Whistleblower Program: Notices of Covered Action

In the Matter of Honeywell International, Inc.
Administrative Proceeding File No: 3-21255
Date Filed: December 19, 2022
Date of Qualifying Judgment/Order: December 19, 2022

In the Matter of ABB Ltd.
Administrative Proceeding File No: 3-21248
Date Filed: December 3, 2022
Date of Qualifying Judgment/Order: December 3, 2022

SEC v. Joseph Boulos
Case Number: 22-cv-22142 (United States District Court for the Southern District of Florida)
Date Filed: July 13, 2022
Date of Qualifying Judgment/Order: December 14, 2022

SEC v. Eric T. Landis and Ridgeview Capital Partners, LLC
Case Number: 18-cv-12453 (United States District Court for the District of Massachusetts)
Date Filed: November 28, 2018
Date of Qualifying Judgment/Order: December 5, 2022

SEC v. John J. Woods, Livingston Group Asset Management Company d/b/a Southport Capital, and Horizon Private Equity, III, LLC
Case Number: 21-cv-03413 (United States District Court for the Northern District of Georgia)
Date Filed: August 20, 2021
Date of Qualifying Judgment/Order: November 14, 2022

SEC v. Anthony Michael Holland
Case Number: 22-cv-00590 (United States District for the Western District of Texas)
Date Filed: June 16, 2022
Date of Qualifying Judgment/Order: December 15, 2022

SEC v. Donald G. Blakstad, Martha Patricia Bustos, and Robert J. Maron
Case Number: 19-cv-06387 (United States District Court for the Southern District of New York)
Date Filed: August 30, 2021
Date of Qualifying Judgment/Order: November 21, 2022

SEC v. William Sadleir
Case Number: 20-cv-03997 (United States District Court for the Southern District of New York)
Date Filed: May 22. 2022
Date of Qualifying Judgment/Order: November 28, 2022

In the Matter of Goldman Sachs Asset Management, L.P.
Administrative Proceeding File No.: 3-21245
Date Filed: November 22, 2022
Date of Qualifying Judgement/Order: November 22, 2022

SEC v. Roger Nils-Jonas Karlsson (a/k/a Euclid Diodorus, Steve Heyden, Joshua Millard, and Lars Georgsson)
Case Number: 20-cv-04615 (United States District Court for the Eastern District of New York)
Date Filed: June 30, 2021
Date of Qualifying Judgment/Order: October 31, 2022

SEC v. Jonathan William Mikula, Christian Fernandez, Amit Raj Beri, Sway Energy Corporation, Avtar Singh Dhillon, Emerald Health Pharmaceuticals Inc., and James M. Demesa
Case Number: 22-cv-07096 (United States District Court for the District of California)
Date Filed: September 30, 2022
Date of Qualifying Judgment/Order: October 21, 2022

In the Matter of Koppers Holdings Inc.
Administrative Proceeding File No.: 3-21223
Date Filed: November 1, 2022
Date of Qualifying Judgment/Order: November 1, 2022

In the Matter of S&P Global Ratings
Administrative Proceeding File No.: 3-21240
Date Filed: November 14, 2022
Date of Qualifying Judgment/Order: November 14, 2022

SEC v. Taronis Technologies, Inc. (n/k/a BBHC, Inc.), Taronis Fuels, Inc., Scott David Mahoney and Tyler Burnett Wilson
Case Number: 22-cv-01939 (United States District Court for the District of Florida)
Date Filed: August 24, 2022
Date of Qualifying Judgment/Order: November 2, 2022

SEC v. Alexander Bevil, Richard McCall Bohnsack, Daniel Thomas Broyles, Charles Cary Davis, William James Roth, Glenn Joseph Story, and Harold Wasserman
Case Number: 19-cv-00590 (United States District Court for the District of Nevada)
Date Filed: April 8, 2019
Date of Qualifying Judgment/Order: September 30, 2022

In the Matter of Barclays PLC and Barclays Bank PLC
Administrative Proceeding File No.: 3-21181
Date Filed: September 29, 2022
Date of Qualifying Judgment/Order: September 29, 2022

In the Matter of Kimberly Kardashian
Administrative Proceeding File No.: 3-21197
Date Filed: October 3, 2022
Date of Qualifying Judgment/Order: October 3, 2022

In the Matter of Morgan Stanley & Co. LLC and Morgan Stanley Smith Barney LLC
Administrative Proceeding File No.: 3-21169
Date Filed: September 27, 2022
Date of Qualifying Judgment/Order: September 27, 2022

In the Matter of Jefferies LLC
Administrative Proceeding File No.: 3-21168
Date Filed: September 27, 2022
Date of Qualifying Judgment/Order: September 27, 2022

In the Matter of Cantor Fitzgerald & Co.
Administrative Proceeding File No.: 3-21172
Date Filed: September 27, 2022
Date of Qualifying Judgment/Order: September 27, 2022

In the Matter of Deutsche Bank Securities Inc., DWS Investment Management Americas, Inc., and DWS Distributors, Inc.
Administrative Proceeding File No.: 3-21173
Date Filed: September 27, 2022
Date of Qualifying Judgment/Order: September 27, 2022

SEC v. Lev Parnas and David Correia
Case Number: 21-cv-00995 (United States District Court for the Southern District of New York)
Date Filed: February 4, 2021
Date of Qualifying Judgment/Order: October 11, 2022

In the Matter of Cemtrex Inc., and Saagar Govil
Administrative Proceeding File No.: 3-21189
Date Filed: September 30, 2022
Date of Qualifying Judgment/Order: September 30, 2022

In the Matter of Mattel, Inc.
Administrative Proceeding File No.: 3-21213
Date Filed: October 21, 2022
Date of Qualifying Judgment/Order: October 21, 2022

In the Matter of Deloitte Touche Tohmatsu Certified Public Accountants, LLP
Administrative Proceeding File No.: 3-21178
Date Filed: September 29, 2022
Date of Qualifying Judgment/Order: September 29, 2022

In the Matter of Oracle Corporation
Administrative Proceeding File No.: 3-21158
Date Filed: September 27, 2022
Date of Qualifying Judgment/Order: September 27, 2022

SEC v. Joseph Salvatore Devito (a/k/a Salvatore Devito) and Dean Anthony Esposito (a/k/a Dean Anthony)
Case Number: 22-cv-60733 (United States District for the Southern District of Florida)
Date Filed: April 13, 2022
Date of Qualifying Judgment/Order: October 3, 2022

SEC v. Property Income Investors LLC, Equinox Holdings Inc., Property Income Investors 26 LLC, Property Income Investors 304 LLC, Property Income Investors 201 LLC, Property Income Investors 3504 LLC, Property Income Investors 1361 LLC, Property Income Investors 4020 LLC, Property Income Investors 9007 LLC, Property Income Investors 417 LLC, Property Income Investors 4450 LLC, Property Income Investors 3050 LLC, Larry B. Broman, and Anthony Nicolosi (f/k/a Anthony Peluso)
Case Number: 21-cv-61176 (United States District for the Southern District of Florida)
Date Filed: June 7, 2021
Date of Qualifying Judgment/Order: October 4, 2022

SEC v. Ramiro Jose Sugranes UCB Financial Advisers, Inc. and USB Financial Services Limited
Case Number: 21-cv-22152 (United States District Court for the Southern District of Florida)
Date Filed: June 10, 2021
Date of Qualifying Judgment/Order: October 3, 2022

SEC v. Cetera Advisors LLC and Cetera Advisor Networks LLC
Case Number: 19-cv-02461 (United States District Court for the District of Colorado)
Date Filed: October 11, 2019
Date of Qualifying Judgment/Order: October 13, 2022

In the Matter of Friedman LLP
Administrative Proceeding File No.: 3-21142
Date Filed: September 23, 2022
Date of Qualifying Judgment/Order: September 23, 2022

In the Matter of RSM US LLP
Administrative Proceeding File No.: 3-21183
Date Filed: September 30, 2022
Date of Qualifying Judgment/Order: September 30, 2022

SEC v. Gaylen Dean Rust and Rust Rare Coin, Inc.
Case Number: 18-cv-00147 (United States District Court for the District of Utah)
Date Filed: November 15, 2018
Date of Qualifying Judgment/Order: May 19, 2022

SEC v. Granite Construction Inc.
Case Number: 22-cv-04857 (United States District Court for the Northern District of California)
Date Filed: August 25, 2022
Date of Qualifying Judgment/Order: September 9, 2022

In the Matter of Perceptive Advisors LLC
Administrative Proceeding File No.: 3-21031
Date Filed: September 6, 2022
Date of Qualifying Judgment/Order: September 6, 2022

SEC v. Ambassadors Advisors, LLC, Bernard I. Bostwick, Robert E. Kauffman, and Adrian E. Young
Case Number: 20-cv-02274 (United States District Court for the Eastern District of Pennsylvania)
Date Filed: May 13, 2020
Date of Qualifying Judgment/Order: September 7, 2022

SEC v. Kevin B. Merrill; Jay B. Ledford; Cameron R. Jezierski; Global Credit Recovery, LLC; Delmarva Capital, LLC; Rhino Capital Group, LLC; Deville Asset Management Ltd; and Riverwalk Financial Corporation
Case Number: 18-cv-02844 (United States District Court for the District of Maryland)
Date Filed: September 13, 2018
Date of Qualifying Judgment/Order: August 31, 2022

In the Matter of UBS Financial Services, Inc. and UBS Securities, LLC
Administrative Proceeding File No.: 3-21174
Date Filed: September 27, 2022
Date of Qualifying Judgment/Order: September 27, 2022

In the Matter of Nomura Securities International, Inc.
Administrative Proceeding File No.: 3-21170
Date Filed: September 27, 2022
Date of Qualifying Judgment/Order: September 27, 2022

In re Goldman Sachs & Co. LLC
Administrative Proceeding File No.: 3-21167
Date Filed: September 27, 2022
Date of Qualifying Judgment/Order: September 27, 2022

In the Matter of Citigroup Global Markets Inc.
Administrative Proceeding File No.: 3-21165
Date Filed: September 27, 2022
Date of Qualifying Judgment/Order: September 27, 2022

In the Matter of Credit Suisse Securities (USA) LLC
Administrative Proceeding File No.: 3-21171
Date Filed: September 27, 2022
Date of Qualifying Judgment/Order: September 27, 2022

In the Matter of BofA Securities, Inc. and Merrill Lynch, Pierce, Fenner & Smith Incorporated
Administrative Proceeding File No.: 3-21166
Date Filed: September 27, 2022
Date of Qualifying Judgment/Order: September 27, 2022

In the Matter of Barclays Capital Inc.
Administrative Proceeding File No.: 3-21164
Date Filed: September 27, 2022
Date of Qualifying Judgment/Order: September 27, 2022

In the Matter of Morgan Stanley Smith Barney LLC
Administrative Proceeding File No.: 3-21112
Date Filed: September 20, 2022
Date of Qualifying Judgment/Order: September 20, 2022

SEC v. Scott Adam Brander
Case Number: 22-cv-05506 (United States District Court for the District of New Jersey)
Date Filed: September 12, 2022
Date of Qualifying Judgment/Order: September 14, 2022

In the Matter of The Boeing Company
Administrative Proceeding File No.: 3-21140
Date Filed: September 22, 2022
Date of Qualifying Judgment/Order: September 22, 2022

SEC v. David Hu
Case Number: 20-cv-05496 (United States District Court for the Southern District of New York)
Date Filed: July 17, 2020
Date of Qualifying Judgment/Order: September 22, 2022

SEC v. Premier Links, Inc., Dwayne Malloy, Chris Damon, Theirry Ruffin a/k/a Theirry Regan
Case Number: 14-cv-07375 (United States District Court for the Eastern District of New York)
Date Filed: December 18, 2014
Date of Qualifying Judgment/Order: September 16, 2022

In the Matter of VMware, Inc.
Administrative Proceeding File No.: 3-21065
Date Filed: September 12, 2022
Date of Qualifying Judgment/Order: September 12, 2022

In the Matter of  Sparkster, Ltd., and Sajjad Daya
Administrative Proceeding File No.: 3-21103
Date Filed: September 19, 2022
Date of Qualifying Judgment/Order: September 19, 2022

In the Matter of Compass Minerals International, Inc.
Administrative Proceeding File No.: 3-21145
Date Filed: September 23, 2022
Date of Qualifying Judgment/Order: September 23, 2022

In the Matter of Hudson Advisors, L.P. and Lone Star Global Acquisitions, Ltd.
Administrative Proceeding File No.: 3-21062
Date Filed: September 12, 2022
Date of Qualifying Judgment/Order: September 12, 2022

SEC v. GreneCo, LLC, Gene D. Larson, Gregory K. Womack, and Womack Investment Advisors, Inc.
Case Number: 22-cv-00673 (United States District Court for the Western District of Oklahoma)
Date Filed: August 8, 2022
Date of Qualifying Judgment/Order: August 15, 2022

SEC v. DeAndre P. Sears and Masears LLC d/b/a Picasso Group
Case Number: 20-cv-03114 (United States District Court Middle District of Florida)
Date Filed: December 31, 2020
Date of Qualifying Judgment/Order: August 11, 2022

In the Matter of GOL Linhas Aereas Inteligentes S.A. a/k/a GOL Intelligent Airlines Inc.
Administrative Proceeding File No.: 3-21094
Date Filed: September 15, 2022
Date of Qualifying Judgment/Order: September 15, 2022

SEC v. Hartman Wright Group, LLC and Tytus W. Harkins
Case Number: 19-cv-02418 (United States District Court for the District of Colorado)
Date Filed: August 26, 2019
Date of Qualifying Judgment/Order: September 7, 2022

SEC v. Swapnil J. Rege and SwapStar Capital, LLC
Case Number: 21-cv-19313 (United States District Court of New Jersey)
Date Filed: October 26, 2021
Date of Qualifying Judgment/Order: August 23, 2022

SEC v. Shimon Rosenfeld
Case Number: 21-cv-03902 (United States District Court for the Eastern District of New York)
Date Filed: July 12, 2021
Date of Qualifying Judgment/Order: July 5, 2022

SEC v. Aron Govil
Case Number: 21-cv-06150 (United States District Court for the Southern District of New York)
Date Filed: July 19, 2021
Date of Qualifying Judgment/Order: July 5, 2022

SEC v. Christopher D. Dougherty; C&D Professional Services, Inc. dba C&N Wealth Management; JTA Farm Enterprises, LLC; and JTA Real Estate Holdings, LLC
Case Number: 19-cv-00769 (United States District Court for the Southern District of California)
Date Filed: April 26, 2019
Date of Qualifying Judgment/Order: August 19, 2022

SEC v. Sergei Polevikov and Maryna Arystava
Case Number: 21-cv-07925 (United States District Court for the Southern District of New York)
Date Filed: September 23, 2021
Date of Qualifying Judgment/Order: July 29, 2022

In the Matter of Deccan Value Investors, LP and Vinit Bodas
Administrative Proceeding File No.: 3-20944
Date Filed: August 3, 2022
Date of Qualifying Judgment/Order: August 3, 2022

In the Matter of Angel Oak Capital Advisors, LLC and Ashish Negandhi
Administrative Proceeding File No.: 3-20953
Date Filed: August 10, 2022
Date of Qualifying Judgment/Order: August 10, 2022

In the Matter of Bancorp., Inc.
Administrative Proceeding File No.: 3-20997
Date Filed: August 24, 2022
Date of Qualifying Judgment/Order: August 24, 2022

In the Matter of J.P. Morgan Securities, LLC
Administrative Proceeding File No.: 3-20936
Date Filed: July 27, 2022
Date of Qualifying Judgment/Order: July 27, 2022

SEC v. Crown Bridge Partners, LLC, Soheil Ahdoot, and Sepas Adhoot
Case Number: 22-cv-06537 (United States District Court for the Southern District of New York)
Date Filed: August 2, 2022
Date of Qualifying Judgment/Order: August 9, 2022

In the Matter of Surgalign Holdings, Inc., and Robert P. Jordheim
Administrative Proceeding File No.: 3-20945
Date Filed: August 3, 2022
Date of Qualifying Judgment/Order: August 3, 2022

In the Matter of Eagle Bancorp., Inc.
Administrative Proceeding File No.: 3-20963
Date Filed: August 16, 2022
Date of Qualifying Judgment/Order: August 16, 2022

In the Matter of Aegis Capital Corp.
Administrative Proceeding File No.: 3-20940
Date Filed: July 28, 2022
Date of Qualifying Judgment/Order: July 28, 2022

SEC v. Victor Lee Farias and Integrity Aviation & Leasing, LLC
Case Number: 20-cv-00885 (United States District Court for the Western District of Texas)
Date Filed: July 30, 2020
Date of Qualifying Judgment/Order: August 1, 2022

SEC v. William J. Milles, Jr., and Donald J. Lutzko
Case Number: 19-cv-00714 (United States District Court for the Western District of Texas)
Date Filed: July 17, 2019
Date of Qualifying Judgment/Order: July 18, 2022

SEC v. German Nino
Case Number: 22-cv-60162 (United States District Court for the Southern District of Florida)
Date Filed: January 21, 2022
Date of Qualifying Judgment/Order: August 2, 2022

SEC v. Naseem Salamah Mohammed
Case Number: 21-cv-50371 (United States District Court for the Southern District of Illinois)
Date Filed: September 28, 2021
Date of Qualifying Judgment/Order: July 6, 2022

SEC v. Alex Duain Forester; Michael Robert Hicks; Yarden Moshe Mony Krampf; Christopher Byungin Lee; Sean Andrew O'Neal, Michael Roy Raynor; Lee Sobel
Case Number: 20-cv-09813 (United States District Court for the Central District of California)
Date Filed: October 26, 2020
Date of Qualifying Judgment/Order: July 18, 2022

In the Matter of Charles Schwab & Co., Inc., Charles Schwab Investment Advisory, Inc., and Schwab Wealth Investment Advisory, Inc.
Administrative Proceeding File No.: 3-20897
Date Filed: June 13, 2022
Date of Qualifying Judgment/Order: June 13, 2022

In the Matter of Equitable Financial Life Insurance Company
Administrative Proceeding File No.: 3-20931
Date Filed: July 18, 2022
Date of Qualifying Judgment/Order: July 18, 2022

In the Matter of Stephen G. Waldis
Administrative Proceeding File No.: 3-20888
Date Filed: June 7, 2022
Date of Qualifying Judgment/Order: June 7, 2022 

SEC v. Matthew J. Skinner, Empire West Equity, Inc., Longacre Estates, LP, Bayside Equity, LP, Freedom Equity Fund LLC, and Simple Growth, LLC
Case Number: 21-cv-05273 (United States District Court for the Central District of California)
Date Filed: June 29, 2021
Date of Qualifying Judgment/Order: June 21, 2022 

SEC v. Zhuobin Hong and Caixia Jiang
Case Number: 20-cv-04080 (United States District Court for the Central District of California)
Date Filed: May 4, 2020
Date of Qualifying Judgment/Order: March 9, 2022 

In the Matter of Private Advisor Group, LLC
Administrative Proceeding File No.: 3-20933
Date Filed: July 21, 2022
Date of Qualifying Judgment/Order: July 21, 2022 

In the Matter of UBS Financial Services, Inc.
Administrative Proceeding File No.: 3-20912
Date Filed: June 29, 2022
Date of Qualifying Judgment/Order: June 29, 2022 

In the Matter of Health Insurance Innovations, Inc., now named Benefytt Technologies, Inc., and Gavin D. Southwell
Administrative Proceeding File No.: 3-20932
Date Filed: July 20, 2022
Date of Qualifying Judgment/Order: July 20, 2022 

SEC v. Sky Group USA, LLC, Efrain Betancourt, Jr.
Case Number: 21-cv-23443 (United States District Court for the Southern District of Florida)
Date Filed: September 27, 2021
Date of Qualifying Judgment/Order: June 29, 2022 

SEC v. NIT Enterprises, Inc. (Delaware), NIT Enterprises, Inc. (Florida), NIT Enterprises FL, Inc., Gary R. Smith, Jason M. Ganton, and James E. Cleary
Case Number: 19-cv-24822 (United States District Court for the Southern District of Florida)
Date Filed: November 21, 2019
Date of Qualifying Judgment/Order: July 26, 2022 

SEC v. David P. Godwin and Anthony G. Roth
Case Number: 15-cv-01414 (United States District Court for the Central District of Illinois)
Date Filed: September 30, 2015
Date of Qualifying Judgment/Order: June 13, 2022 

SEC v. Luis Jimenez Carrillo, Amar Bahadoorsingh, Justin Roger Wall, and Jamie Samuel Wilson
Case Number: 21-cv-11272 (United States District Court for the District of Massachusetts)
Date Filed: August 4, 2021
Date of Qualifying Judgment/Order: June 30, 2022 

SEC v. United Health Products, Inc., Douglas Beplate, and Louis Schiliro
Case Number: 22-cv-03612 (United States District Court for the District of New Jersey)
Date Filed: June 8, 2022
Date of Qualifying Judgment/Order: June 15, 2022

In the Matter of Garrison Point Capital, LLC
Administrative Proceeding File No.: 3-20876
Date Filed: June 3, 2022
Date of Qualifying Judgment/Order: June 3, 2022

In the Matter of Kahn Brothers Advisors, LLC and Thomas Kahn
Administrative Proceeding File No.: 3-20880
Date Filed: June 6, 2022
Date of Qualifying Judgment/Order: June 6, 2022

In the Matter of Synchronoss Technologies, Inc.
Administrative Proceeding File No.: 3-20883
Date Filed: June 7, 2022
Date of Qualifying Judgment/Order: June 7, 2022

SEC v. Carl Jensen and Stephen W. Gold
Case Number: 21-cv-06817
Date Filed: August 24, 2021
Date of Qualifying Judgment/Order: May 23, 2022

SEC v. Mohammed Pithapurwala, Ammar Kutiyanawalla, and Alifiya Kutiyanawalla
Case Number: 21-cv-09384 (United States District Court for the Central District of California)
Date Filed: December 3, 2021
Date of Qualifying Judgment/Order: June 14, 2022

In the Matter of Weiss Asset Management LP
Administrative Proceeding File No.: 3-20899
Date Filed: June 14, 2022
Date of Qualifying Judgment/Order: June 14, 2022

In the Matter of Ernst & Young LLP
Administrative Proceeding File No.: 3-20911
Date Filed: June 28, 2022
Date of Qualifying Judgment/Order: June 28, 2022

In the Matter of Egan-Jones Ratings Company and Sean Egan
Administrative Proceeding File No.: 3-20902
Date Filed: June 21, 2022
Date of Qualifying Judgment/Order: June 21, 2022

In the Matter of CohnReznick LLP
Administrative Proceeding File No.: 3-20891
Date Filed: June 8, 2022
Date of Qualifying Judgment/Order: June 8, 2022

In the Matter of Tenaris S.A.
Administrative Proceeding File No.: 3-20875
Date Filed: June 2, 2022
Date of Qualifying Judgment/Order: June 2, 2022

SEC v. Morningstar Credit Ratings, LLC
Case Number: 21-cv-01359 (United States District Court for the Southern District of New York)
Date Filed: February 16, 2021
Date of Qualifying Judgment/Order: June 7, 2022

In the Matter of Petroteq Energy, Inc., and Aleksandr Blyumkin
Administrative Proceeding File No.: 3-20898
Date Filed: June 13, 2022
Date of Qualifying Judgment/Order: June 13, 2022