Whistleblower Program: Notices of Covered Action

In the Matter of Maxwell Technologies, Inc., Van M. Andrews, David J. Schramm, and James W. DeWitt, Jr., CPA
Administrative Proceeding File No.: 3-18408
Date Filed: March 27, 2018
Date of Qualifying Judgment/Order: March 27, 2018

In the Matter of Steven Zoernack and EquityStar Capital Management, LLC
Administrative Proceeding File No.: 3-17157
Date Filed: March 8, 2016
Date of Qualifying Judgment/Order: February 26, 2018

In the Matter of Merrill Lynch, Pierce, Fenner & Smith Incorporated
Administrative Proceeding File No.: 3-18392
Date Filed: March 8, 2018
Date of Qualifying Judgment/Order: March 8, 2018
 

Matthew W. Fox and Wayne Energy, LLC
Case Number: 17-cv-00271 (United States District Court for the Eastern District of Texas)
Date Filed: April 19, 2017
Date of Qualifying Judgment/Order: March 8, 2018
 

SEC v. Howard B. Present
Case Number: 14-cv-14692 (United States District Court for the District of Massachusetts)
Date Filed: December 22, 2014
Date of Qualifying Judgment/Order: March 22, 2018
 

SEC v. James Hugh Brennan III; Douglas Albert Dyer; and Broad Street Ventures, LLC
Case Number:16-cv-00307 (United States District Court for the Eastern District of Tennessee)
Date Filed: July 20, 2016
Date of Qualifying Judgment/Order: February 20, 2018
 

SEC v. Revolutions Medical Corp. and Rondald L. Wheet
Case Number: 12-cv-03298 (United States District Court for the Northern District of Georgia)
Date Filed: September 21, 2012
Date of Qualifying Judgment/Order: March 16, 2018

SEC v. JSG Capital Investments, LLC, JSG Capital, LLC, JSG Capital, LLC, JSG Enterprises, LLC, Jaswants S. Gill, and Javier Rios
Case Number: 16-cv-02814 (United States District Court for the Northern District of California)
Date Filed: May 25, 2015
Date of Qualifying Judgment/Order: September 12, 2017

SEC v. Kevin J. Amell
Case Number: 17-cv-10707 (United States District Court for the District of Massachusetts)
Date Filed: April 24, 2017
Date of Qualifying Judgment/Order: February 2, 2018

In the Matter of New York Stock Exchange LLC, NYSE American LLC, and NYSE Arca, Inc.
Administrative Proceeding File No.: 3-18388
Date Filed: March 6, 2018
Date of Qualifying Judgment/Order: March 6, 2018

In the Matter of Deutsche Bank Securities Inc. and Benjamin Solomon
Administrative Proceeding File No.: 3-18367
Date Filed: February 12, 2018
Date of Qualifying Judgment/Order: February 12, 2018
 

SEC v. James P. Griffin, John Wolle, 54Freedom Inc., 54Freedom Securities Inc., 54Freedom Tele Inc., MoneyIns Inc., 54Freedom Foundation Inc., 5 Ledyard Avenue LLC, 5 Ledyard Corporation, and IICNet LLC
Case Number: 15-cv-00927 (United States District Court for the Northern District of New York)
Date Filed: July 30, 2015
Date of Qualifying Judgment/Order: February 23, 2018

SEC v. Steven Ventre, Dedicated Sound and Audio, Inc., Eric Lovy f/k/a Eric Beltran, and Choice Equity
Case Number: 18-cv-00323 (United States District Court for the Central District of California)
Date Filed: February 26, 2018
Date of Qualifying Judgment/Order: March 2, 2018

In the Matter of Wedbush Securities Inc.
Administrative Proceeding File No.: 3-18357
Date Filed: February 5, 2018
Date of Qualifying Judgment/Order: February 5, 2018

SEC v. Matthew D. Sample
Case Number: 14-cv-01218 (United States District Court for the Northern District of Texas)
Date Filed: April 4, 2014
Date of Qualifying Judgment/Order: February 2, 2018

SEC v. LottoNet Operating Corp., David Gray, Joseph Vitale a/k/a Donovan Kelly
Case Number: 17-cv-21033 (United States District Court for the Southern District of Florida)
Date Filed: March 20, 2017
Date of Qualifying Judgment/Order: February 26, 2018

SEC v. Daniel P. McKelvey, Alvin S. Mirman, Steven Sanders, Scott F. Hughes, Jeffrey L. Lamson, and Edward G. Sanders
Case Number: 15-cv-80496 (United States District Court for the Southern District of Florida)
Date Filed: April 16, 2015
Date of Qualifying Judgment/Order: February 23, 2018

SEC v. Ariel Quiros, William Stenger, Jay Peak, Inc., Q Resorts, Inc., Jay Peak Hotel Suites L.P., Jay Peak Hotel Suites Phase II L.P., Jay Peak Management, Inc., Jay Peak Penthouse Suites L.P., Jay Peak GP Services, Inc., Jay Peak Golf and Mountain Suites L.P., Jay Peak GP Services Golf, Inc., Jay Peak Lodge and Townhouses L.P., Jay Peak GP Services Lodge, Inc., Jay Peak Hotel Suites Stateside L.P., Jay Peak GP Services Stateside, Inc., Jay Peak Biomedical Research Park, L.P., AnC Bio Vermont GP Services, LLC
Case Number: 16-cv-21301 (United States District Court for the Southern District of Florida)
Date Filed: April 12, 2016
Date of Qualifying Judgment/Order: February 6, 2018
 

SEC v. James C. Howard III, Michael R. Casey, and Louis N. Gallo III
Case Number: 12-cv-61731 (United States District Court for the Southern District of Florida)
Date Filed: September 5, 2012
Date of Qualifying Judgment/Order: February 15, 2018
 

SEC v. Michael L. Hudson
Case Number: 17-cv-00520 (United Stated District Court for the Southern District of Ohio)
Date Filed: August 4, 2017
Date of Qualifying Judgment/Order: January 9, 2018

SEC v. Thomas Edward Andrews and Scott Walter Christensen
Case Number: 17-cv-00256 (United Stated District Court for the District of Utah)
Date Filed: April 5, 2017
Date of Qualifying Judgment/Order: January 29, 2018
 

SEC v. Marquis Properties, LLC, Chad Deucher, and Richard Clatfelter
Case Number: 16-cv-00040 (United States District Court for the District of Utah)
Date Filed: January 19, 2016
Date of Qualifying Judgment/Order: January 30, 2018
 

SEC v. Peter R. Kohli, DMS Advisors, Inc., Marshad Capital Group, Inc.
Case Number: 16-cv-05143 (United States District Court for the Eastern District of Pennsylvania)
Date Filed: September 28, 2016
Date of Qualifying Judgment/Order: November 30, 2017

SEC v. Brian A. Bjork; Estate of Joel David Salinas; J. David Group of Companies, Inc.; J. David Financial Group, L.P.; Select Asset Management, LLC; Select Capital Management, LLC; Select Asset Fund I, LLC; and Select Asset Prime Index Fund, LLC
Case Number: 11-cv-02830 (United States District Court for the Southern District of Texas)
Date Filed: August 1, 2011
Date of Qualifying Judgment/Order: January 8, 2018
 

SEC v. U.S. EB-5 Investments LLC, Oakland Office Holdings LLC, B.X Wok Construction LLC, US Investment LLC d/b/a US Investment FL LLC, Top Sun Energy LLC, Ocean Blvd. Family Limited Partnership, Ltd., B.X Property Management LLC, US1 Real Estate Developments, LLC, and Investor Asset Protection, LLC
Case Number: 15-cv-62323 (United States District Court for the Southern District of Florida)
Date Filed: November 3, 2015
Date of Qualifying Judgment/Order: January 22, 2018
 

In the Matter of Industrial and Commercial Bank of China Financial Services LLC
Administrative Proceeding File No.: 3-18341
Date Filed: January 18, 2018
Date of Qualifying Judgment/Order: January 18, 2018

SEC v. David B. Kaplan, Esq., Synchronized Organizational Solutions, LLC, Synchronized Organizational Solutions International, Ltd., and Manna International Enterprises, Inc.
Case Number: 16-cv-00270 (United States District Court for the District of Nevada)
Date Filed: May 19, 2016
Date of Qualifying Judgment/Order: January 9, 2018
 

SEC v. Hadsell Chemical Processing, LLC and Robert Walton, Jr.
Case Number: 17-cv-00432 (United States District Court for the Southern District of Ohio)
Date Filed: May 17, 2017
Date of Qualifying Judgment/Order: February 1, 2018

SEC v. Geoffrey H. Lunn, Darlene A. Bishop, and Vincent G. Curry
Case Number: 12-cv-02767 (United States District Court for the District of Colorado)
Date Filed: October 18, 2012
Date of Qualifying Judgment/Order: January 31, 2018
 

SEC v. David S. Haddad, Trafalgar Square Risk Management, LLC, and New England RE, LLC
Case Number: 18-cv-00055 (United States District Court for the District of Connecticut)
Date Filed: January 11, 2018
Date of Qualifying Judgment/Order: January 18, 2018
 

SEC v. Eric J. McPhail, Douglas A. Parigian, John J. Gilmartin, Douglas Clapp, James A. Drohen, John C. Drohen, and Jamie A. Meadows
Case Number: 14-cv-12958 (United States District Court for the District of Massachusetts)
Date Filed: July 11, 2014
Date of Qualifying Judgment/Order: January 11, 2018

SEC v. John V. Bivona; Saddle River Advisors, LLC; SRA Management Associates, LLC; Frank Gregory Mazzola
Case Number: 16-cv-01386 (United States District Court for the Northern District of California)
Date Filed: March 22, 2016
Date of Qualifying Judgment/Order: December 22, 2017

In the Matter of Train, Babcock Advisors LLC
Administrative Proceeding File No.: 3-18324
Date Filed: December 22, 2017
Date of Qualifying Judgment/Order: December 22, 2017

SEC v. Enviro Board Corporation, Glenn B. Camp, William J. Peiffer, and Joshua D. Mosshart
Case Number: 16-cv-06427 (United States District Court for the Central District of California)
Date Filed: August 26, 2016
Date of Qualifying Judgment/Order: December 6, 2017
 

In the Matter of Merrill Lynch, Pierce, Fenner & Smith Incorporated
Administrative Proceeding File No.: 3-18318
Date Filed: December 21, 2017
Date of Qualifying Judgment/Order: December 21, 2017

In the Matter of Ameriprise Financial Services, Inc.
Administrative Proceeding File No.: 3-18301
Date Filed: December 8, 2017
Date of Qualifying Judgment/Order: December 8, 2017

In the Matter of TPG Capital Advisors, LLC
Administrative Proceeding File No.: 3-18317
Date Filed: December 21, 2017
Date of Qualifying Judgment/Order: December 21, 2017
 

SEC v. Jason A. Halek, Joshua D. Spivey, Patrick J. Booths, and Steven J. Little
Case Number: 14-cv-01106 (United States District Court for the Northern District of Texas)
Date Filed: March 28, 2014
Date of Qualifying Judgment/Order: November 30, 2017

SEC v. Team Resources, Inc., Fossil Energy Corporation, Kevin A. Boyles, Philip A. Dressner, Michael Eppy, Andrew Stitt, and John Olivia
Case Number: 15-cv-01045 (United States District Court for the Northern District of Texas)
Date Filed: April 6, 2015
Date of Qualifying Judgment/Order: November 20, 2017
 

SEC v. Thomas J. Buck
Case Number: 17-cv-03984 (United States District Court for the Southern District of Indiana)
Date Filed: October 31, 2017
Date of Qualifying Judgment/Order: December 21, 2017
 

SEC v. Boston Trading and Research, LLC, Ahmet Devrim Akyil, and Craig Karlis
Case Number: 10-cv-11841 (United States District Court for the District of Massachusetts)
Date Filed: October 28, 2010
Date of Qualifying Judgment/Order: December 12, 2017
 

SEC v. Naris Chamroonrat, Yaniv Avnon, Ran Armon, G Six Trading Y.R. Ltd., and Adam L. Plumer, and NKO Holdings Co. Ltd.
Case Number: 16-cv-09403 (United States District Court for the District of New Jersey)
Date Filed: December 21, 2016 (amended May 11, 2017)
Date of Qualifying Judgment/Order: November 21, 2017

SEC v. Ming Zhao and Liping Zhu 
Case Number: 12-cv-01316 (United States District Court for the Southern District of New York)
Date Filed: February 22, 2012
Date of Qualifying Judgment/Order: July 24, 2015

SEC v. Penn West Petroleum Ltd., d/b/a Obsidian Energy Ltd., Todd H. Takeyasu, Jeffery A. Curran, and Waldemar Grab
Case Number: 17-cv-04866 (United States District Court for the Southern District of New York)
Date Filed: June 28, 2017
Date of Qualifying Judgment/Order: November 20, 2017

SEC v. Osiris Therapeutics, Inc., Philip R. Jacoby, Jr., Gregory I. Law, Lode B. Debrabandere, Bobby Dwayne Montgomery
Case Number: 17-cv-03230 (United States District Court for the District of Maryland)
Date Filed: November 2, 2017
Date of Qualifying Judgment/Order: November 7, 2017

In the Matter of Wells Fargo Advisors, LLC
Administrative Proceeding File No.: 3-18279
Date Filed: November 13, 2017
Date of Qualifying Judgment/Order: November 13, 2017

SEC v. Imperial Petroleum, Inc., Jeffrey Wilson, Craig Ducey, Chad Ducey, Brian Carmichael, Joseph Furando, Evelyn Katirina Pattison (a/k/a Katirina Tracy), Caravan Trading, LLC, CIMA Green, LLC, and CIMA Energy Group
Case Number: 13-cv-01489 (United States District Court for the Southern District of Indiana)
Date Filed: September 18, 2013
Date of Qualifying Judgment/Order: November 28, 2017

SEC v. Capital Financial Partners, LLC, Capital Financial Holdings, LLC, Capital Financial Partners Enterprises, LLC, William D. Allen and Susan C. Daub
Case Number: 15-cv-11447 (United States District Court for the District of Massachusetts)
Date Filed: April 1, 2015
Date of Qualifying Judgment/Order: November 17, 2017

SEC v. Dwight Shane Baldwin and Silverleaf Financial, LLC
Case Number: 15-cv-00458 (United States District Court for the District of Utah)
Date Filed: June 25, 2015
Date of Qualifying Judgment/Order: October 12, 2017

In the Matter of Henry Lin-Han Jan
Administrative Proceeding File No.: 3-18267
Date Filed: October 26, 2017
Date of Qualifying Judgment/Order: October 26, 2017

In the Matter of Artemus Mayor
Administrative Proceeding File No.: 3-18268
Date Filed: October 26, 2017
Date of Qualifying Judgment/Order: October 26, 2017

SEC v. Renwick Haddow, Bar Works, Inc., Bar Works 7th Avenue, Inc., and Bitcoin Store, Inc.
Case Number: 16-cv-04950 (United States District Court for the Southern District of New York)
Date Filed: June 30, 2017
Date of Qualifying Judgment/Order: October 20, 2017

SEC v. Haena Park
Case Number: 16-cv-04103 (United States District Court for the Southern District of New York)
Date Filed: June 2, 2016
Date of Qualifying Judgment/Order: September 25, 2017
 

In the Matter of UBS Financial Services Inc.
Administrative Proceeding File No.: 3-18270
Date Filed: October 27, 2017
Date of Qualifying Judgment/Order: October 27, 2017
 

SEC v. The Leonard Vincent Group, Leonard Vincent Lombardo, and Brian A. Hudlin
Case Number: 17-cv-05723 (United States District Court for the Eastern District of New York)
Date Filed: September 29, 2017
Date of Qualifying Judgment/Order: October 11, 2017

SEC v. International Stock Transfer, Inc., and Cecil Franklin Speight
Case Number: 14-cv-04435 (United States District Court for the Eastern District of New York)
Date Filed: July 23, 2014
Date of Qualifying Judgment/Order: October 6, 2017

SEC v. JustInfo LLC, David Weddle, and Scott Allensworth
Case Number: 17-cv-07426 (United States District Court for the Central District of California)
Date Filed: October 11, 2017
Date of Qualifying Judgment/Order: October 25, 2017
 

In the Matter of Augustine Capital Management, LLC (f/k/a Augustine Capital Management, Inc.), John T. Porter, and Thomas F. Duszynski, CPA
Administrative Proceeding File No.: 3-17740
Date Filed: October 26, 2017
Date of Qualifying Judgment/Order: October 26, 2017

SEC v. The Estate of Vincent James Saviano and Palmetto Investments, LLC
Case Number: 14-cv-13902 (United States District Court for the Eastern District of Michigan)
Date Filed: October 9, 2014
Date of Qualifying Judgment/ Order: October 6, 2017

SEC v. Louis Martin Blazer, III
Case Number: 16-cv-03384 (United States District Court for the Southern District of New York)
Date Filed: May 6, 2017
Date of Qualifying Judgment/Order: August 4, 2017

SEC v. Edward Bronson and E-Lionheart Associates, LLC d/b/a Fairhills Capital
Case Number: 12-cv-06421(United States District Court for the Southern District of New York)
Date Filed: August 22, 2012
Date of Qualifying Judgment/Order: August 28, 2017

SEC v. Charles C. Liu; Xin Wang a/k/a Lisa Want; Pacific Proton Therapy Regional Center, LLC; Pacific Proton EB-5 Fund, LLC; and Beverly Proton Center, LLC f/k/a Los Angeles Country Proton Therapy, LLC
Case Number: 16-cv-00974 (United States District Court for the Central District of California)
Date Filed: May 26, 2016
Date of Qualifying Judgment/Order: April 20, 2017
 

In the Matter of Platinum Equity Advisors, LLC
Administrative Proceeding File No.: 3-18194
Date Filed: September 21, 2017
Date of Qualifying Judgment/Order: September 21, 2017

SEC v. Peter L. Jensen and Thomas C. Tekulve, Jr.
Case Number: 11-cv-05316 (United States District Court for the Central District of California)
Date Filed: June 24, 2011
Date of Qualifying Judgment/Order: September 13, 2017

In the Matter of Telia Company AB
Administrative Proceeding File No.: 3-18195
Date Filed: September 21, 2017
Date of Qualifying Judgment/Order: September 21, 2017

SEC v. Ahmad Fnaikher Alyasin and Optima Global Financial, Inc.
Case Number: 15-cv-00566 (United States District Court for the Southern District of Texas)
Date Filed: March 3, 2015
Date of Qualifying Judgment/Order: September 26, 2017
 

SEC v. James G. Temme, and Stewardship Funds, LP
Case Number: 11-cv-00655 (United States District Court for the Eastern District of Texas)
Date Filed: October 14, 2011
Date of Qualifying Judgment/Order: September 12, 2017
 

SEC v. Thomas Abdallah (a.k.a. Tom Abraham), Kenneth Grant, KGTA Petroleum, Ltd., Mark M. George, Jeffrey L. Gainer, and Jerry A. Cicolani, Jr.
Case Number: 14-cv-01155 (United States District Court for the Northern District of Ohio)
Date Filed: May 29, 2014
Date of Qualifying Judgment/Order: September 26, 2017
 

In the Matter of Alere Inc.
Administrative Proceeding File No.: 3-18228
Date Filed: September 28, 2017
Date of Qualifying Judgment/Order: September 28, 2017
 

SEC v. Aegerion Pharmaceuticals, Inc.
Case Number: 17-cv-11817 (United States District Court for the District of Massachusetts)
Date Filed: September 22, 2017
Date of Qualifying Judgment/Order: September 25, 2017
 

In the Matter of SunTrust Investment Services, Inc.
Administrative Proceeding File No.: 3-18178
Date Filed: September 14, 2017
Date of Qualifying Judgment/Order: September 14, 2017
 

SEC v. Optimum Income Property, LLC, Optimum Property Investments, LLC and Frank E. Lleras
Case Number: 16-cv-00073 (United States District Court for the Western District of North Carolina)
Date Filed: February 10, 2016
Date of Qualifying Judgment/Order: September 8, 2017

SEC v. Wensheng Lin and Sheng Li Chen
Case Number: 17-cv-03054 (United States District Court for the Southern District of New York)
Date Filed: April 26, 2017
Date of Qualifying Judgment/Order: August 25, 2017

In the Matter of Banca IMI Securities Corp.
Administrative Proceeding File No.: 3-18118
Date Filed: August 18, 2017
Date of Qualifying Judgment/Order: August 18, 2017

SEC v. Jay Belson, Smarte Real Estate Investments, Inc., Jack Rockman, LLC, John Blackstone LLC, Residence at St. Ives, LLC, and Bellagio Place Residence, LLC
Case Number: 17-cv-05953(United States District Court for the Central District of California)
Date Filed: August 10, 2017
Date of Qualifying Judgment/Order: August 15, 2017

SEC v. Hui Feng and Law Offices of Feng & Associates P.C.
Case Number: 15-cv-09420 (United States District Court for the Central District of California)
Date Filed: December 7, 2015
Date of Qualifying Judgment/Order: August 11, 2017

In the Matter of Vertical Capital Asset Management, LLC, Vertical Fund Group, Inc., Vertical Recovery Management, LLC, Gustavo A. Altuzarra, and Christopher R. Chase
Administrative Proceeding File No.: 3-18125
Date Filed: August 22, 2017
Date of Qualifying Judgment/Order: August 22, 2017
 

In the Matter of Deerfield Management Company, L.P.
Administrative Proceeding File No.: 3-18120
Date Filed: August 21, 2017
Date of Qualifying Judgment/Order: August 21, 2017

SEC v. Inteligentry, Ltd., PlasmERG, Inc., and John P. Rohner
Case Number: 13-cv-00344 (United States District Court for the District of Nevada)
Date Filed: February 28, 2013
Date of Qualifying Judgment/Order: July 17, 2017

SEC v. Darrell Glenn Hardaway and Hardaway Net-Works, Inc.
Case Number: 17-cv-00529 (United States District Court for the Southern District of Texas)
Date Filed: February 17, 2017
Date of Qualifying Judgment/Order: August 11, 2017

SEC v. Hidalgo Mining Corp., John W. Boyer, and Joshua F. McAlees
Case Number: 17-cv-80916 (United States District Court for the Southern District of Florida)
Date Filed: August 4, 2017
Date of Qualifying Judgment/Order: August 15, 2017

In the Matter of Allen Chi
Administrative Proceeding File No.: 3-18121
Date Filed: August 21, 2017
Date of Qualifying Judgment/Order: August 21, 2017

In the Matter of Coachman Energy Partners LLC and Randall D. Kenworthy
Administrative Proceeding File No.: 3-18109
Date Filed: August 14, 2017
Date of Qualifying Judgment/Order: August 14, 2017

SEC v. Donald J. Lester, Rubicon Alliance, LLC, CFI Fund, LLC, and NuPower, LLC
Case Number: 15-cv-02301 (United States District Court for the District of Colorado)
Date Filed: October 16, 2015
Date of Qualifying Judgment/Order: July 26, 2017

SEC v. Louis T. Buonocore, Jeremy R. Draper, Frank J. Morelli, III, Berardino “Dino” Paolucci, Jr., and Don L. Rose
Case Number: 16-cv-05176 (United States District Court for the Eastern District of Pennsylvania)
Date Filed: September 29, 2016
Date of Qualifying Judgment/Order:  August 10, 2017
 

In the Matter of State Street Bank and Trust Company
Administrative Proceeding File No.: 3-18158
Date Filed: September 7, 2017
Date of Qualifying Judgment/Order: September 7, 2017
 

In the Matter of State Street Global Markets, LLC, State Street Global Advisors Funds Distributors, LLC, and State Street Bank and Trust Company 
Administrative Proceeding File No.: 3-18159
Date Filed: September 7, 2017
Date of Qualifying Judgment/Order: September 7, 2017

SEC v. Southridge Capital Management LLC, Southridge Advisors LLC, and Stephen M. Hicks
Case Number: 10-cv-01685 (United States District Court for the District of Connecticut)
Date Filed: October 25, 2010
Date of Qualifying Judgment/Order: August 3, 2017

In the Matter of Ironridge Global Partners, LLC, and Ironridge Global IV, Ltd.
Administrative Proceeding File No.: 3-16649
Date Filed: August 21, 2017
Date of Qualifying Judgment/Order: August 21, 2017

In the Matter of KPMG LLP and John Riordan, CPA
Administrative Proceeding File No.: 3-18110
Date Filed: August 15, 2017
Date of Qualifying Judgment/Order: August 15, 2017

In the Matter of Cadaret, Grant & Co., Inc.
Administrative Proceeding File No.: 3-18087
Date Filed: August 1, 2017
Date of Qualifying Judgment/Order:  August 1, 2017

SEC v. Marcus A Luna, Norrell L. Walker, Paul L. Gomez, and Dustin S. Smith
Case Number: 16-cv-07333 (United States District Court for the Central District of California)
Date Filed: September 29, 2016
Date of Qualifying Judgment/Order: July 19, 2017

In the Matter of Halliburton Company and Jeannot Lorenz
Administrative Proceeding File No.: 3-18080
Date Filed: July 27, 2017
Date of Qualifying Judgment/Order: July 27, 2017

SEC v. Christopher J. Hall
Case Number: 15-cv-23489 (United States District Court for the Southern District of Florida)
Date Filed: September 17, 2015
Date of Qualifying Judgment/Order: June 29, 2017

SEC v. Trudy R. Gilmond
Case Number: 15-cv-00591 (United States District Court for the Western District of North Carolina)
Date Filed: December 4, 2015
Date of Qualifying Judgment/Order: June 21, 2017

SEC v. Andrew I. Farmer, Charles E. Grob, Jr., Carolyn Austin, Baldemar P. Rios, and Chimera Energy Corp.
Case Number: 14-cv-02345 (United States District Court for the Southern District of Texas)
Date Filed: August 14, 2014
Date of Qualifying Judgment/Order: July 18, 2017

SEC v. Joey Stanton Dodson
Case Number: 17-cv-05520 (United States District Court for the Central District of California)
Date Filed: July 26, 2017
Date of Qualifying Judgment/Order: July 27, 2017

SEC v. Thomas J. Lawler and Freedom Foundation USA LLC dba Freedom Club USA
Case Number: 14-cv-02468 (United States District Court for the Northern District of Georgia)
Date Filed: July 31, 2014
Date of Qualifying Judgment/Order: June 29, 2017

In the Matter of Joel Corenman
Administrative Proceeding File No.: 3-17910
Date of Qualifying Judgment/Order: April 10, 2017

In the Matter of Galena Biopharma, Inc. and Mark J. Ahn
Administative Proceeding File No.: 3-17911
Date of Qualifying Judgment/Order: April 10, 2017

In the Matter of Craig Keolanui
Administrative Proceeding File No.: 3-17913
Date of Qualifying Judgment/Order: April 10, 2017

In the Matter of Lion Biotechnologies, Inc.
Administative Proceeding File No.: 3-17914
Date of Qualifying Judgment/Order: April 10, 2017

In the Matter of Edward Borrelli and Dunedin, Inc.
Administrative Proceeding File No.: 3-17915
Date of Qualifying Judgment/Order: April 10, 2017

In the Matter of Stephen Ramey
Administrative Proceeding File No.: 3-17916
Date of Qualifying Judgment/Order: April 10, 2017

In the Matter of Michael A. McCarthy, The DreamTeam Group, LLC, Mission Investor Relations, LLC, and QualityStocks LLC
Administative Proceeding File No.: 3-17917
Date of Qualifying Judgment/Order: April 10, 2017

In the Matter of Ciaran Thornton
Administrative Proceeding File No.: 3-17918
Date of Qualifying Judgment/Order: April 10, 2017

In the Matter of Manish Singh and Lavos, LLC
Administative Proceeding File No.: 3-17920
Date of Qualifying Judgment/Order: April 10, 2017

In the Matter of Christopher French
Administative Proceeding File No.: 3-17921
Date of Qualifying Judgment/Order: April 10, 2017

SEC v. Marc D. Broidy and Broidy Wealth Advisors, LLC
Case Number: 16-cv-05960 (United States District Court for the Eastern District of New York)
Date Filed: October 27, 2016
Date of Qualifying Judgment/Order: May 30, 2017
 

SEC v. Sigma Capital Management, LLC
Case Number: 13-cv-01740 (United States District Court for the Southern District of New York)
Date Filed: March 19, 2013
Date of Qualifying Judgment/Order: March 29, 2013