Whistleblower Program: Notices of Covered Action

In the Matter of WPP PLC
Administrative Proceeding File No.: 3-20595
Date Filed: September 24, 2021
Date of Qualifying Judgment/Order: September 24, 2021

SEC v. Paul Gilman; Oil Migration Group, LLC, WaveTech29, LLC; and GilmanSound, LLC
Case Number: 18-cv-01421 (United States District Court for the Northern District of Texas)
Date Filed: June 4, 2018
Date of Qualifying Judgment/Order: September 9, 2021

SEC v. Thomas Gity, Sr., Thomas Gity, Jr., and Treasure Coast Property Enterprises, LLC
Case Number: 20-cv-14342 (United States District Court for the Southern District of Florida)
Date Filed: September 29, 2020
Date of Qualifying Judgment/Order: September 23, 2021

In the Matter of Rothschild Investment Corporation
Administrative Proceeding File No.: 3-20541
Date Filed: September 13, 2021
Date of Qualifying Judgment/Order: September 13, 2021

In the Matter of MML Investors Services, LLC
Administrative Proceeding File No.: 3-20536
Date Filed: September 10, 2021
Date of Qualifying Judgment/Order: September 10, 2021

SEC v. Yellowstone Partners, LLC, David Henry Hansen, and Cameron G. High
Case Number: 19-cv-00374 (United States District Court for the District of Illinois)
Date Filed: September 30, 2019
Date of Qualifying Judgment/Order: August 17, 2021

In the Matter of Northwest Advisors, Inc.
Administrative Proceeding File No.: 3-20469
Date Filed: August 24, 2021
Date of Qualifying Judgment/Order: August 24, 2021

In the Matter of Poloniex, LLC
Administrative Proceeding File No.: 3-20455
Date Filed: August 9, 2021
Date of Qualifying Judgment/Order: August 9, 2021

In the Matter of Ernst & Young LLP, James G. Herring, Jr., CPA, James A. Young, CPA, and Curt W. Fochtmann, CPA
Administrative Proceeding File No.: 3-20447
Date Filed: August 2, 2021
Date of Qualifying Judgment/Order: August 2, 2021

In the Matter of Healthcare Services Group, Inc., John C. Shea, CPA, and Derya D. Warner
Administrative Proceeding File No.: 3-20468
Date Filed: August 24, 2021
Date of Qualifying Judgment/Order: August 24, 2021

In the Matter of Murchinson Ltd., Marc Bistricer, and Paul Zogala
Administrative Proceeding File No.: 3-20463
Date Filed: August 17, 2021
Date of Qualifying Judgment/Order: August 17, 2021

SEC v. Oleksander Ieremenko, Spirit Trade, Ltd., Sungjin Cho, David Kwon, Igor Sabodakha, Victoria Vorochek, Ivan Olefir, Capyield Systems, Ltd., and Andrey Sarafanov
Case Number: 19-cv-00505 (United States District Court for the District of New Jersey) 
Date Filed: January 15, 2019
Date of Qualifying Judgment/Order: July 29, 2021

SEC v. Brian Davison, Barry M. Rybicki, Equialt LLC, Equialt Fund, LLC, Equialt Fund II, LLC, Equialt III, LLC, EA SIP, LLC
Case Number: 20-cv-00325 (United States District Court for the Middle District of Florida)
Date Filed: February 11, 2020
Date of Qualifying Judgment/Order: August 5, 2021

Matter of First Heartland Consultants, Inc.
Administrative Proceeding File No.: 3-20448
Date Filed: August 2, 2021
Date of Qualifying Judgment/Order: August 2, 2021

In the Matter of Jonathan Roberts Advisory Group, Inc. d/b/a J.W. Cole Advisors, Inc.
Administrative Proceeding File No.: 3-20475
Date Filed: August 25, 2021
Date of Qualifying Judgment/Order: August 25, 2021

In the Matter of UBS Financial Services Inc.
Administrative Proceeding File No.: 3-20401
Date Filed: July 19, 2021
Date of Qualifying Judgment/Order: July 19, 2021

In the Matter of Blockchain Credit Partners d/b/a DeFi Money Market, Gregory Keough, and Derek Acree
Administrative Proceeding File No.: 3-20453
Date Filed: August 6, 2021
Date of Qualifying Judgment/Order: August 6, 2021

SEC v. Daniel K. Boice and Trustify, Inc.
Case Number: 20-cv-00853 (United States District Court for the Eastern District of Virginia)
Date Filed: July 24, 2020
Date of Qualifying Judgment/Order: July 9, 2021

SEC v. Michael Barry Carter
Case Number: 20-cv-02112 (United States District Court for the District of Maryland)
Date Filed: July 20, 2020
Date of Qualifying Judgment/Order: June 30, 2021

In the Matter of Securities America Advisors, Inc.
Administrative Proceeding File No.: 3-20381
Date Filed: June 30, 2021
Date of Qualifying Judgment/Order: June 30, 2021

In the Matter of Momentus, Inc., Stable Road Acquisition Corp., SRC-NI Holdings, LLC, and Brian Kabot
Administrative Proceeding File No.: 3-20393
Date Filed: July 13, 2021
Date of Qualifying Judgment/Order: July 13, 2021

In the Matter of Neovest, Inc.
Administrative Proceeding File No.: 3-20375
Date Filed: June 29, 2021
Date of Qualifying Judgment/Order: June 29, 2021

In the Matter of TIAA-CREF Individual and Institutional Services, LLC
Administrative Proceeding File No.: 3-20392
Date Filed: July 13, 2021
Date of Qualifying Judgment/Order: July 13, 2021

SEC v. Peter Szatmari
Case Number: 19-cv-12028 (United States District Court for the District of Massachusetts)
Date Filed: September 27, 2019
Date of Qualifying Judgment/Order: July 8, 2021

SEC v. Suneet Singal, First Capital Real Estate Trust, Inc, First Capital Real Estate Advisors, LP, and First Capital Real Estate Investments, LLC
Case Number: 19-cv-11452 (United States District Court for the Southern District New York)
Date Filed: December 13, 2019
Date of Qualifying Judgment/Order: July 13, 2021

In the Matter of AMEC Foster Wheeler Limited
Administrative Proceeding File No.: 3-20373
Date Filed: June 25, 2021
Date of Qualifying Judgment/Order: June 25, 2021

SEC v. Gerardo De Nicolás Gutierrez, Carlos Javier Moctezuma Velasco, Ramón Lafarga Bátiz, and Noe Corrales Reyes
Case Number: 17-cv-02086 (United States District Court for the Southern District of California)
Date Filed: October 11, 2017
Date of Qualifying Judgment/Order: June 29, 2021

SEC v. Frederick Alan Voight and Daystar Funding, LP
Case Number: 15-cv-02218 (United States District Court for the Southern District of Texas)
Date Filed: August 3, 2015
Date of Qualifying Judgment/Order: July 22, 2021

SEC v. Steven L. Brickner
Case Number: 20-cv-00921 (United States District Court for the Middle District of Florida)
Date Filed: April 21, 2020
Date of Qualifying Judgment/Order: July 20, 2021

In the Matter of Kestra Advisory Services, LLC
Administrative Proceeding File No.: 3-20390
Date Filed: July 9, 2021
Date of Qualifying Judgment/Order: July 9, 2021

In the Matter of St. Germain Investment Management, Inc.
Administrative Proceeding File No.: 3-20388
Date Filed: July 8, 2021
Date of Qualifying Judgment/Order: July 8, 2021

SEC v. Westport Capital Markets, LLC and Christopher McClure
Case Number: 17-cv-02064 (United States District Court for the District of Connecticut)
Date Filed: December 11, 2017
Date of Qualifying Judgment/Order: July 6, 2021

SEC v. Hemp, Inc.; Bruce J. Perlowin; Barry K. Epling; Jed M. Perlowin; Ferris Holding, Inc.; Hobbes Equities Inc.; Diversified Investments LLC; and Quantum Economic Protocols LLC
Case Number: 16-cv-01413 (United States District Court for the District of Nevada)
Date Filed: June 20, 2016
Date of Qualifying Judgment/Order: June 1, 2021

In the Matter of Gurprit Chandhoke and VII Peaks Capital, LLC
Administrative Proceeding File No.: 3-20359
Date Filed: June 4, 2021
Date of Qualifying Judgment/Order: June 4, 2021

In the Matter of Maxwell Drever
Administrative Proceeding File No: 3-20280
Date Filed: May 5, 2021
Date of Qualifying Judgment/Order: May 5, 2021

SEC v. Joseph Andrew Paul, John D. Ellis, Jr., James S. Quay, a/k/a "Stephen Jameson," and Donald H. Ellison
Case Number: 16-cv-01326 (United States District Court for the Eastern District of Pennsylvania)
Date Filed: April 1, 2016
Date of Qualifying Judgment/Order: May 28, 2021

SEC v. Savraj Gata-Aura (a/k/a Samuel Aura a/k/a Sam Aura) and Core Agents, Ltd. (d/b/a Core Agents International, Ltd.)
Case Number: 19-cv-04780 (United States District Court for the Southern District of New York)
Date Filed: May 23, 2019
Date of Qualifying Judgment/Order: June 23, 2021

In the Matter of Crown Capital Securities, L.P.
Administrative Proceeding File No.: 3-20371
Date Filed: June 24, 2021
Date of Qualifying Judgment/Order: June 24, 2021

In the Matter of Centaurus Financial, Inc.
Administrative Proceeding File No.: 3-20357
Date Filed: June 2, 2021
Date of Qualifying Judgment/Order: June 2, 2021

SEC v. Eric Pulier
Case Number: 17-cv-07124 (United States District Court for the Central District of California)
Date Filed: September 27, 2017
Date of Qualifying Judgment/Order: May 20, 2017

In the Matter of Loci, Inc. and John Wise
Administrative Proceeding File No.: 3-20369
Date Filed: June 22, 2021
Date of Qualifying Judgment/Order: June 22, 2021

SEC v. The Owings Group, LLC, Owings-1, LLC, Owings Capital Group, LLC, Owings Capital Funds, LLC, Mark Johnson, Kevin Drost, Brian Koslow, David Waltzer
Case Number: 18-cv-02046 (United States District Court for the District of Maryland)
Date Filed: July 6, 2018
Date of Qualifying Judgment/Order: May 12, 2021

SEC v. Emil Botvinnik
Case Number: 18-cv-08182 (United States District Court for the Southern District of New York)
Date Filed: September 10, 2018
Date of Qualifying Judgment/Order: May 21, 2021

SEC v. Sethi Petroleum, LLC and Sameer P. Sethi
Case Number: 15-cv-00338 (United States District Court for the Eastern District of Texas)
Date Filed: May 14, 2015
Date of Qualifying Judgment/Order: June 24, 2021

SEC v. The Legacy Group, Inc.; Colorado Ventures I, LLC; Radiant Holdings, LLC; Randy R. King; Matthew B. King; and Andrea S. Trout
Case Number: 21-cv-01404 (United States District Court for the District of Colorado)
Date Filed: May 24, 2021
Date of Qualifying Judgment/Order: June 11, 2021

In the Matter of Gateway One Lending & Finance, LLC
Administrative Proceeding File No.: 3-20372
Date Filed: June 24, 2021
Date of Qualifying Judgment/Order: June 24, 2021

In the Matter of S&P Dow Jones Indices LLC
Administrative Proceeding File No.: 3-20310
Date Filed: May 17, 2021
Date of Qualifying Judgment/Order: May 17, 2021

SEC v. Kai Christian Petersen; Gil Beserglik; and Raz Beserglik
Case Number: 19-cv-08334 (United States District Court for the Central District of California)
Date Filed: September 26, 2019
Date of Qualifying Judgment/Order: April 21, 2021

SEC v. Onix Capital LLC, and Alberto Chang-Rajii
Case Number: 16-cv-24678 (United States District Court for Southern District Florida)
Date Filed: November 8, 2016
Date of Qualifying Judgment/Order: April 21, 2021

In the Matter of GWFS Equities, Inc.
Administrative Proceeding File No.: 3-20298
Date Filed: May 12, 2021
Date of Qualifying Judgment/Order: May 12, 2021

SEC v. CapSource, Inc., Stephen J. Byrne, and Gregory P. Herlean
Case Number: 20-cv-02303 (United States District Court District of Nevada) 
Date Filed: December 21, 2020
Date of Qualifying Judgment/Order: May 6, 2021

In the Matter of Under Armour, Inc.
Administrative Proceeding File No.: 3-20278
Date Filed: May 3, 2021
Date of Qualifying Judgment/Order: May 3, 2021

SEC v. John F. Thomas, et al. 
Case Number: 19-cv-01515 (United States District Court for the District of Nevada) 
Date Filed: August 30, 2019
Date of Qualifying Judgment / Order: April 8, 2021

SEC v. Imran Husain and Gregg Evan Jaclin
Case Number: 16-cv-03269 (United States District Court for the Central District of California) 
Date Filed: May 12, 2016
Date of Qualifying Judgment / Order: April 5, 2021

SEC v. Kirbyjon Hines Caldwell and Gregory Alan Smith
Case Number: 18-cv-00434 (United States District Court for the District of Western Louisiana) 
Date Filed: March 29, 2018
Date of Qualifying Judgment / Order: March 31, 2021

SEC v. William Skelley and Sohin S. Shah
Case Number: 18-cv-08803 (United States District Court for the Southern District of New York)
Date Filed: September 26, 2018
Date of Qualifying Judgment / Order: March 26, 2021

SEC v. Hai Khoa Dang
Case Number: 20-cv-01353 (United States District Court for the District of Connecticut)
Date Filed: September 10, 2020
Date of Qualifying Judgment / Order: April 19, 2021

SEC v. Clarence Dean Alford
Case Number: 20-cv-03164 (United States District Court for the Northern District of Georgia) 
Date Filed: July 30, 2020 
Date of Qualifying Judgment / Order: April 2, 2021

SEC v. Stephen C. Peters, VisionQuest Wealth Management, LLC, VisionQuest Capital, LLC, and VQ Wealth, LLC
Case Number: 17-cv-00630 (United States District Court for the Eastern District of North Carolina)
Date Filed: December 20, 2017
Date of Qualifying Judgment / Order: March 23, 2021
 

SEC v. Craig A. Zabala
Case Number: 20-cv-07880 (United States District Court for the Southern District of New York) 
Date Filed: September 24, 2020
Date of Qualifying Judgment / Order: February 3, 2021

SEC v. Deborah Duffy
Case Number: 09-cv-06458 (United States District Court for the Southern District of New York) 
Date Filed: July 21, 2009
Date of Qualifying Judgment / Order: March 25, 2021

SEC v. Christopher Fulco (a/k/a Christian Anthony, Johnathan Stewart, and Michael Barron) and JM Capital Holdings LLC
Case Number: 19-cv-05318 (United States District Court for the Eastern District of New York) 
Date Filed: September 18, 2018
Date of Qualifying Judgment / Order: February 24, 2021

SEC v. AmeraTex Energy, Inc., Lewis Oil Corporation, Lewis Oil Company, Thomas A. Lewis, William R. Fort, Damon L. Fox, and Brian W. Bull
Case Number: 18-cv-00129 (United States District Court for the Eastern District of Texas) 
Date Filed: February 27, 2018
Date of Qualifying Judgment / Order: March 18, 2021

SEC v. Christopher D. Dantin and Chris A. Dantin 
Case Number: 21-cv-60588 (United States District Court for the Southern District of Florida) 
Date Filed: March 17, 2021
Date of Qualifying Judgment / Order: March 17, 2021

SEC v. Craig V. Sizer and Miguel Mesa
Case Number: 16-cv-24106 (United States District Court for the Southern District of Florida) 
Date Filed: September 26, 2016
Date of Qualifying Judgment / Order: March 5, 2021

In the Matter of William J. Sears
Administrative Proceeding File No.: 3-17547
Date Filed: February 22, 2021
Date of Qualifying Judgment / Order: February 22, 2021

SEC v. Jason R. Hyatt, Jay Johnson, and Hyatt Johnson Capital, LLC
Case Number: 08-cv-02224 (United States District Court for the Northern District of Illinois) 
Date Filed: April 18, 2008
Date of Qualifying Judgment / Order: March 1, 2021

SEC v. Damon Elliott and Piptastic Limited
Case Number: 20-cv-10860 (United States District Court for the District of Massachusetts)
Date Filed: May 6, 2020
Date of Qualifying Judgment / Order: March 5, 2021

SEC v. Robert C. Morgan, Morgan Mezzanine Fund Manager LLC, and Morgan Acquisitions LLC
Case Number: 19-cv-00661 (United States District Court for the Western District of New York) 
Date Filed: May 22, 2019
Date of Qualifying Judgment / Order: January 21, 2020

In the Matter of Joseph Jackson and Colm Callan
Administrative Proceeding File No.: 3-20217
Date Filed: February 2, 2021
Date of Qualifying Judgment / Order: February 2, 2021

SEC v. Premier Holding Corporation, Randall Letcavage, and Joseph Greenblatt
Case Number: 18-cv-00813 (United States District Court for the Southern District of New York)
Date Filed: December 4, 2017
Date of Qualifying Judgment / Order: January 21, 2021

SEC v. Anthony Todd Johnson (aka Todd Johnson), et. al.
Case Number: 20-cv-01493 (United States District Court for the Central District of California)
Date Filed: July 28, 2020
Date of Qualifying Judgment / Order: January 28, 2021

SEC v. Luckin Coffee, Inc.
Case Number: 20-cv-10631 (United States District Court for the Southern District of New York) 
Date Filed: December 16, 2020
Date of Qualifying Judgment / Order: February 4, 2021

SEC v. Meta 1 Coin Trust, Robert Dunlap, Clear International Trust, Nicole Bowdler, and David A. Schmidt
Case Number: 20-cv-00273 (United States District Court for the Western District of Texas) 
Date Filed: March 16, 2020
Date of Qualifying Judgment / Order: February 3, 2021

SEC v. Patrick O. Howard; Howard Capital Holdings, LLC; and Optimal Economics Capital Partners, LLC
Case Number: 17-cv-00420 (United States District Court for the Northern District of Texas) 
Date Filed: February 14, 2017
Date of Qualifying Judgment / Order: February 9, 2021

SEC v. Minish “Joe” Hede and Kevin Graetz
Case Number: 20-cv-06724 (United States District Court for the Southern District of New York) 
Date Filed: August 21, 2020
Date of Qualifying Judgment / Order: February 16, 2021

In the Matter of Winslow, Evans & Crocker, Inc.
Administrative Proceeding File No.:3-20223
Date Filed: February 12, 2021
Date of Qualifying Judgment / Order: February 12, 2021
 

SEC v. ConTXT, Inc., Thomas J. Robbins, Daniel J. Merriman, Mark W. Wiseman, and Clark J. Madsen
Case Number: 21-cv-00013 (United States District Court for the District of Utah) 
Date Filed: January 7, 2021
Date of Qualifying Judgment / Order: January 13, 2021

SEC v. William J. Bowser, Christopher J. Ashby, Scott W. Beynon, and Jordan S. Nelson
Case Number: 20-cv-00918 (United States District Court for the District of Utah) 
Date Filed: December 30, 2020
Date of Qualifying Judgment / Order: December 30, 2020

SEC v. Traffic Monsoon, LLC, and Charles David Scoville
Case Number: 16-cv-00832 (United States District Court for the District of Utah) 
Date Filed: July 26, 2016
Date of Qualifying Judgment / Order: January 5, 2021

In the Matter of Deutsche Bank AG
Administrative Proceeding File No.: 3-20200
Date Filed: January 8, 2021
Date of Qualifying Judgment / Order: January 8, 2021

SEC v. Paul Andrews Rinfret and Plandome Partners LLC
Case Number: 19-cv-06037 (United States District Court for the Southern District of New York) 
Date Filed: June 28, 2019
Date of Qualifying Judgment / Order: December 16, 2020

SEC v. Bruce J. Fixelle, Aurora Capital Management, LLC, and Genesis Advisory Services Corp.
Case Number:18-cv-15026 (United States District Court for the District of New Jersey) 
Date Filed: October 16, 2018
Date of Qualifying Judgment / Order: January 7, 2021

In the Matter of Pruco Securities, LLC
Administrative Proceeding File No.: 3-20190
Date Filed: December 23, 2020
Date of Qualifying Judgment / Order: December 23, 2020

SEC v. Barry F. Connell
Case Number: 17-cv-00831 (United States District Court for the Southern District of New York) 
Date Filed: February 3, 2017 
Date of Qualifying Judgment / Order: December 30, 2020

SEC v. Joseph Taub and Elazar Shmalo
Case Number: 16-cv-01930 (United States District Court for the District of New Jersey) 
Date Filed: December 12, 2016
Date of Qualifying Judgment / Order: December 29, 2020

SEC v. Benjamin Taylor, Darina Windsor, and Joseph Abdul Noor El-Khouri
Case Number: 19-cv-09744 (United States District Court for the Southern District of New York)
Date Filed: October 22, 2019
Date of Qualifying Judgment / Order: December 16, 2020

SEC v. Anthony J. Thompson Jr., Jay Fung, and Eric Van Nguyen
Case Number: 14-cv-09126 (United States District Court for the Southern District of New York)
Date Filed: November 27, 2014
Date of Qualifying Judgment / Order: December 30, 2020

SEC v. OwnZones Media Network, Inc., Daniel Goman and Joseph Goman
Case Number: 20-cv-01308 (United States District Court for the Central District of California) 
Date Filed: April 2, 2020
Date of Qualifying Judgment / Order: January 14, 2021

In the Matter of Voya Financial Advisors, Inc.
Administrative Proceeding File No.: 3-20183
Date Filed: December 21, 2020
Date of Qualifying Judgment / Order: December 21, 2020

In the Matter of Covia Holdings Corp, and Fairmount Santrol Holdings Inc. now known as Bison Merger Sub I, LLC
Administrative Proceeding File No.: 3-20163
Date Filed: December 8, 2020
Date of Qualifying Judgment / Order: December 8, 2020
 

SEC v. RPM International Inc. and Edward W. Moore
Case Number: 16-cv-01803 (United States District Court for the District of Columbia) 
Date Filed: September 9, 2016 
Date of Qualifying Judgment / Order: December 22, 2020

SEC v. Paul R. Montgomery Jr., Michael D. Fisher, and James H. Willingham, Jr.
Case Number: 20-cv-00598 (United States District Court for the Western Division of Texas)
Date Filed: May 18, 2020
Date of Qualifying Judgment / Order: January 20, 2021

SEC v. Clinton Maurice Tucker II
Case Number.: 20-cv-00875 (United States District Court for the Central District of California) 
Date Filed: May 11, 2020
Date of Qualifying Judgment / Order: November 17, 2020

In the Matter of Robinhood Financial, LLC
Administrative Proceeding File No.: 3-20171
Date Filed: December 17, 2020
Date of Qualifying Judgment / Order: December 17, 2020

SEC v. Bernard M. Parker
Case Number.: 15-cv-01535 (United States District Court for the Western District of Pennsylvania) 
Date Filed: November 23, 2015
Date of Qualifying Judgment / Order: November 24, 2020

SEC v. Bryan Cohen and George Nikas
Case Number.: 19-cv-09645 (United States District Court for the Southern District of New York) 
Date Filed: October 18, 2019
Date of Qualifying Judgment / Order: December 22, 2020

SEC v. Craig Rumbaugh, Rumbaugh Financial, Inc, and Desert Strategic Equity, LLC
Case Number.: 19-cv-01517 (United States District Court for the Central District of California) 
Date Filed: August 14, 2019
Date of Qualifying Judgment / Order: November 20, 2020

In the Matter of ShipChain, Inc.
Administrative Proceeding File No.: 3-20185
Date Filed: December 21, 2020
Date of Qualifying Judgment / Order: December 21, 2020

In the Matter of BlueCrest Capital Management Limited
Administrative Proceeding File No.: 3-20162
Date Filed: December 8, 2020
Date of Qualifying Judgment / Order: December 8, 2020