate, LP; Summer place at Sarasota, LP; Summerplace at Clearwater, LP; Summerplace at Correll Palms, LP; TRC Tucson, LP; Clear Currents West, LP; Caffe Primo Management, LP; Caffe Primo Management 102, LP; Caffe Primo Management 103, LP; Caffe Primo Management 104, LP; Caffe Primo Management 105, LP; Caffe Primo Management 106, LP; Caffe Primo Management 107, LP; Caffe Primo Management 108, LP
Case Number:  16-cv-02257 (United States District Court for the Central District of California)
Date Filed: December 27, 2016
Date of Qualifying Judgment/Order: October 4, 2018

SEC v. Jason McDiarmid, Kenneth George Cedric Telford and Stop Sleep Go. Inc., fka Interactive Multi-Media Auction Corp.
Case Number:  17-cv-07201 (United States District Court for the Central District of California)
Date Filed: September 29, 2017
Date of Qualifying Judgment/Order: November 19, 2018

In the Matter of CMB Export, LLC; Patrick F. Hogan; CMB Infrastructure Investment Group VI-C, LP; CMB Infrastructure Investment Group VII, LP; CMB Infrastructure Investment Group VIII, LP; CMB Infrastructure Investment Group IX, LP; CMB Infrastructure Investment Group X, LP; CMB Export Infrastructure Investment Group XI, LP; CMB Export Infrastructure Investment Group XII, LP; CMB Export Infrastructure Investment Group XIII, LP; CMB Export Infrastructure Investment Group XIV, LP; CMB Export Infrastructure Investment Group XV, LP; CMB Export Infrastructure Investment Group XVI, LP; CMB Export Infrastructure Investment Group XVII, LP; CMB Export Infrastructure Investment Group XVIII, LP; CMB Texas Infrastructure Investment Group XIX, LP; CMB Texas Infrastructure Investment Group 20, LP; CMB Texas Infrastructure Investment Group 21, LP; CMB Texas Infrastructure Investment Group 22, LP; CMB Export Infrastructure Investment Group 23, LP; CMB Texas Infrastructure Investment Group 24, LP; CMB Texas Infrastructure Investment Group 25, LP; CMB Florida Infrastructure Investment Group 26, LP; CMB Texas Infrastructure Investment Group 27, LP; CMB Export Infrastructure Investment Group 28, LP; CMB Export Infrastructure Investment Group 29, LP; CMB Tennessee Infrastructure Investment Group 30 LP; CMB Export Infrastructure Investment Group 31, LP; CMB North Dakota Infrastructure Investment Group 32, LP; CMB Pennsylvania Infrastructure Investment Group 33, LP; CMB Export Infrastructure Investment Group 34, LP; CMB Export Infrastructure Investment Group 35, LP; CMB Maryland Infrastructure Investment Group 37, LP; CMB Texas Infrastructure Investment Group 40, LP; CMB Colorado Infrastructure Investment Group 41, LP; CMB Indiana Infrastructure Investment Group 43, LP; CMB Texas Infrastructure Investment Group 45, LP; CMB Nebraska Infrastructure Investment Group 47, LP; And CMB North Carolina Infrastructure Investment Group 50, LP
Administrative Proceeding File No.: 3-18825
Date Filed: September 21, 2018
Date of Qualifying Judgment/Order: September 21, 2018

SEC v. Thurman P. Bryant, III, and Bryant United Capital Funding, Inc.
Case Number: 17-cv-00336 (United States District Court for the Eastern District of Texas)
Date Filed: May 15, 2017
Date of Qualifying Judgment/Order: October 9, 2018

SEC v. Matthew Carl Griffin and William Daniel Griffin
Case Number: 16-cv-00902 (United States District Court for the Eastern District of Texas)
Date Filed: November 23, 2016
Date of Qualifying Judgment/Order: October 9, 2018

SEC v. Isaac Grossman, Adriana Grossman, Dragon-Click Corp., and Dragon Management, LLC
Case Number: 18-cv-61234 (United States District Court for the Southern District of Florida)
Date Filed: June 4, 2018
Date of Qualifying Judgment/Order: October 29, 2018

SEC v. SeaWorld Entertainment, Inc., and James Atchison
Case Number: 18-cv-08480 (United States District Court for the Southern District of New York)
Date Filed: September 18, 2018
Date of Qualifying Judgment/Order: October 4, 2018

SEC v. Iftikar Ahmed
Case Number: 15-cv-00675 (United States District Court for the District of Connecticut)
Date Filed: May 6, 2015
Date of Qualifying Judgment/Order: September 27, 2018

SEC v. William M. Apostelos, WMA Enterprises, LLC, Midwest Green Resources, LLC, and Ovo Wealth Management, LLC
Case Number: 15-cv-00699 (United States District Court for the Southern District of Ohio)
Date Filed: October 29, 2015 
Date of Qualifying Judgment/Order: October 1, 2018

SEC v. Tangoe, Inc., Albert R. Subbloie, Gary R. Martino, Donald J. Farias, and Thomas H. Beach
Case Number: 18-cv-01479 (United States District Court for the District of Connecticut)
Date Filed: September 4, 2018
Date of Qualifying Judgment/Order: October 10, 2018

SEC v. Peter C. Chang
Case Number: 17-cv-05438 (United States District Court for the Northern District of California)
Date Filed: September 20, 2017
Date of Qualifying Judgment/Order: September 17, 2018

SEC v. San Francisco Regional Center, LLC; Thomas M. Henderson; California Gold Medal, L.P.; CallSocket, L.P; CallSocket II, L.P; CallSocket III, L.P.; Comprehensive Care of Oakland, L.P.; NA3PL, L.P.; West Oakland Plaza, L.P.; CallSocket, LLC; CallSocket II, LLC; CallSocket III, LLC; Comprehensive Care of California, LLC; Immedia, LLC: and North America 3PL, LLC
Case Number: 17-cv- 00223 (United States District Court for the Northern District of California)
Date Filed: January 17, 2017
Date of Qualifying Judgment/Order: September 24, 2018

In the Matter of Barrett Business Services, Inc. and Mark Cannon, CPA
Administrative Proceeding File No.: 3-18806
Date Filed: September 20, 2018
Date of Qualifying Judgment/Order: September 20, 2018

In the Matter of Capital Analysts, LLC
Administrative Proceeding File No.: 3-18765
Date Filed: September 14, 2018
Date of Qualifying Judgment/Order: September 14, 2018