Whistleblower Program: Notices of Covered Action

In the Matter of Miles S. Nadal
Administrative Proceeding File No.: 3-17980
Date Filed: May 11, 2017
Date of Qualifying Judgment/Order: May 11, 2017

SEC v. Leon G. Cooperman and Omega Advisors, Inc.
Case Number: 16-cv-05043 (United States District Court for the Eastern District of Pennsylvania )
Date Filed: September 22, 2016
Date of Qualifying Judgment/Order: May 22, 2017

SEC v. William R. Schantz III and Verto Capital Management LLC
Case Number: 17-cv-03115 (United States District Court for the District of New Jersey)
Date Filed: May 4, 2017
Date of Qualifying Judgment/Order: May 8, 2017

In the Matter of Barclays Capital, Inc.
Administrative Proceeding File No.: 3-17978
Date Filed: May 10, 2017
Date of Qualifying Judgment/Order:  May 10, 2017

SEC v. BIC Real Estate Development Corporation and Daniel R. Nase, indivudally and d/b/a Bakersfield Investment Club
Case Number: 16-cv-00344 (United States District Court for the Eastern District of California)
Date Filed: March 11, 2016
Date of Qualifying Judgment/Order: May 4, 2017

SEC v. Iat Hong, Bo Zheng, and Hung Chin
Case Number: 16-cv-09947 (United States District Court for the Southern District of New York)
Date Filed: December 28, 2016
Date of Qualifying Judgment/Order: May 5, 2017

In the Matter of Barclays Capital Inc.
Administrative Proceeding File No.: 3-17953
Date Filed: May 1, 2017
Date of Qualifying Judgment/Order: May 1, 2017

In the Matter of Yoon Seok Lee
Administrative Proceeding File No.: 3-17954
Date Filed: May 1, 2017
Date of Qualifying Judgment/Order: May 1, 2017

In the Matter of David F. Wong
Administrative Proceeding File No.: 3-17955
Date Filed: May 1, 2017
Date of Qualifying Judgment/Order: May 1, 2017

SEC v. Carl Keith Battie
Case Number: 17-cv-01113 (United States District Court for the Northern District of Texas)
Date Filed:  April 27, 2017
Date of Qualifying Judgment/Order: May 19, 2017

SEC v. Seth Eber, Howard Ettelman, Ronny J. Halperin, Charles Hansen, III, Melissa K. Rice, Luz Rodriguez, and Kevin D. Sepe
Case Number: 12-cv-21653 (United States District Court for the Southern District of Florida)
Date Filed:  May 2, 2012
Date of Qualifying Judgment/Order: July 6, 2012

SEC v. Homero Joshua Garza, GAW Miners, LLC and ZenMiner (d/b/a Zen Cloud)
Case Number: 15-cv-01760 (United States District Court for the District of Connecticut)
Date Filed: December 1, 2015
Date of Qualifying Judgment/Order: June 2, 2017

SEC v. TelexFree, Inc., TelexFree, LLC, James M. Merrill, Carlos N. Wanzeler, Steven M. Labriola, Joseph H. Craft, Sanderley Rodrigues de Vasconcelos, Santiago de al Rosa, Randy N. Crosby and Faith R. Sloan
Case Number: 14-cv-11858 (United States District Court for the District of Massachusetts)
Date Filed: April 15, 2014
Date of Qualifying Judgment/Order: May 17, 2017

SEC v. Francisco Illarramendi and Michael Kenwood Capital Management, LLC
Case Number: 11-cv-00078 (United States District Court for the District of Connecticut)
Date Filed: January 14, 2011
Date of Qualifying Judgment/Order: May 24, 2017

In the Matter of MagnaChip Semiconductor Corporation and Maragret Hye-Ryoung Sakai, CPA 
Administative Proceeding File No.: 3-17956
Date Filed: May 1, 2017
Date of Qualifying Judgment/Order: May 1, 2017  

In the Matter of BlackRock Fund Advisors 
Administative Proceeding File No.: 3-17942
Date Filed: April 25, 2017
Date of Qualifying Judgment/Order: April 25, 2017  

In the Matter of Calvert Investment Distributors, Inc. and Calvert Investment Management, Inc. 
Administative Proceeding File No.: 3-17964
Date Filed: May 2, 2017
Date of Qualifying Judgment/Order: May 2, 2017  

SEC v. McGinn Smith & Co., Inc., McGinn Smith Advisors, LLC, McGinn, Smith Capital Holdings Corp., First Advisory Income Notes, LLC, First Excelsior Income Notes LLC, Third Albany Income Notes, LLC, Timothy M. McGinn, David L. Smith, Lynn A. Smith, Geoffrey R. Smith, Lauren T. Smith, and Nancy McGinn 
Case Number: 10-cv-00457 (United States District Court for the Northern District of New York)
Date Filed: April 20, 2010
Date of Qualifying Judgment/Order: July 8, 2015  

SEC v. Scott Allen and John Michael Bennett 
Case Number: 11-cv-06443 (United States District Court for the Southern District of New York)
Date Filed: September 15, 2011
Date of Qualifying Judgment/Order: April 4, 2017  

SEC v. Janus Spectrum LLC; David Alcorn; Kent Maerki; Dominion Private Client Group, LLC; Janus Spectrum Group, LLC; Spectrum Management, LLC; Spectrum 100, LLC; Spectrum 100 Management, LLC; Prime Spectrum, LLC; Prime Spectrum Management, LLC; Daryl G. Bank; Premier Spectrum Group, PMA; Bobby D. Jones; Innovative Group, PMA; Premier Group, PMA; Prosperity Group, PMA; Terry W. Johnson; and Raymon G. Chadwick, Jr. 
Case Number: 15-cv-00609 (United States District Court for the District of Arizona)
Date Filed: April 9, 2015
Date of Qualifying Judgment/Order: April 27, 2017  

SEC v. Global Express Capital Real Estate Investment Fund I, LLC; Global Express Capital Mortgage Corp.; Global Express Securities, Inc.; Connie S. Farris; and Dawn M. Reese 
Case Number: 03-cv-01514 (United States District Court for the District of Arizona)
Date Filed: December 4, 2003
Date of Qualifying Judgment/Order: February 14, 2017

SEC v. Herman Ronnie Young, Jr. d/b/a Race Cycler 
Case Number: 17-cv-00243 (United States District Court for the District of South Carolina)
Date Filed: January 26, 2017
Date of Qualifying Judgment/Order: April 24, 2017  

In the Matter of Credit Suisse Securities (USA) LLC 
Administrative Proceeding File No: 3-17899
Date Filed: April 4, 2017
Date of Qualifying Judgment/ Order: April 4, 2017;

In the Matter of Sanford Michael Katz
Administrative Proceeding File No.: 3-17900
Date Filed: April 4, 2017
Date of Qualifying Judgment/Order: April 4, 2017

SEC v. Michael Andre Jones 
Case Number: 17-cv-02413 (United States District Court for the Central District of California)
Date Filed: March 29, 2017
Date of Qualifying Judgment/Order: April 5, 2017  

SEC v. Provident Capital Indemnity, LTD., Minor Vargas Calvo, and Jorge L. Castillo 
Case Number: 11-cv-00045 (United States District Court for the Eastern District of Virginia)
Date Filed: January 19, 2011
Date of Qualifying Judgment/Order: July 10, 2012  

SEC v. Todd Farha, Paul Behrens, and Thaddeus Bereday 
Case Number: 12-cv-00047 (United States District Court for the Middle District of Florida)
Date Filed: January 09, 2012
Date of Qualifying Judgment/Order: April 17, 2017

SEC v. Mercury Interactive, LLC (F/K/A Mercury Interactive, Inc.), Amnon Landan, Sharlene Abrams, Douglas Smith and Susan Skaer 
Case Number: 07-cv-02822 (United States District Court for the Northern District of California)
Date Filed: May 31, 2007
Date of Qualifying Judgment/Order: February 21, 2013

SEC v. Jeffrey A. McCollum and JNL Oilfield Instruments, LLC 
Case Number: 16-cv-00282 (United States District Court for the Western District of Texas)
Date Filed: July 27, 2016
Date of Qualifying Judgment/Order: April 11, 2017

SEC v. Marco A. Ramirez; Bebe Ramirez; USA Now, LLC, USA Now Energy Capital Group, LP; and Now Co. Loan Services LLC 
Case Number: 13-cv-00531 (United States District Court for the Southern District of Texas)
Date Filed: September 30, 2013
Date of Qualifying Judgment/Order: March 31, 2017  

In the Matter of William Blair & Company, LLC 
Administrative Proceeding File No.: 3-17960
Date Filed: May 1, 2017
Date of Qualifying Judgment/Order: May 1, 2017

SEC v. Thomas J. Connerton and Safety Technologies, LLC 
Case Number: 16-cv-00882 (United States District Court for the District of Connecticut)
Date Filed: June 8, 2016
Date of Qualifying Judgment/Order: April 4, 2017

In the Matter of Voya Financial Advisors, Inc. 
Administative Proceeding File No.: 3-17870
Date Filed: March 8, 2017
Date of Qualifying Judgment/Order: March 8, 2017  

SEC v. Path America, LLC; Path America SnoCo LLC; Path America Farmer's Market, LP; Path America KingCo LLC; Path America Tower, LP; Path Tower Seattle, LP; Potala Tower Seattle, LLC; and Lobsang Dargey 
Case Number: 15-cv-01350 (United States District Court for the Western District of Washington)
Date Filed: August 24, 2015
Date of Qualifying Judgment/Order: March 3, 2017  

In the Matter of Bennett Group Financial Services, LLC, and Dawn J. Bennett 
Administrative Proceeding File No.: 3-16801
Date Filed: September 9, 2015
Date of Qualifying Judgment/Order: March 30, 2017 

In the Matter of Louis Capital Markets, LP 
Administrative Proceeding File No.: 3-17890
Date Filed: March 29, 2017
Date of Qualifying Judgment/Order: March 29, 2017

SEC vs. Gregory W. Gray, Jr., Archipel Capital LLC, BIM Management LP 
Case Number: 15-cv-01465 (United States District Court for the Southern District of New York)
Date Filed: February 27, 2015 
Date of Qualifying Judgment/Order: January 10, 2017  

SEC vs. Harold Bailey "B.J." Gallison, II (A.K.A. Bart Williams, Moneyline Brokers, Bastille Advisors, Inc., Club Consultants Inc., Jurojin, Inc., Sandias Azucaradas CR, S.A., Vanilla Sky, S.A., Roger G. Coleman, Sr., Ann "Anna" M. Hiskey, Robin M. Rushing, David K. Rushing, Michael J. Randles, Warrior Girl Corp., Carl H. Kruse, Sr., Carl H. Kruse Jr., (A.K.A. Carl Kruse-Velasquez), Allan M. Migdall, Nature's Peak F.K.A. Everock, Inc., Frank J. Zangara, Mark S. Dresner, Charles "Chuck" S. Moeller, Robert S. Oppenheimer, Antonio ("Tony" or "Anthony") J. Katz, Richard S. Roon, Fryn Canyon Corporation, L.F. Technology Group LLC, Starburst Innovations LLC, Tachion Projects, Inc., B.H.I. Group, Inc., U D F Consulting Inc., Digital Edge Marketing LLC, Core Business One, Inc., Spectrum Research Group Inc., Oceanic Consulting LLC, and Akat Global LLC 
Case Number: 15-cv-05456 (United States District Court for the Southern District of New York)
Date Filed: July 15, 2015
Date of Qualifying Judgment/Order: March 10, 2017

SEC v. Warren D. Nadel, Warren D. Nadel & Co. and Registered Investment Advisers, LLC 
Case Number: 11-cv-00215 (United States District Court for the Eastern District of New York)
Date Filed: January 14, 2011
Date of Qualifying Judgment/Order: January 20, 2017 

SEC v. Steve Chen, USFIA, Inc., Alliance Financial Group, Inc., Amauction, Inc., Aborell MGMT I, LLC, Aborell Advisors I, LLC, Aborell REIT II, LLC, Ahome Real Estate, LLC, Alliance NGN, Inc., Apollo REIT I, Inc., Apollo REIT II, LLC, Amkey Inc., US China Consultation Association, and Quail Ranch Golf Course, LLC 
Case Number: 15-cv-07425 (United States District Court for the Central District of California)
Date Filed: September 29, 2015
Date of Qualifying Judgment/Order: March 16, 2017

SEC v. Notis Global, Inc. (f/k/a MedBox, Inc.), Vincent Mehdizadeh, Bruce Bedrick, Yocelin Legaspi, and New-Age Investment Consulting, Inc. 
Case Number: 17-cv-01905 (United States District Court for the Central District of California)
Date Filed: March 9, 2017
Date of Qualifying Judgment/Order: March 22, 2017  

SEC v. Nathan Halsey and TexStar Oil Co., Ltd. 
Case Number: 16-cv-00450 (United States District Court for the Northern District of Texas)
Date Filed: February 17, 2016
Date of Qualifying Judgment/Order: March 20, 2017  

SEC v. Arcturus Corporation, Aschere Energy, LLC, Leon Ali Parvizian a/k/a Alex Parvizian, Alfredo Gonzalez, AMG Energy, LLC, Robert J. Balunas, and R. Thomas & Co., LLC 
Case Number: 13-cv-04861 (United States District Court for the Northern District of Texas)
Date Filed: December 12, 2013
Date of Qualifying Judgment/Order: March 2, 2017  

In the Matter of Sheldon Rose and MKJJ Consulting LLC  
Administrative Proceeding File No.: 3-17559 
Date Filed: March 23, 2017
Date of Qualifying Judgment/Order: March 23, 2017

SEC v. Clayton A. Cohn and Marketaction Advisors, LLC 
Case Number: 13-cv-05586 (United States District Court for the Northern District of Illinois)
Date Filed: August 6, 2013
Date of Qualifying Judgment/Order: March 30, 2017

SEC v. Oscar F. Villarreal 
Case Number: 14-cv-01891 (United States District Court for the Northern District of Ohio)
Date Filed: August 26, 2014
Date of Qualifying Judgment/Order: March 16, 2017

SEC v. Mark A. Jones
Case Number: 16-cv-10524 (United States District Court for the District of Massachusetts)
Date Filed: March 15, 2016
Date of Qualifying Judgment/Order: March 28, 2017

SEC v. Matthew E. White, Rodney A. Zehner, Daniel J. Merandi, White Investment Groups and Equities, LLC, the Grand Empire Palace and Resort, LLC, GEPR Investments Trust No. 1, GEPR Investments, LLC, M&M Financial, LLC, and Mountaineer Development & Construction Group, LLC
Case Number: 16-cv-02715 (United States District Court for the Northern District of Georgia)
Date Filed: July 27, 2016
Date of Qualifying Judgment/Order: March 21, 2017

SEC v. Lonny S. Bernath
Case number: 15-cv-00485 (United States District Court for the Western District of North Carolina)
Date Filed: October 13, 2015
Date of Qualifying Judgment/Order: March 8, 2017

SEC v. Paul A. Garcia, Caliber Capital Management, LLC, Partner Medical Solutions, LLC, Richard T. Woods, and Caliber Partnership I, LLC
Case Number: 17-cv-00174 (United States District Court for the Central District of California)
Date Filed: February 1, 2017
Date of Qualifying Judgment/Order: February 8, 2017

SEC v. Raymond H. Barton, William G. Goode, Mathew Charles Briggs, Kenneth Manzo, and Justin Sindelman
Case Number: 17-cv-00403 (United States District Court for the Eastern District of New York)
Date Filed: January 25, 2017
Date of Qualifying Judgment/Order: February 6, 2017

SEC v. Jason Cope, Izak Zirk de Maison (F/K/A Izak Zirk Engelbrecht), Gregory Goldstein, Stephen Wilshinsky, Talman Harris, William Scholander, Jack Tagliaferro, Victor Alfaya, Justin Esposito, Kona Jones Barbera, Louis Mastromatteo, Angelique de Maison, Trish Malone, Kieran T. Kuhn, Peter Voutsas, Ronald Loshin, Gepco, Ltd., Sunatco Ltd., Suprafin Ltd., Worldbridge Partners, Traverse International, and Small Cap Resource Corp.
Case Number: 14-cv-07575 (United States District Court for the Southern District of New York)
Date Filed: September 18, 2014 (amended complaint filed June 15, 2015)
Date of Qualifying Judgment/Order: February 7, 2017

SEC v. Robert Seibert, a.k.a. John Grey
Case Number: 15-cv-09331 (United States District Court for the Central District of California)
Date Filed: December 2, 2015
Date of Qualifying Judgment/Order: February 6, 2017

SEC v. Bruce A. Cole
Case Number: 12-cv-08024 (United States District Court for the Central District of California)
Date Filed: September 18, 2012
Date of Qualifying Judgment/Order: February 10, 2017

In the Matter of SLRA Inc. as successor entity to Liquid Realty Advisors III, LLC and Scott M. Landress
Administrative Proceeding File No.: 3-17826
Date Filed: February 7, 2017
Date of Qualifying Judgment/Order: February 7, 2017

In the Matter of Morgan Stanley Smith Barney, LLC
Administrative Proceeding File No.: 3-17845
Date Filed: February 14, 2017
Date of Qualifying Judgment/Order: February 14, 2017

In the Matter of Angel Oak Capital Partners, LLC, Peraza Capital & Investment, LLC, Sreeniwas Prabhu, and David W. Wells
Administrative Proceeding File No.: 3-17849
Date Filed: February 16, 2017
Date of Qualifying Judgment/Order: February 16, 2017

In the Matter of Overseas Shipholding Group, Inc. and Myles Robert Itkin
Administrative Proceeding File No.: 3-17807
Date Filed: January 23, 2017
Date of Qualifying Judgment/Order: January 23,2017

SEC v. Harrison Schumacher; Paul Mysyk; Quaneco, LLC; and Quantum Energy, LLC
Case Number: 15-cv-06388 (United States District Court for the Central District of California)
Date Filed: August 25, 2015
Date of Qualifying Judgment/Order: February 21, 2017

In the Matter of Jay T. Comeaux
Administrative Proceeding File No.: 3-15002
Date Filed: August 31, 2012
Date of Qualifying Judgment/Order: February 17, 2017

SEC v. Braskem S.A.
Case Number: 16-cv-02488 (United States District Court for the District of Columbia)
Date Filed: December 21, 2016
Date of Qualifying Judgment/Order: February 28, 2017

SEC v. Brian S. Hudnall and JBH Consulting Group LLC
Case Number: 17-cv-00059 (United States District Court for the Western District of Missouri)
Date Filed: January, 27, 2017
Date of Qualifying Judgment/Order: February 9, 2017

In the Matter of Thomas R. Stanley, II
Administrative Proceeding File No.: 3-17844
Date Filed: February 13, 2017
Date of Qualifying Judgment/Order: February 13, 2017

In the Matter of Sociedad Quimica y Minera de Chile, S.A.
Administrative Proceeding File No.: 3-17774
Case filed: January 13, 2017
Qualifying Judgment/Order: January 13, 2017

In the Matter of MDC Partners Inc.
Administrative Proceeding File No.: 3-17795
Case filed: January 18, 2017
Qualifying Judgment/Order: January 18, 2017

SEC v. Timothy S. Durham, James F. Cochran, and Rick D. Snow
Case number: 11-cv-00370 (United States District Court for the Southern District of Indiana)
Case filed: March 16, 2011
Qualifying Judgment/Order: January 18, 2017

SEC v. Andrew W.W. Caspersen and Irving Place III SPV, LLC
Case number: 16-cv-02249 (United States District Court for the Southern District of New York)
Case filed: March 28, 2016
Qualifying Judgment/Order: January 30, 2017

SEC v. Charles A. Bennett
Case number: 14-cv-09828 (United States District Court for the Southern District of New York)
Case filed: December 15, 2014
Qualifying Judgment/Order: January 10, 2017

In the Matter of Morgan Stanley Smith Barney, LLC
Administrative Proceeding File No.: 3-17773
Case filed: January 13, 2017
Qualifying Judgment/Order: January 13, 2017

In the Matter of L3 Technologies, Inc.
Administrative Proceeding File No.: 3-17769
Case filed: January 11, 2017
Qualifying Judgment/Order: January 11, 2017

In the Matter of Allergan, Inc.
Administrative Proceeding File No.: 3-17790
Case filed: January 17, 2017
Qualifying Judgment/Order: January 17, 2017

In the Matter of ITG Inc.
Administrative Proceeding File No.: 3-17770
Case filed: January 12, 2017
Qualifying Judgment/Order: January 12, 2017

In the Matter of Citigroup Global Markets, Inc.
Administrative Proceeding File No.: 3-17817
Case filed: January 26, 2017
Qualifying Judgment/Order: January 26, 2017

In the Matter of Harding Advisory LLC and Wing F. Chau
Administrative Proceeding File No.: 3-15574
Case filed: October 18, 2013
Qualifying Judgment/Order: January 6, 2017

In the Matter of Orthofix International N.V.
Administrative Proceeding File No.: 3-17800
Case filed: January 18, 2017
Qualifying Judgment/Order: January 18, 2017

SEC v. Gregg R. Mulholland
Case number: 15-cv-03668 (United States District Court for the Eastern District of New York)
Case filed: June 23, 2015
Qualifying Judgment/Order: January 11, 2017

In the Matter of Biomet, Inc.
Administrative Proceeding File No.: 3-17771
Case filed: January 12, 2017
Qualifying Judgment/Order: January 12, 2017

In the Matter of Citadel Securities LLC
Administrative Proceeding File No.: 3-17772
Case filed: January 13, 2017
Qualifying Judgment/Order: January 13, 2017

SEC v. Oxford City Football Club, Inc., and Thomas Anthony Guerriero
Case number: 15-cv-62594 (United States District Court for the Southern District of Florida)
Case filed: December 10, 2015
Qualifying Judgment/Order: January 26, 2017

In the Matter of Orthofix International N.V.
Administrative Proceeding File No.: 3-17791
Case filed: January 18, 2017
Qualifying Judgment/Order: January 18, 2017

In the Matter of Jeffrey Hammel, CPA
Administrative Proceeding File No.: 3-17792
Case filed: January 18, 2017
Qualifying Judgment/Order: January 18, 2017

In the Matter of Brian McCollum
Administrative Proceeding File No.: 3-17793
Case filed: January 18, 2017
Qualifying Judgment/Order: January 18, 2017

In the Matter of Kenneth Mack and Bryan McMillan
Administrative Proceeding File No.: 3-17794
Case filed: January 18, 2017
Qualifying Judgment/Order:January 18, 2017

In the Matter of Cadbury Limited and Mondelēz International, Inc
Administrative Proceeding File No.: 3-17759
Case filed: January 6, 2017
Qualifying Judgment/Order: January 6, 2017

SEC v. AJN Investments, LLC and Jason Adam Ogden
Case number: 16-cv-63036 (United States District Court for the Southern District of Florida)
Case filed: December 28, 2016
Qualifying Judgment/Order: January 19, 2017

In the Matter of Citigroup Global Markets, Inc.
Administrative Proceeding File No.: 3-17808
Case filed: January 24, 2017
Qualifying Judgment/Order: January 24, 2017

In the Matter of Morgan Stanley Smith Barney, LLC
Administrative Proceeding File No.: 3-17809
Case filed: January 24, 2017
Qualifying Judgment/Order: January 24, 2017

SEC v. Robert DeWayne Milligan
Case number: 15-cv-07308 (United States District Court for the Central District of California)
Case filed: September 17, 2015
Qualifying Judgment/Order: January 17, 2017

SEC v. James M. Louks and FiberPoP Solutions, Inc.
Case number: 15-cv-03456 (United States District Court for the District of Minnesota)
Case filed: September 1, 2015
Qualifying Judgment/Order: January 13, 2017

SEC v. Vu H. Le a/k/a Vinh H. Le, and TeamVinh.com LLC
Case number: 15-cv-04366 (United States District Court for the District of Minnesota)
Case filed: December 15, 2015
Qualifying Judgment/Order: February 1, 2017

In the Matter of the Bank of New York Mellon Corporation
Administrative Proceeding File No.: 3-17768
Case filed: January 12, 2017
Qualifying Judgment/Order: January 12, 2017

SEC v. Christopher R. Esposito, Anthony Jay Pignatello, James Gondolfe, Renee Galizio, Lionshare Ventures LLC, and Cannabiz Mobile, Inc.
Case number: 16-cv-10960 (United States District Court for the District of Massachusetts)
Case filed: May 26, 2016
Qualifying Judgment/Order: January 27, 2017

SEC v. Randal Kent Hansen, RAHFCO Management Group, LLC, Vincent Puma, and Hudson Capital Partners Corporation
Case number: 13-cv-01403 (United States District Court for the Southern District of New York)
Case filed: March 4, 2013
Qualifying Judgment/Order: May 19, 2016

In the Matter of Morgan Stanley & Co. LLC
Administrative Proceeding File No.: 3-17737
Case filed: December 20, 2016
Qualifying Judgment/Order: December 20, 2016

In the Matter of United Continental Holdings, Inc.
Administrative Proceeding File No.: 3-17705
Case filed: December 2, 2016
Qualifying Judgment/Order: December 2, 2016

SEC v. David L. Fleet
Case number: 14-cv-06695 (United States District Court for the Western District of New York)
Case filed: December 12, 2014
Qualifying Judgment/Order: December 12, 2016

In the Matter of Harold D. Garrison
Administrative Proceeding File No.: 3-17713
Case filed: December 7, 2016
Qualifying Judgment/Order: December 7, 2016

SEC v. Patrick S. Carter, 808 Renewable Energy Corporation, 808 Investments, LLC, Martin J. Kinchloe, Peter Kirkbride, West Coast Commodities, LLC, Thomas A. Flowers, and T.A. Flowers LLC
Case number: 16-cv-02070 (United States District Court for the Central District of California)
Case filed: November 17, 2016
Qualifying Judgment/Order: November 21, 2016

SEC v. Diverse Financial Corporation, Roy Dekel, and David Kandell
Case number: 15-cv-01746 (United States District Court for the Central District of California) 
Case filed: October 28, 2015
Qualifying Judgment/Order: December 9, 2016

In the Matter of Pacific Investment Management Company, LLC
Administrative Proceeding File No.: 3-17701
Case filed: December 1, 2016
Qualifying Judgment/Order: December 1, 2016

SEC v. Yin Nan "Michael" Wang, Wendy Ko, Velocity Investment Group, Inc., Bio Profit Series I, LLC, Bio Profit Series II, LLC, Bio Profit Series III, LLC, Bio Profit Series V, LLC, and Rockwell Realty Management, Inc.
Case number: 13-cv-07553 (United States District Court for the Central District of California)
Case filed: October 15, 2013
Qualifying Judgment/Order: November 30, 2016

In the Matter of Deutsche Bank Securities Inc.
Administrative Proceeding File No.: 3-17730
Case filed: December 16, 2016
Qualifying Judgment/Order: December 16, 2016

SEC v. Edward F. Panos
Case number: 16-cv-02473 (United States District Court for the District of District of Columbia)
Case filed: December 19, 2016
Qualifying Judgment/Order: December 21, 2016

SEC v. Caledonian Bank, LTD., Caledonian Securities LTD., Clear Water Securities, Inc., Legacy Global Markets S.A., and Verdmont Capital, S.A.
Case number: 15-cv-00894 (United States District Court for the Southern District of New York)
Case filed: February 9, 2015
Qualifying Judgment/Order: November 9, 2016

In the Matter of General Cable Corporation
Administrative Proceeding File No.: 3-17755
Case filed: December 29, 2016
Qualifying Judgment/Order: December 29, 2016

In the Matter of General Cable Corporation
Administrative Proceeding File No.: 3-17754
Case filed: December 29, 2016
Qualifying Judgment/Order: December 29, 2016

In the Matter of Badree Komandur, ACA, Satish Arunachalam, CA, and Wipro Limited
Administrative Proceeding File No.: 3-17746
Case filed: December 22, 2016
Qualifying Judgment/Order: December 22, 2016

In the Matter of Alok Saraf, CA
Administrative Proceeding File No.: 3-17745
Case filed: December 22, 2016
Qualifying Judgment/Order: December 22, 2016