Whistleblower Program: Notices of Covered Action

In the Matter of Block.one
Administrative Proceeding File No.: 3-19568
Date Filed: September 30, 2019
Date of Qualifying Judgment / Order: September 30, 2019

SEC v. PlexCorps (a/k/a and d/b/a PlexCoin and Sidepay.ca), Dominic Lacroix and Sabrina Paradis-Royer
Case Number: 17-cv-07007 (United States District Court for the Eastern District of New York)
Date Filed: December 1, 2017
Date of Qualifying Judgment / Order: October 2, 2019

In the Matter of Omgeo Matching Services US, LLC (n/k/a DTCC ITP Matching (US) LLC)
Administrative Proceeding File No.: 3-19542
Date Filed: September 27, 2019
Date of Qualifying Judgment / Order: September 27, 2019

SEC v. Sandy J. Masselli, J.R., Carlyle Gaming & Entertainment Ltd., Intercapital Partners Ltd. (a/k/a Intercapital Partners Ltd. Liability Companyand Intercapital Partners, LLC), Intercapital Management Ltd., and Appnostiq Interactive Ltd.
Case Number: 18-cv-13269 (United States District Court for the District of New Jersey)
Date Filed: August 28, 2018
Date of Qualifying Judgment / Order: October 8, 2019

In the Matter of GFI Securities LLC
Administrative Proceeding File No.: 3-19546
Date Filed: September 27, 2019
Date of Qualifying Judgment / Order: September 27, 2019

SEC v. American Growth Funding II, LLC, Portfolio Advisors Alliance, Inc., Howard J. Allen III and Kerri L. Wasserman
Case Number: 16-cv-00828 (United States District Court for the Southern District of New York)
Date Filed: February 3, 2016 
Date of Qualifying Judgment / Order: October 1, 2019

In the Matter of Herbalife Nutrition, Ltd.
Administrative Proceeding File No.: 3-19536
Date Filed: September 27, 2019
Date of Qualifying Judgment / Order: September 27, 2019

In the Matter of Independent Financial Group LLC
Administrative Proceeding File No.: 3-19550
Date Filed: September 30, 2019
Date of Qualifying Judgment / Order: September 30, 2019

In the Matter of Wedbush Securities
Administrative Proceeding File No.: 3-19553
Date Filed: September 30, 2019
Date of Qualifying Judgment / Order: September 30, 2019

In the Matter of Westport Fuel Systems, Inc. and Nancy Gougarty
Administrative Proceeding File No.: 3-19543
Date Filed: September 27, 2019
Date of Qualifying Judgment / Order: September 27, 2019

In the Matter of Essex Financial Services, Inc.
Administrative Proceeding File No.: 3-19559
Date Filed: September 30, 2019
Date of Qualifying Judgment / Order: September 30, 2019

In the Matter of Bill Few Associates, Inc.
Administrative Proceeding File No.: 3-19555
Date Filed: September 30, 2019
Date of Qualifying Judgment / Order: September 30, 2019

SEC v. Mylan N.V.
Case Number: 19-cv-02904 (United States District Court for the District of Columbia)
Date Filed: September 27, 2019
Date of Qualifying Judgment / Order: October 1, 2019

In the Matter of FCA US LLC and Fiat Chrysler Automobiles N.V.
Administrative Proceeding File No.: 3-19541
Date Filed: September 27, 2019
Date of Qualifying Judgment / Order: September 27, 2019

In the Matter of Serge Matta
Administrative Proceeding File No.: 3-19500
Date Filed: September 24, 2019
Date of Qualifying Judgment / Order: September 24, 2019

In the Matter of BMO Harris Financial Advisors, Inc. and BMO Asset Management Corp.
Administrative Proceeding File No.: 3-19545
Date Filed: September 27, 2019
Date of Qualifying Judgment / Order: September 27, 2019

SEC v. Lek Securities Corporation, Samuel Lek, Vali Managemtn Partners dba Avalon FA Ltd, Nathan Fayyer, and Sergey Pustelnik a/k/a Serge Pustelnik
Case Number: 17-cv-01789 (United States District Court for the Southern District of New York)
Date Filed: March 10, 2017
Date of Qualifying Judgment / Order: October 1, 2019

SEC v. Victory Ho
Case Number: 17-cv-00895 (United States District Court for the Western District of Louisiana) 
Date Filed: July 11, 2017
Date of Qualifying Judgment / Order: October 15, 2019

In the Matter of Barclays PLC
Administrative Proceeding File No.: 3-19537
Date Filed: September 27, 2019
Date of Qualifying Judgment / Order: September 27, 2019

In the Matter of Leonardo Cornide and Jorge Falcon
Administrative Proceeding File No.: 3-19511
Date Filed: September 25, 2019
Date of Qualifying Judgment / Order: September 25, 2019

In the Matter of Tyler T. Tysdal, Grant M. Carter, Impact Opportunities Fund Management, LLC, TitleCard Capital Group, LLC, and TitleCard Capital Management, LLC
Administrative Proceeding File No.: 3-19463
Date Filed: September 17, 2019
Date of Qualifying Judgment / Order: September 17, 2019

SEC v. Alpine Securities Corporation
Case Number: 17-cv-04179 (United States District Court for the Southern District of New York) 
Date Filed: June 5, 2017
Date of Qualifying Judgment / Order: October 9, 2019

SEC v. Taj Jerry Mahabub, GenAudio, Inc., and Astound Holdings, Inc.
Case Number: 15-cv-02118 (United States District Court for the District of Colorado) 
Date Filed: September 25, 2015
Date of Qualifying Judgment / Order: September 16, 2019

In the Matter of Virtu Americas LLC (f/k/a KCG Americas LLC)
Administrative Proceeding File No.: 3-19563
Date Filed: September 30, 2019
Date of Qualifying Judgment / Order: September 30, 2019

In the Matter of Gary F. Pryor and The Pinnacle Companies, LLC
Administrative Proceeding File No.: 3-19540
Date Filed: September 27, 2019
Date of Qualifying Judgment / Order: September 27, 2019

SEC v. Equitybuild, Inc., Equitybuild Finance, LLC, Jerome H. Cohen, and Shaun D. Cohen
Case Number: 18-cv-05587 (United States District Court for the Northern District of Illinois) 
Date Filed: August 15, 2018 
Date of Qualifying Judgment / Order: September 24, 2019

SEC v. Scott Stacy Phelps and James Michael Harper
Case Number: 18-cv-00122 (United States District Court for the Western District of Kentucky)
Date Filed: August 30, 2018
Date of Qualifying Judgment / Order: October 4, 2019

SEC v. Earl D. Miller, 5 Star Commercial, LLC, and 5 Star Capital Fund, LLC
Case Number: 15-cv-00519 (United States District Court for the Northern District of Indiana) 
Date Filed: November 5, 2015
Date of Qualifying Judgment / Order: September 12, 2019

SEC v. Daniel Rivas, James Moodhe, Roberto Rodriquez, Rodolfo Sablon, Jhonatan Zoquier, Michael Siva, and Jeffert Rogiers
Case Number: 17-cv-06192 (United States District Court for the Southern District of New York)
Date Filed: August 16, 2017 
Date of Qualifying Judgment/Order: September 23, 2019

In the Matter of Stifel, Nicolaus & Company, Incorporated
Administrative Proceeding No.: 3-19458
Date Filed: September 16, 2019 
Date of Qualifying Judgment/Order: September 16, 2019

In the Matter of BMO Capital Markets Corp.
Administrative Proceeding No.: 3-19457
Date Filed: September 16, 2019 
Date of Qualifying Judgment/Order: September 16, 2019

In the Matter of AST Investment Services, Inc. and PGIM Investments LLC
Administrative Proceeding No.: 3-19455
Date Filed: September 16, 2019 
Date of Qualifying Judgment/Order: September 16, 2019

In the Matter of Nissan Motor Co., LTD.
Administrative Proceeding No.: 3-19492
Date Filed: September 23, 2019 
Date of Qualifying Judgment/Order: September 23, 2019

SEC v. Longfin Corp., and Venkata S. Meenavalli
Case Number: 19-cv-05296 (United States District Court for the Southern District of New York)
Date Filed: June 5, 2019 
Date of Qualifying Judgment/Order: September 26, 2019

In the Matter of Sigma Planning Corp. 
Administrative Proceeding No.: 3-19472
Date Filed: September 19, 2019 
Date of Qualifying Judgment/Order: September 19, 2019

In the Matter of Quad/Graphics, Inc.
Administrative Proceeding No.: 3-19531
Date Filed: September 26, 2019 
Date of Qualifying Judgment/Order: September 26, 2019

In the Matter of TMC Bonds LLC
Administrative Proceeding No.: 3-19501
Date Filed: September 24, 2019 
Date of Qualifying Judgment/Order: September 24, 2019

In the Matter of Comscore, Inc. 
Administrative Proceeding No.: 3-19499
Date Filed: September 24, 2019 
Date of Qualifying Judgment/Order: September 24, 2019

In the Matter of Marvell Technology Group, Ltd. 
Administrative Proceeding No.: 3-19454
Date Filed: September 16, 2019
Date of Qualifying Judgment/Order: September 16, 2019

In the Matter of The Bancorp, Inc. 
Administrative Proceeding No.: 3-19477
Date Filed: September 20, 2019
Date of Qualifying Judgment/Order: September 20, 2019

In the Matter of PricewaterhouseCoopers LLP
Administrative Proceeding No.: 3-19490
Date Filed: September 23, 2019
Date of Qualifying Judgment/Order: September 23, 2019

In the Matter of TechnipFMC, plc
Administrative Proceeding Fine No.: 3-19493
Date Filed: September 23, 2019
Date of Qualifying Judgment/Order:  September 23, 2019

In the Matter of Raymond James & Associates Inc., Raymond James Financial Services, Inc., and Raymond James Financial Services Advisors, Inc. 
Administrative Proceeding File No.: 3-19464
Date Filed: September 17, 2019
Date of Qualifying Judgment/Order: September 17, 2019

SEC v. John C. Maccoll
Case Number: 18-cv-12473 (United States District Court for the Eastern District of Michigan)
Date Filed:  August 9, 2018
Date of Qualifying Judgment/Order:  September 3, 2019

In the Matter of Kenneth Wruk
Administrative Proceeding File No.: 3-19427
Date Filed: September 9, 2019 
Date of Qualifying Judgment/Order: September 9, 2019

SEC v. Strategic Capital Management, LLC and Michael J. Breton
Case Number: 17-cv-10125 (United States District Court for the District of Massachusetts)
Date Filed: January 25, 2017 
Date of Qualifying Judgment/Order: September 6, 2019

SEC v. Bio Defense Corporation, Michael Lu, May’s International Corporation, Jonathan Morrone d/b/a/ JM International, Inc., Z. Paul Jurberg d/b/a Brookline Capital Partners, Inc., Brett Hamburger, d/b/a JCBH Consulting, LLC, Anthony Orth d/b/a Grand Traverse Equities, Inc.  
Case Number: 12-cv-11669 (United States District Court for the District of Massachusetts)
Date Filed: September 10, 2012 
Date of Qualifying Judgment/Order: September 6, 2019

SEC v. Samuel DelPresto, MLF Group, LLC, Donald Toomer, Jr., and Darren Goodrich 
Case Number: 15-cv-08656 (United States District Court for the District of New Jersey)
Date Filed: December 21, 2015
Date of Qualifying Judgment/Order: September 17, 2019

In the Matter of Juniper Networks, Inc.
Administrative Proceeding File No.: 3-19397
Date Filed: August 29, 2019
Date of Qualifying Judgment/Order: August 29, 2019

In the Matter of Deutsche Bank AG
Administrative Proceeding File No.: 3-19373
Date Filed: August 22, 2019
Date of Qualifying Judgment/Order: August 22, 2019

SEC v. Facebook, Inc.
Case Number: 19-cv-04241 (United States District Court for the Northern District of California)
Date Filed: July 24, 2019
Date of Qualifying Judgment/Order: August 22, 2019

In the Matter of Brixmor Property Group Inc.
Administrative Proceeding File No.: 3-19300
Date Filed: August 1, 2019
Date of Qualifying Judgment/Order: August 1, 2019

In the Matter of BMO Capital Markets Corporation
Administrative Proceeding File No.: 3-19356
Date Filed: August 16, 2019
Date of Qualifying Judgment/Order: August 16, 2019

SEC v. Equal Earth, Inc., Andrew J. Duggan, and Ghassan Hamade a/k/a Mark Hamade
Case Number: 19-cv-01138 (United States District Court for the Southern District of California)
Date Filed: June 17, 2019
Date of Qualifying Judgment/Order: August 2, 2019

SEC v. Andrew I. Farmer, Eddie D. Austin, Jr., Scott R. Sieck, Carolyn P. Austin, and John D. Brotherton
Case Number: 19-cv-01774 (United States District Court for the Southern District of Texas)
Date Filed: May 15, 2019
Date of Qualifying Judgment/Order: July 31, 2019

SEC v. John T. Place, Paul G. Kirk, John P. Kirk, Global Transition Solutions, Inc. and Global Transition Solutions, LLC
Case Number: 16-cv-04291 (United States District Court for the Eastern District of Pennsylvania)
Date Filed: August 8, 2016
Date of Qualifying Judgment/Order: July 22, 2019

SEC v. BitQyck, Inc., Bruce E. Bise, and Samuel J. Mendez
Case Number: 19-cv-02059 (United States District Court for the Northern District of Texas)
Date Filed: August 29, 2019
Date of Qualifying Judgment/Order: August 30, 2019

In the Matter of Alfred C. Teran
Administrative Proceeding File No.: 3-18098
Date Filed: September 5, 2019
Date of Qualifying Judgment/Order: September 5, 2019

SEC v. 1 Global Capital LLC, and Carl Ruderman
Case Number: 18-cv-61991 (United States District Court for the Southern District of Florida)
Date Filed: August 23, 2018
Date of Qualifying Judgment/Order: August 13, 2019

SEC v. Henry J. Wieniewitz, and Wieniewitz Financial, LLC
Case Number: 19-cv-61738 (United States District Court for the Southern District of Florida)
Date Filed: July 15, 2019
Date of Qualifying Judgment/Order: August 14, 2019

In the Matter of Lefavi Wealth Management, Inc.
Administrative Proceeding File No.: 3-19411
Date Filed: September 3, 2019
Date of Qualifying Judgment/Order: September 3, 2019

In the Matter of The Options Clearing Corporation
Administrative Proceeding File No.: 3-19416
Date Filed: September 4, 2019
Date of Qualifying Judgment/Order: September 4, 2019

SEC v. Sean Kelly; Lion’s Share & Associates, Inc; Lionsshare Tax Services, LLC; and Lion’s Share Financial of East Cobb, Inc.
Case Number: 18-cv-04939 (United States District Court for the Northern District of Georgia)
Date Filed: October 25, 2018
Date of Qualifying Judgment/Order: July 12, 2019

SEC v. Donald Watkins Sr., Esq., Watkins Pencor, LLC, Masada Resource Group, LLC
Case Number: 16-cv-03298 (United States District Court for the Northern District of Georgia)
Date Filed: September 1, 2016
Date of Qualifying Judgment/Order: July 11, 2019

SEC v. Strong Investment Management, Joseph B. Bronson (f/k/a Joseph B. Engebretson), and John B. Engebretson
Case Number: 18-cv-00293 (United States District Court for the Central District of California)
Date Filed: February 20, 2018
Date of Qualifying Judgment/Order: August 21, 2019
 

SEC v. Terminus Energy, Inc. Danny B. Pratte, Joseph L. Pittera, George Doumanis, Emanuel Pantelakis, and Joseph Alborano
Case Number: 17-cv-01117 (United States District Court for the Southern District of New York)
Date Filed: February 14, 2017
Date of Qualifying Judgment/Order: August 5, 2019

In the Matter of Microsoft Corporation
Administrative Proceeding File No.: 3-19260
Date Filed: July 22, 2019
Date of Qualifying Judgment/Order: July 22, 2019

In the Matter of Nomura Securities International, Inc.
Administrative Proceeding File No.: 3-19249
Date Filed: July 15, 2019
Date of Qualifying Judgment/Order: July 15, 2019

SEC v. AR Capital, LLC, Nicholas S. Schorsch, and Brian S. Block
Case Number: 19-cv-06603 (United States District Court for the Southern District of New York)
Date Filed: July 16, 2019
Date of Qualifying Judgment/Order: July 17, 2019

SEC v. Robert Donald Bruce Genovese, B.G. Capital Group, LTD., Abraham “Avi” Mirman
Case Number: 17-cv-05821 (United States District Court for the Southern District of New York)
Date Filed: August 1, 2017
Date of Qualifying Judgment/Order: July 1, 2019

SEC v. Conn’s, Inc. and Michael J. Poppe
Case Number: 19-cv-02534 (United States District Court for the Southern District of Texas)
Date Filed: July 15, 2019
Date of Qualifying Judgment/Order: July 16, 2019

In the Matter of Robert L. Baker, Jacob B. Herrera, Michael D. Bowen, and Terrence A. Ballard
Administrative Proceeding File No.: 3-17716
Date Filed: July 24, 2019
Date of Qualifying Judgment/Order: July 24, 2019

SEC v. Thomas H. Laws
Case Number: 18-cv-01063 (United States District Court for the District of New Mexico)
Date Filed: November 15, 2018
Date of Qualifying Judgment/Order: June 28, 2019

SEC v. Ernest J. Romer, III
Case Number: 18-cv-12927 (United States District Court for the Eastern District of Michigan)
Date Filed: September 18, 2018
Date of Qualifying Judgment/Order: July 17, 2019

SEC v. Ronald Van Den Heuvel, and Green Box NA Detroit, LLC
Case Number: 17-cv-01261 (United States District Court for the Eastern District of Wisconsin)
Date Filed: September 19, 2017
Date of Qualifying Judgment/Order: July 18, 2019

In the Matter of Nomura Securities International, Inc.
Administrative Proceeding File No.: 3-19248
Date Filed: July 15, 2019
Date of Qualifying Judgment/Order: July 15, 2019

SEC v. Dwayne Edwards, Todd Barker, Senior Solutions of Social Circle, LLC, Oxton Place of Douglas, LLC d/b/a Oxton Real Estate of Douglass, LLC, Rome Alf, LLC, Savannah ALF, LLC, Gainesville ALF, LLC, Waterford Place ALF, LLC, Montgomery ALF, LLC, Columbus ALF, LLC, and Opelika ALF, LLC
Case Number: 17-cv-00393 (United States District Court for the District of New Jersey)
Date Filed: January 20, 2017
Date of Qualifying Judgment/Order: July 8, 2019

SEC v. Amit Kanodia and Iftikar Ahmed
Case Number: 15-cv-13042 (United States District Court for the District of Massachusetts)
Date Filed: April 2, 2015
Date of Qualifying Judgment/Order: July 8, 2019

In the Matter of Fieldstone Financial Management Group, LLC and Kristofor R. Behn
Administrative Proceeding File No.: 3-19227
Date Filed: July 1, 2019
Date of Qualifying Judgment/Order: July 1, 2019

SEC v. Amrit J. S. Chahal
Case Number: 18-cv-00426 (United States District Court for the Eastern District of Virginia)
Date Filed: April 12, 2018
Date of Qualifying Judgment/Order: June 21, 2019

SEC v. Donald Milne III and Instaprin Pharmaceuticals, Inc.
Case Number: 19-cv-13024 (United States District Court for the District of New Jersey)
Date Filed: May 29, 2019
Date of Qualifying Judgment/Order: June 6, 2019

SEC v. Matthew A. Krimm and Krimm Financial Services, LLC
Case Number: 17-cv-00464 (United States District Court for the District of Delaware )
Date Filed: April 25, 2017
Date of Qualifying Judgment/Order: May 28, 2019

In the Matter of Deer Park Road Management Company, LP, and Scott E. Burg
Administrative Proceeding File No.: 3-19190
Date Filed: June 4, 2019
Date of Qualifying Judgment/Order: June 4, 2019

SEC v. Devon D. Archer, Bevan T. Cooney, Hugh Dunkerley, Jason W. Galanis, John P. Galanis, Gary T. Hirst, Michelle A. Morton, and Francisco Martin
Case Number: 16-cv-03505 (United States District Court for the Southern District of New York )
Date Filed: May 11, 2016
Date of Qualifying Judgment/Order: May 28, 2019

In the Matter of Industrial and Commercial Bank of China Financial Services LLC
Administrative Proceeding File No.: 3-19202
Date Filed: June 14, 2019
Date of Qualifying Judgment/Order: June 14, 2019

In the Matter of Wedbush Securities, Inc.
Administrative Proceeding File No.: 3-19205
Date Filed: June 18, 2019
Date of Qualifying Judgment/Order: June 18, 2019

SEC v. Carol Ann Pedersen
Case Number: 19-cv-02069 (United States District Court for the Central District of California)
Date Filed: March 20, 2019
Date of Qualifying Judgment/Order: April 1, 2019

SEC v. Ralph T. Iannelli and Essex Capital Corporation
Case Number: 18-cv-05008 (United States District Court for the Central District of California)
Date Filed: June 5, 2018
Date of Qualifying Judgment/Order: June 6, 2019

SEC v. Longfin Corp., Venkata S. Meenavalli, Amro Izzelden Altahwi a/k/a Andy Altahawi, Suresh Tammineedi, and Dorababu Penumarthi
Case Number: 18-cv-02977 (United States District Court for the Southern District of New York)
Date Filed: April 4, 2018
Date of Qualifying Judgment/Order: June 7, 2019

SEC v. James E. Hocker
Case Number: 18-cv-01251 (United States District Court for the Middle District of Pennsylvania)
Date Filed: June 21, 2018
Date of Qualifying Judgment/Order: May 31, 2019

SEC v. Edward Lee Moody, Jr. and CM Capital Management, LLC
Case Number: 18-cv-00442 (United States District Court for the Eastern District of Virginia)
Date Filed: June 27, 2018
Date of Qualifying Judgment/Order: June 13, 2019
 

In the Matter of KPMG LLP
Administrative Proceeding File No.: 3-19203
Date Filed: June 17, 2019
Date of Qualifying Judgment/Order: June 17, 2019

In the Matter of Walmart Inc.
Administrative Proceeding File No.: 3-19207
Date Filed: June 20, 2019
Date of Qualifying Judgment/Order: June 20, 2019

SEC v. Jose G. Ramirez, Jr.
Case Number: 15-cv-02365 (United States District Court for the District of Puerto Rico)
Date Filed: September 29, 2015
Date of Qualifying Judgment/Order: June 28, 2019

SEC v. Daniel Dirk Coddington, Michael B. Columbia, Jesse W. Erwin Jr., Merlyn Curt Geisler, Marshall D. Gunn, Jr., CPA, Seth A. Leyton, Lewis P. Malouf, Extreme Capital Ltd., Fidelity Asset Services Corp., Geisco FNF, LLC, Golden Summit Investors Group Ltd., SouthCom Management LLC, Stonerock Capital Group LLC
Case Number: 13-cv-03363 (United States District Court for the District of Colorado)
Date Filed: December 12, 2013
Date of Qualifying Judgment/Order: June 28, 2019
 

SEC v. Celadon Group, Inc.
Case Number: 19-cv-01659 (United States District Court for the Southern District of Indiana)
Date Filed: April 25, 2019
Date of Qualifying Judgment/Order: July 1, 2019

SEC v. Daniel H. Glick and Financial Management Strategies, Inc.
Case Number: 17-cv-02251 (United States District Court for the Northern District of Illinois)
Date Filed: March 23, 2017
Date of Qualifying Judgment/Order: January 4, 2019

SEC v. Kimberly Pine Kitts
Case Number: 18-cv-11507 (United States District Court for the District of Massachusetts)
Date Filed: July 19, 2018
Date of Qualifying Judgment/Order: June 3, 2019

SEC v. Zev Saltsman, Menachem Eitan, Martin E. Weisberg, Edward G. Newman, Steven A. Newman, and Andrew Brown
Case Number: 07-cv-04370 (United States District Court for the Eastern District of New York)
Date Filed: October 19, 2007
Date of Qualifying Judgment/Order: June 5, 2019

SEC v. Timothy J. Atkinson, Jay Passerino, All In Publishing, LLC, William E. Berry, Berry MediaWorks, LLC, and Shmuel Pollen
Case Number: 18-cv-23993 (United States District Court for the Southern District of Florida)
Date Filed: September 27, 2018
Date of Qualifying Judgment/Order: June 5, 2019