Whistleblower Program: Notices of Covered Action

SEC v. James M. Peister and Northstar International Group Inc. 
Case number: 11-cv-03386 (United States District Court for the Eastern District of New York)
Case filed: July 14, 2011 
Qualifying Judgment/Order: August 19, 2014

In the Matter of Keith MacDonald Summers
Administrative Proceeding File No.: 3-16014
Case filed: August 13, 2014
Qualifying Judgment/Order: August 13, 2014

In the Matter of Bank of America Corporation
Administrative Proceeding File No.: 3-16028
Case filed: August 21, 2014
Qualifying Judgment/Order: August 21, 2014

SEC v. Blake B. Richards
Case number: 13-cv-01729 (United States District Court for the Northern District of Georgia)
Case filed: May 23, 2013
Qualifying Judgment/Order: August 26, 2014

SEC v. Universal Travel Group, Jiangping Jiang and Jing Xie
Case number: 13-cv-01492 (United States District Court for the District of Columbia)
Case filed: September 27, 2013
Qualifying Judgment/Order: September 30, 2013

In the Matter of EFP Rotenberg, LLP and Nicholas R. Bottini, CPA
Administrative Proceeding File No.: 3-15952
Case filed: July 1, 2014
Qualifying judgment/order: July 1, 2014

SEC v. Rajat K. Gupta and Raj Rajaratnam
Case number: 11-cv-7566 (United States District Court for the Southern District of New York)
Case filed: October 26, 2011
Qualifying Judgment/Order: December 26, 2012

In the Matter of Linkbrokers Derivatives LLC
Administrative Proceeding File No.: 3-16017
Case filed: August 14, 2014
Qualifying Judgment/Order: August 14, 2014

In the Matter of LavaFlow, Inc.
Administrative Proceeding File No.: 3-15985
Case filed: July 25, 2014
Qualifying Judgment/Order: July 25, 2014

In the Matter of Ernst & Young LLP
Administrative Proceeding File No.: 3-15970
Case filed: July 14, 2014
Qualifying Judgment/Order: July 14, 2014

In the Matter of Morgan Stanley and Co. LLC; Morgan Stanley ABS Capital I Inc.; and Morgan Stanley Mortgage Capital Holdings LLC
Administrative Proceeding File No.: 3-15982
Case filed: July 24, 2014
Qualifying Judgment/Order: July 24, 2014

In the Matter of Smith & Wesson Holding Corporation
Administrative Proceeding File No.: 3-15986
Case filed: July 28, 2014
Qualifying Judgment/Order: July 28, 2014

SEC v. Walter Ng, Kelly Ng, Bruce Horwitz, and The Mortgage Fund, LLC
Case number: 13-cv-00895 (United States District Court for the Northern District of California)
Case filed: February 28, 2013
Qualifying Judgment/Order: August 1, 2014

SEC v. John Babikian
Case number: 14-cv-1740 (United States District Court for the Southern District of New York)
Case filed: March 13, 2014
Qualifying Judgment/Order: July 8, 2014

SEC v. Bryan S. Behrens and National Investments, Inc.
Case number: 08-cv-00013 (United States District Court for the District of Nebraska)
Case filed: January 10, 2008
Qualifying Judgment/Order: July 17, 2014

SEC v. Citigroup Global Markets Inc.
Case number: 11-cv-07387 (United States District Court for the Southern District of New York)
Case filed: October 19, 2011
Qualifying Judgment/Order: August 5, 2014

SEC v. Scott Ashton Riggs, Darrell Parlee, Steven Manderfeld, Ashton Oilfield Services, LLC, Ashton Equipment, LLC, AOS 1-A, L.P., and AOS 1-B, L.P.
Case number: 13-cv-04403 (United States District Court for the Northern District of Texas)
Case filed: November 1, 2013
Qualifying Judgment/Order: July 11, 2014

SEC v. DDBO Consulting, Inc., DBBG Consulting, Inc., Dean R. Baker, and Bret A. Grove
Case number: 14-cv-61685 (United States District Court for the Southern District of Florida)
Case filed: July 24, 2014
Qualifying Judgment/Order: July 31, 2014

SEC v. Bernard H. Butts, Jr., Fotios Geivelis, Jr., also known as Frank Anastasio, Worldwide Funding III Limited LLC, Douglas J. Anisky, Sidney Banner, Express Commercial Capital LLC, James Baggs
Case number: 13-cv-23115 (United States District Court for the Southern District of Florida)
Case filed: August 29, 2013
Qualifying Judgment/Order: July 11, 2014

SEC v. Cedric Cañas Maillard and Julio Marín Ugedo
Case number: 13-cv-05299 (United States District Court for the Southern District of New York)
Case filed: July 30, 2013
Qualifying Judgment/Order: July 21, 2014

SEC v. Patrick G. Rooney and Solaris Management, LLC
Case number: 11-cv-08264 (United States District Court for the Northern District of Illinois)
Case filed: November 18, 2011
Qualifying Judgment/Order: July 14, 2014

SEC v. CR Intrinsic Investors, LLC, Mathew Martoma, and Dr. Sidney Gilman
Case number: 12-cv-8466 (United States District Court for the Southern District of New York)
Case filed: November 20, 2012
Qualifying Judgment/Order: June 18, 2014

SEC v. John Lazorchak, Mark S. Cupo, Mark D. Foldy, Michael L. Castelli, Lawrence D. Grum, Michael T. Pendolino, and James N. Deprado
Case number: 12-cv-07164 (United States District Court for the District of New Jersey)
Case filed: November 19, 2012
Qualifying Judgment/Order: June 12, 2014

SEC v. Thomas Fletcher & Co. Inc., Thomas Fletcher & Company, Inc., Sergei Voronchenko, Roman Thaker, Alex Berg, John Donadio and Padraig McGlynn
Case number: 02-cv-9355 (United States District Court for the Southern District of New York)
Case filed: November 22, 2002
Qualifying Judgment/Order: June 19, 2014

SEC v. Christopher A.T. Pedras (aka Chris Pedras aka Antone Thomas Pedras); Sylvester M. Gray II; Alicia Bryan; Maxum Gold Bnk Holdings Limited; Maxum Gold Bnk Holdings LLC; FMP Medical Services Limited; and FMP Medical Services LLC
Case number: 13-cv-07932 (United States District Court for the Central District of California)
Case filed: October 28, 2013
Qualifying Judgment/Order: June 9, 2014

SEC v. Charles J. Dushek, Charles S. Dushek, and Capital Management Associates, Inc.
Case number: 13-cv-03669 (United States District Court for the Northern District of Illinois)
Case filed: May 16, 2013
Qualifying Judgment/Order: June 4, 2014

SEC v. Marcus A. Luna; Nathan Montgomery; Adam Daskivich; David Murtha; St. Paul Venture Fund, LLC; Minnesota Venture Capital, Inc.; Real Estate of Minnesota, Inc.; and Matrix Venture Capital, Inc.
Case number: 10-cv-2166 (United States District Court for the District of Nevada)
Case filed: December 14, 2010
Qualifying Judgment/Order: June 27, 2014

SEC v. Robert Hurd, Your Best Memories International, Inc., and Kenneth Gross
Case number: 13-cv-04464 (United States District Court for the Central District of California)
Case filed: June 20, 2013
Qualifying Judgment/Order: June 10, 2014

SEC v. AutoChina International Limited, Hui Kai Yan, Rui Ge Dong, Victory First Limited, Rainbow Yield Limited, Yong Qi Li, Ai Xi Ji, Ye Wang, Zhong Wen Zhang, Li Xin Ma, Yong Li Li, and Shu Ling Li
Case number: 12-cv-10643 (United States District Court for the District of Massachusetts)
Case filed: April 11, 2012
Qualifying Judgment/Order: June 25, 2014

In the Matter of Paradigm Capital Management, Inc. and Candace King Weir
Administrative Proceeding File No: 3-15930
Case filed: June 16, 2014
Qualifying judgment/order: June 16, 2014

SEC v. Avanti Capital Partners, LLC, a Utah Limited Liability Company, Highland Residential, LLC, a Utah Limited Liability Company, and Ivan Wade Brown, an Individual
Case number: 12-cv-00788 (United States District Court for the District of Utah)
Case filed: August 13, 2012
Qualifying judgment/order: April 24, 2014

SEC v. Anthony Vassallo, Kenneth Kenitzer and Equity Investment Management and Trading, Inc.
Case number: 09-cv-00665 (United States District Court for the Eastern District of California)
Case filed: March 11, 2009
Qualifying judgment/order: May 23, 2014

SEC v. Charles Vista, LLC
Case number: 14-cv-02643 (United States District Court for the Eastern District of New York)
Case filed: April 28, 2014
Qualifying judgment/order: May 29, 2014

SEC v. Alberto William Vilar, and Gary Alan Tanaka
Case number: 05-cv-05231
Case filed: June 2, 2005
Qualifying judgment/order: May 16, 2014

SEC v. Behrooz Sarafraz
Case number: 14-cv-02252 (United States District Court for the Northern District of California)
Case filed: May 15, 2014
Qualifying judgment/order: May 27, 2014

SEC v. Herbert Richard Lawson, William B. Lawson, and John J. Cerullo
Case number: 14-cv-02157 (United States District Court for the Northern District of California)
Case filed: May 12, 2014
Qualifying judgment/order: May 23, 2014

SEC v. OM Investment Management LLC, Gignesh Movalia, and Edwin V. Gaw
Case number: 13-cv-23486 (United States District Court for the Southern District of Florida)
Case filed: September 27, 2013
Qualifying judgment/order: May 29, 2014

SEC v. Richard Olive and Susan Olive
Case number: 13-cv-14047 (United States District Court for the Southern District of Florida)
Case filed: February 4, 2013
Qualifying judgment/order: May 23, 2014

SEC v. S. Paul Kelley, George Tazbaz, Roger D. Lockhart, Robert S. Agriogianis, and Shawn A. Becker
Case number: 14-cv-02827 (United States District Court for the District of New Jersey)
Case filed: May 6, 2014
Qualifying judgment/order: May 12, 2014

SEC v. Yuhe International, Inc. and Gao Zhentao
Case number: 13-cv-01598 (United States District Court for the District of Columbia)
Case filed: October 18, 2013
Qualifying judgment/order: May 22, 2014

In the Matter of Genesis Advisory Services Corp., ABJ Societe Anonyme Corp., and Bruce J. Fixelle
Administrative Proceeding File No.: 3-15881
Case filed: May 1, 2014 
Qualifying judgment/order: May 1, 2014

In the Matter of Diego F. Hernandez, The Wealth Management Partners, LLC, Wealth Financial, Limited Liability Company, DFHR Investments, Inc., and HD Mile High Marketing, Inc.
Administrative Proceeding File No.: 3-15518
Case filed: May 1, 2014 
Qualifying judgment/order: May 1, 2014

In the Matter of George B. Franz III and Ruby Corporation
Administrative Proceeding File No.: 3-15526
Case filed: April 30 2014
Qualifying judgment/order: April 30, 2014

In the Matter of Liquidnet, Inc.
Administrative Proceeding File No.: 3-15912
Case filed: June 6, 2014
Qualifying judgment/order: June 6, 2014

In the Matter of New York Stock Exchange LLC, NYSE Arca, Inc., NYSE MKT LLC f/k/a NYSE Amex LLC, and Archipelago Securities, L.L.C.
Administrative Proceeding File No.: 3-15860
Case filed: May 1, 2014
Qualifying Judgment/Order: May 1, 2014

In the Matter of Hewlett-Packard Company
Administrative Proceeding File No.: 3-15832
Case filed: April 9, 2014
Qualifying Judgment/Order: April 9, 2014

SEC v. Steven B. Heinz and S.B. Heinz & Associates, Inc.
Case number: 13-cv-00753 (United States District Court for the District of Utah)
Case filed: August 8, 2013
Qualifying Judgment/Order: April 28, 2014

SEC v. S. Paul Kelley, George Tazbaz, Roger D. Lockhart, Robert S. Agriogianis, and Shawn A. Becker
Case number: 14-cv-02827 (United States District Court for the District of New Jersey)
Case filed: May 5, 2014
Qualifying Judgment/Order: May 12, 2014

SEC v. Armand R. Franquelin and Martin A. Pool
Case number: 13-cv-00096 (United States District for the District of Utah)
Case filed: July 2, 2013
Qualifying Judgment/Order: April 18, 2014

SEC v. Glenn Hoppes, United States Energy Corp., TN-KY Development Fund LP, TN-KY Development Fund II LP, and TN-KY Development Fund III LP
Case number: 13-cv-00868 (United States District Court for the Middle District of Florida)
Case filed: April 5, 2013
Qualifying Judgment/Order: April 18, 2014

In the Matter of Visionary Trading LLC, Lightspeed Trading LLC, Andrew Actman, Joseph Dondero, Eugene Giaquinto, Lee Heiss, and Jason Medvin
Administrative Proceeding File No.: 3-15823
Case filed: April 4, 2014
Qualifying Judgment/Order: April 4, 2014

SEC v. Seven Palm Investments, LLC, Peter P. Veugeler, Cardiovascular Sciences, Inc., and Lawrence H. Hooper, Jr.
Case number: 10-cv-02755 (United States District Court for the Northern District of Illinois)
Case filed: May 4, 2010
Qualifying Judgment/Order: April 21, 2014

SEC v. CVS Caremark Corp.
Case number: 14-cv-0177 (United States District Court for the District of Rhode Island)
Case filed: April 8, 2014
Qualifying Judgment/Order: April 8, 2014

SEC v. Syndicated Food Service International, Inc., Nick Pirgousis, Frank Dolney, William Brown, Gary Todd, Mario Casias, Delta Asset Management Company, LLC, William Keeler, William Scott, Iain H.T. Brown, Iain Brown, Fidra Holdings LTD., Jeffrey Richardson, Peter Moulinos, Michelle Kramish Kain, Joseph Ferragamo, Adam Klein, Christopher Quintana, and Thomas Tanis
Case number: 04-cv-01303 (United States District Court for the Eastern District of New York)
Case filed: March 29, 2004
Qualifying Judgment/Order: April 1, 2014

In the Matter of Worldwide Capital, Inc. and Jeffrey W. Lynn
Administrative Proceeding File No.: 3-15772
Case filed: March 5, 2014
Qualifying Judgment/Order: March 5, 2014

SEC v. John Kinnucan and Broadband Research Corporation
Case number: 12-cv-1230 (United States District Court for the Southern District of New York)
Case filed: February 17, 2012
Qualifying Judgment/Order: April 1, 2014

SEC v. Juno Mother Earth Asset Management, LLC, Eugenio Verzili and Arturo Allan Rodriguez Lopez a/k/a Arturo Rodriguez
Case number: 11-cv-1778 (United States District Court for the Southern District of New York)
Case filed: March 15, 2011
Qualifying Judgment/Order: March 31, 2014

SEC v. Certain Unknown Traders in the Securities of H.J. Heinz Company
Case number: 13-cv-1080 (United States District Court for the Southern District of New York)
Case filed: February 25, 2013
Qualifying Judgment/Order: April 2, 2014

In the Matter of Lions Gate Entertainment Corp.
Administrative Proceeding File No.: 3-15791
Case filed: March 13, 2014
Qualifying Judgment/Order: March 13, 2014

SEC v. Dawn Wright-Olivares and Daniel Olivares
Case number: 13-cv-00700 (United States District Court for the Western District of North Carolina)
Case filed: December 20, 2013
Qualifying Judgment/Order: February 28, 2014

In the Matter of Howard Feder and BDL Manager LLC
Administrative Proceeding File No.: 3-15788
Case filed: March 13, 2014
Qualifying Judgment/Order: March 13, 2014

SEC v. Samuel E. Wyly, Charles J. Wyly, Jr., Michael C. French, and Louis J. Schaufele III
Case number: 10-cv-05760 (United States District Court for the Southern District of New York)
Case filed: July 29, 2010
Qualifying Judgment/Order: March 21, 2014

SEC v. Joseph Hilton f/k/a Joseph Yurkin, Pacific Northwestern Energy LLC, Rock Castle Drilling Fund LP, Rock Castle Drilling Fund II LP, and New Horizon Publishing Inc.
Case number: 12-cv-81033 (United States District Court for the Southern District of Florida)
Case filed: September 24, 2012
Qualifying Judgment/Order: March 20, 2014

SEC v. John S. Morgan, Marian I. Morgan, Morgan European Holdings ApS a/k/a Money Talks, Inc., ApS, Stephen E. Bowman, Bowman Marketing Group, Inc., and Thomas D. Woodcock, Jr.
Case number: 09-cv-01093 (United States District Court for the Middle District of Florida)
Case filed: June 11, 2009
Qualifying Judgment/Order: July 5, 2012

In the Matter of Jefferies LLC (formerly known as Jefferies & Company, Inc.)
Administrative Proceeding File No.: 3-15785
Case filed: March 12, 2014 
Qualifying Judgment/Order: March 12, 2014

SEC v. Onyx Capital Advisors, LLC, Roy Dixon, Jr., and Michael A. Farr
Case number: 10-cv-11633 (United States District Court for the Eastern District of Michigan)
Case filed: April 22, 2010
Qualifying Judgment/Order: January 31, 2014

In the Matter of Ronald S. Bloomfield, Robert Gorgia, and John Earl Martin, Sr.
Administrative Proceeding File No.: 3-13871
Case filed: February 27, 2014
Qualifying judgment/order: February 27, 2014

SEC v. Henry Morris, David J. Loglisci, Nosemote LLC, Pantigo Emerging LLC, and Purpose LLC
Case number: 09-cv-02518 (United States District Court for the Southern District of New York)
Case filed: March 19, 2009
Qualifying judgment/order: March 3, 2014

SEC v. George Garcy a/k/a Jorge Garcia, and Angelo Cuomo
Case number: 11-cv-02282 (United States District Court for the Eastern District of New York)
Case filed: May 11, 2011
Qualifying judgment/order: February 7, 2014

SEC v. Dean P. Gross and Gregory W. Laser
Case number: 09-cv-09144 (United States District Court for the Central District of California)
Case filed: December 14, 2009
Qualifying judgment/order: February 12, 2014

SEC v. Secure Capital Funding Corporation, Bertram Augustus Hill, PP&M Trade Partners, and Kiavanni Pringle
Case number: 11-cv-00916 (United States District Court for the District of New Jersey)
Case filed: February 18, 2011
Qualifying judgment/order: March 10, 2014

SEC v. China Intelligent Lighting and Electronics, Inc., NIVS Intellimedia Technology Group, Inc., Tianfu Li, and Xuemei Li
Case number: 13-cv-05079 (United States District Court for the Southern District of New York)
Case filed: July 22, 2013
Qualifying judgment/order: March 10, 2014

In the Matter of Apple REIT Six, Inc.; Apple REIT Seven, Inc.; Apple REIT Eight, Inc.; Apple REIT Nine, Inc.; Apple Six Advisors, Inc.; Apple Seven Advisors, Inc., Apple Eight Advisors, Inc.; Apple Nine Advisors, Inc.; Glade M. Knight; and Bryan F. Peery, CPA
Administrative Proceeding File No.: 3-15750
Case filed: February 12, 2014
Qualifying judgment/order: February 12, 2014

SEC v. Delsa U. Thomas; The D. Christopher Capital Management Group, LLC; and The Solomon Fund, LP
Case number: 13-cv-00739 (United States District Court for the Northern District of Texas)
Case filed: February 15, 2013
Qualifying judgment/order: March 4, 2014

SEC v. Recycle Tech, Inc., Keven Sepe, Ronny J. Halperin, Ryan Gonzalez, OTC Solutions LLC, Anthony Thompson, Pudong LLC, Jay Fung and David Rees
Case number: 12-cv-21656 (United States District Court for the Southern District of Florida)
Case filed: May 2, 2012
Qualifying judgment/order: February 14, 2014

SEC v. Jeremy S. Fisher, The Good Life Financial Group, Inc., and The Good Life Global Enterprises, LLC
Case number: 13-cv-00683 (United States District Court for the Western District of Wisconsin)
Case filed: September 30, 2013
Qualifying judgment/order: October 16, 2013

SEC v. John J. Bravata, Richard J. Trabulsy, Antonio M. Bravata, BBC Equities, LLC, and Bravata Financial Group, LLC
Case number: 09-cv-12950 (United States District Court for the Eastern District of Michigan)
Case filed: July 26, 2009
Qualifying judgment/order: March 6, 2014

SEC v. Jerry S. Williams, Monk's Den, LLC, and First in Awareness, LLC
Case number: 12-cv-01068 (United States District Court for the District of Connecticut)
Case filed: July 20, 2012
Qualifying judgment/order: February 18, 2014

SEC v. Burton Douglas Morriss, Acartha Group, LLC, MIC VII, LLC, Acartha Technology Partners, LP, and Gryphon Investments III, LLC
Case number: 12-cv-00080 (United States District Court for the Eastern District of Missouri)
Case filed: January 17, 2012
Qualifying Judgment/Order: February 26, 2014

SEC v. Diamond Foods, Inc.
Case number: 14-cv-00123 (United States District Court for the Northern District of California)
Case filed: January 9, 2014
Qualifying Judgment/Order: January 21, 2014

SEC v. David Blech and Margaret Chassman
Case number: 12-cv-03703 (United States District Court for the Southern District of New York)
Case filed: May 9, 2012
Qualifying Judgment/Order: August 22, 2013

SEC v. Kareem Serageldin, David Higgs, Faisal Siddiqui and Salmaan Siddiqui
Case number: 12-cv-00796 (United States District Court for the Southern District of New York)
Case filed: February 1, 2012
Qualifying Judgment/Order: January 21, 2014

SEC v. Archer-Daniels-Midland Company
Case number: 13-cv-02279 (United States District Court for the Central District of Illinois)
Case filed: December 20, 2013
Qualifying Judgment/Order: January 21, 2014

SEC v. Mark A. Lefkowitz, Compass Capital Group, Inc., Mark A. Lopez, Unico, Inc., Steven R. Peacock, Shane H. Traveller, and Advanced Cell Technology, Inc.
Case number: 12-cv-01210 (United States District Court for the Middle District of Florida)
Case filed: May 30, 2012
Qualifying Judgment/Order: December 30, 2013

SEC v. Thomas Rubin, Christopher Scott, BGLR Enterprises, LLC, and E-Info Solutions LLC
Case number: 11-cv-01466 (United States District Court for the Central District of California)
Case filed: September 22, 2011
Qualifying Judgment/Order: January 22, 2014

SEC v. Uriel Sharef, Ulrich Bock, Carlos Sergi, Stephan Signer, Herbert Steffen, Andres Truppel, and Bernd Regendantz
Case number: 11-cv-09073 (United States District Court for the Southern District of New York)
Case filed: December 13, 2011
Qualifying Judgment/Order: February 4, 2014

SEC v. Joseph Paul Zada and Zada Enterprises, LLC
Case number: 10-cv-14498 (United States District Court for the Eastern District of Michigan)
Case filed: November 10, 2010
Qualifying Judgment/Order: January 31, 2014

In the Matter of Scottrade, Inc.
Administrative Proceeding File No.: 3-15702
Case filed: January 29, 2014
Qualifying Judgment/Order: January 29, 2014

In the Matter of Western Asset Management Company
Administrative Proceeding File No.: 3-15689
Case filed: January 27, 2014
Qualifying Judgment/Order: January 27, 2014

In the Matter of Alcoa Inc.
Administrative Proceeding File No.: 3-15673
Case filed: January 9, 2014
Qualifying Judgment/Order: January 9, 2014

In the Matter of KPMG LLP
Administrative Proceeding File No.: 3-15687
Case filed: January 24, 2014
Qualifying Judgment/Order: January 24, 2014

In the Matter of Credit Suisse Group AG
Administrative Proceeding File No.: 3-15763
Case filed: February 21, 2014
Qualifying Judgment/Order: February 21, 2014

SEC v. Marek Leszczynski, Benjamin Chouchane, Gregory Reyftmann, and Henry A. Condron
Case number: 12-cv-07488 (United States District Court for the Southern District of New York)
Case filed: October 5, 2012
Qualifying Judgment/Order: January 13, 2014

In the Matter of Daniel Bogar, Bernerd E. Young, and Jason T. Green
Administrative Proceeding File No.: 3-15003
Case filed: August 31, 2012
Qualifying Judgment/Order: December 18, 2013

SEC v. William Landberg, Kevin Kramer, Steven Gould, Janis Barsuk, West End Financial Advisors LLC, West End Capital Management LLC, and Sentinel Investment Management Corporation
Case number: 11-cv-0404 (United States District Court for the Southern District of New York)
Case filed: January 20, 2011
Qualifying Judgment/Order: December 17, 2013

SEC v. Lawrence J. Robbins
Case number: 13-cv-06694 (United States District Court for the Southern District of New York)
Case filed: September 23, 2013
Qualifying Judgment/Order: November 27, 2013

SEC v. Waldyr Da Silva Prado Neto
Case number: 12-cv-7094 (United States District Court for the Southern District of New York)
Case filed: September 21, 2012
Qualifying Judgment/Order: January 7, 2014

SEC v. Weatherford International Ltd.
Case number: 13-cv-03500 (United States District Court for the Southern District of Texas)
Case filed: November 26, 2013
Qualifying Judgment/Order: December 19, 2013

In the Matter of Merrill Lynch, Pierce, Fenner & Smith Inc.
Administrative Proceeding File No.: 3-15642
Case filed: December 12, 2013
Qualifying Judgment/Order: December 12, 2013

In the Matter of GLG Partners, Inc. and GLG Partners, L.P.
Administrative Proceeding File No.: 3-15641
Case filed: December 12, 2013
Qualifying Judgment/Order: December 12, 2013

SEC v. Igor Cornelsen and Bainbridge Group Inc.
Case number: 12-cv-08712 (United States District Court for the Southern District of New York)
Case filed: November 30, 2012
Qualifying judgment/order: December 11, 2012