Whistleblower Program: Notices of Covered Action

SEC v. Charles Rustin Holzer
Case Number: 23-cv-06753 (United States District Court for the Southern District of New York)
Date Filed: August 2, 2023
Date of Qualifying Judgment/Order: August 4, 2023

In the Matter of Citigroup Global Markets Inc
Administrative Proceeding File No.: 3-21583
Date Filed: August 29, 2023
Date of Qualifying Judgment/Order: August 29, 2023

SEC v. Bittrex, Inc., Bittrex Global Gmbh, and William Hiroaki Shihara
Case Number: 23-cv-00580 (United States District Court for the Western District of Washington)
Date Filed: April 17, 2023
Date of Qualifying Judgment/Order: August 15, 2023

In the Matter of Moshe aka "Mark" Feuer and Scott A. Taylor
Administrative Proceeding File No.: 3-21538
Date Filed: July 31, 2023
Date of Qualifying Judgment/Order: July 31, 2023

In the Matter of Murray A. Huberfeld
Administrative Proceeding File No.: 3-21537
Date Filed: July 31, 2023
Date of Qualifying Judgment/Order: July 31, 2023

SEC v. George Iakovou, Vika Ventures LLC, Penelope Zbravos
Case Number: 22-cv-00194 (United States District Court for the Middle District of Georgia)
Date Filed: December 7, 2022
Date of Qualifying Judgment/Order: August 9, 2023

In the Matter of Titan Global Capital Management USA LLC
Administrative Proceeding File No.: 3-21569
Date Filed: August 21, 2023
Date of Qualifying Judgment/Order: August 21, 2023

In the Matter of Legacy Hospitality II, LLC, Legendary Capital Reit III, LLC, and Corey R. Maple
Administrative Proceeding File No.: 3-21586
Date Filed: August 28, 2023
Date of Qualifying Judgment/Order: August 28, 2023

In the Matter of Exchange Traded Managers Group LLC, ETF Managers Group LLC, and Samuel R. Masucci
Administrative Proceeding File No.: 3-21542
Date Filed: August 1, 2023
Date of Qualifying Judgment/Order: August 1, 2023

In the Matter of Grupo Aval Acciones Y Valores S.A. and Corporacion Financiera Colombiana, S.A
Administrative Proceeding File No.: 3-21559
Date Filed: August 10, 2023
Date of Qualifying Judgment/Order: August 10, 2023

In the Matter of Crowe U.K. LLP, Nigel D. Bostock, FCA, and Matthew C. Stallabrass, FCA
Administrative Proceeding File No.: 3-21560
Date Filed: August 14, 2023
Date of Qualifying Judgment/Order: August 14, 2023

SEC v. RBF Trust LLC, a Florida company, Paulo Fernando de Bastos, Joao Pedro Fonseca, a/k/a Joao Pedro Fonseca de Bastos RBF Trust LLC, a Michigan company, D3 Gestion Immobiliere LLC, a Florida company, and D3 Gestion Immobiliere LLC, a Michigan company
Case Number: 22-cv-61831 (United States District Court for the Southern District of Florida)
Date Filed: September 29, 2022
Date of Qualifying Judgment/Order: August 1, 2023

SEC v. Chad Stickforth
Case Number: 23-cv-02000 (United States District Court for the District of Colorado)
Date Filed: August 8, 2023
Date of Qualifying Judgment/Order: August 25, 2023

In the Matter of Canoo Inc.
Administrative Proceeding File No.: 3-21544
Date Filed: August 4, 2023
Date of Qualifying Judgment/Order: August 4, 2023

SEC v. Mark Klein, Eduardo Rubinstein, and Pablo Rubinstein
Case Number: 22-cv-06426 (United States District Court for the Southern District of New York)
Date Filed: July 28, 2022
Date of Qualifying Judgment/Order: August 2, 2023

In the Matter of Wells Fargo Clearing Services LLC and Wells Fargo Advisors Financial Network, LLC
Administrative Proceeding File No.: 3-21580
Date Filed: August 25, 2023
Date of Qualifying Judgment/Order: August 25, 2023

In the Matter of Archipelago Trading Services, Inc.
Administrative Proceeding File No.: 3-21587
Date Filed: August 29, 2023
Date of Qualifying Judgment/Order: August 29, 2023

In the Matter of 3M Company
Administrative Proceeding File No.: 3-21581
Date Filed: August 25, 2023
Date of Qualifying Judgment/Order: August 25, 2023

SEC v. Timothy J. Allcott, Thomas D. Renison, and ARO Equity, LLC
Case Number: 20-cv-10027 (United States District Court for the District of Massachusetts)
Date Filed: January 8, 2020
Date of Qualifying Judgment/Order: July 27, 2023

SEC v. Alton Perkins, Yilaime Corporation of NC, Yilaime Corporation of Nevada, Perkins HSU Export Corporation, American Towne Holdings, Inc., and Mabiala Phuati
Case Number: 19-cv-00243 (United States District Court for the Eastern District of North Carolina)
Date Filed: June 13, 2019
Date of Qualifying Judgment/Order: August 22, 2023

SEC v. Robert D. Christensen; Anthony M. Matic; Foresee, Inc., The Commission Pdx, LLC; The Policy Pdx, LLC; Innings 150, LLC 
Case Number: 23-cv-00959 (United States District Court for the District of Oregon) 
Date Filed: June 30, 2023 
Date of Qualifying Judgment/Order: July 11, 2023

In the Matter of Quantstamp, Inc. 
Administrative Proceeding File No.: 3-21535 
Date Filed: July 21, 2023 
Date of Qualifying Judgment/Order: July 21, 2023

SEC v. BHP Capital NY, Inc., and Bryan Pantofel 
Case Number: 23-cv-22233 (United States District Court for the Southern District of Florida) 
Date Filed: June 16, 2023 
Date of Qualifying Judgment/Order: June 29, 2023

In the Matter of Digital World Acquisition Corp. 
Administrative Proceeding File No.: 3-21534 
Date Filed: July 20, 2023 
Date of Qualifying Judgment/Order: July 20, 2023

In the Matter of Cantor Fitzgerald & Co. 
Administrative Proceeding File No.: 3-21528 
Date Filed: July 14, 2023 
Date of Qualifying Judgment/Order: July 14, 2023

SEC v. Andrew Defrancesco, Marlio Mauricio Diaz Cardona, Carlos Felipe Rezk, Nikola Faukovic, and Catherine Defrancesco 
Case Number: 23-cv-00131 (United States District Court for the Southern District of New York) 
Date Filed: January 6, 2023
Date of Qualifying Judgment/Order: July 5, 2023

In the Matter of Future Fin Tech Group Inc. 
Administrative Proceeding File No.: 3-21511 
Date Filed: July 3, 2023 
Date of Qualifying Judgment/Order: July 3, 2023

In the Matter of Merrill Lynch, Pierce, Fenner & Smith Incorporated; and BAC North America Holding Co. 
Administrative Proceeding File No.: 3-21524 
Date Filed: July 11, 2023 
Date of Qualifying Judgment/Order: July 11, 2023

SEC v. Ramas Capital Management, LLC, Ganesh H. Betanabhatla
Case Number: 22-cv-02979 (United States District Court for the Southern District of Texas)
Date Filed: September 1, 2022
Date of Qualifying Judgment/Order: June 30, 2023

SEC v. Lambert Vander Tuig, Ben Schactschneider, Capital Development Resources, f/k/a Biosynetics, and Biosynetics Management
Case Number: 21-cv-05381 (United States District for the Central District of California)
Date Filed: July 2, 2021
Date of Qualifying Judgment/Order: July 12, 2023

SEC v. Kent R.E. Whitney, David Lee Parrish, The Church for the Healthy Self a/k/a CHS Trust, And CHS Asset Management Inc.
Case Number: 19-cv-00499 (United States District for the Central District of California)
Date Filed: March 13, 2019
Date of Qualifying Judgment/Order: July 14, 2023

SEC v. Michael B. Zipprich, America's Rehab Campuses, LLC, America's Rehab Campuses- Arizona, LLC
Case Number: 20-cv-02308 (United States District Court for the District of Nevada)
Date Filed: December 21, 2020
Date of Qualifying Judgment/Order: June 29, 2023

SEC v. William A. Huber and Hubadex, Inc.
Case Number: 09-cv-06068 (United States District Court for the Northern District of Illinois)
Date Filed: September 29, 2009
Date of Qualifying Judgment/Order: June 15, 2023

SEC v. Cooper J. Morgenthau
Case Number: 23-cv-00022 (United States District Court for the Southern District of New York)
Date Filed: January 3, 2023
Date of Qualifying Judgment/Order: July 13, 2023

SEC v. Evoqua Water Technologies Corp., and Imran Parekh
Case Number: 23-cv-00105 (United States District Court for the District of Rhode Island)
Date Filed: March 13, 2023
Date of Qualifying Judgment/Order: July 10, 2023

SEC v. Leon Vaccarelli, individually and doing business as, Lux Financial Services, LWLVACC, LLC
Case Number: 17-cv-01471 (United States District Court for the District of Connecticut)
Date Filed: August 31, 2017
Date of Qualifying Judgment/Order: June 29, 2023

SEC v. Carrie L. Tolstedt
Case Number: 20-cv-07987 (United States District Court for the Northern District of California)
Date Filed: November 13, 2020
Date of Qualifying Judgment/Order: May 31, 2023

In the Matter of RTW Investments, LP
Administrative Proceeding File No.: 3-21473
Date Filed: May 30, 2023
Date of Qualifying Judgment/Order: May 30, 2023

In the Matter of Cantaloupe, Inc. (formerly d/b/a USA Technologies, Inc.)
Administrative Proceeding File No.: 3-21483
Date Filed: June 5, 2023
Date of Qualifying Judgment/Order: June 5, 2023

In the Matter of Insight Ventures Management, LLC
Administrative Proceeding File No.: 3-21499
Date Filed: June 20, 2023
Date of Qualifying Judgment/Order: June 20, 2023

In the Matter on J.P. Morgan Securities LLC
Administrative Proceeding File No.: 3-21502
Date Filed: June 22, 2023
Date of Qualifying Judgment/Order: June 22, 2023

SEC v. James David O'Brien
Case Number: 21-cv-09575 (United States District for the Southern District of New York)
Date Filed: November 18, 2021
Date of Qualifying Judgment/Order: June 2, 2023

SEC v. Tarek D. Bahgat and Lauramarie Colagelo
Case Number: 17-cv-00971 (United States District Court for the Western District of New York)
Date Filed: September 28, 2017
Date of Qualifying Judgment/Order: June 6, 2023

In the Matter of Pacific Investment Management Company LLC
Administrative Proceeding File No.: 3-21490
Date Filed: June 16, 2023
Date of Qualifying Judgment/Order: June 16, 2023

In the Matter of Pacific Investment Management Company LLC
Administrative Proceeding File No.: 3-21489
Date Filed: June 16, 2023
Date of Qualifying Judgment/Order: June 16, 2023

In the Matter of Marcum LLP
Administrative Proceeding File No.: 3-21500
Date Filed: June 21, 2023
Date of Qualifying Judgment/Order: June 21, 2023

SEC v. Vuuzle Media Corp., Ronald Shane Flynn, and Richard Marchitto
Case Number: 21-cv-01226 (United States District Court for New Jersey)
Date Filed: January 27, 2021
Date of Qualifying Judgment/Order: June 22, 2023

In the Matter of Gartner, Inc.
Administrative Proceeding File No.: 3-21470
Date Filed: May 26, 2023
Date of Qualifying Judgment/Order: May 26, 2023

SEC v. Marco "Sully" Perez and Permian Basin Proppants, Inc.
Case Number: 21-cv-00238 (United States District Court for the Western District of Texas)
Date Filed: December 14, 2021
Date of Qualifying Judgment/Order: June 23, 2023

SEC v. The Estate of Kenneth J. Casey
Case Number: 21-cv-04164 (United States District Court for the Northern District of California)
Date Filed: June 2, 2021
Date of Qualifying Judgment/Order: April 18, 2023

In the Matter of Up, Global SEZC, Coinme Inc., and Neil Bergquist
Administrative Proceeding File No.: 3-21398
Date Filed: April 28, 2023
Date of Qualifying Judgment/Order: April 28, 2023

SEC v. Donald G. Blakstad, Energy Sources International Corporation, and Xact Holdings Corporation
Case Number: 20-cv-00163 (United States District Court for the Southern District of New York)
Date Filed: January 8, 2020
Date of Qualifying Judgment/Order: April 11, 2023

SEC v. George Georgiou
Case Number: 09-cv-00616 (United States District Court for the Eastern District of Pennsylvania)
Date Filed: February 12, 2009
Date of Qualifying Judgment/Order: April 13, 2023

In the Matter of Scotia Capital (USA) Inc.
Administrative Proceeding File No.: 3-21409
Date Filed: May 11, 2023
Date of Qualifying Judgment/Order: May 11, 2023

In the Matter of HSBC Securities (USA) Inc.
Administrative Proceeding File No.: 3-21408
Date Filed: May 11, 2023
Date of Qualifying Judgment/Order: May 11, 2023

SEC v. Joseph Orazio DeGregorio
Case Number: 22-cv-01102 (United States District Court for the Eastern District of New York)
Date Filed: March 1, 2022
Date of Qualifying Judgment/Order: May 5, 2023

SEC v. GPL Ventures LLC, GPL Management LLC, Alexander J. Dillon, Cosmin I. Panait, Hempamericana, Inc., Salavador E. Rosillo, Seaside Advisors, LLC, and Lawrence B. Adams
Case Number: 21-cv-06814 (United States District Court for the Southern District of New York)
Date Filed: August 13, 2021
Date of Qualifying Judgment/Order: May 2, 2023

SEC v. James Arthur McDonald, Jr. and Hercules Investments, LLC
Case Number: 22-cv-06799 (United States District Court for the Central District of California)
Date Filed: September 21, 2022
Date of Qualifying Judgment/Order: April 27, 2023

SEC v. Energy & Environmental Investments, LLC; Energy & Environment, Inc., Amir A. Sardari; and Narysa Sardari Luddy
Case Number: 23-cv-00338 (United States District Court for the Central District of California)
Date Filed: February 24, 2023
Date of Qualifying Judgment/Order: May 19, 2023

SEC v. Vale S.A.
Case Number: 22-cv-02405 (United States District Court for the Eastern District of New York)
Date Filed: April 28, 2022
Date of Qualifying Judgment/Order: April 11, 2023

SEC v. The Hydrogen Technology Corporation Michael Ross Kane, and Tyler Ostern
Case Number: 22-cv-08284 (United States District Court for the Southern District of New York)
Date Filed: September 29, 2022
Date of Qualifying Judgment/Order: April 20, 2023

In the Matter of Koninklijke Philips N.V.
Administrative Proceeding File No.: 3-21411
Date Filed: May 11, 2023
Date of Qualifying Judgment/Order: May 11, 2023

SEC v. Saexploration Holdings, Inc., Jeffrey H. Hastings, Brent N. Whiteley, Brian A. Beatty, and Michael J. Scott
Case Number: 20-cv-08423 (United States District Court for the Southern District of New York)
Date Filed: October 8, 2020
Date of Qualifying Judgment/Order: April 21, 2023

SEC v. Brian Raymond Callahan, Horizon Global Advisors Ltd., Horizon Global Advisors, LLC, Diversified Global Investments (BVI) L.P., The Masters Global Fund, L.P., Horizon Millennium Investments, L.P. Pangea Offshore High Yield Portfolio, LLC, Adam Manson, Distinctive Investments LLC, and Distinctive Ventures LLC
Case Number: 12-cv-01065 (United States District Court for the Eastern District of New York)
Date Filed: May 31, 2012
Date of Qualifying Judgment/Order: May 12, 2023

SEC v. William Glen Baker, Michael Bowen, Cannon Operating Company LLC, North Texas Minerals LLC, and Chol Kim a/k/a Brandon Kim
Case Number: 22-cv-01415 (United States District Court for the Northern District of Texas)
Date Filed: June 30, 2022
Date of Qualifying Judgment/Order: April 12, 2023

In the Matter of Frank's International N.V.
Administrative Proceeding File No.: 3-21397
Date Filed: April 26, 2023
Date of Qualifying Judgment/Order: April 26, 2023

SEC v. Judith D. Paris-Pinder
Case Number: 22-cv-23100 (United States District Court for the Southern District of Florida)
Date Filed: September 26, 2022
Date of Qualifying Judgment/Order: April 24, 2023

SEC v. Martin Adrian Ruiz, Ram Fund, LP, and Bain Wealth Management, LLC
Case Number: 21-cv-06622 (United States District Court for the Southern District of New York)
Date Filed: August 13, 2021
Date of Qualifying Judgment/Order: May 26, 2023

In the Matter of Gaia, Inc. and Paul C. Tarell, Jr., CPA
Administrative Proceeding File No.: 3-21438
Date Filed: May 23, 2023
Date of Qualifying Judgment/Order: May 23, 2023

SEC v. Empires Consulting Corp. (DBA "Empiresx") Emerson Sousa Pires, Flavio Mendes, Goncalves, and Joshua David Nicholas
Case Number: 22-cv-21995 (United States District Court for the Southern District of Florida)
Date Filed: June 30, 2022
Date of Qualifying Judgment/Order: May 26, 2023

SEC v. Chicago Crypto Capital LLC, Brian B. Amoah, Darcas Oliver Young, and Elbert G. Elliott
Case Number: 22-cv-04975 (United States District Court for the Northern District of Illinois)
Date Filed: September 14, 2022
Date of Qualifying Judgment/Order: May 10, 2023

SEC v. Kay X. Yang and Xapphire LLC
Case Number: 22-cv-00450 (United States District Court for the Eastern District of Wisconsin)
Date Filed: April 13, 2022
Date of Qualifying Judgment/Order: April 26, 2023

SEC v. Ronald D. Swanson
Case Number: 20-cv-00666 (United States District Court for the District of Connecticut)
Date Filed: May 14, 2020
Date of Qualifying Judgment/Order: May 23, 2023

SEC v. Trends Investments Inc., Brandon Rossetti, Clinton Greyling, Leslie Greyling, Roger Bendelac, and Thomas Capellini
Case Number: 22-cv-10889 (United States District Court for the District of Massachusetts)
Date Filed: June 8, 2022
Date of Qualifying Judgment/Order: April 25, 2023

In the Matter of Betterment LLC
Administrative Proceeding File No.: 3-21373
Date Filed: April 18, 2023
Date of Qualifying Judgment/Order: April 18, 2023

SEC v. Frank Okunak
Case Number: 22-cv-06389 (United States District Court for the Southern District of New York) 
Date Filed: July 27, 2022 
Date of Qualifying Judgment/Order: March 23, 2023

In the Matter of Merrill Lynch, Pierce, Fenner & Smith Incorporated 
Administrative Proceeding File No.: 3-21356
Date Filed: April 3, 2023
Date of Qualifying Judgment/Order: April 3, 2023

In the Matter of Chatham Asset Management, LLC, and Anthony Melchiorre
Administrative Proceeding File No.: 3-21355 
Date Filed: April 3, 2023
Date of Qualifying Judgment/Order: April 3, 2023

SEC v. Martin Silver
Case Number: 21-cv-03179 (United States District Court for the Southern District of New York) 
Date Filed: April 13, 2021 
Date of Qualifying Judgment/Order: March 23, 2023

SEC v. David J. Bunevacz, Mary Hayca Bunevacz, Caesarbrutus LLC, CB Holding Group Corp., and Brutus California Ventures Corp.
Case Number: 22-cv-02284 (United States District Court for the Central District of California) 
Date Filed: April 5, 2022 
Date of Qualifying Judgment/Order: April 4, 2023

SEC v. Anatoly Hurgin, Alexander Aurovsky, Ability Computer & Software Industries Ltd., and Ability Inc.
Case Number: 19-cv-05705 (United States District Court for the Southern District of New York) 
Date Filed: June 18, 2019 
Date of Qualifying Judgment/Order: March 30, 2023

SEC v. Matthew Nicosia, William ("Rocky") Reininger, Fabrizio Di Carlo, and Ronald Touchard
Case Number: 22-cv-05761 (United States District Court for the Eastern District of New York) 
Date Filed: September 27, 2022 
Date of Qualifying Judgment/Order: April 4, 2023

In the Matter of Blackbaud, Inc.
Administrative Proceeding File No.: 3-21339
Date Filed: March 9, 2023
Date of Qualifying Judgment/Order: March 9, 2023

SEC v. Patrick Jevon Johnson, Charles Everett (aka Charly Everett), Frank Ekejija, and NVC Fund, LLC.
Case Number: 20-cv-08985 (United States District Court for the Central District of California)
Date Filed: September 30, 2020
Date of Qualifying Judgment/Order: March 22, 2023

In the Matter of Rio Tinto Plc
Administrative Proceeding File No.: 3-21335
Date Filed: March 6, 2023
Date of Qualifying Judgment/Order: March 6, 2023

SEC v. Payward Ventures, Inc. (d/b/a Kraken); and Payward Trading, Ltd. (d/b/a Kraken)
Case Number: 23-cv-00588 (United States District Court for the Northern District of California)
Date Filed: February 9, 2023
Date of Qualifying Judgment/Order: February 13, 2023

In the Matter of Daniel J. Mackle, Sr. and Silver Edge Financial LLC
Administrative Proceeding File No.: 3-21325
Date Filed: March 3, 2023
Date of Qualifying Judgment/Order: March 3, 2023

In the Matter of Equity Acquisition Company Ltd. and Carsten Klein
Administrative Proceeding File No.: 3-21326
Date Filed: March 3, 2023
Date of Qualifying Judgment/Order: March 3, 2023

In the Matter of Dxc Technology Company
Administrative Proceeding File No.: 3-21342
Date Filed: March 14, 2023
Date of Qualifying Judgment/Order: March 14, 2023

In the Matter of Flutter Entertainment plc, as successor-in-interest to the Stars Group, Inc.
Administrative Proceeding File No.: 3-21330
Date Filed: March 6, 2023
Date of Qualifying Judgment/Order: March 6, 2023

SEC v. GexCrypto Corp. (a/k/a GexCrypto Global Trading Corp.) and Emiliano S. Ryn.
Case Number: 23-cv-00191 (United States District Court for the District of Nevada)
Date Filed: February 6, 2023
Date of Qualifying Judgment/Order: March 2, 2023

In the Matter of Centaurus Financial, Inc., Ricky A. Mantei, and Atul Makharia
Administrative Proceeding File No.: 3-21295
Date Filed: February 6, 2023
Date of Qualifying Judgment/Order: February 6, 2023

SEC v. John Barksdale and Jonatina L. Barksdale
Case Number: 22-cv-01933 (United States District Court for the Southern District of New York)
Date Filed: March 8, 2022
Date of Qualifying Judgment/Order: March 15, 2023

In the Matter of Foresight Wealth Management, LLC and Adam E. Nugent
Administrative Proceeding File No.: 3-21312
Date Filed: February 27, 2023
Date of Qualifying Judgment/Order: February 27, 2023

SEC v. Phillip Hudnall, Todd Esh, Birddog Business Group, LLC, and Birddog Oil Equipment, LLC
Case Number: 20-cv-00327 (United States District Court for the Western District of Missouri)
Date Filed: April 23, 2020
Date of Qualifying Judgment/Order: March 27, 2023

In the Matter of Roadrunner Transportation Systems, Inc.
Administrative Proceeding File No.: 3-21301
Date Filed: February 14, 2023
Date of Qualifying Judgment/Order: February 14, 2023

SEC v. Bradley J. Moynes, Digatrade Financial Group
Case Number: 22-cv-11006 (United States District Court for the District of Massachusetts)
Date Filed: June 27, 2022
Date of Qualifying Judgment/Order: March 8, 2023

SEC v. Candlestick Capital Management LP
Case Number: 23-cv-00206 (United States District Court for the District of Connecticut)
Date Filed: February 17, 2023
Date of Qualifying Judgment/Order: February 24, 2023

SEC v. Medsis International Inc., Joshua Dax Cabrera and Paul Hess
Case Number: 21-cv-11356 (United States District Court for the District of Massachusetts)
Date Filed: August 19, 2021
Date of Qualifying Judgment/Order: March 10, 2023

SEC v. Mark J. Varacchi and Sentinel Growth Fund Management LLC
Case Number: 17-cv-00155 (United States District Court for the District of Connecticut)
Date Filed: February 2, 2017
Date of Qualifying Judgment/Order: February 7, 2023