Whistleblower Program: Notices of Covered Action

In the Matter of OEP Capital Advisors, L.P.
Administrative Proceeding File No.: 3-21819
Date Filed: December 26, 2023
Date of Qualifying Judgment/Order: December 26, 2023

In the Matter of Barnbridge Dao
Administrative Proceeding File No.: 3-21817
Date Filed: December 22, 2023
Date of Qualifying Judgment/Order: December 22, 2023

In the Matter of Brooge Energy Limited Nicolaas Lammert Paardenkooper and Lina Saheb  
Administrative Proceeding File No.: 3-21816 
Date Filed: December 22, 2023 
Date of Qualifying Judgment/Order: December 22, 2023 

In the Matter of J.P. Morgan Securities LLC  
Administrative Proceeding File No.: 3-21829 
Date Filed: January 16, 2024 
Date of Qualifying Judgment/Order: January 16, 2024 

SEC v. Crowd Machine, Inc., MetaVine, Inc., and Craig Derel Sproule  
Case Number: 22-cv-00076 (United States District Court for the Northern District of California) 
Date Filed: January 6, 2022 
Date of Qualifying Judgment/Order: January 17,2024 

SEC v. Rio Tinto PLC, Rio Tinto Limited, Thomas Albanese, and Guy Robert Elliot  
Case Number: 17-cv-07994 (United States District Court for the Southern District of New York) 
Date Filed: October 17, 2017 
Date of Qualifying Judgment/Order: November 20, 2023 

SEC v. Ronald E. Filoramo  
Case Number: 23-cv-61858 (United States District Court for the Southern District of Florida) 
Date Filed: September 28, 2023 
Date of Qualifying Judgment/Order: January 8, 2024 

SEC v. Robert Joseph Armijo and Joseph Financial, Inc.  
Case Number: 21-cv-01107 (United States District Court for the Southern District of California) 
Date Filed: June 14, 2021 
Date of Qualifying Judgment/Order: January 9, 2024 

SEC v. Hyzon Motors Inc., Craig M. Knight, and Max C.B. Holthausen  
Case Number: 23-cv-06553 (United States District Court for the Western District of New York) 
Date Filed: September 26, 2023 
Date of Qualifying Judgment/Order: January 17, 2024 

In the Matter of Aon Investments USA Inc., fka Aon Hewitt Investment Consulting, Inc.  
Administrative Proceeding File No.: 3-21837 
Date Filed: January 25, 2024 
Date of Qualifying Judgment/Order: January 25, 2024 

SEC v. Vincenzo Carnovale and Amar Bahadoorsingh  
Case Number: 21-cv-11938 (United States District Court for the District of Massachusetts) 
Date Filed: December 2, 2021 
Date of Qualifying Judgment/Order: January 2, 2024

SEC v. Dennis M. Jali
Case Number: 20-cv-02491 (United States District Court for the District of Maryland)
Date Filed: August 28, 2020
Date of Qualifying Judgment/Order: November 9, 2023  

SEC v. Mark Marchi
Case Number: 22-cv-02661 (United States District Court for the District of New Jersey)
Date Filed: May 5, 2022
Date of Qualifying Judgment/Order: December 13, 2023

SEC v. Mark Burnett, Jeffrey Miller, Christian Romandetti, Frank Sarro, Anthony Vassallo, Elite Stock Research, Inc.
Case Number: 18-cv-06501 (United States District Court for the Eastern District of New York)
Date Filed: November 15, 2018
Date of Qualifying Judgment/Order: November 29, 2023

SEC v. Bradley C. Reifler
Case Number: 20-cv-00511 (United States District Court for the District of Nevada)
Date Filed: March 12, 2020
Date of Qualifying Judgment/Order: December 1, 2023

In the Matter of Credit Suisse Securities (USA) LLC; Credit Suisse Asset Management, LLC; and Credit Suisse Asset Management Limited
Administrative Proceeding File No.: 3-21811
Date Filed: December 13, 2023
Date of Qualifying Judgment/Order: December 13, 2023

SEC v. Michael K. Molen, Enviro Impact Resources, Inc., Seth M. Molen, and Pixel Arcanum, Inc.
Case Number: 23-cv-00735 (United States District Court for the Northern District of Georgia)
Date Filed: February 16, 2023
Date of Qualifying Judgment/Order: December 1, 2023

In the Matter of Royal Bank of Canada
Administrative Proceeding File No.: 3-21792
Date Filed: November 2, 2023
Date of Qualifying Judgment/Order: November 2, 2023
 

SEC v. Marguerite Cassandra Toroian and Bell Rock Capital, LLC
Case Number: 22-cv-00715 (United States District Court for the Eastern District of Pennsylvania)
Date Filed: February 25, 2022
Date of Qualifying Judgment/Order: November 16, 2023
 

In the Matter of Charter Communications, Inc.
Administrative Proceeding File No.: 3-21797
Date Filed: November 14, 2023
Date of Qualifying Judgment/Order: November 14, 2023
 

SEC v. Brent Seaman, Accanito Equity, LLC, Accanito Equity II, LLC, Accanito Equity III, LLC, Accanito Equity IV, LLC, Accanito Capital Group, LLC, Surge, LLC, Accanito Holdings, LLC
Case Number: 23-cv-22791 (United States District Court for the Southern District of Florida)
Date Filed: July 27, 2023
Date of Qualifying Judgment/Order: November 14, 2023 
 

SEC v. ABFP Income Fund Parallel, Inc., ABFP Fund 3, LLC, ABFP Income Fund 3 Parallel, LLC, ABFP Income Fund 4, LLC, ABFP Income Fund 4 Parallel, LLC, ABFP Income Fund 6, LLC, ABFP Income Fund 6 Parallel, LLC, ABFP Multi-Strategy Investment Fund, LP, and ABFP Multi-Strategy Investment Fund 2, LP
Case Number: 23-cv-23721 (United States District Court for the Southern District of Florida)
Date Filed: September 29, 2023
Date of Qualifying Judgment/Order: November 8, 2023
 

SEC v. Thor Technologies, Inc. and David Chin  
Case Number: 22-cv-09043 (United States District Court for the Northern District of California) 
Date Filed: December 21, 2022 
Date of Qualifying Judgment/Order: October 18, 2023 

In the Matter of Wilmington Trust Investment Management, LLC  
Administrative Proceeding File No.: 3-21780 
Date Filed: October 10, 2023 
Date of Qualifying Judgment/Order: October 10, 2023 

In the Matter of Kroll Bond Rating Agency, LLC 
Administrative Proceeding File No.: 3-21776 
Date Filed: September 29, 2023 
Date of Qualifying Judgment/Order: September 29, 2023 
 

In the Matter of Interactive Brokers Corp. and Interactive Brokers LLC  
Administrative Proceeding File No.: 3-21770 
Date Filed: September 29, 2023 
Date of Qualifying Judgment/Order: September 29, 2023

In the Matter of Perella Weinberg Partners, LP; Tudor, Pickering, Holt & Co. Securities LLC; and Perella Weinberg Partners Capital Management LP
Administrative Proceeding File No.: 3-21769 
Date Filed: September 29, 2023 
Date of Qualifying Judgment/Order: September 29, 2023 

In the Matter of Citigroup Global Markets, Inc., and Citi International Financial Services, LLC, now known as Insigneo International Financial Services, LLC 
Administrative Proceeding File No.: 3-21753 
Date Filed: September 28, 2023 
Date of Qualifying Judgment/Order: September 28, 2023

In the Matter of D.E. Shaw & Co, L.P.  
Administrative Proceeding File No.: 3-21775 
Date Filed: September 29, 2023 
Date of Qualifying Judgment/Order: September 29, 2023 

In the Matter of Blackrock Advisors, LLC  
Administrative Proceeding File No.: 3-21786 
Date Filed: October 24, 2023 
Date of Qualifying Judgment/Order:  October 24, 2023

SEC v. Bitconnect, Satish Kumbhani, Glenn Arcaro, and Future Money Ltd 
Case Number: 21-cv-07349 (United States District Court for the Southern District of New York) 
Date Filed: September 1, 2021 
Date of Qualifying Judgment/Order: September 29, 2023

SEC v. Johnny Tseng (a/k/a Kuanhao J. Tseng, Kuanhao Tseng), Kevin Zhang (a/k/a Kevin Huapeng Zhang, Huapeng Zhang), and Summitcrest Capital, Inc.  
Case Number: 23-cv-01488 (United States District Court for the Central District of California) 
Date Filed: July 28, 2023 
Date of Qualifying Judgment/Order: October 23, 2023 

In the Matter of Spruce Power Holding Corporation  
Administrative Proceeding File No.: 3-21748 
Date Filed: September 28, 2023 
Date of Qualifying Judgment/Order: September 28, 2023

In the Matter of Newell Brands Inc. and Michael B. Polk  
Administrative Proceeding File No.: 3-21766 
Date Filed: September 29, 2023 
Date of Qualifying Judgment/Order: September 29, 2023 

In the Matter of TAL Education Group  
Administrative Proceeding File No.: 3-21754 
Date Filed: September 28, 2023 
Date of Qualifying Judgment/Order: September 28, 2023 

In the Matter of Clear Channel Outdoor Holdings, Inc. 
Administrative Proceeding File No.: 3-21755 
Date Filed: September 28, 2023 
Date of Qualifying Judgment/Order: September 28, 2023

In the Matter of Albemarle Corporation  
Administrative Proceeding File No.: 3-21763 
Date Filed: September 29, 2023 
Date of Qualifying Judgment/Order: September 29, 2023 

SEC v. Harmel S. Rayat, and Renovacare, Inc. 
Case Number: 21-cv-04777 (United States District Court for the Southern District of New York) 
Date Filed: May 28, 2021 
Date of Qualifying Judgment/Order: October 17, 2023 

In the Matter of Anson Advisors Inc.  
Administrative Proceeding File No.: 3-21783 
Date Filed: October 19, 2023 
Date of Qualifying Judgment/Order: October 19, 2023

SEC v. Nano-X Imaging Ltd., and Ran Poliakine  
Case Number: 23-cv-08611 (United States District Court for the Southern District of New York) 
Date Filed: September 29, 2023 
Date of Qualifying Judgment/Order: October 3, 2023 

In the Matter of Robert W. Baird & Co. Incorporated 
Administrative Proceeding File No.: 3-21768 
Date Filed: September 29, 2023 
Date of Qualifying Judgment/Order: September 29, 2023 

In the Matter of Nuveen Securities, LLC 
Administrative Proceeding File No.: 3-21767 
Date Filed: September 29, 2023 
Date of Qualifying Judgment/Order: September 29, 2023 

In the Matter of Fifth Third Securities, Inc. 
Administrative Proceeding File No.: 3-21765 
Date Filed: September 29, 2023 
Date of Qualifying Judgment/Order: September 29, 2023 

In the Matter of Willaim Blair & Company, L.L.C; and William Blair Investment Management, LLC  
Administrative Proceeding File No.: 3-21764 
Date Filed: September 29, 2023 
Date of Qualifying Judgment/Order: September 29, 2023 

In the Matter of DBRS, Inc. 
Administrative Proceeding File No.: 3-21772 
Date Filed: September 29, 2023 
Date of Qualifying Judgment/Order: September 29, 2023 

In the Matter of DBRS, Inc.
Administrative Proceeding File No.: 3-21773
Date Filed: September 29, 2023
Date of Qualifying Judgment/Order: September 29, 2023

In the Matter of Exelon Corporation and Commonwealth Edison Company   
Administrative Proceeding File No.: 3-21761 
Date Filed: September 28, 2023 
Date of Qualifying Judgment/Order: September 28, 2023 

In the Matter of Jacob R. Orvidas
Administrative Proceeding File No.: 3-21630
Date Filed: September 8, 2023
Date of Qualifying Judgment/Order: September 8, 2023

In the Matter of American Infrastructure Funds, LLC
Administrative Proceeding File No.: 3-21704
Date Filed: September 22, 2023
Date of Qualifying Judgment/Order: September 22, 2023

In the Matter of AssetMark, Inc.
Administrative Proceeding File No.: 3-21724
Date Filed: September 26, 2023
Date of Qualifying Judgment/Order: September 26, 2023

In the Matter of Goldman Sachs & Co. LLC
Administrative Proceeding File No.: 3-21700
Date Filed: September 22, 2023
Date of Qualifying Judgment/Order: September 22, 2023

In the Matter of Prime Group Holdings, LLC
Administrative Proceeding File No.: 3-21602
Date Filed: September 5, 2023
Date of Qualifying Judgment/Order: September 5, 2023

In the Matter of Lyft, Inc.
Administrative Proceeding File No.: 3-21672
Date Filed: September 18, 2023
Date of Qualifying Judgment/Order: September 18, 2023

SEC v. Marc J. Frankel
Case Number: 22-cv-06500 (United States District Court for the Central District of California)
Date Filed: September 12, 2022
Date of Qualifying Judgment/Order: September 20, 2023

SEC v. Brett M. Bartlett, Scott A. Miller, Dynasty Toys, Inc., The 7M EGroup Corp., Concept Management Company LLC, and Dynasty, Inc
Case Number: 23-cv-00765 (United States District Court for the Central District of California)
Date Filed: May 2, 2023
Date of Qualifying Judgment/Order: September 20, 2023

In the Matter of DWS Investment Management Americas, Inc
Administrative Proceeding File No.: 3-21709
Date Filed: September 25, 2023
Date of Qualifying Judgment/Order: September 25, 2023

In the Matter of Citadel Securities, LLC
Administrative Proceeding File No.: 3-21703
Date Filed: September 22, 2023
Date of Qualifying Judgment/Order: September 22, 2023

In the Matter of DWS Investment Management Americas, Inc.
Administrative Proceeding File No.: 3-21707
Date Filed: September 25, 2023
Date of Qualifying Judgment/Order: September 25, 2023

In the Matter of Fluor Corporation
Administrative Proceeding File No.: 3-21610
Date Filed: September 6, 2023
Date of Qualifying Judgment/Order: September 6, 2023

In the Matter of Plug Power Inc. 
Administrative Proceeding File No.: 3-21588
Date Filed: August 30, 2023
Date of Qualifying Judgment/Order: August 30, 2023

SEC v. Thomas Collins, Patrick Thomas, Gary Kouletas, Scott Levine, and Brian Kingsfield
Case Number: 23-cv-00676 (United States District Court for the Northern District of Texas)
Date Filed: June 30, 2023
Date of Qualifying Judgment/Order: September 5, 2023

SEC v. Douglas Macwright and Highlander Capital Management, LLC
Case Number: 23-cv-20609 (United States District Court for the District of New Jersey)
Date Filed: September 25, 2023
Date of Qualifying Judgment/Order: September 27, 2023

In the Matter of YieldStreet Inc., and YieldStreet Management, LLC
Administrative Proceeding File No.: 3-21651
Date Filed: September 12, 2023
Date of Qualifying Judgment/Order: September 12, 2023

In the Matter of GlennCap LLC and Jonathan Vincent Glenn
Administrative Proceeding File No.: 3-21667
Date Filed: September 14, 2023
Date of Qualifying Judgment/Order: September 14, 2023

SEC v. Seong Yeol Lee and Ameritrust Corporation
Case Number: 23-cv-00125 (United States District Court for the District of Connecticut
Date Filed: February 2, 2023
Date of Qualifying Judgment/Order: September 5, 2023

SEC v. George Stubos
Case Number: 22-cv-04674 (United States District Court for the Southern District of New York) 
Date Filed: June 6, 2022
Date of Qualifying Judgment/Order: September 8, 2023

SEC v. Live Well Financial, Inc., Michael C. Hild, Eric Rohr, and Darren Stumberger
Case Number: 19-cv-08086 (United States District Court for the Southern District of New York)
Date Filed: August 29, 2019
Date of Qualifying Judgment/Order: September 19, 2023

In the Matter of Wells Fargo Securities, LLC, Wells Fargo Clearing Services, LLC, and Wells Fargo Advisors Financial Network, LLC
Administrative Proceeding File No.: 3-21552
Date Filed: August 8, 2023
Date of Qualifying Judgment/Order: August 8, 2023

In the Matter of Impact Theory, LLC
Administrative Proceeding File No.: 3-21585
Date Filed: August 28, 2023
Date of Qualifying Judgment/Order: August 28, 2023

In the Matter of BNP Paribus Securities Corp.
Administrative Proceeding File No.: 3-21555
Date Filed: August 8, 2023
Date of Qualifying Judgment/Order: August 8, 2023

In the Matter of Moelis & Company LLC
Administrative Proceeding File No.: 3-21554
Date Filed: August 8, 2023
Date of Qualifying Judgment/Order: August 8, 2023

In the Matter of Houlihan Lokey Capital, Inc
Administrative Proceeding File No.: 3-21553
Date Filed: August 8, 2023
Date of Qualifying Judgment/Order: August 8, 2023

In the Matter of BMO Capital Markets Corp.
Administrative Proceeding File No.: 3-21556
Date Filed: August 8, 2023
Date of Qualifying Judgment/Order: August 8, 2023

In the Matter of SMBC Nikko Securities America, Inc.
Administrative Proceeding File No.: 3-21551
Date Filed: August 8, 2023
Date of Qualifying Judgment/Order: August 8, 2023

In the Matter of Mizuho Securities USA LLC
Administrative Proceeding File No.: 3-21557
Date Filed: August 8, 2023
Date of Qualifying Judgment/Order: August 8, 2023

In the Matter of SG Americas Securities, LLC
Administrative Proceeding File No.: 3-21558
Date Filed: August 8, 2023
Date of Qualifying Judgment/Order: August 8, 2023

In the Matter of Wedbush Securities Inc.
Administrative Proceeding File No.: 3-21550
Date Filed: August 8, 2023
Date of Qualifying Judgment/Order: August 8, 2023

SEC v. Infinity Q Capital Management, LLC
Case Number: 23-cv-05081 (United States District Court for the Southern District of New York)
Date Filed: June 16, 2023
Date of Qualifying Judgment/Order: June 30, 2023

SEC v. Charles Rustin Holzer
Case Number: 23-cv-06753 (United States District Court for the Southern District of New York)
Date Filed: August 2, 2023
Date of Qualifying Judgment/Order: August 4, 2023

In the Matter of Citigroup Global Markets Inc
Administrative Proceeding File No.: 3-21583
Date Filed: August 29, 2023
Date of Qualifying Judgment/Order: August 29, 2023

SEC v. Bittrex, Inc., Bittrex Global Gmbh, and William Hiroaki Shihara
Case Number: 23-cv-00580 (United States District Court for the Western District of Washington)
Date Filed: April 17, 2023
Date of Qualifying Judgment/Order: August 15, 2023

In the Matter of Moshe aka "Mark" Feuer and Scott A. Taylor
Administrative Proceeding File No.: 3-21538
Date Filed: July 31, 2023
Date of Qualifying Judgment/Order: July 31, 2023

In the Matter of Murray A. Huberfeld
Administrative Proceeding File No.: 3-21537
Date Filed: July 31, 2023
Date of Qualifying Judgment/Order: July 31, 2023

SEC v. George Iakovou, Vika Ventures LLC, Penelope Zbravos
Case Number: 22-cv-00194 (United States District Court for the Middle District of Georgia)
Date Filed: December 7, 2022
Date of Qualifying Judgment/Order: August 9, 2023

In the Matter of Titan Global Capital Management USA LLC
Administrative Proceeding File No.: 3-21569
Date Filed: August 21, 2023
Date of Qualifying Judgment/Order: August 21, 2023

In the Matter of Legacy Hospitality II, LLC, Legendary Capital Reit III, LLC, and Corey R. Maple
Administrative Proceeding File No.: 3-21586
Date Filed: August 28, 2023
Date of Qualifying Judgment/Order: August 28, 2023

In the Matter of Exchange Traded Managers Group LLC, ETF Managers Group LLC, and Samuel R. Masucci
Administrative Proceeding File No.: 3-21542
Date Filed: August 1, 2023
Date of Qualifying Judgment/Order: August 1, 2023

In the Matter of Grupo Aval Acciones Y Valores S.A. and Corporacion Financiera Colombiana, S.A
Administrative Proceeding File No.: 3-21559
Date Filed: August 10, 2023
Date of Qualifying Judgment/Order: August 10, 2023

In the Matter of Crowe U.K. LLP, Nigel D. Bostock, FCA, and Matthew C. Stallabrass, FCA
Administrative Proceeding File No.: 3-21560
Date Filed: August 14, 2023
Date of Qualifying Judgment/Order: August 14, 2023

SEC v. RBF Trust LLC, a Florida company, Paulo Fernando de Bastos, Joao Pedro Fonseca, a/k/a Joao Pedro Fonseca de Bastos RBF Trust LLC, a Michigan company, D3 Gestion Immobiliere LLC, a Florida company, and D3 Gestion Immobiliere LLC, a Michigan company
Case Number: 22-cv-61831 (United States District Court for the Southern District of Florida)
Date Filed: September 29, 2022
Date of Qualifying Judgment/Order: August 1, 2023

SEC v. Chad Stickforth
Case Number: 23-cv-02000 (United States District Court for the District of Colorado)
Date Filed: August 8, 2023
Date of Qualifying Judgment/Order: August 25, 2023

In the Matter of Canoo Inc.
Administrative Proceeding File No.: 3-21544
Date Filed: August 4, 2023
Date of Qualifying Judgment/Order: August 4, 2023

SEC v. Mark Klein, Eduardo Rubinstein, and Pablo Rubinstein
Case Number: 22-cv-06426 (United States District Court for the Southern District of New York)
Date Filed: July 28, 2022
Date of Qualifying Judgment/Order: August 2, 2023

In the Matter of Wells Fargo Clearing Services LLC and Wells Fargo Advisors Financial Network, LLC
Administrative Proceeding File No.: 3-21580
Date Filed: August 25, 2023
Date of Qualifying Judgment/Order: August 25, 2023

In the Matter of Archipelago Trading Services, Inc.
Administrative Proceeding File No.: 3-21587
Date Filed: August 29, 2023
Date of Qualifying Judgment/Order: August 29, 2023

In the Matter of 3M Company
Administrative Proceeding File No.: 3-21581
Date Filed: August 25, 2023
Date of Qualifying Judgment/Order: August 25, 2023

SEC v. Timothy J. Allcott, Thomas D. Renison, and ARO Equity, LLC
Case Number: 20-cv-10027 (United States District Court for the District of Massachusetts)
Date Filed: January 8, 2020
Date of Qualifying Judgment/Order: July 27, 2023

SEC v. Alton Perkins, Yilaime Corporation of NC, Yilaime Corporation of Nevada, Perkins HSU Export Corporation, American Towne Holdings, Inc., and Mabiala Phuati
Case Number: 19-cv-00243 (United States District Court for the Eastern District of North Carolina)
Date Filed: June 13, 2019
Date of Qualifying Judgment/Order: August 22, 2023

SEC v. Robert D. Christensen; Anthony M. Matic; Foresee, Inc., The Commission Pdx, LLC; The Policy Pdx, LLC; Innings 150, LLC 
Case Number: 23-cv-00959 (United States District Court for the District of Oregon) 
Date Filed: June 30, 2023 
Date of Qualifying Judgment/Order: July 11, 2023

In the Matter of Quantstamp, Inc. 
Administrative Proceeding File No.: 3-21535 
Date Filed: July 21, 2023 
Date of Qualifying Judgment/Order: July 21, 2023