Whistleblower Program: Notices of Covered Action

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

SEC v. Kenneth W. Crumbley, Jr. and Sedona Oil & Gas Corporation
Case Number: 16-cv-00172 (United States District Court for the Northern District of Texas)
Date Filed: January 21, 2016
Date of Qualifying Judgment/Order: May 12, 2022

In the Matter of Wells Fargo Clearing Services, LLC
Administrative Proceeding File No.: 3-20866
Date Filed: May 20, 2022
Date of Qualifying Judgment/Order: May 20, 2022

SEC v. Frederick L. Sharp, Zhiying Yvonne Gasarch, Courtney Kelln, Mike K. Veldhuis, Paul Sexton, Jackson T. Friesen, William T. Kaitz, Avtar S. Dhillon, and Graham R. Taylor
Case Number: 21-cv-11276 (United States District Court for the District of Massachusetts)
Date Filed: August 5, 2021
Date of Qualifying Judgment/Order: May 12, 2022

SEC v. Shuang Chen, Lirong Gao, Jing Guan, Tonghu Jia, Xuejie Jia, Vicky Liu, Shun Sui, Lujun Sun, Huailong Wang, Jiadong Wang, Jiafeng Want, Jiali Want, Xiaosong Wang, Linlin Wu, Lin Xing, Yong Yan, Jiancheng Zhao, and Forrest (HK) Co., Limited
Case Number: 19-cv-12127 (United States District Court for the District of Massachusetts)
Date Filed: October 15, 2019
Date of Qualifying Judgment/Order: June 9, 2022

SEC v. Patrick Churchville, Clearpath Wealth Management, LLC
Case Number: 15-cv-00191 (United States District Court for the District of Rhode Island)
Date Filed: May 7, 2015
Date of Qualifying Judgment/Order: June 1, 2022

SEC v. Christopher W. Burns, Investus Advisers LLC d/b/a Dynamic Money LLC, Investus Financial LLC, and Peer Connect LLC
Case Number: 20-cv-04620 (United States District Court for the Northern District of Georgia)
Date Filed: November 12, 2020
Date of Qualifying Judgment/Order: May 25, 2022

SEC v. Donald E. MacCord, Jr., Shannon D. Doyle, and Digi Outdoor Media, Inc.
Case Number: 17-cv-01809 (United States District Court for the Western District of Washington)
Date Filed: December 4, 2017
Date of Qualifying Judgment/Order: May 18, 2022

SEC v. Michael A. Liberty, Brittany Liberty; Paul Hess; Richard Liberty; George Marcus, Esq.; Mozido Invesco, LLC; Family Mobile, LLC; BRTMDO, LLC Brentwood Financial, LLC; and, TL Holdings Group, LLC
Case Number: 06-cv-01030 (United States District Court for the Eastern District of Pennsylvania)
Date Filed: March 8, 2006
Date of Qualifying Judgment/Order: May 25, 2022

In the Matter of Medley Management Inc., Brook B. Taube and Seth B. Taube
Administrative Proceeding File No.: 3-20836
Date Filed: April 28, 2022
Date of Qualifying Judgment/Order: April 28, 2022

SEC v. Sohrab ("Sam") Sharma, Robert Farkas, and Raymond Trapani
Case Number: 18-cv-2909 (United States District Court for the Southern District of New York)
Date Filed: April 2, 2018
Date of Qualifying Judgment/Order: May 17, 2022

In the Matter of NVIDIA Corporation
Administrative Proceeding File No.: 3-20844
Date Filed: May 6, 2022
Date of Qualifying Judgment/Order: May 6, 2022

In the Matter of Allianz Global Investors U.S. LLC
Administrative Proceeding File No.: 3-20855
Date Filed: May 17, 2022
Date of Qualifying Judgment/Order: May 17, 2022

In the Matter of Virtua Capital Management, LLC, Quynh Palomino, Jack D. Rose, and Derek Uldricks
Administrative Proceeding File No.: 3-20869
Date Filed: May 23, 2022
Date of Qualifying Judgment/Order: May 23, 2022

In the Matter of RiverSource Distributors, Inc.
Administrative Proceeding File No.: 3-20871
Date Filed: May 25, 2022
Date of Qualifying Judgment/Order: May 25, 2022

In the Matter of Kimberly D. Butler, Prosperity Economics Partners, LLC, and Partners for Prosperity, LLC
Administrative Proceeding File No.: 3-20454
Date Filed: May 19, 2022
Date of Qualifying Judgment/Order: May 19, 2022

SEC v. Bernard L. Compton
Case Number: 22-cv-10791 (United States District Court for the Eastern District of Michigan)
Date Filed: April 13, 2022
Date of Qualifying Judgment/Order: April 19, 2022

In the Matter of First Republic Investment Management, Inc.
Administrative Proceeding File No.: 3-20865
Date Filed: May 19, 2022
Date of Qualifying Judgment/Order: May 19, 2022

In the Matter of BNY Mellon Investment Adviser, Inc.
Administrative Proceeding File No.: 3-20867
Date Filed: May 23, 2022
Date of Qualifying Order/Judgment: May 23, 2022

SEC v. Benja Incorporated and Andrew J. Chapin
Case Number: 20-cv-08238 (United States District Court for the Northern District of California)
Date Filed: November 23, 2020
Date of Qualifying Judgment/Order: April 11, 2022

SEC v. Jose Luis Casero Sanchez
Case Number: 21-cv-08085 (United States District Court for the Southern District of Nw York)
Date Filed: September 29, 2021
Date of Qualifying Judgment/Order: April 7, 2022

SEC v. Phillip W. Conley
Case Number: 20-cv-00070 (United States District Court for the Northern District of West Virginia)
Date Filed: April 16, 2020
Date of Qualifying Judgment/Order: April 6, 2022

SEC v. Eric C. Malley and MG Capital Management, LP
Case Number: 21-cv-00237 (United States District Court for Southern District of New York)
Date Filed: January 1, 2021
Date of Qualifying Judgment/Order: March 14, 2022

SEC v. Alexander C. Burns and Andrew B. Scherr
Case Number: 18-cv-09477 (United States District Court for the Southern District of New York)
Date Filed: October 16, 2018
Date of Qualifying Judgment/Order: March 31, 2022

In the Matter of Rollins, Inc., and Paul Edward Northen
Administrative Proceeding File No.: 3-20824
Date Filed: April 18, 2022
Date of Qualifying Judgment/Order: April 18, 2022

SEC v. Nanotech Engineering, Inc., Michael James Sweaney, David Sweaney, and Jeffrey Gange
Case Number: 19-cv-03633 (United States District Court for the District of Columbia)
Date Filed: December 5, 2019
Date of Qualifying Judgment/Order: April 5, 2022

SEC v. Airborne Wireless Network, Kalistratos Kabilafkas, Timoleon Kabilafkas, Chrysilios Chrysiliou, Panagiotis Bolovis, Jack Edward Daniels, Eric Scheffey, and Moshe Rabin
Case Number: 21-cv-1772 (United States District Court for the Southern District of New York)
Date Filed: March 2, 2021
Date of Qualifying Judgment/Order: April 4, 2022

In the Matter of Stericycle, Inc.
Administrative Proceeding File No.: 3-20826
Date Filed: April 20, 2022
Date of Qualifying Judgment/Order: April 20, 2022

SEC v. Alan H. New, David N. Knuth, Synergy Investment Services, LLC
Case Number:18-cv-03975 (United States District Court for the Southern District of Indiana)
Date Filed: December 17, 2018
Date of Qualifying Judgment/Order: April 26, 2022

SEC v. Chatfield PCS Ltd., GO ECO Manufacturing, Inc., and Trajay Scarlett
Case Number: 21-cv-00641 (United States District Court for the District of Colorado)
Date Filed: March 3, 2021
Date of Qualifying Judgment/Order: March 30, 2022

SEC v. Roger Knox, Wintercap SA, Michael T. Gastauer, WB21 US Inc., Silverton SA Inc., WB21 NA Inc., C Capital Corp., Wintercap SA Inc. and B2 Cap Inc.
Case Number: 18-cv-12058 (United States District Court for the District of Massachusetts)
Date Filed: October 2, 2018
Date of Qualifying Judgment/Order: March 23, 2022

SEC v. Joseph A. Meyer, Jr. and Statim Holdings, Inc.
Case Number: 18-cv-05868 (United States District Court for the Northern District of Georgia)
Date Filed: December 26, 2018
Date of Qualifying Judgment/Order: April 18, 2022

SEC v. Stefan Qin, Virgil Technologies LLC, Montgomery Technologies LLC, Virgil Quantitative Research LLC, Virgil Capital LLC, and VQR Partners LLC
Case Number: 20-cv-10849 (United States District Court for the Southern District of New York)
Date Filed: December 22, 2020
Date of Qualifying Judgment/Order: March 2, 2022

SEC v. Global Investment Strategy UK Ltd. and John William Gunn
Case Number: 20-cv-10838 (United States District Court for the Southern District of New York)
Date Filed: December 22, 2020
Date of Qualifying Judgment/Order: March 22, 2022

SEC v. Martin Shkreli, Evan Greebel, MSMB Capital Management LLC, and MSMB Healthcare Management LLC
Case Number: 15-cv-07175 (United States District Court for the Eastern District of New York)
Date Filed: December 17, 2015
Date of Qualifying Judgment/Order: February 23, 2022

SEC v. Cavco Industries, Inc.; Joseph Stegmayer; and Daniel Urness
Case Number: 21-cv-01507 (United States District Court for the District of Arizona)
Date Filed: September 2, 2021
Date of Qualifying Judgment/Order: September 7, 2021

In the Matter of City National Rochdale, LLC
Administrative Proceeding File No.: 3-20789
Date Filed: March 3, 2022
Date of Qualifying Judgment/Order: March 3, 2022

In the Matter of Mark Alan Bourgeois
Administrative Proceeding File No.: 3-20786
Date Filed: March 2, 2022
Date of Qualifying Judgment/Order: March 2, 2022

SEC v. Ronnie Lee Moss, Jr., Genesis E&P, Inc., Royal Oil, LLC, and Catalyst Operating, LLC
Case Number: 20-cv-00972 (United States District Court for the Eastern District of Texas)
Date Filed: December 23, 2020
Date of Qualifying Judgment: March 11, 2022

SEC v. Brothers Investment Group International, Inc. n/k/a Brothers International Group Inc., and Anson Jean-Pierre
Case Number: 20-cv-24842 (United States District Court for the Southern District of Florida)
Date Filed: November 24, 2020
Date of Qualifying Judgment: March 7, 2022

In the Matter of Ameritas Advisory Services, LLC
Administrative Proceeding File No.: 3-20784
Date Filed: February 25, 2022
Date of Qualifying Judgment/Order: February 25, 2022

In the Matter of Educators Financial Services, Inc.
Administrative Proceeding File No.: 3-20792
Date Filed: March 4, 2022
Date of Qualifying Judgment/Order: March 4, 2022

SEC v. Dawn J. Bennett, Bradley Mascho, and DJB Holdings, LLC
Case Number: 17-cv-02453 (United States District Court for the District of Maryland)
Date Filed: August 25, 2017
Date of Qualifying Judgment/Order: January 31, 2022

In the Matter of BlockFi Lending LLC
Administrative Proceeding File No.: 3-20758
Date Filed: February 14, 2022
Date of Qualifying Judgment/Order: February 14, 2022

SEC v. Ofer Abarbanel, Victor Chilelli, Income Collecting 1-3 Monts T-Bills Mutual Fund
Case Number: 21-cv-05429 (United States District Court for the Southern District of New York)
Date Filed: June 21, 2021
Date of Qualifying Judgment/Order: February 25, 2022

In the Matter of KT Corporation
Administrative Proceeding File No.: 3-20780
Date Filed: February 17, 2022
Date of Qualifying Judgment/Order: February 17, 2022

SEC v. Complete Business Solutions Group, Inc. d/b/a Par Funding, Full Spectrum Processing, Inc. ABetterFinancialPlan.com LLC d/b/a A Better Financial Plan, ABFP Management Company, LLC, f/k/a Pillar Life Settlement Management Company, LLC, ABFP Income Fund, LLC, ABFP Income Fund 2, L.P., United Fidelis Group Corp., Fidelis Financial Planning LLC, Retirement Evolution Group, LLC, Reirement Evolution Income Fund, LLC, f/k/a Re Income Fund, LLC, Re Income Fund 2, LLC, Lisa McElhone, Joseph Cole Barleta, a/k/a Joe Cole, Joseph W. LaForte, a/k/a Joe Mack, a/k/a Joe Macki, a/k/a Joe McElhone, Perry S. Abbonizio, Dean J. Vagnozzi, Michael C. Furman, and John Gissas
Case Number: 20-cv-81205 (United States District Court for the Southern District of Florida)
Date Filed: July 24, 2020
Date of Qualifying Judgment/Order: February 25, 2022

SEC v. Thunderbird Power Corp., Richard Hinds, Anthony Goldstein, and John Alexander Van Arem
Case Number: 20-cv-22901 (United States District Court for the Southern District of Florida)
Date Filed: July 14, 2020
Date of Qualifying Judgment/Order: January 21, 2022

SEC v. Viktor Gjonaj
Case Number: 21-cv-10199 (United States District Court for the Eastern District of Michigan)
Date Filed: January 28, 2021
Date of Qualifying Judgment/Order: January 24, 2022

In the Matter of Baxter International Inc.
Administrative Proceeding File No.: 3-20781
Date Filed: February 22, 2022
Date of Qualifying Judgment/Order: February 22, 2022

SEC v. George S. Blakenbaker, StarGrower Commercial Bridge Loan Fund 1 LLC, StarGrower Asset Management LLC, Blankenbaker Investments Fund 17 LLC
Case Number: 21-cv-00790 (United States District Court for the Southern District of Indiana)
Date Filed: March 31, 2021
Date of Qualifying Judgment/Order: January 21, 2022

SEC v. Seyed Taher Kameli, Chicagoland Foreign Investment Group, LLC, and American Enterprise Pioneers, Inc.
Case Number: 17-cv-04686 (United States District Court for the Northern District of Illinois)
Date Filed: June 22, 2017
Date of Qualifying Judgment/Order: January 24, 2022

SEC v. Ryan Gilbertson, Thomas Howells, and Douglas Hoskins
Case Number: 16-cv-03779 (United States District Court for the District of Minnesota)
Date Filed: October 31, 2016
Date of Qualifying Judgment/Order: January 26, 2022

SEC v. Justin Robert King and Elevate Investments LLC
Case Number: 20-cv-02398 (United States District Court for the Central District of California
Date Filed: December 21, 2020
Date of Qualifying Judgment/Order: January 18, 2022

SEC v. VerdeGroup Investment Partners, Inc.; Thomas Gaffney; and Lisa Gordon
Case Number: 21-cv-07663 (United States District Court for the Central District of California)
Date Filed: September 27, 2021
Date of Qualifying Judgment/Order: January 20, 2022

In the Matter of O.N. Investment Management Company
Administrative Proceeding File No.: 3-20701
Date Filed: January 11, 2022
Date of Qualifying Judgment/Order: January 11, 2022

SEC v. Timothy Burroughs, Jay Holstine, John Griffin, and Michael Oswald Williams
Case Number: 21-cv-00994 (United States District Court for the Eastern District of Texas)
Date Filed: December 27, 2021
Date of Qualifying Judgment/Order: January 7, 2022

SEC v. Phillip Michael Carter, d/b/a North Forty Development Capital Account, Bobby Eugene Guess Richard Gregory TIlford, North-Forty Development LLC, North Forty Development, LLC, Texas Cash Cow, LLC, f/k/a Texas Cash Cow Investments LLC, and Texas First Financial, LLC
Case Number: 19-cv-00206 (United States District Court for the Eastern District of Texas)
Date Filed: January 25, 2019
Date of Qualifying Judgment/Order: January 18, 2022

In the Matter of Global Infrastructure Management, LLC
Administrative Proceeding File No.: 3-20683
Date Filed: December 20, 2021
Date of Qualifying Judgment/Order: December 20, 2021

In the Matter of J.P. Morgan Securities LLC
Administrative Proceeding File No.: 3-20681
Date Filed: December 17, 2021
Date of Qualifying Judgment/Order: December 17, 2021

In the Matter of Steven Turner
Administrative Proceeding File No.: 3-20668
Date Filed: December 6, 2021
Date of Qualifying Judgment/Order: December 6, 2021

SEC v. American Renal Associates Holdings, Inc., Jonathan L. Wilcox, Jason M. Boucher and Karen J. Smith
Case Number: 21-cv-10366 (United States District Court for the Southern District of New York)
Date Filed: December 6, 2021
Date of Qualifying Judgment/Order: December 8, 2021

SEC v. Peter Baker, Prestige Global Trading, Ltd., Elizabeth Oharriz, Diversified Initiatives Consulting & Logistics, Inc., and Sienna Business Group, Inc.
Case Number: 19-cv-02565 (United States District Court for the Northern District of Georgia
Date Filed: June 4, 2019
Date of Qualifying Judgment/Order: November 9, 2021

In the Matter of Nikola Corporation
Administrative Proceeding File No.: 3-20687
Date Filed: December 21, 2021
Date of Qualifying Judgment/Order: December 21, 2021

SEC v. Ivan Acevedo and Dane R. Roseman a/k/a Dayne R. Roseman
Case Number: 19-cv-21380 (United States District Court for the Southern District of Florida)
Date Filed: April 11, 2019
Date of Qualifying Judgment/Order: December 14, 2021

In the Matter of 1st Global Advisors, Inc., now known as Avantax Advisory Services, Inc.
Administrative Proceeding File No.: 3-20685
Date Filed: December 20, 2021
Date of Qualifying Judgment/Order: December 20, 2021

SEC v. Robert Samuel Shumake, Jr., Willard L. Jackson, Nicole T. Birch, 420 Real Estate, LLC, Vicent Petrescu aka Vincent Petrescu, and TruCrow, Inc. dba Fundanna
Case Number: 21-cv-12193 (United States District Court for the Eastern District of Michigan)
Date Filed: September 20, 2021
Date of Qualifying Judgment/Order: December 23, 2021

SEC v. Gary F. Pryor, ZipRemit, Inc., and Lendaily, Inc.
Case Number: 20-cv-01782 (United States District Court for the District of Arizona)
Date Filed: September 14, 2020
Date of Qualifying Judgment: December 1, 2021

SEC v. James Siniscalchi
Case Number: 19-cv-03792 (United States District Court for the Southern District of New York)
Date Filed: April 29, 2019
Date of Qualifying Judgment/Order: December 21, 2021

In the Matter of Wedbush Securities Inc.
Administrative Proceeding File No.: 3-20679
Date Filed: December 15, 2021
Date of Qualifying Judgment/Order: December 15, 2021

SEC v. Stephen Scott Moleski, David Michael, and Erik Christian Jones
Case Number: 21-cv-01065 (United States District Court for the Central District of California)
Date Filed: February 5, 2021
Date of Qualifying Judgment/Order: November 24, 2021

SEC v. Alexander Rowland
Case Number: 20-cv-05075 (United states District Court for the Eastern District of Pennsylvania)
Date Filed: October 13, 2020
Date of Qualifying Judgment/Order: October 21, 2021

In the Matter of Michael Margiotta
Administrative Proceeding File No.: 3-20644
Date Filed: November 2, 2021
Date of Qualifying Judgment/Order: November 2, 2021

In the Matter of MIO Partners, Inc.
Administrative Proceeding File No.: 3-20656
Date Filed: November 19, 2021
Date of Qualifying Judgment/Order: November 19, 2021

In the Matter of Fixed Income Clearing Corporation
Administrative Proceeding File No.: 3-20638
Date Filed: October 29, 2021
Date of Qualifying Judgment/Order: October 29, 2021

SEC v. Tomer Feingold and Dov Malnik
Case Number: 20-cv-01881 (United States District Court for the Southern District of New York)
Date Filed: March 3, 2020
Date of Qualifying Judgment/Order: November 22, 2021

SEC v. Richard Vu Nguyen, a/k/a Nguyen Thanh Vu, and NTV Financial Group, Inc.
Case Number: 19-cv-01174 (United States District Court for the Central District of California)
Date Filed: June 13, 2019
Date of Qualifying Judgment/Order: November 25, 2021

SEC v. Denis Georgiyevich Sotnikov, Adaptive Technology LLC, AGQ Business Group LLC, ATL Business Group LLC, BO&SA Corporation, DN Industrial LLC and Expert Digital LLC
Case Number: 20-cv-02784 (United States District Court for the District of New Jersey)
Date Filed: March 13, 2020
Date of Qualifying Judgment/Order: October 15, 2021

SEC v. Guy Scott Griffithe and Robert William Russell
Case Number: 20-cv-00124 (United States District Court for the Central District of California)
Date Filed: January 21, 2020
Date of Qualifying Judgment/Order: November 19, 2021

SEC v. Russell Craig and Onestep Financial Services, LLC
Case Number: 18-cv-04539 (United States District Court for the Northern District of Georgia)
Date Filed: October 1, 2018
Date of Qualifying Judgment/Order: November 9, 2021

SEC v. Akazoo S.A.
Case Number: 20-cv-08101 (United States District Court for the Southern District of New York)
Date Filed: September 30, 2020
Date of Qualifying Judgment/Order: October 21, 2021

In the Matter of United States Commodity Funds LLC and United States Oil Fund, LP
Administrative Proceeding File No.: 3-20648
Date Filed: November 8, 2021
Date of Qualifying Judgment/Order: November 8, 2021

SEC v. Andrew Dale Ledbetter
Case Number: 20-cv-61972 (United States District Court for the Southern District of Florida)
Date Filed: September 29, 2020
Date of Qualifying Order/Judgment: November 23, 2021

SEC v. Andres Fernandez and Edison Denizard
Case Number: 19-cv-01843 (United States District Court for the Middle District of Florida)
Date Filed: September 25, 2019
Date of Qualifying Judgment/Order: October 28, 2021

SEC v. Ann M. Vick
Case Number: 21-cv-02870 (United States District Court for the District of Colorado)
Date Filed: October 25, 2021
Date of Qualifying Judgment/Order: October 27, 2021

SEC v. Isaiah Goodman
Case Number: 21-cv-00365 (United States District Court for the District of Minnesota)
Date Filed: February 8, 2021
Date of Qualifying Judgment/Order: November 22, 2021

SEC v. Kevin R. Kuhnash and Jason P. Jimerson
Case Number: 19-cv-00028 (United States District Court for the Southern District of Indiana)
Date Filed: February 12, 2019
Date of Qualifying Judgment/Order: November 24, 2021

SEC v. Edward L. Wooten, Lee S. Rose, John L. Krcil, and Black Lion Investment Partners, Inc.
Case Number: 21-cv-00270 (United States District Court for the Middle District of Georgia)
Date Filed: July 30, 2021
Date of Qualifying Judgment/Order: November 2, 2021

SEC v. Gregory Lamont Drake, Stephen Kenneth Grossman, Stephen Scott Moleski, Jason David St. Amour, and David Wolfson
Case Number: 20-cv-00405 (United States District Court for the Central District of California)
Date Filed: January 15, 2020
Date of Qualifying Judgment/Order: October 7, 2021

In the Matter of Xuepeng Xie
Administrative Proceeding File No.: 3-20599
Date Filed: September 27, 2021
Date of Qualifying Judgment/Order: September 27, 2021

SEC v. DaRayl D. Davis
Case Number: 17-cv-09224 (United States District Court for the Northern District of Illinois)
Date Filed: December 22, 2017
Date of Qualifying Judgment/Order: September 20, 2021

In the Matter of Tradition Securities and Derivatives, LLC
Administrative Proceeding File No.: 3-20606
Date Filed: September 28, 2021
Date of Qualifying Judgment/Order: September 28, 2021

SEC v. Steven Pagartanis
Case Number: 18-cv-03150 (United States District Court for the Eastern District of New York)
Date Filed: May 30, 2018
Date of Qualifying Judgment/Order: October 4, 2021