Whistleblower Program: Notices of Covered Action

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

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

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

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

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

In the Matter of Osaic Services, Inc., and Osaic Wealth, Inc.  
Administrative Proceeding File No.: 3-21997 
Date Filed: August 14, 2024
Date of Qualifying Judgment/Order: August 14, 2024

In the Matter of Piper Sandler & Co
Administrative Proceeding File No.: 3-21994 
Date Filed: August 14, 2024
Date of Qualifying Judgment/Order: August 14, 2024

In the Matter of GHS Investments, LLC, Mark S. Grober, Sarfraz S. Hajee, and Matthew L. Schissler
Administrative Proceeding File No.: 3-22020 
Date Filed: August 19, 2024
Date of Qualifying Judgment/Order: August 19, 2024

SEC v. Wilson J. Rondini, III, Falcon Capital LLP, and Falcon Capital Partners Limited  
Case Number: 23-cv-81285 (United States District Court for the Southern District of Florida)
Date Filed: September 18, 2023
Date of Qualifying Judgment/Order: August 13, 2024

SEC v. Christopher Joseph Borgiono, and Jason Allan Arthur 
Case Number: 20-cv-00469 (United States District Court for the Northern District of Ohio) 
Date Filed: February 28, 2020 
Date of Qualifying Judgment/Order: July 18, 2024 

SEC v. Sivannarayana Barama
Case Number: 19-cv-08207 (United States District Court for the Northern District of California) 
Date Filed: December 17, 2019 
Date of Qualifying Judgment/Order: July 24, 2024 

SEC v. Silvergate Capital Corporation, Alan J. Lane, Kathleen Fraher, Antonio Martino 
Case Number: 24-cv-04987 (United States District Court for the Southern District of New York) 
Date Filed: July 1, 2024 
Date of Qualifying Judgment/Order: July 7, 2024 

SEC v. Yossi Engel 
Case Number: 23-cv-00213 (United States District Court for the Central District of California) 
Date Filed: January 12, 2023 
Date of Qualifying Judgment/Order: July 14, 2024 

SEC v. C3 International, Inc., Steele Clarke Smith III, and Theresa Smith
Case Number: 21-cv-01586 (United States District for the Central District of California) 
Date Filed: September 28, 2021 
Date of Qualifying Judgment/Order: July 17, 2024 

SEC v. Gene Daniel Levoff
Case Number: 19-cv-05536 (United States District of New Jersey) 
Date Filed: February 13, 2019 
Date of Qualifying Judgment/Order: July 1, 2024 

SEC v. Phillip W. Offill, Jr., and Justin W. Herman 
Case Number: 22-cv-00121 (United States District Court for the Northern District of Texas) 
Date Filed: January 19, 2022 
Date of Qualifying Judgment/Order: July 16, 2024 

SEC v. Brook Church-Koegel, David H. Goldman, and Nicole J. Walker 
Case Number: 20-cv-08480 (United States District Court for the Central District of California) 
Date Filed: March 5, 2020 
Date of Qualifying Judgment/Order: June 27, 2024 

SEC v. Brent Borland, Borland Capital Group, LLC, and Belize Infrastructure Fund I, LLC 
Case Number: 18-cv-04352 (United States District Court for the Southern District of New York) 
Date Filed: May 16, 2018 
Date of Qualifying Judgment/Order: May 15, 2024 

SEC v. Prosper Beyond Moore, Prosperity Investments & Solutions, LLC f/k/a Prosperity, Investments & Lending, LLC 
Case Number: 24-cv-00242 (United States District Court for the Northern District of Georgia) 
Date Filed: January 18, 2024 
Date of Qualifying Judgment/Order: July 15, 2024 

SEC v. Angelo A. Alleca, Summit Wealth Management, Inc., Asset Class Diversification Fund, LP, and Private Credit Opportunities Fund, LLC 
Case Number: 12-cv-03261 (United States District Court for the Northern District of Georgia) 
Date Filed: September 18, 2012 
Date of Qualifying Judgment/Order: July 14, 2024 

In the Matter of Anders J. Lindgren
Administrative Proceeding File No.: 3-21954 
Date Filed: June 5, 2024 
Date of Qualifying Judgment/Order: June 5, 2024 

SEC v Amit Bhardwaj, Dhirenkumar Patel, Srinivasa Kakkera, Abbas Saeedi, and Ramesh Chitor
Case Number: 22-cv-06277 (United States District Court for the Southern District of New York) 
Date Filed: July 25, 2022 
Date of Qualifying Judgment/Order: June 12, 2024 

In the Matter of Janusz (John) Zukowski and Jerry Samaras
Administrative Proceeding File No.: 3-21964 
Date Filed: June 13, 2024 
Date of Qualifying Judgment/Order: June 13, 2024 

SEC v. Gannon Giguiere, Oliver-Barret Lindsay, Andrew Hackett, Kevin Gillespie, and Annetta Budhu
Case Number: 18-cv-01530 (United States District Court for the Southern District of California) 
Date Filed: July 6, 2018 
Date of Qualifying Judgment/Order: June 24, 2024 

In the Matter of Anson Funds Management, LP, and Anson Advisors, Inc.  
Administrative Proceeding File No.: 3-21961 
Date Filed: June 11, 2024 
Date of Qualifying Judgment/Order: June 11, 2024 

In the Matter of HF Foods Group Inc.  
Administrative Proceeding File No.: 3-21959 
Date Filed: June 6, 2024 
Date of Qualifying Judgment/Order: June 6, 2024 

SEC v. Zhou Min Ni, and Jian Ming Ni, also known as Jonathan Ni, also known as Jianming Ni
Case Number: 24-cv-01632 (United States District Court for the District of Columbia) 
Date Filed: June 3, 2024 
Date of Qualifying Judgment/Order: June 9, 2024 

SEC v. John D. Fierro and JDF Capital, Inc.
Case Number: 20-cv-02104 (United States District Court for the District of New Jersey) 
Date Filed: February 26, 2020 
Date of Qualifying Judgment/Order: May 21, 2024 

SEC v. Christopher R. Bentley and Bellatorum Resources, LLC
Case Number: 22-cv-02772 (United States District Court for the Southern District of Texas) 
Date Filed: August 16, 2022 
Date of Qualifying Judgment/Order: May 30, 2024

SEC v. Royal Bengal Logistics, Inc., and Sanjay Singh
Case Number: 23-cv-61179 (United States District Court for the Southern District of Florida) 
Date Filed: June 20, 2023 
Date of Qualifying Judgment/Order: June 10, 2024

SEC v. Peter D. Krieger
Case Number: 23-cv-80398 (United States District Court for the Southern District of Florida) 
Date Filed: March 13, 2023 
Date of Qualifying Judgment/Order: June 17, 2024

SEC v. David Lee Stone and John D. Robson
Case Number: 22-cv-03553 (United States District Court for the Southern District of New York) 
Date Filed: May 3, 2022 
Date of Qualifying Judgment/Order: May 29, 2024 

SEC v. Joseph Michael Todd, Todd Financial Services, LLC, and TFS Insurance Services LLC  
Case Number: 23-cv-00431 (United States District Court for the Middle District of Florida) 
Date Filed: July 12, 2023 
Date of Qualifying Judgment/Order: June 20, 2024

In the Matter of R.R. Donnelley & Sons Co
Administrative Proceeding File No.: 3-21969 
Date Filed: June 18, 2024 
Date of Qualifying Judgment/Order: June 18, 2024 

SEC v. Neil S. Chandran, Garry J. Davidson, Michael T. Glaspie, Linda C. Knott, Amy S. Mossel, AEO Publishing Inc., Banner Co-op, Inc., and Bannersgo, LLC
Case Number: 23-cv-10017 (United States District Court for the Eastern District of Michigan) 
Date Filed: January 4, 2023 
Date of Qualifying Judgment/Order: June 3, 2024 

SEC v. Windsor Jones LLC and Anthony Collins 
Case Number: 23-cv-00841 (United States District Court for the Central District of California) 
Date Filed: February 3, 2023 
Date of Qualifying Judgment/Order: June 25, 2024

SEC v. Michael J. French, MJF Holdings, LLC, and MJF Capital, LLC  
Case Number: 23-cv-01443 (United States District Court for the Northern District of Georgia) 
Date Filed: April 3, 2023 
Date of Qualifying Judgment/Order: April 30, 2024 

In the Matter of Raymond Lawrence Lent (dba The Putney Financial Group, Registered Investment Advisors)
Administrative Proceeding File No.: 3-21943
Date Filed: May 20, 2024
Date of Qualifying Judgment/Order: May 20, 2024 

SEC v. George Heckler
Case Number: 21-cv-04587 (United States District Court for the District of New Jersey)
Date Filed: March 9, 2021
Date of Qualifying Judgment/Order: May 10, 2024

SEC v. Douglas McKelvey
Case Number: 23-cv-00564 (United States District Court for the Northern District of Texas)
Date Filed: June 6. 2023
Date of Qualifying Judgment/Order: April 26, 2024 

SEC v. Red Rock Secured, LLC, Sean Kelly, Anthony Spencer, and Jeffrey Ward
Case Number: 23-cv-03682 (United States District Court for the Central District of California)
Date Filed: May 15, 2023
Date of Qualifying Judgment/Order: April 23, 2024

SEC v. Ruless Pierre a/k/a Rules Pierre
Case Number: 19-cv-10299 (United States District Court for the Southern District of New York)
Date Filed: November 6, 2019
Date of Qualifying Judgment/Order: May 15, 2024

SEC v. Joshua Sason, Marc Manuel, Kautilya (a/k/a Tony) Sharma, Perian Salviola, Magna Management, LLC (f/k/a Magna Group, LLC), Magna Equities II, LLC (f/k/a Hanover Holdings I. LLC), MG Partners. Ltd., and Pallas Holdings, LLC
Case Number: 19-cv-01459 (United States District Court for the Southern District of New York)
Date Filed: February 15, 2019
Date of Qualifying Judgment/Order: May 2, 2024

SEC v. Pedram Abraham Mehrian, Strategic Legacy Investment Group, Inc., and Slig High Interest Liquid Savings Company
Case Number: 23-cv-08009 (Unied States District Court for the Central District of California)
Date Filed: September 25, 2023
Date of Qualifying Judgment/Order: May 10, 2024

In the Matter of Varun Aggarwal, CPA
Administrative Proceeding File No.: 3-21938
Date Filed: May 17, 2024
Date of Qualifying Judgment/Order: May 17, 2024

SEC v. Genesis Global Capital, LLC and Gemini Trust Company, LLC
Case Number: 23-cv-00287
Date Filed: January 11, 2023
Date of Qualifying Judgment/Order: March 17, 2024

In the Matter of Intercontinental Exchange Inc., Archipelago Trading Services, Inc., New York Stock Exchange LLC, NYSE American LLC, NYSE Arca, Inc., ICE Clear Credit LLC, ICE Clear Europe Ltd., NYSE Chicago, Inc., NYSE National, Inc., and Securities Industry Automation Corporation 
Administrative Proceeding File No.: 3-21947
Date Filed: May 21, 2024
Date of Qualifying Judgment/Order: May 21, 2024

SEC v. Tyler Loudon
Case Number: 24-cv-00622 (United States District Court for the Southern District of Texas) 
Date Filed: February 22, 2024
Date of Qualifying Judgment/Order: May 28, 2024
 

In the Matter of Kershner Trading Americas, LLC
Administrative Proceeding File No.: 3-21942
Date Filed: May 20, 2024
Date of Qualifying Judgment/Order: May 20, 2024

SEC v. Chimene Van Gundy, Outstanding Real Estate Solutions, Inc., Michael Trofimoff, Santos Kidd, Maria Tosta 
Case Number: 23-cv-00700 (United States District Court for the Western District of Texas) 
Date Filed: May 30, 2023 
Date of Qualifying Judgment/Order: May 22, 2024 

SEC v. 4D Circle LLC a/k/a Enoetics, Mantford C. Hawkins, and David E. Bell
Case Number: 17-cv-00321 (United States District Court for the Northern District of Texas)
Date Filed: April 13, 2017
Date of Qualifying Judgment/Order: May 7, 2024
 

SEC v. Gerald C. Parker
Case Number: 19-cv-23943 (United States States District Court for the Southern District of Florida)
Date Filed: September 23, 2019
Date of Qualifying Judgment/Order: May 21, 2024

In the Matter of BF Borgers CPA PC, and Benjamin F. Borgers, CPA
Case Number: 3-21926
Date Filed: May 3, 2024
Date of Qualifying Judgment/Order: May 3, 2024

SEC v. Rahim Mohamed, Davies (“Dave”) Wong, Glenn B. Laken, Richard C. S. Tang, Zoltan Nagy, Jeffrey D. Cox, Phillip G. Sewell, Breanne M. Wong, Christophe Merani, Anna Tang, Robert W. Seeley, Richard B. Smith, Christopher R. Smith, H.E. Capital SA, Pop Holdings Ltd., Maximum Ventures Holdings LLC, Harmony Ridge Corp., and Avatele Group LLC 
Case Number: 22-cv-03252 (United States District Court for the Northern District of Georgia)
Date Filed: August 15, 2022
Date of Qualifying Judgment/Order: May 23, 2024

SEC v. Mine Shaft Brewing LLC, Timothy A. Nemecka, John A. Logan, and Charlies V. Whittington
Case Number: 21-cv-00457 (United States District Court for the District of Utah)
Date Filed: July 27, 2021
Date of Qualifying Judgment/Order: March 4, 2024

SEC v. Flik, Coinspark, Ryan Felton, William W. Sparks, Jr., Owen B. Smith, and Chance B. White  
Case Number: 20-cv-03739 (United States District Court for the Northern District of Georgia)
Date Filed: September 10, 2020
Date of Qualifying Judgment/Order: March 28, 2024

SEC v. Ongkaruck Sripetch, Amanda Flores, Brehnen Knight, Andrew McAlpine Ashmit Patel, Michael Wexler, Dominic Williams, Adtron Inc. Aka StockPalooza.com, ATG Inc., DOIT, Ltd., DOJI Capital, Inc., King Mutual Solutions Inc., Optimus Prime Financial Inc., Orca Bridge, Redline International, and UAIM Corporation
Case Number: 20-cv-01864 (United States District Court for the Southern District of California)
Date Filed: September 21, 2020
Date of Qualifying Judgment/Order: April 17, 2024

SEC v. Roy N. Cook, Jeffrey A. Natrop, Peter S. Renner, James Rudolph and Peter Williams
Case Number: 24-cv-313 (United States District Court for the Eastern District of Wisconsin)
Date Filed: March 12, 2024
Date of Qualifying Judgment/Order: April 10, 2024

SEC v. Jonathan Mimun (aka Johnathan Maymon) and Ronn Benharav
Case Number: 21-cv-01314 (United States District of Court for the District of Nevada)
Date Filed: July 12, 2021
Date of Qualifying Judgment/Order: March 29, 2024

SEC v. Dennis J. Mancino, William T. Hirschy, DJK Investments 10 Inc., TJM Investments Inc., and WT Consulting Group, LLC
Case Number: 18-cv-01316 (United States District Court for the Eastern District of New York)
Date Filed: March 2, 2018
Date of Qualifying Judgment/Order: March 25, 2024

In the Matter of Senvest Management, LLC
Administrative Proceeding File No.: 3-21900
Date Filed: April 3, 2024
Date of Qualifying Judgment/Order: April 3, 2024

SEC v. Shawn C. Cutting 
Case Number: 21-cv-00103 (United States District Court for the District of Idaho) 
Date Filed: March 5, 2021 
Date of Qualifying Judgment/Order: March 29, 2024 

SEC v. Commonwealth Equity Services, LLC d/b/a Commonwealth Financial Network  
Case Number: 19-cv-11655 (United States District Court for the District of Massachusetts)  
Date Filed: August 1, 2019 
Date of Qualifying Judgment/Order: April 1, 2024

SEC v. Charles Winn LLC, Aaron David Scott-Britten, aka Aaron David K. Britten, Ohran Emmanuel Stewart, aka Elliott Stewart, Casey Alexander, and Charlie Jake Smith  
Case Number: 23-cv-02988 (United States District for the Central District of California) 
Date Filed: April 20, 2023 
Date of Qualifying Judgment/Order: March 26, 2024 

SEC v. Treasure Enterprise LLC, Patricia Enright Gray, and Larry Allen Holley 
Case Number: 17-cv-10963 (United States District Court for the Eastern District of Michigan) 
Date Filed: March 28, 2017 
Date of Qualifying Judgment/Order: February 5, 2024 

SEC v. Volkswagen Aktiengesellschaft, Martin Winterkorn, Volkswagen Group of America Finance, LLC, and VW Credit, Inc.  
Case Number: 19-cv-01391 (United States District Court for the Northern District of California) 
Date Filed: March 14, 2019  
Date of Qualifying Judgment/Order: April 3, 2024 

SEC v. GA Investors and John Does Nos. 1-4 
Case Number: 23-cv-11050 (United States District Court for the District of Massachusetts) 
Date Filed: May 11, 2023 
Date of Qualifying Judgment/Order: April 1, 2024 

SEC v. Joseph A. Padilla and Kevin C. Dills 
Case Number: 23-cv-11331 (United States District Court for the District of Massachusetts) 
Date Filed: June 13, 2023 
Date of Qualifying Judgment/Order: March 20, 2024

In the Matter of Skechers U.S.A., Inc.
Administrative Proceeding File No.: 3-21893
Date Filed: March 7, 2024
Date of Qualifying Judgement/Order: March 7, 2024

SEC v. Ishan Wahi, Nikhil Wahi, and Sameer Ramani
Case Number: 22-cv-01009 (United States District Court for the Western District of Washington)
Date Filed: July 21, 2022
Date of Qualifying Judgment/Order: March 1, 2024

In the Matter of Lordstown Motors Corp.  
Administrative Proceeding File No.: 3-21875
Date Filed: February 29, 2024
Date of Qualifying Judgement/Order: February 29, 2024

SEC v. Anthony B. Liddle
Case Number: 23-cv-00054 (United States District Court for the Western District of Wisconsin)
Date Filed: January 24, 2023
Date of Qualifying Judgment/Order: February 28, 2024

SEC v. iFresh, Inc. and Long Deng  
Case Number: 22-cv-03200 (United States District Court for the Eastern District of New York)
Date Filed: May 31, 2022
Date of Qualifying Judgment/Order: February 7, 2024

SEC v. Brian Sewell and Rockwell Capital Management LLC  
Case Number: 24-cv-00137 (United States District Court for the District of Delaware) 
Date Filed: February 2, 2024 
Date of Qualifying Judgment/Order: February 8, 2024

In the Matter of TIAA-CREF Individual & Institutional Services, LLC  
Administrative Proceeding File No.: 3-21856 
Date Filed: February 16, 2024 
Date of Qualifying Judgment/Order: February 16, 2024

In the Matter of U.S. Bancorp Investments, Inc.  
Administrative Proceeding File No.: 3-21854 
Date Filed: February 9, 2024 
Date of Qualifying Judgment/Order: February 9, 2024

In the Matter of Oppenheimer & Co. Inc. 
Administrative Proceeding File No.: 3-21852 
Date Filed: February 9, 2024 
Date of Qualifying Judgment/Order: February 9, 2024

In the Matter of Guggenheim Securities LLC and Guggenheim Parners Investment Management LLC  
Administrative Proceeding File No.: 3-21851 
Date Filed: February 9, 2024 
Date of Qualifying Judgment/Order: February 9, 2024

In the Matter of Van Eck Associates Corporation  
Administrative Proceeding File No.: 3-21857 
Date Filed: February 16, 2024 
Date of Qualifying Judgment/Order: February 16, 2024 

In the Matter of David B. Bodner  
Administrative Proceeding File No.: 3-21842 
Date Filed: February 2, 2024 
Date of Qualifying Judgment/Order: February 2, 2024 

SEC v. Zachary J. Horwitz, and 1inmm Capital, LLC  
Case Number: 21-cv-02927 (United States District Court for the Central District for California) 
Date Filed: April 5, 2021 
Date of Qualifying Judgment/Order: February 15, 2024 

In the Matter of TradeStation Crypto, Inc. 
Administrative Proceeding File No.: 3-21845 
Date Filed: February 7, 2024 
Date of Qualifying Judgment/Order: February 7, 2024 

In the Matter of Morgan Stanley & Co. LLC  
Administrative Proceeding File No.: 3-21825 
Date Filed: January 12, 2024 
Date of Qualifying Judgment/Order: January 12, 2024

SEC v. Boron Capital, LLC, BC Holdings 2017, LLC, United BNB Fund 2018, LLC, and Blake Robert Templeton
Case Number: 22-cv-00114 (United States District Court for the Northern District of Texas) 
Date Filed: June 14, 2022 
Date of Qualifying Judgment/Order: February 13, 2024 

SEC v. Mark Allan Plummer, Emilio Barrera, Jr. (A/K/A Mike Barrera), PRT Consulting, LLC D/B/A Petroleum Resources of Texas, Richmond Engineering, Inc., Todd J Prince, George Rauch (F/K/A George B Fasciano), and Todd Stuart Breitling   
Case Number: 21-cv-02331 (United States District Court for the Northern District of Texas) 
Date Filed: September 30, 2021 
Date of Qualifying Judgment/Order: February 21, 2024 

SEC v. Steven Chiang a/k/a Cyrus Kong, Eric Tippetts, James Hardy, and Maurice “Butch” Chelliah
Case Number: 22-cv-00600 (United States District Court for the Southern District of California) 
Date Filed: April 28, 2022 
Date of Qualifying Judgment/Order: February 1, 2024 

In the Matter of The Huntington Investment Company, Huntington Securities, Inc., and Capstone Capital Markets LLC 
Administrative Proceeding File No.: 3-21853 
Date Filed: February 9, 2024 
Date of Qualifying Judgment/Order: February 9, 2024 

In the Matter of Lincoln Financial Advisors Corporation and Lincoln Financial Securities Corporation 
Administrative Proceeding File No.: 3-21848
Date Filed: February 9, 2024 
Date of Qualifying Judgment/Order: February 9, 2024 

In the Matter of Cambridge Investment Research, Inc. And Cambridge Investment Research Advisors, Inc.  
Administrative Proceeding File No.: 3-21847 
Date Filed: February 9, 2024 
Date of Qualifying Judgment/Order: February 9, 2024  

In the Matter of Key Investment Services LLC, and KeyBanc Capital Markets Inc.  
Administrative Proceeding File No.: 3-21849 
Date Filed: February 9, 2024 
Date of Qualifying Judgment/Order: February 9, 2024 

In the Matter of Northwestern Mutual Investment Services, LLC, Northwestern Mutual Investment Management Company, LLC, and Mason Street Advisors, LLC  
Administrative Proceeding File No.: 3-21850
Date Filed: February 9, 2024 
Date of Qualifying Judgment/Order: February 9, 2024 

SEC v. Beaxy Digital, Ltd., Artak Hamazaspyan, Windy Inc., Nicholas Murphy, Randolph Bay Abbott, Braverock Investments, LLC, Future Digital Markets, Inc., Windy Financial LLC, Future Financial LLC, and Brian Peterson  
Case Number: 23-cv-01962 (United States District Court for the Northern District of Illinois) 
Date Filed: March 29, 2023 
Date of Qualifying Judgment/Order: February 13, 2024  

SEC v. John Feloni and Stock Squirrel, Inc.
Case Number: 23-cv-12233 (United States District Court for the District of Massachusetts)
Date Filed: September 29, 2023
Date of Qualifying Judgment/Order: February 8, 2024

SEC v. Aryeh Goldsten, Adar Bays, LLC, and Adar Alef, LLC 
Case Number: 24-cv-20261 (United States District Court for the Southern District of Florida) 
Date Filed: January 23, 2024 
Date of Qualifying Judgment/Order: February 13, 2024 

SEC v. Jared Jeffrey David and Dale Burke Pinchot
Case Number: 18-cv-02829 (United States District Court for the Northern District of Ohio)
Date Filed: December 10, 2018
Date of Qualifying Judgment/Order: January 18, 2024

In the Matter of Northern Star Investment Corp. II
Administrative Proceeding File No.: 3-21838
Date Filed: January 25, 2024
Date of Qualifying Judgment/Order: January 25, 2024

SEC v. Joseph A. Cammarata, Erik Cohen, David H. Puturieri, AlphaPlus Portfolio Recovery Corp., and Alpha Plus Recovery LLC
Case Number: 21-cv-04845 (United States District Court for the Eastern District of Pennsylvania)
Date Filed: November 3, 2021
Date of Qualifying Judgment/Order: January 23, 2024

SEC v. Steven Keith Woodard, Sr
Case Number: 23-cv-00112 (United States District Court for the District of Hawaii)
Date Filed: March 1, 2023
Date of Qualifying Judgment/Order: January 2, 2024

SEC v. SHE Beverage Company, Inc., Lupe L. Rose, Sonja F. Shelby and Katherine E. Dirden
Case Number: 21-cv-07339 (United States District Court for the Central District of California)
Date Filed: September 14, 2021
Date of Qualifying Judgment/Order: January 22, 2024

In the Matter of SAP SE
Administrative Proceeding File No.: 3-21824
Date Filed: January 10, 2024
Date of Qualifying Judgment/Order: January 10, 2024