Whistleblower Program: Notices of Covered Action

SEC v. SeaWorld Entertainment, Inc., and James Atchison
Case Number: 18-cv-08480 (United States District Court for the Southern District of New York)
Date Filed: September 18, 2018
Date of Qualifying Judgment/Order: October 4, 2018

SEC v. Iftikar Ahmed
Case Number: 15-cv-00675 (United States District Court for the District of Connecticut)
Date Filed: May 6, 2015
Date of Qualifying Judgment/Order: September 27, 2018

SEC v. William M. Apostelos, WMA Enterprises, LLC, Midwest Green Resources, LLC, and Ovo Wealth Management, LLC
Case Number: 15-cv-00699 (United States District Court for the Southern District of Ohio)
Date Filed: October 29, 2015 
Date of Qualifying Judgment/Order: October 1, 2018

SEC v. Tangoe, Inc., Albert R. Subbloie, Gary R. Martino, Donald J. Farias, and Thomas H. Beach
Case Number: 18-cv-01479 (United States District Court for the District of Connecticut)
Date Filed: September 4, 2018
Date of Qualifying Judgment/Order: October 10, 2018

SEC v. Peter C. Chang
Case Number: 17-cv-05438 (United States District Court for the Northern District of California)
Date Filed: September 20, 2017
Date of Qualifying Judgment/Order: September 17, 2018

SEC v. San Francisco Regional Center, LLC; Thomas M. Henderson; California Gold Medal, L.P.; CallSocket, L.P; CallSocket II, L.P; CallSocket III, L.P.; Comprehensive Care of Oakland, L.P.; NA3PL, L.P.; West Oakland Plaza, L.P.; CallSocket, LLC; CallSocket II, LLC; CallSocket III, LLC; Comprehensive Care of California, LLC; Immedia, LLC: and North America 3PL, LLC
Case Number: 17-cv- 00223 (United States District Court for the Northern District of California)
Date Filed: January 17, 2017
Date of Qualifying Judgment/Order: September 24, 2018

In the Matter of Barrett Business Services, Inc. and Mark Cannon, CPA
Administrative Proceeding File No.: 3-18806
Date Filed: September 20, 2018
Date of Qualifying Judgment/Order: September 20, 2018

In the Matter of Capital Analysts, LLC
Administrative Proceeding File No.: 3-18765
Date Filed: September 14, 2018
Date of Qualifying Judgment/Order: September 14, 2018

SEC v. Dennis Wayne Hamilton
Case Number: 16-cv-00192 (United States District Court for the District of Connecticut)
Date Filed: February 5, 2016
Date of Qualifying Judgment/Order: September 25, 2018

In the Matter of Citigroup Global Markets, Inc. and Citi Order Routing and Execution, LLC
Administrative Proceeding File No.: 3-18766
Date Filed: September 14, 2018
Date of Qualifying Judgment/Order: September 14, 2018

In the Matter of Credit Suisse Securities (USA) LLC
Administrative Proceeding File No.: 3-18857
Date Filed: September 28, 2018
Date of Qualifying Judgment/Order: September 28, 2018

In the Matter of Stryker Corporation
Administrative Proceeding File No.: 3-18853
Date Filed: September 28, 2018
Date of Qualifying Judgment/Order: September 28, 2018

SEC v. Sharone Perlstein, Aric Yerusalem Swartz a/k/a Eric Yerusalem Swartz and Hadas Miriam Yaron
Case Number: 18-cv-01026 (United States District Court for the Eastern District of New York)
Date Filed: February 16, 2018
Date of Qualifying Judgment/Order: September 27, 2018

SEC v. Arista Power, Inc., Peter Kolokouris, William A. Schmitz, Michael T. Hughes, Janice Papapanu, Michael Papapanu, Ekaterini Kolokouris, Demitrios Kolokouris, Anastasios Kolokouris, Ioannis “John” Kolokouris, Sophia Kolokouris, Terry Bechakas, 100 Demetrios, Inc., 200 Anastasios, Inc., 300 Ioannis, Inc., 400 Terry, Inc., 500 Sophia, Inc., Just Sell Gold, Inc., and Express Gold Cash, Inc.
Case Number: 17-cv-04598 (United States District Court for the Southern District of New York)
Date Filed: June 19, 2017
Date of Qualifying Judgment/Order: September 10, 2018

SEC v. NL Technology, LLC, Jonny Ngo, and Donato Baca, Jr.
Case Number: 18-cv-02253 (United States District Court for the Southern District of California)
Date Filed: September 27, 2018
Date of Qualifying Judgment/Order: September 28, 2018

In the Matter of Convergex Execution Solutions, LLC, now known as Cowen Execution Services LLC
Administrative Proceeding File No.: 3-18761
Date Filed: September 13, 2018
Date of Qualifying Judgment/Order: September 13, 2018

In the Matter of Petróleo Brasileiro S.A. – Petrobras
Administrative Proceeding File No.: 3-18843
Date Filed: September 27, 2018
Date of Qualifying Judgment/Order: September 27, 2018

In the Matter of Heartland Payment Systems, LLC, f/k/a Heartland Payment Systems, Inc. and Robert O. Carr
Administrative Proceeding File No.: 3-18819
Date Filed: September 21, 2018
Date of Qualifying Judgment/Order: September 21, 2018

SEC v. Steve H. Karroum a/k/a Mustapha Karroum, and FX & Beyond Corporation
Case Number: 17-cv-00187 (United States District Court for the Eastern District of Virginia)
Date Filed: February 21, 2017
Date of Qualifying Judgment/Order: September 10, 2018

In the Matter of Walgreens Boots Alliance, Inc., Gregory D. Wasson and Wade D. Miquelon
Administrative Proceeding File No.: 3-18850
Date Filed: September 28, 2018
Date of Qualifying Judgment/Order: September 28, 2018

In the Matter of United Technologies Corporation
Administrative Proceeding File No.: 3-18745
Date Filed: September 12, 2018
Date of Qualifying Judgment/Order: September 12, 2018
 

In the Matter of Sanofi
Administrative Proceeding File No.: 3-18708
Date Filed: September 4, 2018
Date of Qualifying Judgment/Order: September 4, 2018

SEC v.  Commodities Online, LLC and Commodities Online Management, LLC
Case Number: 11-cv-60702 (United States District Court for the Southern District of Florida)
Date Filed: April 1, 2011
Date of Qualifying Judgment/Order: September 24, 2018

In the Matter of Mark R. Graham, Blue Capital Management, Inc., and Blue Alternative Asset Management, LLC
Administrative Proceeding File No.: 3-18724
Date Filed: September 6, 2018
Date of Qualifying Judgment/Order: September 6, 2018

In the Matter of LendingClub Asset Management, LLC, f/k/a LC Advisors, LLC, Renaud LaPlanche
Administrative Proceeding File No.: 3-18855
Date Filed: September 28, 2018
Date of Qualifying Judgment/Order: September 28, 2018

SEC v. Clovis Oncology, Inc., Patrick J. Mahaffy, and Erle T. Mast
Case Number:18-cv-02381 (United States District Court for the District of Colorado)
Date Filed: September 18, 2018
Date of Qualifying Judgment/Order: September 19, 2018

In the Matter of Putnam Investment Management, LLC and Zachary Harrison
Administrative Proceeding File No.: 3-18844
Date Filed: September 27, 2018
Date of Qualifying Judgment/Order: September 27, 2018

SEC v. Hope Advisors, LLC, and Karen Bruton
Case Number: 16-cv-01752 (United States District Court for the Northern District of Georgia)
Date Filed: May 31, 2016
Date of Qualifying Judgment/Order: September 14, 2018

SEC v. CAUSwave, Inc., Jeffrey L. Riggs, and Diane R. Baldwin
Case Number: 15-cv-01068 (United States District Court for the Middle District of North Carolina)
Date Filed: December 16, 2015
Date of Qualifying Judgment/Order: September 26, 2018

SEC v. Intertech Solutions, Inc., William Scott Marshall, and David Michael Naylor
Case Number: 18-cv-01566 (United States District Court for the District of Nevada)
Date Filed: August 20, 2018
Date of Qualifying Judgment/Order: August 23, 2018
 

In the Matter of Merrill Lynch, Pierce, Fenner & Smith Incorporated
Administrative Proceeding File No.: 3-18651
Date Filed: August 20, 2018
Date of Qualifying Judgment/Order: August 20, 2018

In the Matter of Citigroup Global Markets Inc. and Citigroup Inc.
Administrative Proceeding File No.: 3-18647
Date Filed: August 16, 2018
Date of Qualifying Judgment/Order: August 16, 2018

In the Matter of Citigroup, Inc.
Administrative Proceeding File No.: 3-18646
Date Filed: August 16, 2018
Date of Qualifying Judgment/Order:  August 16, 2018

SEC v. Jason W. Galanis, John P. Galanis, Jared M. Galanis, Derek M. Galanis, Gary T. Hirst, and Gavin L. Hamels
Case Number: 15-cv-07547 (United States District Court for the Southern District of New York)
Date Filed: September 24, 2015
Date of Qualifying Judgment/Order: August 9, 2018

SEC v. David A. Harbour
Case Number: 18-cv-02401 (United States District Court for the District of Arizona)
Date Filed: July 31, 2018
Date of Qualifying Judgment/Order: August 9, 2018

SEC v. William Z. (“Billy”) McFarland, Frye Media, Inc., Magnises, Inc., Grant Margolin, and Daniel Simon
Case Number: 18-cv-06634 (United States District Court for the Southern District of New York)
Date Filed: July 25, 2018
Date of Qualifying Judgment/Order: August 1, 2018

In the Matter of Moody’s Investors Service, Inc.
Administrative Proceeding File No.: 3-18689
Date Filed: August 28, 2018
Date of Qualifying Judgment/Order: August 28, 2018

In the Matter of Ribbon Communications Inc., Mark Greenquist, and Michael Swade
Administrative Proceeding File No.: 3-18624
Date Filed: August 7, 2018
Date of Qualifying Judgment/Order: August 7, 2018

In the Matter of Moody’s Investors Service, Inc.
Administrative Proceeding File No.: 3-18688
Date Filed: August 28, 2018
Date of Qualifying Judgment/Order: August 28, 2018

SEC v. RMR Asset Management Company, Bruce A. Broekhuizen, Douglas J. Derryberry, David R. Frost, Richard C. Gounaud, Neil P. Kelly, John M. Kirschenbaum, David S. Luttbeg, Timothy J. McAloon, Jocelyn M. Murphy, Michael S. Murphy, Ralph M. Riccardi, Dewey T. Tran, and Philip A. Weiner
Case Number: 18-cv-01895 (United States District Court for the Southern District of California)
Date Filed: August 14, 2018
Date of Qualifying Judgment/Order: August 17, 2018

SEC v. Core Performance Management, LLC, James P. Scherr, Deborah B. Dora, Sharlene F. Mesite, James O’Neil, and Anadel R. Pinzon
Case Number: 18-cv-81081 (United States District Court for the Southern District of Florida)
Date Filed: August 14, 2018
Date of Qualifying Judgment/Order: August 16, 2018

In the Matter of Ameriprise Financial Services, Inc.
Administrative Proceeding File No.: 3-18642
Date Filed: August 15, 2018
Date of Qualifying Judgment/Order: August 15, 2018

In the Matter of Jinesh P. Brahmbhatt
Administrative Proceeding File No.: 3-18635
Date Filed: August 9, 2018
Date of Qualifying Judgment/Order: August 9, 2018

SEC v. Mieka Energy Corporation, Vadda Energy Corporation, Daro Ray Blankenship, Robert William Myers, Jr., and Stephen Romo
Case Number: 15-cv-00300 (United States District Court for the Northern District of Texas)
Date Filed: April 10, 2015
Date of Qualifying Judgment/Order: August 6, 2018

SEC v. Lynette M. Robbins and Knowles Systems, Inc.
Case Number: 18-cv-23368 (United States District Court for the Southern District of Florida)
Date Filed: August 20, 2018
Date of Qualifying Judgment/Order: August 24, 2018

In the Matter of AEGON USA Investment Management, LLC, Transamerica Asset Management, Inc., Transamerica Capital, Inc., and Transamerica Financial Advisors, Inc.
Administrative Proceeding File No.: 3-18681
Date Filed: August 27, 2018
Date of Qualifying Judgment/Order: August 27, 2018

In the Matter of Bradley J. Beman
Administrative Proceeding File No.: 3-18682
Date Filed: August 27, 2018
Date of Qualifying Judgment/Order: August 27, 2018

In the Matter of Kevin A. Giles
Administrative Proceeding File No.: 3-18683
Date Filed: August 27, 2018
Date of Qualifying Judgment/Order: August 27, 2018

SEC v. Gary S. Williky
Case Number: 15-cv-00357 (United States District Court for the Southern District of Indiana)
Date Filed: March 2, 2015
Date of Qualifying Judgment/Order: August 6, 2018

In the Matter of Massachusetts Financial Services Company
Administrative Proceeding File No.: 3-18704
Date Filed: August 31, 2018
Date of Qualifying Judgment/Order: August 31, 2018

In the Matter of Hari K. Ravichandran
Administrative Proceeding File No.: 3-18653
Date Filed: August 21, 2018
Date of Qualifying Judgment/Order: August 21, 2018

In the Matter of Waruna Tivanka Ellawala
Administrative Proceeding File No.: 3-18654
Date Filed: August 21, 2018
Date of Qualifying Judgment/Order: August 21, 2018

In the Matter of Legg Mason, Inc.
Administrative Proceeding File No.: 3-18684
Date Filed: August 27, 2018
Date of Qualifying Judgment/Order: August 27, 2018

SEC v. Medient Studios, Inc., FONU2, Inc., Manu Kumaran, Joel A. “Jake” Shapiro, and Roger Miguel
Case Number: 16-cv-00253 (United States District Court for the Southern District of Georgia)
Date Filed: September 23, 2016
Date of Qualifying Judgment/Order: August 3, 2018

SEC v. T.J. Jesky, Esq. and Mark DeStefano
Case Number: 18-cv-05980 (United States District Court for the Southern District of New York)
Date Filed: July 2, 2018
Date of Qualifying Judgment/Order: July 9, 2018

SEC v. Paul Z. Singer and Singer Financial Corp.
Case Number: 17-cv-05053 (United States District Court for the Eastern District of Pennsylvania)
Date Filed: November 9, 2017
Date of Qualifying Judgment/Order: July 24, 2018

In the Matter of Deutsche Bank Securities Inc.
Administrative Proceeding File No.: 3-18606
Date Filed: July 20, 2018
Date of Qualifying Judgment/Order: July 20, 2018

In the Matter of Deutsche Bank Trust Company Americas
Administrative Proceeding File No.: 3-18605
Date Filed: July 20, 2018
Date of Qualifying Judgment/Order: July 20, 2018

In the Matter of BGC Financial, L.P.
Administrative Proceeding File No.: 3-18598
Date Filed: July 17, 2018
Date of Qualifying Judgment/Order: July 17, 2018

SEC v. Charles Schwab & Co. Inc.
Case Number: 18-cv-03942 (United States District Court for the Northern District of California)
Date Filed: July 2, 2018
Date of Qualifying Judgment/Order: July 9, 2018
 

In the Matter of Advanced Drainage Systems, Inc. and Mark B Sturgeon, CPA
Administrative Proceeding File No.: 3-18582
Date Filed: July 10, 2018
Date of Qualifying Judgment/Order: July 10, 2018

In the Matter of Mizuho Securities USA LLC
Administrative Proceeding File No.: 3-18069
Date Filed: July 23, 2018
Date of Qualifying Judgment/Order: July 23, 2018

SEC v. Robert Gadimian (a/k/a Robert Ghadimian)
Case Number: 16-cv-11955 (United States District Court for the District of Massachusetts)
Date Filed: September 29, 2016
Date of Qualifying Judgment/Order: July 19, 2018

SEC v. James VanBlaricum, Rodney L. Pope, Chet Inglis, Matthew Leaverton, William Hill, Erik Rhodes, and Robert Gilliam
Case Number: 18-cv-00518 (United States District Court for the Northern District of Texas)
Date Filed: June 26, 2018
Date of Qualifying Judgment/Order: July 6, 2018

SEC v. Eldrick E. Woodley d/b/a Woodley & Co. Wealth Strategies
Case Number: 15-cv-02767 (United States District Court for the Southern District of Texas)
Date Filed: September 22, 2015
Date of Qualifying Judgment/Order: July 5, 2018
 

SEC v. United Development Funding III, LP; United Development Funding IV; Hollis M. Greenlaw; Benjamin L. Wissink; Theodore F. Etter; Cara D. Obert; and David A. Hanson
Case Number: 18-cv-01735 (United States District Court for the Northern District of Texas)
Date Filed: July 3, 2018
Date of Qualifying Judgment/Order: July 31, 2018

SEC v. Erick Laszlo Mathe and Ashif Jiwa
Case Number: 14-cv-23573 (United States District Court for the Southern District of Florida)
Date Filed: September 26, 2014
Date of Qualifying Judgment/Order: July 3, 2018

In the Matter of The Dow Chemical Company
Administrative Proceeding File No.: 3-18570
Date Filed: July 2, 2018
Date of Qualifying Judgment/Order: July 2, 2018

SEC v. Providence Financial Investments, Inc., Providence Fixed Income Fund, LLC, Jeffory Churchfield, and Jack Jarrell
Case Number: 16-cv-01877 (United States District Court for the District of Minnesota)
Date Filed: June 7, 2016
Date of Qualifying Judgment/Order: July 11, 2018

SEC v. Yasuna Murakami; Avi Chiat; MC2 Capital Management, LLC; MC2 Canada Capital Management, LLC
Case Number: 17-cv-10928 (United States District Court for the District of Massachusetts)
Date Filed: May 22, 2017
Date of Qualifying Judgment/Order: August 6, 2018

SEC v. Joseph Meli, Matthew Harriton, 875 Holdings, LLC, 127 Holdings LLC, Advance Entertainment, LLC, and Advance Entertainment II, LLC
Case Number: 17-cv-00632 (United States District Court for the Southern District of New York)
Date Filed: January 27, 2017
Date of Qualifying Judgment/Order: July 13, 2018

In the Matter of THL Managers V, LLC and THL Managers VI, LLC
Administrative Proceeding File No.: 3-18565
Date Filed: June 29, 2018
Date of Qualifying Judgment/Order: June 29, 2018

SEC v. Christopher A. Faulkner, Breitling Energy Corporation, Jeremy S. Wagers, Judson F. (“Rick”) Hoover, Parker R. Hallam, Joseph Simo, Dustin Michael Miller Rodriguez, Beth C. Handkins, Gilbert Steedley, Breitling Oil & Gas Corporation, Crude Energy, LLC, Patriot Energy, Inc.
Case Number: 16-cv-01735 (United States District Court for the Northern District of Texas)
Date Filed: June 24, 2016
Date of Qualifying Judgment/Order: July 20, 2018

In the Matter of Stanley Smith Barney LLC
Administrative Proceeding File No.: 3-18566
Date Filed: June 29, 2018
Date of Qualifying Judgment/Order: June 29, 2018

In the Matter of deVere USA, Inc.
Administrative Proceeding File No.: 3-18527
Date Filed: June 4, 2018
Date of Qualifying Judgment/Order: June 4, 2018

In the Matter of Cantor Fitzgerald & Co.
Administrative Proceeding File No.: 3-18560
Date Filed: June 29, 2018
Date of Qualifying Judgment/Order: June 29, 2018

SEC v. Pacific West Capital Group, Inc.; Andrew B Calhoun IV; PWCG  Trust; Brenda Christine Barry; Bak West, Inc.; Andrew B Calhoun Jr.; Eric Christopher Cannon; Century Point, LLC; Michael Wayne Dotta; and Caleb Austin Moody (dba Sky Stone)
Case Number: 15-cv-02563 (United States District Court for Central District of California)
Date Filed: April 7, 2015
Date of Qualifying Judgment/Order: June 18, 2018

In the Matter of Merrill Lynch, Pierce, Fenner & Smith Incorporated
Administrative Proceeding File No.: 3-18549
Date Filed: June 19, 2018
Date of Qualifying Judgment/Order: June 19, 2018

In the Matter of Merrill Lynch, Pierce, Fenner & Smith Incorporated
Administrative Proceeding File No.: 3-18538
Date Filed: June 12, 2018
Date of Qualifying Judgment/Order: June 12, 2018

In the Matter of Beam Inc., n/k/a Beam Suntory Inc.
Administrative Proceeding File No.: 3-18568
Date Filed: July 2, 2018
Date of Qualifying Judgment/Order: July 2, 2018

SEC v. Texas Coastal Energy Company, LLC and Jefferey A. Gordon
Case Number: 18-cv-01587 (United States District Court for the Northern District of Texas)
Date Filed: June 19, 2018
Date of Qualifying Judgment/Order: June 28, 2018

In the Matter of KBR, Inc.
Administrative Proceeding File No.: 3-18569
Date Filed: July 2, 2018
Date of Qualifying Judgment/Order: July 2, 2018

SEC v. Ronald A. Fossum, Jr. and Alonzo R. Cahoon
Case Number: 17-cv-01894 (United States District Court for the Western District of Washington)
Date Filed: December 19, 2017
Date of Qualifying Judgment/Order: June 7, 2018

SEC v. David Howard Welch, Marc Jay Bryant, John Charles Knight, Perry Douglas West, Bio-Global Resources, Inc., Diversified Equities, Inc., Diversified Equities Development, Inc., and New Global Energy, Inc.
Case Number: 17-cv-01968 (United States District Court for the Central District of California)
Date Filed: September 27, 2017
Date of Qualifying Judgment/Order: June 18, 2018

SEC v. Quadrant 4 System Corp., Nandu Thondavadi, and Dhru Desai
Case Number: 17-cv-04883 (United States District Court for the Northern District of Illinois)
Date Filed: June 29, 2017
Date of Qualifying Judgment/Order: June 25, 2018

In the Matter of Wells Fargo Advisors, LLC
Administrative Proceeding File No.: 3-18556
Date Filed: June 25, 2018
Date of Qualifying Judgment/Order: June 25, 2018

In the Matter of Constant Contact, Inc. and Endurance International Group Holdings, Inc.
Administrative Proceeding File No.: 3-18531
Date Filed: June 5, 2018
Date of Qualifying Judgment/Order: June 5, 2018

In the Matter of Credit Suisse Group AG
Administrative Proceeding File No.: 3-18571
Date Filed: July 5, 2018
Date of Qualifying Judgment/Order: July 5, 2018

In the Matter of Visium Asset Management, LP
Administrative Proceeding File No.: 3-18473
Date Filed: May 8, 2018
Date of Qualifying Judgment/Order: May 8, 2018

SEC v. SW Argyll Investments, LLC (d/b/a Argyll Investments, LLC), James T. Miceli, Douglas A. McClain, Jr., Amerifund Capital Finance, LLC, and Jeffrey Spanier
Case Number: 12-cv-00646 (United States District Court for the Southern District of California)
Date Filed: March 15, 2012
Date of Qualifying Judgment/Order: April 26, 2018

SEC v. GC Resources, LLC and Brian J. Polito
Case Number: 15-cv-01048 (United States District Court for the Northern District of Texas)
Date Filed: April 6, 2015
Date of Qualifying Judgment/Order: May 7, 2018

In the Matter of Altaba Inc., f/d/b/a Yahoo! Inc.
Administrative Proceeding File No.: 3-18448
Date Filed: April 24, 2018
Date of Qualifying Judgment/Order: April 24, 2018

In the Matter of PNC Investments LLC
Administrative Proceeding File No.: 3-18426
Date Filed: April 6, 2018
Date of Qualifying Judgment/Order: April 6, 2018

SEC v. Merrill Robertson, Jr., Sherman C. Vaughn, Jr., and Cavalier Union Investments, LLC
Case Number: 16-cv-00667 (United States District Court for the Eastern District of Virginia)
Date Filed: August 10, 2016
Date of Qualifying Judgment/Order: April 3, 2018

SEC v. Capital Cover Bancorp LLC; Christopher M. Less aka Rashid K. Khalfani
Case Number: 15-cv-00980 (United States District Court for the Central District of California)
Date Filed: June 19, 2015
Date of Qualifying Judgment/Order: March 22, 2018

In the Matter of The Dun & Bradstreet Corporation
Administrative Proceeding File No.: 3-18446
Date Filed: April 23, 2018
Date of Qualifying Judgment/Order: April 23, 2018

In the Matter of Panasonic Corporation
Administrative Proceeding File No.: 3-18459
Date Filed: April 30, 2018
Date of Qualifying Judgment/Order: April 30, 2018

In the Matter of Geneos Wealth Management, Inc.
Administrative Proceeding File No.: 3-18425
Date Filed: April 6, 2018
Date of Qualifying Judgment/Order: April 6, 2018

In the Matter of Securities America Advisors, Inc.
Administrative Proceeding File No.: 3-18424
Date Filed: April 6, 2018
Date of Qualifying Judgment/Order: April 6, 2018
 

SEC v. North Dakota Developments, LLC, Robert L. Gavin, and Daniel J. Hogan
Case Number: 15-cv-00053 (United States District Court for the District of North Dakota)
Date Filed: May 5, 2015
Date of Qualifying Judgment/Order: April 25, 2018

SEC v. Lucita A. Zamoras
Case Number: 17-cv-02528 (United States District Court for the Northern District of Illinois)
Date Filed: April 3, 2017
Date of Qualifying Judgment/Order: March 9, 2018

SEC v. McKinley Mortgage Co. LLC, McKinley Mortgage Company, LLC, Tobias J. Preston, Charles G. Preston, Caleb J. Preston, and Laura A. Sanford
Case Number: 18-cv-00616 (United States District Court for the Eastern District of California)
Date Filed: March 22, 2018
Date of Qualifying Judgment/Order: March 27, 2018
 

In the Matter of Voya Investments, LLC and Direct Services LLC
Administrative Proceeding File No.: 3-18393
Date Filed: March 8, 2018
Date of Qualifying Judgment/Order: March 8, 2018